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Excavation Best Practices
The importance of safe excavation practices cannot be overstated. In addition to the safety hazards encountered when excavating around buried facilities, there are serious potential service outages that could occur if a facility is damaged or severed. Critical emergency services, general aviation, and transactions among financial institutions are just a few. The homeowner and many hundreds of others are affected by the loss of those services.
The Common Ground Alliance is a nonprofit organization dedicated to shared responsibility in damage prevention and promotion of the Damage Prevention Best Practices Report, which was issued in June 1999. The following is excerpted from the chapter on excavation best practices.
The Common Ground Alliances Excavation Practices Task Team identified and described practices used during excavation of, and around, underground facilities. Those practices can contribute to the reduction in the possibility and/or severity of damages or intrusions to those facilities. The team focused on the practices used during the various phases of an excavation project that would contribute to minimizing or preventing damage to underground facilities and promote safety for all personnel working within the excavation area.
The Excavation Team was composed of representatives from one-call centers, excavators, locators, facility operators, trade associations, and federal and state government agencies. PCCA 2nd Vice President Deborah Clark, C&B Associates II, Ltd., was a team member. The team identified and evaluated many issues related to damage prevention during the actual excavation process. In almost all cases, best practices were developed to address those issues.
The Excavation Team identified one issuedepth requirementsthat was discussed at several meetings but was not resolved. Due to the complexity and controversial aspects of the issue, the team determined there was insufficient time to reach a consensus on any potential best practices. The team did reach consensus that this is an important issue and that further discussion and development work is warranted.
The best practices for excavation have been divided into four phases of the excavation project: Project Preparation, On-Site Preparation/Breaking Ground, Ongoing Excavation Procedures, and Project Restoration/Completion. The Task Team agreed on the following best practices.
Project Preparation
1 One-Call Facility Locate Request
2 White Lining
3 Locate Reference Number
4 Pre-Excavation Meeting
5 Facility Relocations
6 Separate Locate Requests
7 One-Call Access (24x7)
8 Positive Response
On-Site Preparation/Ground Breaking
9 Facility Owner/Operator Failure to Respond
10 Locate Verification
11 Documentation of Marks
12 Work Site Review with Company Personnel
13 One-Call Reference Number at Site
14 Contact Names and Numbers
15 Facility Avoidance
OnGoing Excavation
16 Federal and State Regulations
17 Marking Preservation
18 Excavation Observer
19 Excavation Tolerance Zone
20 Excavations within Tolerance Zone
21 Mismarked Facilities
22 Exposed Facility Protection
23 Locate Request Updates
24 Facility Damage Notification
25 Notification of Emergency Personnel
26 Emergency Excavation
27 Backfilling
Restoration/Completion
28 As-Built Documentation
Project Preparation
1 One-Call Facility Locate Request
Practice Statement: The excavator requests the location of underground facilities at each site by notifying the facility owner/operator through the one-call system. Unless otherwise specified in state law, the excavator calls the one-call center at least two working days and no more than ten working days prior to beginning excavation.
Practice Description: Currently 48 states have passed one-call legislation and have established one-call notification systems recognizing that excavation performed without prior notification poses a risk to public safety, excavators, the environment, and disruption of vital services provided by facility operators. Increased participation in this one-call notification system provides for improved communication between excavators and facility operators necessary to reduce damage.
2 White Lining
Practice Statement: When the excavation site cannot be clearly and adequately identified on the locate ticket, the excavator designates the route and/or area to be excavated using white premarking prior to the arrival of the locator.
Practice Description: The route of the excavation is marked with white paint, flags, stakes, or a combination of these to outline the dig site prior to notifying the one-call and before the locator arrives on the job. Pre-marking allows the excavators to accurately communicate to facility owners/operators or their locator where excavation is to occur.
3 Locate Reference Number
Practice Statement: The excavator receives and maintains a reference number from the one-call center that verifies the locate was requested.
Practice Description: All calls from excavators processed by the one-call center receive a unique message reference number, which is contained on all locate request messages. The excavator records this number; it is proof of notification to the members. The computer generated request identifies the date, time, and sequence number of the locate request. Each locate request ticket (notification) is assigned a unique number with that one-call center, the requestor and the facility owner/operator. This number separates this ticket from all other tickets so that it can be archived and recalled upon request with the details of that request only.
4 Pre-Excavation Meeting
Practice Statement: When practical, the excavator requests a meeting with the facility locator at the job site prior to the actual marking of facility locations. Such pre-job meetings are important for major, or unusual, excavations.
