Safe Work Procedures for Large-Scale Excavation and Earthworks Operations

Bulk Excavations Safe Work Method Statement

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Bulk excavations involve large-scale removal of earth for basements, cut-to-fill earthworks, dam construction, quarrying, and major civil infrastructure projects. Unlike trenching focused on narrow linear excavations, bulk excavations create large open areas often exceeding 4 metres depth with significant ground exposure and multiple heavy machinery operating simultaneously. This SWMS addresses the complex hazards of bulk earthworks including ground stability, mobile plant coordination, underground services, and environmental controls.

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Overview

What this SWMS covers

Bulk excavations range from basement excavations for multi-storey buildings (often 5-15 metres deep), to massive earthworks for highways and dams involving millions of cubic metres of material movement. The work employs multiple excavators (20-100 tonne machines), articulated dump trucks (30-40 tonne capacity), dozers, graders, and compaction equipment operating simultaneously within confined sites. Cut slopes may extend hundreds of metres with heights exceeding 10 metres requiring geotechnical engineering for stability design. Excavation methods depend on soil type, groundwater conditions, and proximity to structures. Rock excavation requires drilling and blasting under separate controls, or mechanical breaking using hydraulic hammers. Soft ground may allow direct excavation but requires dewatering and stability measures. Projects in urban areas require support systems including sheet piling, soldier piles with lagging, or soil nailing to protect adjacent buildings from ground movement. Environmental management is critical for bulk excavations including erosion and sediment control preventing soil washing into waterways, dust suppression during dry conditions, noise management for nearby residents, and contaminated soil identification and appropriate handling. Archaeological or heritage discoveries can halt projects requiring specialist assessment before proceeding.

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Why this SWMS matters

Bulk excavations present extreme hazards with multiple serious incidents and fatalities occurring annually across Australia. Ground collapse can bury workers and equipment within seconds, with rescue complicated by unstable conditions. Unlike trench collapses affecting individuals, bulk excavation failures can impact multiple workers and large areas simultaneously. Ground stability depends on complex factors including soil composition, groundwater, vibration from equipment, weather conditions, and excavation geometry - requiring professional geotechnical assessment. Mobile plant collisions and rollovers are common due to multiple machines operating in confined excavations with limited visibility and changing ground conditions. Excavators working on batters or benches risk rollover if ground gives way. Dump trucks ascending steep haul roads loaded with 30+ tonnes can lose control on loose surfaces. Personnel on foot face constant danger from moving plant, falling objects, and unstable ground. Underground service strikes remain significant despite planning, as services are often deeper than expected or unrecorded. Striking high-pressure gas mains during bulk excavation has caused explosions killing multiple workers. Electrical service strikes can energise equipment creating electrocution hazards across wide areas. Water main strikes can flood excavations rapidly, creating drowning risks and ground instability. Environmental non-compliance creates liability and prosecution risks. Sediment escaping excavations into waterways triggers EPA enforcement with potential million-dollar penalties. Dust affecting nearby residents results in complaints and work stoppages. Contaminated soil excavated without appropriate management creates environmental damage and hazardous exposure for workers. Compliance with WHS regulations requires SWMS for all excavations exceeding 1.5 metres depth. Bulk excavations exceeding 4 metres require competent person oversight - typically geotechnical engineers providing stability assessments and inspection regimes.

Reinforce licensing, insurance, and regulator expectations for Bulk Excavations SWMS crews before they mobilise.

Hazard identification

Surface the critical risks tied to this work scope and communicate them to every worker.

Risk register

Ground Collapse and Burial

High

Bulk excavation walls and batters can collapse suddenly due to groundwater undermining, vibration from equipment, weather events, or surcharge loads near excavation edges. Collapses can involve hundreds of tonnes of material creating burial hazards for workers and equipment in excavation. Unlike controlled trench collapses, bulk excavation failures are unpredictable and affect large areas. Clay soils appear stable but can fail suddenly after rain. Sandy soils flow when groundwater present. Rock faces can have unseen joints or defects causing block failure.

