SAICE Code of Safety in Trial Holes

THE SAFETY OF PERSONS WORKING IN
SMALL DIAMETER SHAFTS AND TEST PITS FOR

GEOTECHNICAL ENGINEERING PURPOSES
CODE OF PRACTICE 2007
Published by the South African Institution of Civil Engineering

Private Bag X200, Halfway House, 1685
THE SOUTH AFRICAN INSTITUTION OF CIVIL ENGINEERING

GEOTECHNICAL DIVISION


THE SAFETY OF PERSONS WORKING IN SMALL DIAMETER SHAFTS AND

TEST PITS FOR GEOTECHNICAL ENGINEERING PURPOSES Code of Practice
First edition 2007
South African Institution of Civil Engineering
ISBN 978-0-620-37939-7
This code can be purchased from the:

South African Institution of Civil Engineering
Private Bag X200
Halfway House
1685
Published by the South African Institution of Civil Engineers (Geotechnical Division). All
rights reserved. No part of this Code of Practice may be reproduced, broadcast or transmitted
in any form or by any means, electronically, mechanically, including photocopying, recording
or by information storage or in any retrieval system without the prior permission of the
Geotechnical Division of South African Institution of Civil Engineering.
Although every effort has been made to ensure that the information and data presented in
this Code of Practice are correct, neither the Geotechnical Division, nor the South African
Institution of Civil Engineering, is responsible for any errors and omissions, nor for any
consequences resulting from these errors, omissions, etc. The views expressed in this code
are not necessarily those of the Geotechnical Division, nor of the South African Institution of
Civil Engineering.
FOREWORD
For many years it has been necessary for persons engaged in geotechnical
engineering projects to work in small diameter shafts and in test pits.
The first large diameter drilling machines for cast-in-situ piling were
imported into South Africa in 1948. The construction of these piles often
entailed work to be carried out below the surface for cleaning the base of
the hole or for inspecting the founding material. It was not long before
these deep auger holes were also used for exploratory purposes, as they
afforded an ideal opportunity for describing the soil profile in situ and
retrieving high quality samples. Test pits formed using an excavator
proved equally useful in shallower profiles. As so much of this type of
work has been undertaken in complete safety, it is clear that the risks
involved are manageable provided reasonable precautions are observed.
The first Code of Practice on safety in small diameter vertical shafts
was published in 1960 (Ref 6) and revised in 1980 (Ref 7). These codes drew
attention to the measures that were necessary when persons descend into
small diameter shafts. The purpose of the current code is to take account
of improved methods developed over the last thirty years, to include
provisions for test pits in addition to shafts and to highlight the changes
in practice required by recent legislation.
This code applies to geotechnical personnel who descend into small
diameter shafts (as drilled by an auger rig or similar) or into test pits
(excavated by hand or using a mechanical excavator) for the purpose
of describing and sampling the soil profile or performing in situ tests.
Although this code has been written primarily with site investigation by
geotechnical professionals in mind, many of the provisions of the code
are also applicable to contractors engaged in the construction of piles.
The code does not apply to construction activities involving work in
trenches which, as a result of their length, are inherently less stable than
test pits.
Additional or varied precautions may apply in mining areas.
iii
COMMITTEE FOR 2007 REVISION OF CODE OF PRACTICE

Andrew Copeland
SAICE Geotechnical Division
Client
Nico Maas
Piling contractor
Andy Schulze-Hubbe
SAIEG
Consultant
Rob Stocken
Piling contractor
Dr Pierre van der Berg
Consultant
Gavin Wardle
Consultant
The comments received from Cyril Anderson of the Gauteng Master

Builders Association and Peter Days inputs on the relevant legislation
and specifically the Construction Regulations are also acknowledged.
Peter Day also contributed significantly in assisting with the editing of
the final document.
iv
CONTENTS
FOREWORD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
1
SITE INVESTIGATION PRACTICE . . . . . . . . . . . . . . . . . . . . . . . . . 1
SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
DEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
RELEVANT LEGISLATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
4.1 Occupational Health and Safety Act . . . . . . . . . . . . . . . . . . . . . . . . 6
4.2 Specific requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
4.3 Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
PERSONNEL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
5.1
5.2
5.3
5.4
5.5
Duties of employers towards personnel . . . . . . . . . . . . . . . . . . . . 12

Duties of personnel towards employers . . . . . . . . . . . . . . . . . . . . 12
Training of personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Site induction training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Required experience. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
RISK ASSESSMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
6.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
6.2 Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
6.2.1 Geotechnical investigations . . . . . . . . . . . . . . . . . . . . . . . . . 15
6.2.2 Piling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
6.3 Risk assessment process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
6.3.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
6.3.2 Site investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
6.3.3 Piling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
PLANT AND EQUIPMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

7.1 Descending into test pits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
7.2 Descending into shafts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
PROCEDURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
8.1 Preparatory work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
8.2 Profiling of test pits and shafts . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
8.2.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
8.2.2 Test pits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
8.2.3 Profiling shafts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
8.3 Cleaning shafts for piling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
8.4 Attendance to persons working below surface . . . . . . . . . . . . . . 28
8.5 Unattended holes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
8.6 Other precautions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
EMERGENCY PREPAREDNESS . . . . . . . . . . . . . . . . . . . . . . . . . 31
9.1 Emergency plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
9.2 First aid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
9.3 Rescue methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
10 SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
11 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
APPENDIX A: TYPICAL HAZARDS . . . . . . . . . . . . . . . . . . . . . . . . . . 36
APPENDIX B: TYPICAL FLOW CHART FOR A RISK
ASSESSMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
APPENDIX C: SAFETY EQUIPMENT . . . . . . . . . . . . . . . . . . . . . . . . . 40
APPENDIX D: EXAMPLE OF A SHORING SYSTEM . . . . . . . . . . 41
APPENDIX E: GASES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
vi
Section 1
SITE INVESTIGATION PRACTICE

Much of South Africa is underlain by lightly cemented, transported or
residual soils which possess sufficient cohesion to ensure temporary
stability of the sidewalls of open excavations. As the water table is often
at a considerable depth, the soil profile is partially saturated. Under these
conditions, geotechnical investigations in South Africa often make use of
test pits or large diameter auger holes for in situ inspection and sampling
of the soil profile.
Where the soil profile is shallow or loadings are modest, the
investigation is typically carried out using test pits formed using an
excavator. These test pits are normally dug to refusal of the excavator or
to a maximum depth of between 3 m to 5 m. They are generally not longer
than required for efficient excavation. Access to test pits is obtained using
a ladder or a ramp excavated at one end of the test pit. Profiling and
sampling seldom takes longer than twenty minutes and the hole is then
backfilled. In situ testing (such as plate load testing) may require the hole
to remain open for longer.
Where the profile is deeper or the foundation loads are higher, the
investigation may include large diameter trial holes (typically 750 mm
diameter) drilled using a flight auger. Light auger rigs can drill to depths
of 15 m in soils, whereas the large rigs can reach depths of 36 m and
are capable of drilling into soft rock. The profiler, wearing the suitable
personal protective equipment (PPE) and a safety harness attached to a
rope, enters the hole by means of a boatswains chair suspended from a
tripod winch.
The profiler is typically an experienced geotechnical engineer or
engineering geologist who is capable of assessing the stability of the test
pit or shaft before entering. In the past, no formal method of assessment
was used and no records were kept of the assessment. Recent legislation
now requires the appointment of a competent person to conduct such
assessments and the outcome to be documented.
There is no comprehensive record keeping system by any one authority