Practice Description: The meeting will facilitate communications, coordinate the marking with actual excavation, and assure identification of high priority facilities. An on-site pre-excavation meeting between the excavator, the facility owners/operators, and locators (where applicable) is recommended on major or large projects. This include projects such as road, sewer, water, or other projects that cover a large area, progress from one area to the next, or that are located near critical or high priority facilities. Such facilities include, but are not limited to, high-pressure gas, high voltage electric, fiber optic communication, and major pipe or water lines.
5 Facility Relocations
Practice Statement: The excavator coordinates work that requires temporary or permanent interruption of a facility owner/operators service with the affected facility owner/operator in all cases.
Practice Description: Any temporary or permanent interruption requires the active participation by the facility owner/ operator and the excavator to ensure protection of facilities through a joint preplanning meeting or conference calls. One-call centers note special contractor requests for a joint meeting on the ticket to the facility owner/operator to initiate the process.
6 Separate Locate Requests
Practice Statement: Every excavator on the job has a separate one-call reference number before excavating.
Practice Description: Often, there are several excavators on a job site performing work. The construction schedule may dictate different types of work requiring excavation from different specialty contractors simultaneously. In these situations it is imperative for each excavator to obtain a one-call reference number before excavation to ensure that the specific areas have been appropriately marked by any affected underground facility owner/operator.
7 One-Call Access (24x7)
Practice Statement: The excavator has access to a one-call center 24 hours per day, 7 days a week.
Practice Description: Utilities service the public needs 24x7 and thus should be protected the same amount of time. Certain conditions exist that require excavators to work during off-hours (city/road congestion, off-peak utility service hours). While most excavators are on the job site during regular work hours, the ability to call in future work locations after five p.m. allows more flexibility to schedule work, not to mention getting around peak hours of locate requests at the one-call center.
8 Positive Response
Practice Statement: The excavator is notified by the underground facility owner/operator of the tolerance zone of the underground facility by marking, flagging, or other acceptable methods at the work site, or is notified that a no conflict situation exists. This takes place after notification from the one-call center to the underground facility owner/operator and within the time specified by state law.
Practice Description: If a facility owner/operator determines that the excavation or demolition is not near any of its existing underground facilities, it notifies the excavator that no conflict exists and that the excavation or demolition area is clear. This notification by the facility owner/operator to the excavator may be provided in any reasonable manner including face-to-face communications; phone or phone message, facsimile, or other electronic means; posting at the excavation of demolition area; or marking the excavation or demolition area. If an excavator has knowledge of the existence of an underground facility and has received an all clear, a prudent excavator will attempt to communicate that a conflict does indeed exist and the locator should make marking these facilities a priority before excavation begins.
Positive response is a term used to describe the two types of action to be taken by a facility owner/operator after it has received notification of intent to excavate. The facility owner/operator is required to 1) mark its underground facilities with stakes, paint, or flags or 2) notify the excavator that the facility owner/operator has no underground facilities in the area of excavation. This process allows the excavator to begin work on time or in a timely manner.
When the excavator makes the request to the one-call center, he/she is told which facility owners/operators will be notified. The excavator logs these facilities on his/her job sheet so that he/she can identify which facility owners/operators have responded by marking and which ones have cleared the area. On the flip side, when a facility owner/operator does not respond by marking or clearing, this could signal that the facility owner/operator did not receive a locate notice.
It could also indicate that the facility owner/operator database used at the one-call center is either corrupt or lacking the correct information to process the request at the location, which could result in calamity. Once the excavator has all of the information needed for the work area, he/she can then excavate with confidence with safety in mind for the work crew and the public at large.
On-Site Preparation/Ground Breaking
9 Facility Owner/Operator Failure to Respond
Practice Statement: If the facility owner/operator fails to respond to the excavators timely request for a locate (e.g., within the time specified by state requirements) or if the facility owner/operator notifies the excavator that the underground facility cannot be marked within the time frame and a mutually agreeable date for marking cannot be arrived at, the excavator re-calls the one-call center. However, this does not preclude the excavator from going on with the project.
The excavator may proceed with excavation at the end of two working days, unless otherwise specified in state law, provided the excavator exercises due care in his endeavors.
Practice Description: It is determined that the facility owner/operator and the excavator will partner together to ensure facilities are marked in an acceptable time frame to allow for underground facility protection.
10 Locate Verification
Practice Statement: Prior to excavation, excavators verify they are at the correct location and verify locate markings and, to the best of their ability, check for unmarked facilities.
Practice Description: Upon arrival at the site prior to beginning the excavation, verify that the dig site matches the one-call request and is timely. Verify that all facilities have been marked, reviewing color codes if in doubt. Verify all service feeds from buildings and homes.
Check for any visible signs of underground facilities, such as pedestals, risers, meters, and new trench lines. Check for any facilities that are not members of the one-call and contact someone to get them located. Use of a pre-excavation checklist is recommended by insurers and practiced by responsible excavating contractors.