Mobile Plant Collisions and Rollovers

High

Multiple excavators, dump trucks, dozers, and other heavy plant operating simultaneously in excavations creates complex traffic management challenges. Reversing trucks have limited rear visibility even with cameras. Excavators slewing can strike nearby equipment or workers. Dump trucks traversing steep haul roads can lose control if brakes fail or surface becomes slippery. Excavators operating on battered slopes risk rollover if ground fails beneath tracks. Limited space restricts maneuvering and escape routes.

Underground Services Strikes

High

Bulk excavations encounter underground services including high-voltage electrical transmission lines, high-pressure gas transmission mains, major water supply lines, telecommunications trunk cables, and stormwater tunnels. Services may be deeper than typical installations due to protection requirements or historical construction. Excavating with large machines means service strikes involve substantial impact force. Multiple services often run in same corridor amplifying risks if one service struck. Service plans may show routes but not depths, or may be outdated.

Groundwater Inflow and Flooding

Medium

Excavations below groundwater table create inflow requiring continuous pumping. Groundwater can undermine excavation walls causing collapse, create quick conditions in sandy soils trapping equipment and personnel, and flood excavations rapidly if pumping fails. Sudden groundwater inrush can occur when excavating near waterways or if artesian conditions present. Workers and equipment in base of excavations have limited escape routes if flooding occurs.

Falls from Excavation Edges and Batters

Medium

Personnel walking near excavation edges risk falling into excavations potentially exceeding 10 metres depth. Edges may be undefined particularly during active excavation. Material stockpiled near edges creates additional fall risk if piles collapse. Night works reduce edge visibility. Ground near edges may be undermined or cracked creating false sense of security. Surveyors and engineers entering excavations to inspect work face fall hazards accessing and egressing battered slopes.

Control measures

Deploy layered controls aligned to the hierarchy of hazard management.

Implementation guide

Geotechnical Investigation and Ongoing Assessment

Elimination

Professional geotechnical assessment to determine safe excavation parameters and ongoing monitoring of ground conditions

Implementation

1. Engage qualified geotechnical engineer before commencing excavation design 2. Conduct soil investigation including boreholes or test pits identifying soil types, strength, and groundwater conditions 3. Obtain geotechnical report specifying maximum safe batter angles, bench requirements, and temporary support requirements 4. Implement batter angles per geotechnical recommendations (typically 1:1.5 to 1:2 for most soils) 5. Install groundwater monitoring wells if excavation below water table 6. Engage geotechnical engineer for regular inspections during excavation (minimum weekly, daily for critical conditions) 7. Monitor excavation walls daily for signs of distress including tension cracks, bulging, or groundwater seepage 8. Suspend excavation and seek geotechnical advice if conditions differ from expected or if instability signs observed 9. Adjust excavation procedures based on actual conditions encountered 10. Maintain geotechnical inspection records documenting conditions and recommendations

Mobile Plant Traffic Management in Excavations

Engineering

Systematic traffic control preventing collisions between heavy plant and separating plant from pedestrians

Implementation

1. Develop excavation traffic management plan showing haul routes, one-way traffic flows, passing areas, and exclusion zones 2. Establish one-way traffic circuits within excavations where geometry permits 3. Designate separate pedestrian access routes with physical barriers preventing pedestrian entry to haulage areas 4. Install amber flashing beacons on all mobile plant visible 360 degrees 5. Fit all plant with operational reversing alarms and cameras providing rear vision 6. Assign spotters with high-visibility vests and two-way radios to guide all reversing movements 7. Implement radio communication protocol between all plant operators coordinating movements 8. Schedule regular toolbox meetings reviewing traffic management and near-miss incidents 9. Mark haul road edges with delineators or bunting particularly at night 10. Maintain haul road surfaces grading regularly to prevent rutting and corrugations affecting vehicle control

Underground Service Location and Protection

Administrative

Comprehensive service investigation and protection measures preventing strikes during bulk excavation

Implementation

1. Submit dial-before-you-dig enquiries covering full project area 2. Engage professional survey locators using ground-penetrating radar and electromagnetic detection 3. Conduct test pits at regular intervals along service routes to verify depth and position 4. Mark service locations using marker posts and high-visibility bunting visible to excavator operators 5. Establish exclusion zones minimum 3 metres either side of identified services, mark boundaries clearly 6. Use hydro-excavation or vacuum excavation to expose services before mechanical excavation within 2 metres 7. Provide inductions to all operators showing service locations and exclusion zones 8. Display site plan in crib room showing all identified services and exclusion areas 9. Coordinate with service authorities for supervision during excavation near critical infrastructure 10. Maintain service location records documenting all services encountered, photograph for record