of injuries or fatalities in test pits or shafts. Day (Refs 1 and 2) records five
injuries and one fatality in shafts in the past forty years and six injuries
and three fatalities occurring in test pits. While it is necessary that the
practice of descending into test pits or shafts should be regulated, the
risks associated with this activity are manageable.
Section 2
SCOPE
This code is written primarily for geotechnical professionals engaged in
site investigation activities. Many of the provisions of the code are also
applicable to contractors engaged in the construction of piles. Additional
precautions are, however, likely to apply to piling sites.
This Code of Practice provides guidance on the safety precautions
and procedures required when:
Personnel descend into test pits or small diameter shafts for site
investigation purposes, or
Personnel are lowered into pile holes for the purposes of inspection or
cleaning the base of the holes
The provisions of this code may also be applied to inclined holes excavated
for raking piles (normally not exceeding 1:4) but, in this case, it is even
more important that adequate assessment of the danger of collapse be
made by a competent person.
This code does not apply to construction activities involving work in
trenches or adjacent to excavation faces.
The code is written to conform to the requirements of the Occupational
Health and Safety Act, 1993 (Act 85 of 1993) and the Construction
Regulations. Varied or additional requirements may apply for mines,
mining areas and works defined in the Minerals Act, 1991 (Act 50 of 1991)
which fall under the jurisdiction of the Mine Health and Safety Act, 1996
(Act 29 of 1996).
This code lays down standards of acceptable practice. The provisions
of the code are not mandatory, except where they reflect legislated
requirements. The code must be read in conjunction with the relevant
legislation and does not seek to provide a complete list of all legislated
obligations.
Section 3
DEFINITIONS
For the purposes of this Code of Practice, the definitions given below apply.
Where possible, these definitions accord with those in the Occupational
Health and Safety Act (Ref 4) and the Construction Regulations that form
part of the Act.
Client means any person or organisation for whom investigation work or
construction work is performed.
Professional team means the person(s) or organisation engaged to
represent the client.
Consultant means any professional person or organisation engaged by
the client or professional team to undertake the site investigation or
the design of the piles. In the Construction Regulations, the consultant
engaged in site investigation activities may also assume the duties of
a contractor (Ref 2).
Contractor means any person or organisation who performs construction
work including the forming of excavations or construction of piles.
Employer means any person who employs or provides work for any
person and remunerates that person for the work undertaken.
Supervisor means the person designated in writing by the contractor
or consultant, who is resident on site and whose responsibility it is to
supervise construction and descent into the shaft or the profiling of
test holes. In the absence of such written designation, the most senior
person on the site shall assume the duties of the supervisor.
Competent person means a person having the knowledge, training,
experience and qualifications required for the performance of a
specific task or function.
Site means the place where the shaft and/or test pits are formed.
Site investigation means the process by which geological, geotechnical,
and other relevant information is acquired in the field and in many
cases includes the visual inspection (profiling) of test pits or small
diameter shafts.
Profiling means the visual inspection of the side of an excavation and

recording predefined properties, including the moisture content,
colour, consistency, structure, soil type and origin of the soil, which
record is known as a soil profile.
Shaft means a vertical or near-vertical, circular excavation of limited cross
section in relation to its depth, which is either of constant diameter or
has an underream, and is normally formed using an auger rig.
Test pit means a hole excavated in the ground, either manually or
mechanically, to allow profiling, sampling or testing.
Test hole or Excavation includes any test pit or any shaft excavated as
part of the site investigation.
Casing means a steel tube placed either as
(a) a tight lining in contact with the ground to support the ground,
or
(b) a loose lining to arrest any collapse of the ground so as to prevent
such collapse that might affect work on the shaft.
Hazard means a source of or exposure to potential danger.
Risk means the probability that injury or damage will occur and is
determined by the combination of the probability (or frequency) of
occurrence of a hazard and the magnitude of the effects.
Risk assessment means the formal process whereby the risks associated
with any hazard on a site are determined and steps are identified to
remove, reduce or control the hazard.
Section 4
RELEVANT LEGISLATION
4.1 OCCUPATIONAL HEALTH AND SAFETY ACT
All excavation work is regarded as a construction activity and is
subject to the provisions of the Occupational Health and Safety Act,
1993 (Act 85 of 1993) and specifically the Construction Regulations.
The Act and the Regulations are administered by the Department of
Labour Inspection and Enforcement Department.
Section 8 of the Occupational Health and Safety Act covers
general duties of employers to their employees. The essence of the
act is reflected in Sub-section (1):
Every Employer shall provide and maintain, as far as is
reasonably practicable, a working environment that is safe and
without risk to the health of his employees.
Prior to publication of the Construction Regulations, 2003, safety

in excavations was covered by General Safety Regulation R13. This
regulation (Sub-section (2)) states:
Every Employer who performs building work shall, with
respect to any such work in connection with ... the making of
an excavation ... not require or permit any person to, and no
person shall, work under unsupported overhanging material
or in an excavation which is more than 1,5 m deep and which
has not been adequately shored or braced if there is a danger
of the overhanging material or the sides of the excavation
collapsing.
Thus, there was not a general prohibition, as commonly believed,

on entering excavations deeper than 1,5 m, but the Act required an
assessment to be made of the risk of collapse. This regulation has
been repealed by the publication of the Construction Regulations
in 2003.
The Construction Regulations are a collection of regulations
applicable specifically to the construction industry. Included
in the definition of construction work, to which the regulations

apply, is the making of any excavation, moving of earth, piling, or
any similar type of work. From this definition it is clear that site
investigation activities involving test pits or large diameter auger
holes classify as construction work and, as such, must comply with
the Construction Regulations. The Construction Regulations contain
no reference to a safe excavation depth (previously taken as 1,5 m)
and the requirements of the regulations apply to excavations of any
depth. Neither General Safety Regulation R13 nor the Construction
Regulations prohibit work in excavations, but require that the risks
involved are assessed by a competent person.
4.2 SPECIFIC REQUIREMENTS

A number of specific requirements relevant to descending into
test pits or shafts are set out in various places in the Construction
Regulations. The most important of these applicable to site
investigation and piling are set out below and amplified in the
relevant sections of this code.
Regulation 11 of the Construction Regulations deals with
excavations and is therefore of direct relevance to geotechnical
investigations and piling. The regulations require the contractor to:
As far as reasonably practicable, evaluate the stability of the
ground before excavation work commences [R11(2)].
Take reasonable steps to prevent any person from being buried
or trapped by a fall of ground [R11(3)(a)] and to not require or
permit any person to work in an excavation which has not been
adequately shored or braced [R11(3)(b)]. Shoring or bracing is
not required where the sidewalls have been sloped to the angle
of repose or where the excavation is in stable material. In either
event, permission must be given in writing by the competent
person for work in such excavations [R11(3)(b)(ii)(a)]. Where there
is any uncertainty as to the stability of the excavation, the decision
of a professional engineer or professional technologist is required
and shall be noted in writing, signed by both the professional
engineer/technologist and the competent person [R11(3)(b)(ii)(b)].
Prevent surcharging of the sidewalls of the excavation by
excavated material, plant or equipment [R11(3)(d)].
Provide a convenient and safe means of access (and egress)

no further than 6 m from where persons are working in an
excavation [R11(3)(f)].
Inspect every excavation daily, after an unexpected fall of
ground or after rain and record the results of such inspection in a
register kept on site [R11(3)(h)]. Although the regulation does not
specifically require the excavation to be inspected immediately
on completion and prior to entry of workers, such an inspection
is implied by Regulation 11(3)(b)(ii)(a).
Barricade all excavations accessible to the public and provide
warning lights at night [R11(3)(i)].
Position warning signs adjacent to any excavation in which
people are working [R11(3)(l)].
Comply with the precautionary measures stipulated for working
in confined spaces given in Regulation 5 of the General Safety
Regulations [R11(3)(j)]. This regulation requires the air in any
confined space to be tested and evaluated by a competent person
who shall certify that the confined space is and will remain safe
for the duration of the work before any person may enter therein.
If this cannot be done, the confined space must be purged and
ventilated or breathing apparatus must be provided. (Note that
this aspect of the regulations is currently being queried with the
Department of Labour as its application to open excavations is
considered by the profession to be unnecessarily onerous.)
Regulation 6 of the Construction Regulations spells out the
requirements for supervision of construction work. In terms of
R6(1), it is a requirement that a fulltime construction supervisor be
appointed. Where the size of the project warrants it, R6(6) requires
that a fulltime or part-time construction safety officer be appointed.
Both appointments are to be in writing. For excavation work it is
a further requirement (Construction Regulation R11(1)) that all
excavation work be carried out under the supervision of a competent
person, who has also been appointed in writing. In the case of
smaller geotechnical investigations the construction supervisor and
the competent person may be the same person.
General Safety Regulation R7, Working in Danger of Engulfment,
states that:
No employer shall require or permit any person to, and