11 Documentation of Marks
Practice Statement: An excavator uses dated pictures, videos, or sketches with distance from markings to fixed objects recorded, to document the actual placement of markings.
Practice Description: In most situations when underground facilities are not properly marked, excavators have no way of knowing where underground utilities are located. If locate markings are adequately documented through the use of photographs, video tape, or sketches before excavation work begins, it will be easier to resolve disputes if an underground facility is damaged due to improper marking, failure to mark, or markings that have been moved, removed, or covered. It is important for excavators and locators to document the location of markings before excavation work begins. The primary purpose of this best practice is to avoid unnecessary litigation and expensive legal fees for all parties involved.
12 Work Site Review with Company Personnel
Practice Statement: Prior to starting work, the excavator reviews the location of underground facilities with site personnel.
Practice Description: Sharing information and safety issues during an on-site meeting between the excavator and his excavating crews will help to avoid confusion and needless damage to underground facilities.
13 One-Call Reference Number at Site
Practice Statement: The excavators designated competent person at each job site has the one-call ticket number.
Practice Description: This serves as constant reminder that all excavators will be required to call the one-call center to request a locate before they start excavation. If a representative for the facility owner/operator sees work being conducted and is unaware of the work being done, he/she can 1) stop and verify that the excavator does indeed have a valid ticket number or 2) check the third-party locators work. If an excavator is found working without a valid one-call ticket number, he/she should be requested to stop work immediately and appropriate actions should be taken. Another positive aspect of this practice will be that it should speed up the notification process back to the one-call center should the excavator find a facility incorrectly marked or not marked at all.
Requiring personnel at the job site to have this number should minimize or eliminate calls to a supervisor, foreman, dispatcher, or other personnel to find the correct number if a problem is encountered. When multiple crews are working on the same project at separate locations, each crew should be responsible for having a designated competent person responsible for having this one-call ticket number in their possession.
14 Contact Names and Numbers
Practice Statement: The excavators designated competent person at each job site has access to the names and phone numbers of all facility owner/operator contacts and the one-call center.
Practice Description: Situations arise on the job site that require immediate notification of the facility owner/operator, one-call center, or local emergency personnel. To avoid costly delays, the excavator ensures the designated job site personnel have all appropriate names and phone numbers. If telephone communication is unavailable, radio communication to the home office is available so that timely notification can be made. The office also has immediate access to all appropriate names and telephone numbers.
15 Facility Avoidance
Practice Statement: The excavator uses reasonable care to avoid damaging underground facilities. The excavator plans the excavation so as to avoid damage or minimize interference with the underground facilities in or near the work area.
Practice Description: Foremost on any construction project is safety. Excavators using caution around underground facilities significantly contribute to safe excavation of existing facilities.
OnGoing Excavation
16 Federal and State Regulations
Practice Statement: The excavator adheres to all applicable federal and state safety regulations, including training as it relates to the protection of underground facilities.
Practice Description: Although most existing state damage prevention legislation does not include reference to federal and state regulations, it is important to include reference to worker safety and training in the best practices. Excavators are required to comply with federal and state occupational safety and health requirements to protect employees from injury and illness. These regulations include reference to training each employee in how to recognize and avoid unsafe conditions and the regulations applicable to his/her work environment to control or eliminate any hazards or exposures to illness or injury. Therefore, the excavators crew, as part of its safety training, is informed of the best practices and regulations applicable to the protection of underground facilities.
17 Marking Preservation
Practice Statement: The excavator protects and preserves the staking, marking, or other designations for underground facilities until no longer required for proper and safe excavation. The excavator stops excavating and notifies the one-call center for re-marks if any facility mark is removed or no longer visible.
Practice Description: During long, complex projects, the marks for underground facilities may need to be in place far longer than the locating method is durable. Paint, staking, and other marking techniques last only as long as the weather and other variables allow. When a mark is no longer visible, but work continues around the facility, the excavator requests a re-mark to ensure the protection of the facility.
Due to space limitations, this article will be continued in the September issue of Power & Communication Contractor. A directory of local one-call numbers follows.