Excavation Edge Protection and Access Control

Engineering

Physical barriers and access controls preventing falls from excavation edges and controlling personnel entry

Implementation

1. Install temporary fencing minimum 2 metres from excavation edges before excavation commences 2. Use solid barriers (not chain-wire) providing visual indication of excavation presence, minimum 1.2 metres height 3. Install gates at designated entry points allowing plant access while preventing casual pedestrian entry 4. Provide safe access to excavation base using constructed ramps or stairs, not climbing slopes 5. Designate parking areas for light vehicles away from excavation edges, prohibit vehicle access within 5 metres of edges 6. Install signage warning of deep excavation and prohibiting unauthorised entry 7. Prohibit material stockpiling within 3 metres of excavation edges to prevent surcharge loading 8. Install lighting at excavation perimeter for night security preventing inadvertent entry 9. Inspect edge protection daily, repair damaged sections immediately 10. Brief all site personnel on excavation hazards and designated access routes during induction

Groundwater Management and Dewatering

Engineering

Control of groundwater to prevent inflow undermining excavation stability and creating flooding hazards

Implementation

1. Install groundwater monitoring bores before excavation to establish water table level and seasonal variations 2. Design dewatering system (wellpoints, sumps, or deep wells) based on geotechnical advice if excavating below water table 3. Install dewatering system and drawdown water table before excavating into saturated zone 4. Monitor groundwater levels daily during excavation, maintain levels minimum 500mm below excavation base 5. Provide backup pumps and power supply ensuring continuous dewatering capability 6. Establish emergency procedures for dewatering system failure including evacuation of personnel from excavation 7. Discharge pumped groundwater to sewer (with authority approval) or sediment control system before environmental discharge 8. Monitor discharge water quality if contamination suspected, implement treatment if required 9. Inspect excavation batters for groundwater seepage indicating dewatering inadequacy 10. If unexpected groundwater encountered, stop excavation and implement additional dewatering before proceeding

Environmental Controls for Bulk Excavations

Administrative

Erosion control, sediment management, dust suppression, and environmental monitoring preventing off-site impacts

Implementation

1. Install sediment fencing or silt curtains on downslope boundaries before excavation commences 2. Construct sediment basins capturing surface water runoff from excavation and stockpile areas 3. Implement progressive stabilisation of completed areas to reduce erosion potential 4. Operate water cart for dust suppression on haul roads and exposed surfaces during dry conditions 5. Cover stockpiles if extended periods of inactivity to prevent wind erosion 6. Install sediment traps in stormwater pits preventing sediment discharge to waterways 7. Inspect erosion and sediment controls after rain events, reinstate damaged controls immediately 8. Monitor dust generation, increase suppression if visible dust leaving site 9. Test soil for contamination if visual indicators present (odors, staining, unexpected materials), handle accordingly if contaminated 10. Maintain environmental inspection records documenting control effectiveness and corrective actions

Personal protective equipment

Requirement: Class D day/night vest with reflective tape, long-sleeved shirt recommended for sun protection

When: Mandatory for all personnel in excavation area including operators dismounting equipment and ground workers

Requirement: Type 1 hard hat providing impact protection, with chin strap for work on slopes

When: Required for all personnel in excavation or within 10 metres of operating machinery

Requirement: Steel-capped boots with ankle support and slip-resistant soles suitable for rough terrain

When: Required at all times when in excavation area or operating mobile plant

Requirement: Class 4 or 5 earmuffs or fitted earplugs, communication headsets for operators

When: Required when working within 50 metres of operating heavy machinery

Inspections & checks

Before work starts

  • Review geotechnical report and confirm excavation procedures align with recommendations
  • Verify dial-before-you-dig responses current and service locations marked on site
  • Inspect all mobile plant for current inspection tags and operational safety systems
  • Check weather forecast for rain that could affect excavation stability or operations
  • Verify edge protection fencing complete and in good condition around existing excavations
  • Confirm dewatering system operational if excavating below groundwater table
  • Brief crew on daily excavation plan, traffic management, and emergency procedures
  • Ensure all operators hold current licences appropriate to equipment class