no person shall, enter any place from or into which solid or
particulate material is being discharged, where a danger
exists of a person being engulfed by such solid or particulate
material, unless(a) such a person is provided with and properly uses a safety
belt and rope;
(b) at least one person who has been properly instructed, is
and remains in attendance outside such place to keep the
persons therein under continuous observation in order to
render assistance in case of emergency; and
(c) the precautions prescribed by regulation 5 of the General
Safety Regulations are taken if dangerous gas, fumes, dust
or vapour may be present in such a place.
As test holes or pile holes are not places where solid or particulate
material is being discharged, the requirements of this regulation
are not mandatory (and are not referenced in the Construction
Regulations R11). It should nevertheless be regarded as an indication
of acceptable practice where there is a danger of engulfment and
in the context of work in excavations, the requirements of this
regulation are conditional of the danger of being engulfed, that is, on
the stability of the sidewalls of the test hole. The need for the use of
a safety harness and attendance at surface is thus conditional on the
stability of the hole and must be determined by the risk assessment
(see Section 6) and confirmed by inspection on site.
4.3 DOCUMENTATION
The Construction Regulations require a number of documents to be
prepared which were not generally required in the past. The more
important of these are highlighted below. It should be noted that
where the requirements of the Mine Health and Safety Act (Act 29 of
1996) are applicable, the documentation required may also vary.
In terms of R4(1)(a), the client is required to prepare a health
and safety specification for the construction work and to issue this
specification to contractors at the time of tender. This specification
should contain all requirements pertaining to the construction work
that are necessary to ensure the health and safety of persons. The
client is also required to provide the contractor with any information

which might affect the health and safety of persons at work [R4(1)(b)].
It is therefore necessary to obtain the health and safety specification
from the client prior to preparing a proposal for a geotechnical
investigation.
In terms of R5(1) and (4), all contractors (including a consultant
doing a site investigation see Ref 2) are required to produce a health
and safety plan based on the health and safety specification provided
by the client. According to the definitions in Regulation 1, this is a
documented plan which addresses identified hazards and includes
safe working procedures to mitigate, reduce or control such hazards.
The health and safety plans produced by all contractors are required
to be kept on site and made available for inspection on request.
Regulation 7 spells out the requirements for conducting the risk
assessments that form part of the health and safety plan referred to
above. The risk assessments are required to identify the hazards on
site, analyse and evaluate these risks, identify measures to mitigate,
reduce or control the risks, prepare a monitoring plan to ensure
compliance and to review the plan to ensure the assessment remains
current. Regulation 8(2) requires a separate risk assessment for any
work carried out from an elevated position involving the use of fall
protection equipment.
The regulations require a number of appointments to be made.
These include the appointment of the principal contractor (or
consultant) by the client [R4(1)(c)], the appointment of the contractor
(for example plant hire company) by the principal contractor
[R5(3)(b)], the appointment of a fulltime construction supervisor
[R6(1)], the appointment of a competent person to undertake the risk
assessment [R7(1)] and the appointment of a competent person to
supervise the excavation work [R11(1)].
Similarly, a number of records need to be kept. These include
a record of health and safety induction training [R7(9)(a)], a record
of permission to enter an excavation [R11(3)(b)(iii)(a)], a register of
excavation inspections [R11(3)(h)] and a record of the testing of the
air in a confined space (including excavations) in accordance with
General Safety Regulation R5(1). Although it is not specifically
required that written records be kept of inspection of boatswains
10
chairs (Regulation 16) and fall protection equipment (Regulation

8), it is recommended that such records be kept as proof that the
inspection requirements have been fulfilled.
The regulations require that all the above documentation be
kept on site in a health and safety file and be made available for
inspection on request [R5(7)]. In addition, the health and safety
file should contain an up-to-date list of all contractors on site, the
agreements between the parties and a statement of the type of work
being done [R5(9)]. Where any permanent work is being undertaken,
the health and safety file should include a record of all drawings,
designs, materials used and other similar information concerned
with the completed structure [R5(8)] and this file should be handed
to the client at the conclusion of the project.
11
Section 5
PERSONNEL
5.1 DUTIES OF EMPLOYERS TOWARDS PERSONNEL
Employers of personnel who descend into shafts or test holes must
be familiar with the relevant legislation mentioned in Section 4.
They should ensure the job description for such personnel reflects
the type of work they do and that the activities associated with this
work are covered by their goup life insurance scheme.
All injuries that arise out of and in the course of an employees
work are covered by the Occupational Injuries and Diseases Act,
1993 (Act 130 of 1993).
Employers must ensure that all personnel have the necessary
training and experience for any task they are requested to undertake.
They must also ensure that all necessary equipment, including
personal protective equipment, is provided and is maintained in
good working order. Employers must ensure that all the necessary
appointments required by the legislation are in place. Employers
should, from time to time, monitor compliance with safety legislation
and take steps against any breaches of safety procedures.
5.2 DUTIES OF PERSONNEL TOWARDS EMPLOYERS

Employees should check their own insurance policies and should
inform their employers of any special clauses that may prohibit them
from working in test holes.
Employees are required to report any unsafe conditions to their
employers. Note that employees have the right to refuse to undertake
any task or to enter any test hole that they regard to be unsafe.
5.3 TRAINING OF PERSONNEL

Personnel should be made aware that investigations involving
excavations are hazardous and that serious injury or loss of life can
occur unless safety precautions are taken.
12
All personnel involved with work in or around test holes should

receive relevant training and instruction. Training should include:
Legislative requirements
Responsibilities and limits of responsibility
Awareness of potential hazards associate with work in test
holes
Recognition of potentially dangerous situations and unstable soil
conditions
Use of safety equipment
5.4 SITE INDUCTION TRAINING

All personnel (including employees, subcontractors and visitors to
site) should undergo induction training and be made thoroughly
familiar with his or her allocated duties and responsibilities on
site. The site safety officer should be intimately involved in the
training process and, wherever possible, persons trained in first aid
procedures should form part of the team.
The supervisor should ensure that the findings of the risk
assessment are communicated to the persons engaged in the
investigation and that they are fully informed of the hazards and the
dos and donts when working in test holes as laid out in the risk
assessment.
The supervisor should also ensure that all the above-ground
support staff are familiar with their tasks and know how to operate
the safety and first aid equipment. All personnel should know how
and where to contact emergency services or what to do in the event
that such services are not within easy reach. On large projects, trial
or practice runs of simulated emergencies may be carried out.
5.5 REQUIRED EXPERIENCE

Employers should ensure that geotechnical and geological personnel
have acquired sufficient relevant experience under competent
direction before being given responsibility for working in or
supervising work in excavations. Considerable reliance is placed on
the common sense of all personnel since it is impossible to identify
in a Code of Practice every potentially dangerous situation that
may arise.
13
Relevant experience includes:

Sufficient geological knowledge and practical experience to be
able to assess the stability of test pits and small diameter shafts
excavated in all types of materials including made ground (fill),
sandy or clayey soils, jointed and fissured soil and rock materials
and the effect of ground water seeping into the excavations
Sufficient knowledge and experience to recognise potential
dangers as they arise
Recognising that unusual odours or extraordinary ground
conditions (such as may be found when working on sites that
have been modified by previous occupation) might be signs of
danger that require further investigation
Awareness of the dangers posed by buried or overhead electric
cables, sewers and other drain pipes, gas pipes and water mains
14
Section 6
RISK ASSESSMENT
6.1 GENERAL
There are risks associated with descending into excavations for
profiling or construction purposes and people have been killed
while engaged in such activities. To ensure the health and safety
of all personnel involved, it is therefore necessary to conduct a risk
assessment before descending into any excavation.
Regulation 7 of the Construction Regulations requires that a risk
assessment be carried out to identify, evaluate and analyse the risks
prior to commencement of any construction work. This requirement
includes producing a safety plan to mitigate, reduce or control the
identified risks, a monitoring plan and a review plan, all of which
form part of the risk assessment.
The risk assessment is to be kept on site and available for
inspection. All employees and sub-contractors are to be informed,
instructed and trained regarding any risks associated with the work.
No person may enter the site without undergoing health and safety
induction training. Every employee must be in possession of proof
of such induction training and is required to carry this proof on site
at all times.
6.2 PLANNING
Identifying hazards requires knowledge of the specific site, the
expected site conditions and the nature of the work to be undertaken.
The risk assessment can only be conducted once all the available
information relevant to the specific site has been accumulated and
the proposed site investigation activities have been planned.
6.2.1 Geotechnical investigations