One-Call Directory
USA
Alabama
Alabama Line Location Center (800) 292-8525
Alaska
Locate Call Center of Alaska, Inc. (907) 278-3121
Arizona
Arizona Blue Stake, Inc. (800) 782-5348
Arkansas
Arkansas One Call System, Inc. (800) 782-5348
California
Underground Service Alert North (800) 227-2600
Underground Service Alert South (800) 227-2600
Colorado
Utility Notification Center of Colorado (800) 922-1987
Connecticut
Call Before You Dig (800) 922-4455
Delaware
Miss Utilities of Delmarva (800) 282-8555
Florida
Sunshine State One Call of Florida, Inc. (800) 432-4770
Georgia
Utilities Protection Center, Inc. (800) 282-7411
Hawaii
Underground Service Alert (800) 227-2600
Idaho
Dig Line, Inc. (800) 342-1585
Palouse Empire Underground Coordinating Council (800) 822-1974
Kootenai County Utility Coordinating Council (800) 428-4950
Utilities Underground Location Center (800) 424-5555
One Call ConceptsIdaho (800) 626-4950
Shoshone County One Call (800) 398-3285
Illinois
Julie, Inc. (800) 892-0123
ChicagoDigger (312) 744-7000
Indiana
Underground Plant Protection Services, Inc. (800) 382-5544
Iowa
Underground Plant Location Service, Inc. (800) 292-8989
Kansas
Kansas One Call Center (800) 344-7233
Kentucky
Kentucky Underground Protection, Inc. (800) 752-6007
Louisiana
Louisiana One Call System, Inc. (800) 272-3020
Maine
Dig Safe, Maine (888) 344-7233
Maryland
Miss Utility of Delmarva (800) 282-8555
Miss Utility (800) 257-7777
Massachusetts
Dig Safe, Massachusetts (888) 344-7233
Michigan
Miss Dig Utility Communication System (800) 482-7171
Minnesota
Gopher State One Call (800) 252-1166
Mississippi
Mississippi One Call System, Inc. (800) 227-6477
Missouri
Missouri One Call System, Inc. (800) 344-7483
Montana
Utilities Underground Location Center (800) 424-5555
Montana One Call System, Inc. (800) 551-8344
Nebraska
Diggers Hotline of Nebraska (800) 331-5666
Nevada
Underground Service Alert of Nevada (800) 227-2600
New Hampshire
Dig Safe, New Hampshire (888) 344-7233
New Jersey
Garden State Underground Line Locating Service (800) 272-1000
New Mexico
Las Cruces-Dona Utility Council (888) 526-0400
New Mexico One Call System, Inc. (800) 321-ALERT
New York
Underground Facility Protection Organization (800) 962-7962
New York City/Long Island One Call Center (800) 272-4480
North Carolina
North Carolina One Call Center (800) 632-4949
North Dakota
Utilities Underground Location Center (800) 454-5555
Ohio
Ohio Utilities Protection Service (800) 362-2764
Oklahoma
Call Okie (800) 522-6543
Oregon
Utilities Underground Location Center (800) 424-5555
Utilities Notification Center (800) 332-2344
Rogue Basin Utility Coordinating Council (503) 779-6676
Pennsylvania
Pennsylvania Once Call System, Inc. (800) 242-1776
Rhode Island
Dig Safe, Rhode Island (888) 344-7233
South Carolina
Palmetto Utility Protection Service, Inc. (800) 922-0983
South Dakota
South Dakota One Call (800) 781-7474
Tennessee
Tennessee One Call System, Inc. (800) 351-1111
Texas
Lone Star Notification Center (800) 669-8344
Texas Excavation Safety System (800) 344-8377
Texas One Call System (800) 245-4545
Utah
Blue Stakes Location Center (800) 662-4111
Vermont
Dig Safe, Vermont (888) 344-7233
Virginia
Miss Utility of Virginia (800) 522-7001
Miss Utility of Northern Virginia (800) 257-7777
Miss Utility of Delmarva (800) 441-8355
Washington
Utilities Notification Center (800) 332-2344
Utilities Underground Location Center (800) 424-5555
Chelan-Douglas Utility Coordinating Council (509) 663-6111
Upper Yakima County Underground Utilities Council (800) 553-4344
Inland Empire Utility Coordinating Council (509) 456-8000
Utilities Council of Cowlitz County (360) 425-2506
Palouse Empire Utility Coordinating Council (800) 822-1974
Washington, DC
Miss Utility (800) 257-7777
West Virginia
Miss Utility of West Virginia, Inc. (800) 245-4848
Wisconsin
Diggers Hotline, Inc. (800) 242-8511
Wyoming
Wyoming One Call (800) 348-1030
Converse County Council (800) 562-5561
Fremont County Utility Coordinating Council (800) 489-8023
Central Wyoming Utilities Coordinating Council (800) 759-8035
Albany County Utility Coordinating Council (307) 742-3615
Utilities Underground Location Center (800) 454-5555
Canada
Alberta
Alberta One Call Location Corp. (800) 242-3447
British Columbia
BC One Call (800) 474-6886
Ontario
Ontario One Call Centre Ltd. (800) 400-2255
Call Bud (800) 400-2255
Waterloo Region Bud System (800) 265-2288
Quebec
Info-Excavation (800) 663-9228
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