During work

  • Monitor excavation walls hourly for signs of instability including cracks, bulging, or groundwater seepage
  • Check mobile plant maintaining safe distances and following traffic management plan
  • Verify spotters in position guiding all reversing movements
  • Inspect haul road conditions, grade if rutted or corrugations affecting vehicle control
  • Monitor dust generation, activate dust suppression if visible dust observed
  • Check dewatering pumps operating effectively, groundwater levels below excavation base
  • Verify material stockpiles not placed within 3 metres of excavation edges
  • Observe operator practices, correct unsafe behaviors immediately

After work

  • Document excavation progress including depths achieved and ground conditions encountered
  • Inspect excavation batters for stability, report any concerns to geotechnical engineer
  • Check edge protection fencing intact, repair any damage from day's activities
  • Verify all mobile plant parked in designated areas away from excavation edges
  • Inspect erosion and sediment controls, reinstate if damaged
  • Review incident register noting any near misses or safety concerns
  • Conduct crew debrief discussing safety performance and improvements needed
  • Update site plan if excavation configuration differs from original design

Step-by-step work procedure

Give supervisors and crews a clear, auditable sequence for the task.

Field ready
1

Pre-Excavation Site Preparation

Before commencing bulk excavation, complete all preparatory work. Establish site boundaries with temporary fencing preventing unauthorized access. Install erosion and sediment controls including sediment fencing on downslope boundaries and sediment basin if required. Clear vegetation and topsoil from excavation area, stockpile topsoil separately for reuse. Survey excavation limits and mark with offset stakes or posts. Establish surveyed benchmarks for checking excavation levels. Mark underground service locations using highly visible markers including posts and bunting. Establish haul roads from excavation to spoil disposal areas, compact base if ground soft. Install site offices, amenities, and fuel storage in locations away from excavation areas. Establish designated parking areas for light vehicles away from excavation edges.

2

Staged Excavation with Battering

Execute excavation in controlled stages working from top down. For excavations exceeding 4 metres depth, establish benches or batters at intervals per geotechnical design (typically every 3-4 metres). Excavate initial layer to first bench level maintaining batter angle specified by geotechnical engineer (commonly 1:1.5 or 1:2). Excavator operates from upper bench excavating down to next level. Create access ramps at appropriate grades for truck access (maximum 1:8 for loaded trucks ascending). Maintain ramp width minimum 2 times truck width allowing passing. As excavation deepens, extend ramps down connecting benches. Monitor batter faces continuously during excavation, stop if instability signs appear including tension cracks parallel to excavation edge, slumping of batter face, or groundwater seepage. Call geotechnical engineer immediately if conditions differ from expected.

3

Material Loading and Haulage

Coordinate excavator and truck operations for efficient safe haulage. Excavator operator positions to load trucks without requiring excessive slewing, reducing cycle time. Truck reverses to loading position guided by spotter, stops minimum 3 metres from excavator. Excavator loads material into truck tray distributing weight evenly. Load material from side of truck, not over cab, to prevent operator injury if material falls. Fill truck to capacity but not overloaded - material level with tray sides. Once loaded, truck moves forward away from excavator before beginning ascent of haul road. Maintain minimum 50 metre spacing between trucks on haul roads. Trucks ascend haul roads in low gear, never exceed 20 km/h on site. At top of excavation, trucks travel to spoil disposal area or material processing area. If wet conditions develop, stop haulage until road conditions improved to prevent vehicle bogging or loss of control.

4

Groundwater Management

If excavating below groundwater table, maintain continuous dewatering. Monitor groundwater levels in observation wells twice daily. Ensure dewatering pumps operating continuously maintaining water table minimum 500mm below excavation base. If groundwater levels rising, increase pumping capacity or investigate system failure. Inspect excavation batters for seepage indicating dewatering inadequacy. Where seepage observed, install additional pumps or wellpoints to control inflow. Direct pumped groundwater through sediment controls before discharge to prevent silty water entering waterways. If artesian groundwater encountered (water flows without pumping), stop excavation and consult geotechnical engineer as this indicates unexpected pressure conditions requiring reassessment. During rain events, ensure surface water diverted around excavation to prevent ponding in base. Pump accumulated rainwater from excavation base promptly to prevent ground softening.