Typically a geotechnical investigation commences with a desk
study which includes collecting all available information on
15
the site to assist with the planning of the investigation. Most

of the site information (including expected ground conditions
and groundwater regime) required for the risk assessment
will be available from the desk study. Other data that may
be gathered include the location of earlier test holes, nearby
sources of pollutants or noxious gases and information on
previous or nearby developments which could, for example,
indicate the occurrence of contaminated or disturbed
ground.
The planning of the geotechnical investigation, including
the selection of appropriate methods of investigation, should
be based on the findings of the desk study, the nature of the
proposed development and the geotechnical data required
from the investigation. Once the site investigation has been
planned, the various activities for which risk assessments are
required should be identified and the risk assessment process
initiated.
6.2.2 Piling
A distinction should be made between the risk assessment
for a geotechnical investigation and the risk assessment for
the cleaning and inspection of piles as these activities are
conducted at different stages of a project and the identified
hazards may differ.
A similar process of gathering information is necessary
before conducting the risk assessment required for the
inspection or cleaning of pile holes. The construction of
piles, however, should only takes place after a geotechnical
investigation has been conducted and the detailed design
has been completed. Detailed site-specific information will
therefore be available and should be used in the preparation
of the risk assessment. This includes recording overbreak,
instability, or water seepage in shafts and test pits formed
during the investigation. It is also important to determine the
position of test holes or previous excavations as accurately as
possible as intersection of loose backfill in these holes will
have an impact on the stability of the pile holes.
16
6.3 RISK ASSESSMENT PROCESS

6.3.1 General
Regulation 7 of the Construction Regulations requires that
the risk assessment be performed by a competent person
appointed in writing. It is furthermore recommended that,
if the person who conducted the risk assessment does not
supervise the activity on site, this person must brief the
supervisor.
The risk assessment process comprises three essential
steps:
(1) Identify all the possible hazards associated with the site
and the work to be done.
(2) For each hazard, assess the risk that injury or damage
will occur by considering the likelihood of the hazard
occurring and the severity of the impact(s).
(3) Put measures in place to mitigate the risk by (a) removing
or controlling the hazard or (b) reducing the severity of
the impact.
To illustrate the risk assessment process, consider the example
where the base of an augered pile hole installed through a
layer of loose sand has to be inspected in situ.
Step 1: The collapse of the sides of the shafts in the sand
layer is identified as a hazard.
Step 2: The likelihood of this occurring is assessed to
be high and the impact is that the person inspecting the
bottom of the shaft could be killed due to a fall of ground.
Step 3: To reduce this risk to an acceptable level it is
decided to install casing in the shaft before inspecting the
bottom.
6.3.2 Site investigation

When conducting a risk assessment for a site investigation,
there are a number of hazards that should be considered:
The operation of machinery used during the excavation
or backfilling process
The means of access that is used to descend into the hole
17
Objects falling into the hole from the surface or the sides
of the hole
Unstable sides of the hole
Unforeseen behaviour of the person in the hole, e.g.
claustrophobia or losing consciousness due to a medical
condition
Unforeseen events such as a snake in the hole or a veld fire
occurring in the area
The presence of toxic or flammable materials and gases
Each or these hazards is discussed in more detail in
Appendix A and the actions that may be required to reduce
the risks to acceptable limits are highlighted. A typical flow
chart of the risk assessment process for a site investigation is
provided in Appendix B.
Once all the hazards have been identified, it is necessary
to determine the likelihood of the hazard occurring and
the potential impact. In the flow chart, a number of typical
questions are suggested to determine the likelihood of
occurrence of a specific hazard. For example, consider the
risk of collapse of the sides of a hole. A negative response to
all the following questions indicates that in general collapse
of the sides of the hole should not be a problem.
(a) Are there layers of loose sands on the site?
(b) Are there fissured or slickensided clays?
(c) Will the test hole be excavated to below the ground water
level, either perched or permanent?
(d) Will the personnel be required to spend significant time
in the hole?
(e) Will the test holes be excavated in a profile modified by
previous activities, for example, in uncompacted fill?
If it is established that certain risks associated with the site
investigation are unacceptable, the next step is to identify and
implement measures that will reduce these risks to acceptable
levels. For example, if the risk assessment shows that there is a
risk of the sides of a test hole collapsing and there is a high risk
that somebody may be injured or killed, measures should be
put in place to reduce the risk. Typical actions could include:
18
Not descending into the test hole, but profiling from the
spoils,
Shoring the sides of the test pit or casing the shaft if
descending down the hole is necessary, or
Sloping or benching the sidewalls of the test pit
If the risk assessment indicates that the risk cannot be
effectively mitigated, it may by necessary to change the
method of investigation by reverting to rotary core drilling
or in situ testing rather than the use of test holes.
6.3.3 Piling
Typical hazards that should be considered when doing a risk
assessment for cleaning or inspection of pile holes include
those listed in 6.3.2 plus:
Hoisting of spoil cleaned from the hole (spillage, dislodging
of material from sidewalls, snagging on bottom of casing,
etc)
Collapse of material from hanging of raking piles
Construction noise hindering communication with person
in hole
Exhaust gases from construction equipment
Break-through of concrete or water from adjacent holes
Intersection of loose backfill in old test holes
Each or these hazards is discussed in more detail in
Appendix A. The actions that may be required to reduce the
risks to acceptable limits are also discussed.
Once all the hazards have been identified, the process of
determining the likelihood and impact of the different hazards
and the mitigating measures that should be implemented, if
required, must again be followed.
19
Section 7
PLANT AND EQUIPMENT

The equipment required depends on the nature of the work and the
findings of the risk assessment process. All equipment has to conform
to acceptable standards and the operators of the equipment must be
adequately trained and experienced in the use of such equipment.
Table 7.1 provides a list of equipment, together with the minimum
standards to which it must conform. The equipment required may have
to be supplemented, modified or substituted depending on the findings
of the risk assessment.
It is important to note the following with regard to equipment:
Prior to using a boatswains chair and winch/crane to lower and hoist
persons down test holes or pile shafts, the chair and hoist must be
approved by an inspector of the Department of Labour. The intervals
for the testing and inspection of hoisting equipment are specified
in the Driven Machinery Regulations (1988), Regulations 18(5) and
18(6). Examples of boatswains chairs used in practice are shown in
Appendix C.
All equipment forming part of the hoisting system, for example
shackles, steel wire rope, clamps, etc, must comply with Driven
Machinery Regulation R18 in respect of safety factors, inspections,
registers, etc.
Hoisting equipment must be operated by an operator specifically
trained for a particular type of lifting equipment. In some cases Driven
Machinery Regulation R18 requires that the operator be in possession
of a certificate of training, issued by a person or organisation approved
for this purpose by the chief inspector.
7.1 DESCENDING INTO TEST PITS

Any person descending into a test pit must wear the appropriate
personal protective equipment (PPE). A hard hat, safety boots,
reflective vest and eye protection are regarded as the minimum
20
Table 7.1 List of typical equipment and minimum standards

Equipment
Application
Personal
protective
Personal protection
equipment (PPE)
Minimum
standard
Additional requirements
SANS approved
To be worn by all persons

on site
General Safety
Regulation 13A
Ladder must be of sufficient

length to reach the bottom of
the hole from ground surface
and be strong enough to
safely support a person and a
rescuer simultaneously
Ladder
To access shallow test

pits and holes
Safety harness
In test pits where the risk

assessment requires the
General Safety
use of a safety harness
Regulation 2(3)(c)
and in shafts where safety
chairs are not used
Safety rope
Attached to safety harness Driven Machinery

to hoist a person
Regulation 18
The harness must be a full

body type, capable of hoisting
an unconscious person in an
upright position
General Safety
Alternative to a safety
Regulation 13A
Boatswains chair chair if used together with
Construction
a safety harness
Regulation 16
Hand winch
Hoisting a person
Driven Machinery
Regulation 18
Crane
Hoisting a person in a
safety harness or safety
chair
Driven Machinery Crane must be a licensed

Regulation 18
conveyance
Lighting
Illuminating augered
holes
Electrical
Machinery
Regulations 9
and 10
First Aid Kit
For use in case of an

emergency
General Safety
Regulation 3
Must be strong enough to see

from the surface to the bottom
of the hole
requirement. Other items such as ear plugs, gloves, flameproof

overalls, respirators, gum boots and spats may be required under
specific conditions.
As indicated in Section 4.2, the need for a safety harness and rope
is conditional on the stability of the hole and must be determined by
the risk assessment and inspection of conditions on site.
21
It is recommended that a ladder be used to access test pits.