5

Service Exposure and Protection

When excavating within 2 metres of marked underground services, transition from mechanical to non-destructive excavation methods. Use hydro-excavation (water jetting with vacuum extraction) or vacuum excavation to expose service without damage. Once service exposed and confirmed, establish physical protection. For services crossing excavation that must remain in place: support on timber bearers or construct concrete thrust blocks preventing movement. Wrap exposed sections with high-visibility tape alerting operators. For services requiring relocation: coordinate with service owner for isolation, then excavate around service for removal or relocation. Never assume service positions accurate based solely on plans - always verify physically before mechanical excavation proceeds adjacent to marked locations. If unexpected services encountered during excavation, stop immediately and investigate before proceeding. Document all services found including photographs and survey of actual positions for record.

6

Excavation Level Control and Verification

Maintain excavation to design levels using survey control. Surveyor establishes grade stakes at regular intervals showing cut depths required. Excavator operator checks levels regularly using laser level or referencing grade stakes. Excavate to approximately 200-300mm above final level to allow finish grading. When approaching final depth, engage surveyor for level checking. Surveyor shoots levels across excavation base identifying high and low areas requiring trimming. Excavator performs final trim to precise levels. For excavations requiring compacted base, trim to formation level then compact using roller or plate compactor. Surveyor verifies final levels meet specification tolerances (typically ±50mm). Document as-built levels for project records. If excavation encounters unexpected materials (rock requiring blasting, contaminated soil, unexpected services), stop and consult project engineer before proceeding as design may require modification.

7

Weather Event Management

Monitor weather forecasts daily, implement additional controls when rain predicted. Before rainfall: inspect and reinstate erosion controls, clear sediment from control structures to maximize capacity, ensure pumps fueled and operational, cover exposed soil stockpiles, divert clean water around excavation. During rainfall: suspend excavation operations if heavy rain affecting visibility or ground conditions, maintain pumping to prevent excavation flooding, monitor excavation batters for instability caused by rain infiltration, keep personnel away from excavation edges as ground can become unstable. After rainfall: inspect excavation batters for cracking, slumping, or instability before allowing personnel or equipment into excavation, pump accumulated water from excavation base, grade haul roads to restore trafficability, inspect and clean sediment controls removing captured material, assess whether conditions safe for excavation resumption or if drying period needed. Document weather events and impacts in site diary.

8

Completion and Backfilling

On excavation completion, prepare for backfilling or construction of permanent works. Verify final excavation meets design requirements through survey verification. Remove temporary structures, dewatering equipment, and signage. For backfilling: place fill material in controlled layers (typically 300mm compacted thickness), compact each layer using roller or compactor to specified density (usually 95% Standard Maximum Dry Density), verify compaction through testing. Backfill around services carefully avoiding damage. For basement construction: construct permanent works following structural design, install drainage as required, backfill around structures. Once backfilling complete, remove edge protection fencing, remove sediment controls after soil stabilized, restore site to original condition or as specified. Complete as-built documentation showing actual excavation dimensions, services encountered, and variations from design. Conduct final inspection with geotechnical engineer confirming work satisfactory.

Frequently asked questions

What qualifications are required to supervise bulk excavation operations?

Bulk excavations exceeding 4 metres depth require supervision by a competent person as defined in WHS regulations. This typically means a geotechnical engineer or engineering geologist with qualifications and experience in excavation stability. The competent person must assess excavation design, specify batter angles and support requirements, and conduct regular inspections during excavation (minimum weekly, daily for critical excavations). Additionally, site supervisors should have vocational qualifications in civil construction and experience managing earthworks projects. Plant operators require high-risk work licences for excavators (CV class) and trucks (appropriate driving licence class). Surveyors performing level control should hold qualifications in surveying or civil engineering. Principal contractors must verify all personnel hold appropriate qualifications before allowing them to perform these critical roles.