Alternatively, in stable soils, a ramp can be excavated on one end of
the test pit to allow access.
Where the risk assessment indicates that collapse of the sides of
a test pit could be a problem, the use of a shoring system may be
considered. Appendix D provides an example of how suitably braced
scaffold frames can be used to shore the sides of the excavation and
provide access to the pit while still leaving the sides of the excavation
open for visual examination. The purpose of such a system is to
prevent a fatality rather than to maintain the sides of the pit in perfect
condition. Where the use of such a system is impractical, alternative
mitigation measures such as sloping the sidewalls of the hole should
be implemented.
7.2 DESCENDING INTO SHAFTS

Personnel descending down shafts must wear the appropriate PPE,
as indicated in Section 7.1.
Suitable means of access include the use of ladders to a depth of
5 m, or a boatswains chair / safety chair suspended from a winch at
the surface for deeper holes.
Regulation 16 in the Construction Regulations deals with
boatswains chairs. This regulation requires the chair to be securely
suspended and to be constructed in such a manner as to prevent
the occupant from falling out. The chair should be inspected and
performance tested at the time of erection and should be visually
inspected on a daily basis prior to use. A typical boatswains chair
used during profiling operations is shown in Appendix C.
A safety harness should always be worn when descending into a
shaft on a boatswains chair. The safety harness should be of a type
that will ensure that an unconscious person will be lifted in an upright
position. During recovery special care must be taken not to cause back
injuries, and crotch straps must therefore be correctly attached. The
safety harness shall be permanently attached to the safety rope. An
example of an approved type is shown in Appendix C.
The safety rope must be continuously attended by a person at
the surface. While down the hole removal of the safety rope is not
permitted, except in exceptional cases. The static breaking strength
22
of the rope should be at least 10 kN and it should be kept in good

order and inspected before use. The safety rope should be completely
independent of any other rope or cable used for lowering and raising
persons. The upper end of the rope should be tied to an immovable
object at the surface and those in attendance at the surface should
make a proper belay while controlling the descent of the persons
down the hole. The rope must be played out at the same rate as the
rate of descent to prevent excessive slack in the rope or lifting the
person from the boatswains chair. Care should also be taken not to
dislodge material from around the lip of the hole during playing out
of the rope.
As an alternative to the use of a boatswains chair and a safety
harness, earlier versions of this code permitted the use of a safety
chair. The objective was that the safety chair should be of sufficiently
sturdy construction and the occupant so restrained in the chair that
both the chair and the occupant could be winched from the hole in
the event of a collapse or other emergency. This concept has not found
acceptance in the industry, but may be considered as an alternative
to the use of a boatswains chair and a safety harness.
Both chairs should incorporate a seat and a head shield. The head
shield should be of a mesh construction and must not unnecessarily
obstruct visibility from above.
When winches are used for lowering and raising persons in
shafts, these should be properly constructed to incorporate a failsafe mechanism, whether they be hand-operated or power-driven.
Winches should be mounted on shear legs or other stable frames
suitable for the purpose. Hoisting equipment should be tested and
inspected as specified in the Driven Machinery Regulations (1988),
Regulations 18(5) and 18(6). A register with a record of tests and
inspections shall be kept with the hoist. Where applicable, the means
of applying power should be duplicated (that is, double handles on
hand operated hoists and alternative hand power arrangements
for power hoists). Two persons should be in attendance on surface
whenever a hand winch is in use.
23
Section 8
PROCEDURES
8.1 PREPARATORY WORK
Before commencing with the fieldwork, the following preparatory
work should be undertaken:
All the permissions necessary for conducting the work should be
obtained from the owner of the land and the relevant authorities.
Construction Regulation R3 requires that the Provincial Director
in the Department of Labour be notified in writing in the case
of construction work involving excavations deeper than 1 m if
the duration of the work exceeds 30 days or will involve more
than 300 person days of construction work. An example of
such notification and the information to be supplied is given in
Annexure A of the Construction Regulations.
A safety specification should be obtained from the client. If no
such specification is provided, the minimum conditions given in
this code and the relevant legislation should apply.
A desk study should be carried out to assess the conditions likely
to be encountered on the site and the necessary risk assessments
prepared.
Details should be obtained of any services on the site and the
layout of services should be taken into account in positioning of
test holes.
A site safety file should be prepared in accordance with the
requirements of Section 4.3 of this code. The risk assessments
should be included in the site safety file.
All contractors and sub-contractors should be appointed in writing
and provided with copies of the site safety requirements.
All necessary appointments, including that of a construction
supervisor (if applicable) and a competent person excavations,
must be made in writing.
An on-site safety induction should be held for all personnel, a
24
register of attendance should be kept and proof of induction

should be issued.
It is important to note that the risk assessments prepared during
the planning of the site investigation or piling should be adjusted
as required by site conditions and do not take the place of on-site
assessment of hazards. For example, if the risk assessment regarded
the collapse of test holes as unlikely, it cannot be assumed that all
holes will be stable during the site investigation.
8.2 PROFILING OF TEST PITS AND SHAFTS

8.2.1 General
Where possible, the person intending to enter the test hole
should be present to observe its excavation. If the sidewalls of
the excavation are observed to be unstable during excavation,
permission to enter the hole should be refused by the
competent person.
Prior to any person entering the excavation, all loose
material or equipment around the excavation should be
removed. The excavation shall be inspected by a duly
appointed competent person as defined in Construction
Regulation R11(1) and permission granted in writing to enter
the excavation in accordance with Construction Regulation
R11(3)(b)(ii)(a). The competent person will often be the same
person who will enter the test hole for profiling purposes.
The results of the inspection should be recorded. In this
regard the completion of a simple form giving the identity of
the hole, date and time of inspection, condition of sidewalls,
presence of water and outcome of inspection will suffice
and result in minimal disruption to profiling activities.
Holes with excessive sidewall collapse or adjacent to mudor water-filled holes should not be entered. Holes extending
below the groundwater table or excavated in non-cohesive
soils, slickensided clays or ground with unfavourable joint
orientations should be carefully assessed.
In accordance with Construction Regulation R11(3)(l), a
warning sign should be positioned next to any excavation in
25
which personnel are working. A simple plastic folding sign

such as that shown in Appendix C is recommended.
The time spent in any excavation should be limited to that
required for essential activities. All non-essential activities
such as labelling of samples or compiling detailed notes
should be carried out on surface.
All test holes should be backfilled as soon as practicable after
completion of profiling activities but not before instructions
are given by the supervisor. The operator of the backfilling
equipment must inspect each test pit prior to backfilling to
ensure that it is safe to do so as personnel may have re-entered
the hole in the interim. This requirement must be specifically
spelt out during the site safety induction. Any unattended holes
in areas accessible to the public must be barricaded in accordance
with Section 8.5.
8.2.2 Test pits

Test pits should generally be at least 600 mm wide. The test
pit should be no longer than required for efficient excavation
as the length of the test pit influences its stability.
Spoils from the excavation should be placed as far
as possible from the sidewall to avoid unnecessary
surcharging and never on the edge of the test pit. All
loose material around the excavation should be removed
and unstable material on the excavation sidewalls should
be pushed down during excavation. Where the sidewalls
of the excavation are observed to be unstable during
excavation, entry to the excavation should be refused or
the sidewalls of the excavation should be cut back to a
safe slope.
Persons entering test pits must wear the appropriate PPE.
If required by the risk assessment the person entering the
test pit must wear a safety harness and a safety rope. It is,
however, considered good practice to wear a safety harness
and rope when profiling any test pit.
Access to test pits should be in accordance with Section 7.1
and as prescribed by the risk assessment.
26
8.2.3 Profiling shafts

The person shall be lowered down the hole using the
equipment described in Section 7.2 and as prescribed by the
risk assessment. A boatswains chair, together with a safety
harness and safety rope, is generally used for the profiling of
shafts. Adequate lighting, capable of illuminating the bottom
of the hole from surface, should be provided.
The minimum recommended diameter of shafts for soil
profiling purposes is 750 mm. The maximum size of a circular
hole considered safe for descent is limited by conditions on
site and must be assessed by a competent person; generally,
the larger the diameter the greater need for care. Holes larger
than 900 m in diameter are often difficult to work in, as the
profiler is unable to steady himself against the sidewalls of
the hole during profiling or sampling.
The safety rope should be attached to the profilers safety
harness prior to the profiler being seated in the boatswains
chair. The safety rope should pass around the front of the roof
of the chair. Threading the rope through the back of the chair
should only be permitted if the profiler is capable of exiting
through the back of the chair when the chair is in the hole.
Particular care should be taken when the profiler enters or
leaves the chair. The chair should either be swung clear of
the hole or the profiler should be adequately supported when
entering into or alighting from the chair.
In addition to the winch operators, a suitably trained
person should be in attendance on surface at all times when
personnel are below ground.
The instruction to raise or lower the boatswains chair
should generally be given by the profiler and, if required,
should be relayed to the winch operator by the surface
attendant. During the descent, the profi ler should inspect
the sidewalls around the full perimeter of the hole. Any
loose material should be barred down from the sidewalls
and allowed to fall to the bottom of the hole. Profiling
should not be carried out below any area of major instability
and particular care should be exercised when descending
27
below the water table. During the ascent, care should be

taken when lifting the boatswains chair past the base of any
casing that may have been inserted into the hole to prevent
the chair or the profilers knees catching on the bottom of
the casing.
8.3 CLEANING SHAFTS FOR PILING

The diameter of the shafts that may be cleaned or inspected in situ
should be determined by a risk assessment conducted by a competent
person. It is, however, recommended that no person should be
permitted to enter a hole smaller than 600 mm in diameter. Rescuing
a person from a 600 mm diameter hole can be problematic and must
be considered part of the risk assessment.
In addition to the winch operators, a suitably trained person
should be in attendance on surface at all times when personnel are
below ground. The surface attendant should check for any signs of
instability during cleaning or inspection.
The person shall be lowered down the hole using the equipment
described in Section 7.2 and as prescribed by the risk assessment.
The rope used for hoisting spoil should be separate from the rope
used to winch personnel in and out of the hole and separate from the
safety rope.
Particular care should be taken during raising and lowering of the
cleaning bucket when personnel are in the hole to avoid dislodging
material from the sidewalls, spillage of material from the bucket or
snagging of the bucket on the bottom of the casing.
Adequate casings should be provided over areas of potential
collapse prior to a person entering the shaft.
8.4 ATTENDANCE TO PERSONS WORKING BELOW SURFACE

Under no circumstances is a person to descend into a shaft without
the presence of a surface attendant. Surface attendance is also highly
recommended when work is undertaken in test pits. It is the task of
the surface attendant to ensure that no activities take place in the
vicinity that could endanger the person below. The attendant must
be adequately instructed and be able to assist with the operation of
the safety rope and winch if necessary.
28
It is the responsibility of the surface attendant to monitor the

ground surface surrounding the hole and the sidewalls of the hole
for any signs of possible ground instability and warn the personnel
working below of untoward occurrences. Evacuation procedures must
be immediately initiated at the first sign of possible instability. The
surface attendant must also monitor the activities of the investigator
or worker in the hole. Regular communication of a non-distractive
nature must be maintained with the person in the hole and, in case
of any abnormal response, the surface attendant should immediately
proceed with evacuation of the person from the hole or the prescribed
rescue actions as appropriate to the situation.
The surface attendant must be familiar with procedures for
summoning help and for extricating an injured person from the
hole. Wherever possible, the surface attendant should be in contact
(by radio or cellular phone) with other personnel able to render
assistance such as the site supervisor, the safety officer or emergency
personnel. After summoning assistance, the attendant should render
all necessary assistance with extrication of the person in the hole
without unnecessarily endangering himself.
8.5 UNATTENDED HOLES

Unattended holes in positions that pose any danger to persons or
animals must be adequately and securely barricaded, backfilled,
or otherwise made safe. In general, it is good practice to backfill
unattended holes as soon as possible.
8.6 OTHER PRECAUTIONS

The supervisor or competent person must have the authority to
enforce the required safety standards and prevent safety being
compromised by other activities on site. Where the supervisor is not
the competent person, he should be fully aware of work in test holes
and small diameter shafts at all times and collaborate closely with
the competent person.
Personnel familiar with first aid and emergency procedures,
usually under control of the safety officer, must be aware of the
implications of work in test holes and small diameter shafts and
adequate first aid equipment should be available on site. Staff must
29
know how and where to contact emergency services, or what to do

in case such services are not within easy reach.
Other precautions that should be taken include the following:
Personnel should not descend into a shaft or test pit with
materials, chemical substances or gas appliances that could
create a hazardous atmosphere.
No naked flame should be allowed down the shaft or test pit and
matches should not be taken underground.
Spillage of petrol or diesel during cleaning or fuelling operations
in the vicinity of shafts should be prevented as this could lead to
hazardous atmospheric conditions.
Test pits or shafts should not be entered near areas where gas
emissions could be a problem, for example near roads or chemical
plants, without first testing the quality of the air in the hole.
Items that could distract the concentration of personnel
descending into shafts or test pits, particularly cellular phones,
should not be taken underground.
Smoking is prohibited in shafts and test pits.
Test pits or shafts near stormwater systems must be protected
against water run-off.
Horseplay such as feigning to push someone into an excavation
and rapid lowering of the boatswains chair is strictly prohibited,
as are inappropriate verbal communications.
30
Section 9
EMERGENCY PREPAREDNESS
9.1 EMERGENCY PLAN
An emergency plan should be prepared for each site investigation or
piling operation. The following steps will typically form part of the
preparation of an emergency plan:
(a) Prepare a brief description of the work to be carried out,
highlighting all the mitigating measures identified during the
risk assessment.
(b) Prepare a list of emergency numbers to be available on site, which
should include the Fire Department, Ambulance, Hospital, Doctor
and Safety Officer (where available). Also include the telephone
numbers of the Department of Labour and the Department of
Minerals and Energy, as applicable.
(c) Identify the rescue personnel (someone with a first aid certificate
should preferably be on site) and brief all personnel on the
emergency plan and each ones specific duties.
(d) Ensure that an adequately equipped (stocked) first aid kit is on
site.
(e) Describe a procedure to ensure that all the mitigating measures
identified during the risk assessment, as well as the standard
safety requirements, are implemented.
(f) Ensure that fire detection and extinguishing procedures are in
place and that trained personnel and suitable equipment are
available.
The emergency plan must be communicated to the personnel on site
as part of on-site induction.
9.2 FIRST AID

The requirements with regards to first aid, emergency equipment
and procedures are covered in Regulation 3 of the General Safety
Regulations. According to the regulation:
31
Where more than five employees are employed at a workplace, a

first aid box shall be available at or near the workplace [R3(1)] and
the location of the box should be displayed [R(6)].
Where more than ten employees are employed at a workplace,
at least one person who is in possession of a valid certificate of
competency in first aid must be readily available during normal
working hours for every group of up to fifty employees at the
workplace [R3(4)].
For many site investigations, which typically involve less than five
people, no first aid box or first aider may be required. It is however
recommended good practice that a first aid box always be available
on site and that one of the personnel on site has received first
aid training.
9.3 RESCUE METHODS

Rescuing people trapped or engulfed in a test hole is a specialised
operation and it is not the objective of this Code of Practice to cover this
in any detail. The actions of the people on site immediately following
the accident can however save a life. It is therefore recommended
that personnel involved in descending down test holes or shafts
receive training on rescue methods or at least the actions required
immediately following an accident.
Personnel involved in a rescue attempt should have due regard
for their own safety at all times.
In all cases, however minor the event, the rescued person should
be sent to hospital for a medical examination.
32
Section 10
SUMMARY
Soil conditions across much of South Africa are favourable for the excavation
and profiling of test pits and small diameter shafts to gain first-hand
knowledge on the soil profile and material properties and also allow for the
taking of samples for laboratory testing. This practice requires personnel to
descend into test pits and shafts. There are several hazards associated with
this activity, the most obvious of which is collapse of the sidewalls of the test
hole or shaft. This has resulted in injuries and deaths in the past.
It is possible, however, to reduce the risks associated with this
practice to acceptable levels by adopting safe working procedures. The
procedures required to ensure the safety of personnel working in test
holes are discussed in detail in this Code of Practice and can briefly be
summarised as follows:
Proper planning of the investigation or pile construction is required
including a thorough risk assessment by a competent person. The risk
assessment will determine the methodology adopted for the work.
All personnel should be adequately trained and instructed in the tasks
they are required to undertake. Duties must be clearly defined and the
necessary appointments must be put in place.
Appropriate plant and equipment should be used and must be
provided by the employer. Legislation covers the requirements for
plant and equipment but, in some cases, decisions are required that
are not covered by legislation. These include the choice of appropriate
investigation methods.
The stability of all excavations must be assessed before descending into
the hole. This assessment relies heavily on the competency of the person
doing the assessment. It is therefore essential that personnel involved in
this practice have the necessary competence, training and experience.
Finally the execution of the work should be done in accordance with
the guidelines and recommendations in this Code of Practice and
must be in accordance with the relevant legislation.
33
The profiling of test holes and the cleaning or inspection of cast in situ
pile bases must comply with the Occupational Health and Safety Act,
1993 and Regulations. The Construction Regulations published in 2003
are a collection of regulations that apply specifically to the construction
activities including piling and any site investigations involving the
forming of an excavation. The Construction Regulations specify the legal
requirements to be met and define a framework for conducting the work.
The most important requirements applicable to site investigation and
piling activities include:
Notification of the appropriate authority of the work that is about to
be undertaken
Identification of the personnel responsible for the supervision of the
work, as well as their legal appointment
Carrying out of risk assessments
Specific requirements dealing with excavations, including:
inspection of the excavation by a duly appointed competent
person,
stabilisation of excavations,
avoidance of surcharges on sidewalls,
providing suitable means of access,
ascertaining the position of services,
inspection of excavations,
barricading of excavations, and
signage to warn that people are in an excavation
Requirements for working in confined space
Requirements for equipment such as the boatswains chair
In-situ profiling of test holes and work in small diameter shafts is of
considerable benefit to the geotechnical industry and can be undertaken
without undue risk. The Construction Regulations form a sound
framework for work of this nature. It is essential that geotechnical
employers put the necessary systems and procedures in place and that all
personnel comply with the requirements of this code.
34
References
1
Day, P W 1996. Geotechnical engineers and the Occupational Health and

Safety Act. Journal of the South African Institute of Civil Engineers, 38(3):2428.
Day, P W 2006. Geotechnical engineers and the Construction Regulations.

Journal of the South African Institution of Civil Engineering, 48(4):2126.
Republic of South Africa 1991. Minerals Act, 1991 (Act 50 of 1991).
Republic of South Africa 1993. Occupational Health and Safety Act, 1993
(Act 85 of 1993) (including the Construction Regulations and General Safety
Regulations).
Republic of South Africa 1996. Mine Health and Safety Act, 1996 (Act 29 of
1996).
South African Institution of Civil Engineers 1960. Code of Practice relating

to the safety of men working in civil engineering inspection pits and small
diameter vertical shafts. Transactions, November 1960:223227.
South African Institution of Civil Engineers 1980. Code of Practice relating to

the safety of men working in small diameter vertical and near vertical shafts
for civil engineering purposes. Johannesburg: SAICE.
35
Appendix A
TYPICAL HAZARDS
INJURIES BY MECHANICAL EQUIPMENT
Most test pits and shafts are excavated using mechanical equipment. This
poses the danger of injuries being caused by the equipment itself. It is
therefore necessary to ensure that all personnel are standing clear of the
equipment. Personnel should also ensure that the operator is aware of
their presence and position.
MEANS OF ACCESS TO HOLES

A suitable means of access such as discussed in Section 7 must be
provided to enable any persons working in a test pit to exit quickly on
their own initiative. It must be ensured that the means of access, for
example a ladder, is secure and stable. Clear communication with the
surface attendant should be possible at all times. If the site is very noisy, it
may be necessary to provide means of communication. This is of specific
importance when profiling shafts and cleaning pile bases, which could be
as deep as 20 m or more.
FALL-IN OF OBJECTS FROM THE SURFACE

Before any person enters a hole, the ground surface next to the hole must
be cleared from all loose soil, rocks, loose tools, etc. All parts of surface
equipment must be secured, that is, there should be no detachable handles
or any sections of winches, etc, that could come loose and fall into the
hole. Winch or tripod leg supports must be kept far enough away from the
edge of the hole so that they will not cause the sides to collapse. Trailing
ropes must be kept away from the edge of the hole.
During the cleaning of pile bases, it is also important to be aware of the
possibility of spillage or dislodging material when hoisting the cleaned
spoils to surface. Care must be taken to prevent this, specifically where
a casing is installed and the possibility exists of snagging the bottom of
the casing.
36
COLLAPSE OF SIDES OF HOLE

The stability of the sides must be assessed by a competent person with
responsible judgement and experience, and the responsibility for the
stability assessment lies with him. No person should, however, descend
into a hole without first satisfying himself that there is no danger of
the sides collapsing. If it is a different person descending into the hole,
this check should be done independently of the competent persons
inspection of the hole. The operative words at all times must be DONT
TAKE CHANCES.
In assessing dangers of this type, cognisance must be given to the
length of time that the hole has been open and to the presence of water in
the hole, or seepage on the sides of the hole. The sides of the holes collapse
inwards and the presence of cracks around the top of the hole or in the
sides of the hole should serve as a warning that this may happen. The sides
may be expected to cave where the materials are relatively non-cohesive
or excessively fissured, shattered or jointed. Surcharge loading such as
spoil heaps or excavation equipment can also cause instability. These
conditions are particularly dangerous when combined with seepage from
the sides of the hole or with a high water table. In test pits, large diameter
shafts or in large underreams it may be necessary to provide casing or
shoring to prevent such collapse. Loose inclusions such as boulders or
gravel embedded in the sides of the hole should be removed. Persons
must not be permitted to descend down holes immediately adjacent to
other holes containing drilling mud, water or concrete that has not set.
Another cause of sidewall instability could be as a result of
uncompacted fill or backfill. This may occur where a test hole or pile is
excavated to intersect a previous excavation, for example a previous test
pit or trench excavation for a service.
Where the stability of the near surface materials is suspect and
can easily be dislodged into the hole, a length of casing at least 1 m
long with a wide flange fi xed 200 mm below the top of the casing (or
similar) should be installed in the hole prior to anyone descending
down the hole.
In test pits, the risk of collapse of sidewalls is significantly higher than
for small diameter shafts and particular attention must be paid to the
precautions given above. In the case of hanging or raking piles, the risk of
side wall collapse is higher.
37
ABSENCE OF SURFACE ATTENDANT

At all times when there are persons working below ground surface
it is highly recommended that there be at least one person in fulltime
attendance on the surface who is required to watch over the safety of
the excavation. This person shall warn the personnel in the hole of any
untoward occurrence which could affect the stability of the excavation
and to summons assistance or operate the winch should it be necessary.
Adequate back-up, either in the form of sufficient labour or excavating
equipment, shall be maintained within easy calling distance of the hole
to render assistance if it becomes necessary.
It is also important that there be unhindered communication between
the person in the hole and the person in attendance. Sometimes activity
on site, for example when clean piles on a construction site, may hamper
communication and then it may be necessary to revert to alternative
means.
GAS IN THE HOLES AND TEST PITS

The most important aspect is recognition of any dangerous gas condition
and all supervisors must be on the look-out for unusual odours or other
extraordinary conditions in the soil which might lead them to suspect such
dangers. For instance, sites that have previously been occupied by filling
stations may have subsoils that are saturated with fuel. Alternatively,
fumes can result from careless cleaning of equipment on the surface near
the exposed holes using solvents/fuel.
Subsoils consisting of old gold mining slime may contain decomposed
pyrite, which may oxidise rapidly and thus deplete the oxygen content of the
air. Old waste dumps and some natural deposits such as peat may contain
methane gas. In general, any site where the subsoils have been modified by
previous occupancy should be treated as suspect. A bad odour or stuffiness
may indicate the presence of noxious gases or the lack of oxygen.
The most important gases that are dangerous and that might be
encountered in shafts are listed in Appendix E, together with relevant
information regarding toxic concentrations and methods of detection.
Many of these gases are likely to be present in holes drilled into natural
soils that have not been modified. The most important gas conditions
that are likely to be met in normal civil engineering work are oxygen
deficiency, carbon dioxide, methane and carbon monoxide.
38
Actions:
1 Discuss operator
and equipment with
contractor
2 Ensure that personnel
in vicinity of equipment
are not in danger
Typical questions:
1 Is there a safe means of
accessing the hole?
2 Is there a safe means of
exiting the hole in case
of an emergency?
Typical questions:
1 Is it an experienced
operator/team
with competency
certification?
2 Will test holes be dug in
confined spaces?
3 Does the equipment
conform to the
applicable legislation?
4 Has all the equipment
been inspected
visually?
Actions:
1 Ensure that the method
of accessing and exiting
the hole is safe and
quick
Unsafe access
Injured by equipment
Actions:
1 Inspect area around
test hole and ensure
that there are no loose
objects
2 Ensure that no
equipment can fall into
hole from the surface
3 Remove loose material
on sides while
descending
4 Do not descend into
unsupported hole if
extensive collapse is
suspected
Typical questions:
1 Are there circumstances
that would prevent
removal of loose objects
around and in the hole?
Objects falling in from

the surface or side
of hole
Actions:
1 Change the method of
investigation if possible
2 Profile hole from spoils
3 Shore the sides of the
test pit
Typical questions:
1 Is the soil profile clayey
or sandy?
2 Where is the water
table?
3 Is there any time lapse
between excavation and
profiling?
4 Has the ground been
disturbed previously?
5 Will the side of the test
hole be subjected to an
external force?
Collapse of sides
of hole
RISK ASSESSMENT
SITE INVESTIGATION
RISK ASSESSMENT SITE INVESTIGATION
Actions:
1 Ensure that someone is
in attendance the entire
time a person is down a
test hole
2 Prepare an emergency
plan
3 Ensure that it is possible
to communicate with
the person in the hole at
all times
Typical questions:
1 Are there sufficient
people to attend to the
person working in the
hole at all times?
2 Is there an emergency
plan in place?
3 Will communication
with the person in the
hole be difficult?
4 Are the holes near a
source of gases, for
example roads?
Unforeseen events
happening to a person
down the hole
Actions:
1 If in doubt check
2 Ensure that the
equipment to check for
gases is available
3 Do not enter a gas
filled hole without the
necessary precaution
or until gas has been
removed and it has been
established that no
more gas is entering the
hole
Typical questions:
1 Is there any reason to
believe that there may
be toxic or flammable
gases in the hole?
Gases in hole
Appendix B
TYPICAL FLOW CHART FOR

A RISK ASSESSMENT
39
Appendix C
SAFETY EQUIPMENT
Examples of a boatswains chair
Illustration of a typical safety harness
40
Appendix D
EXAMPLE OF A SHORING SYSTEM
Illustration of test pit protection system
41
Appendix E
GASES
OXYGEN DEFICIENCY
The classic symptoms of oxygen deficiency are deep and rapid breathing,
headache, buzzing in the ears and rapid heart action. However, in many
cases these symptoms do not occur and the effects vary widely with each
individual. Often the tendency is to feel extremely confident and well up
to the moment of sudden and complete collapse.
Death due to oxygen deficiency is very rapid. The normal percentage
of oxygen in the atmosphere is 21 per cent by volume. Humans can
still survive if this quantity drops as low as 13 per cent, but marked
physiological effects usually begin to manifest themselves if the
percentage drops below 14 per cent. Lowering a lighted mining safety
lamp into the hole can thus make a simple test for oxygen deficiency,
because open flames are extinguished when the percentage of oxygen
drops below 17 per cent.
A mining safety lamp should be used and no other device with a
naked flame as only a mining safety lamp will avoid the explosion that
may occur if flammable gases are present. When the lamp is lowered into
the hole, it should be held close to the side of the hole and reflection from
the face of the shaft should be observed to check whether the lamp is
alight at all times.
CARBON DIOXIDE
The normal percentage of carbon dioxide in the atmosphere is 0,03 per cent
and humans can survive when it is slightly greater than 6 per cent. The
effects of such high concentrations are excessive panting and laboured
breathing. Concentrations of the order of 10 per cent or more produce a
narcotic effect and death may result in a short time.
Since carbon dioxide concentration is usually accompanied by a
decrease in oxygen content, the flame test with a suitable safety lamp is
also a satisfactory test in this case. If the flame was not extinguished in
42
the test, but the symptoms occur as described above, then the persons
should leave the hole and not re-enter until ventilation has been
provided.
METHANE
Methane is not normally dangerous to humans. Its danger lies in its
explosive character when it is mixed with air. For this reason, all smoking
or naked flames must be forbidden in holes.
No naked flame should ever be thrown into a shaft. Under suspect
conditions such as in coal areas, marshy ground, city streets with gas
mains or near fuel tanks, proper ventilation must be provided and modern
gas detecting measures should be employed.
CARBON MONOXIDE
This is not a common gas in natural soils, but it could find its way into
holes from the exhausts of machines situated near the top of the hole.
Plant with internal combustion engines should be kept away from such
holes and where this is not possible, as in the case of the drilling machine
itself, the exhaust pipe should be so arranged that there is no possibility of
gas entering the hole. Even very weak concentrations of carbon monoxide
(0,005 per cent) may be harmful.
If pneumatic tools such as mechanical tools or spades are being used
down holes, their operation will normally introduce clean air. The intake
to the compressor however must be sufficiently far from the exhaust of
any internal combustion engine that contamination of the air is avoided.
Further, particular care should be exercised to ensure that exhaust gases
do not inadvertently leak into the compressor system through some
malfunction and finds its way into the hole through the airline.
MISCELLANEOUS OTHER GASES

Hydrogen sulphide is a dangerous gas, but it is not normally found in
natural soils. In low concentration it has a characteristic smell of rotten
eggs, but in high concentration it cannot be detected. Traces of this gas
should therefore be treated with great suspicion.
Ammonia, petrol fumes and other fumes and gases resulting from
previous occupancy or unusual soil conditions should be regarded with
great caution.
43
In all cases of doubt the advice of an experienced ventilation officer

from one of the mines, or an official from the Department of Minerals
and Energy, or from another qualified person should be sought, wherever
possible. If this is not practically possible for valid reasons, and any doubt
exists, the holes should not be entered until proper ventilation has been
provided and all precautions have been taken.
EMERGENCY VENTILATION
On all construction sites where persons are required to work in holes,
adequate ventilation equipment should be provided and respirable air
should be supplied to the base of the shaft if necessary.
A suitable instrument is a hand forge blower with a 75 mm diameter,
spirally reinforced, canvas hose of sufficient length to reach to the bottom
of the hole. The blower should always be available on site, if required by
the risk assessment, and both blower and hose should be kept in good
repair by regular maintenance. On construction work where compressors
are available, air hoses may be used to provide compressed air for
ventilating the holes. Oxygen cylinders and hoses may also be used for
emergency ventilation.
Alternatively, self-rescue equipment as used in the mining industry
may be taken down the hole.
44

Published by the South African Institution of Civil Engineering

Private Bag X200, Halfway House, 1685


SAICE Code of Safety in Trial Holes

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

SAICE Code of Safety in Trial Holes

Uploaded by

Copyright:

Available Formats

THE SAFETY OF PERSONS WORKING IN

SMALL DIAMETER SHAFTS AND TEST PITS FOR

Published by the South African Institution of Civil Engineering

THE SOUTH AFRICAN INSTITUTION OF CIVIL ENGINEERING

THE SAFETY OF PERSONS WORKING IN

THE SOUTH AFRICAN INSTITUTION OF CIVIL ENGINEERING

THE SAFETY OF PERSONS WORKING IN SMALL DIAMETER SHAFTS AND

This code can be purchased from the:

COMMITTEE FOR 2007 REVISION OF CODE OF PRACTICE

SAICE Geotechnical Division

SAICE Geotechnical Division

SAICE Geotechnical Division

Dr Pierre van der Berg

SAICE Geotechnical Division

SAICE Geotechnical Division

The comments received from Cyril Anderson of the Gauteng Master

SITE INVESTIGATION PRACTICE . . . . . . . . . . . . . . . . . . . . . . . . . 1

Duties of employers towards personnel . . . . . . . . . . . . . . . . . . . . 12

PLANT AND EQUIPMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

SITE INVESTIGATION PRACTICE

There is no comprehensive record keeping system by any one authority

Profiling means the visual inspection of the side of an excavation and

Prior to publication of the Construction Regulations, 2003, safety

Thus, there was not a general prohibition, as commonly believed,

in the definition of construction work, to which the regulations

4.2 SPECIFIC REQUIREMENTS

Provide a convenient and safe means of access (and egress)

No employer shall require or permit any person to, and

client is also required to provide the contractor with any information

chairs (Regulation 16) and fall protection equipment (Regulation

5.2 DUTIES OF PERSONNEL TOWARDS EMPLOYERS

5.3 TRAINING OF PERSONNEL

All personnel involved with work in or around test holes should

5.4 SITE INDUCTION TRAINING

5.5 REQUIRED EXPERIENCE

Relevant experience includes:

6.2.1 Geotechnical investigations

the site to assist with the planning of the investigation. Most

6.3 RISK ASSESSMENT PROCESS

6.3.2 Site investigation

PLANT AND EQUIPMENT

7.1 DESCENDING INTO TEST PITS

Table 7.1 List of typical equipment and minimum standards

To be worn by all persons

Ladder must be of sufficient

To access shallow test

In test pits where the risk

Attached to safety harness Driven Machinery

The harness must be a full

Driven Machinery Crane must be a licensed

First Aid Kit

For use in case of an

Must be strong enough to see

requirement. Other items such as ear plugs, gloves, flameproof

It is recommended that a ladder be used to access test pits.

7.2 DESCENDING INTO SHAFTS

of the rope should be at least 10 kN and it should be kept in good

register of attendance should be kept and proof of induction

8.2 PROFILING OF TEST PITS AND SHAFTS

which personnel are working. A simple plastic folding sign

8.2.2 Test pits

8.2.3 Profiling shafts

below the water table. During the ascent, care should be

8.3 CLEANING SHAFTS FOR PILING