How do I determine safe batter angles for bulk excavations?

Safe batter angles depend on multiple factors and require professional geotechnical assessment - never rely on rules of thumb or previous experience alone. Engage a qualified geotechnical engineer to conduct soil investigation including boreholes or test pits determining soil type, strength parameters, and groundwater conditions. The geotechnical engineer analyzes data using slope stability software considering soil properties, excavation depth, groundwater, surcharge loads, and seismic factors. Common batter angles: 1:1 (45 degrees) for very stable rock or cemented soils for limited depths; 1:1.5 (33 degrees) for clayey soils with favorable moisture content; 1:2 (26 degrees) for sandy or loose soils; 1:3 or flatter for saturated sands or very weak soils. Angles are steeper for short-term excavations than permanent cuts. Geotechnical recommendations must be followed exactly - steepening batters to reduce excavation volume creates extreme risk. If conditions encountered during excavation differ from those assumed in design, stop work and obtain revised geotechnical advice.

What should I do if I encounter unexpected groundwater during excavation?

If unexpected groundwater is encountered during excavation, stop excavation immediately and assess the situation before proceeding. Observe the nature of inflow: slow seepage through batter faces may be manageable with sumps and pumps; rapid inflow or artesian conditions (water flowing without pumping) indicates pressure head requiring immediate action. Contact the project geotechnical engineer to report conditions - they may need to visit site to assess implications for excavation stability. Do not deepen excavation into saturated ground without geotechnical approval as this can trigger rapid collapse. Implement temporary dewatering using sumps excavated in excavation base with pumps to remove water, but be aware that pumping without engineering design can cause ground settlement or instability. For more than minor seepage, install proper dewatering system (wellpoints, deep wells, or ejector wells) designed to lower water table minimum 500mm below excavation depth. Monitor groundwater levels continuously once dewatering operating. If artesian conditions encountered, specialized dewatering design required - do not attempt to manage with standard pumping. Adjust excavation sequence potentially battering slopes flatter or installing support systems if groundwater reduces soil strength.

How close to excavation edges can I stockpile excavated material?

Material stockpiling near excavation edges creates surcharge loading that can trigger batter collapse. Australian Standard AS 2187.1 and geotechnical engineering principles require maintaining adequate setback distances. General rule: stockpile no closer than 3 metres from excavation edge for small stockpiles (less than 2 metres high), increasing to 5+ metres for larger stockpiles. The required distance depends on stockpile height and weight, excavation depth, soil type, and batter angle. Geotechnical engineer should specify allowable surcharge loads and required setback distances in excavation design. Stockpiling 50 tonnes on a 2-metre-high pile creates significant pressure extending into ground - this load transmitted to excavation batter can reduce factor of safety below acceptable levels. For deep excavations in weak soils, stockpiling within 10 metres can affect stability. Vehicle traffic near edges creates dynamic loading compounding surcharge effects. If material must be stockpiled temporarily before haulage, keep piles low and spread over wider area rather than concentrated. Install barriers preventing vehicles from accessing areas within 3 metres of edges. Monitor batters closely for distress if stockpiling occurs nearby.

What environmental controls are legally required for bulk excavations?

Bulk excavations must comply with environmental protection legislation preventing off-site impacts. Key requirements include: erosion and sediment control preventing soil-laden water entering waterways (install sediment fencing, silt curtains, sediment basins, and stabilize disturbed areas progressively); dust management to prevent visible dust leaving site (water cart operation, covering stockpiles, cessation during extreme wind); contaminated soil management if contamination discovered (stop work, engage environmental consultant, classify contamination, handle per regulations including notification to EPA); noise management for excavations near residential areas (comply with noise limits, restrict noisy activities to daytime hours, notify residents in advance); vegetation clearing controls if native vegetation present (obtain required permits, engage ecologist to identify threatened species, install tree protection zones); archaeological protocol if historical or Aboriginal artifacts discovered (stop work immediately, notify relevant authority, engage archaeologist before disturbing). Most states require preparation of Environmental Management Plan for significant excavations showing how impacts will be prevented. Non-compliance can result in EPA prosecution with penalties exceeding $1 million for serious breaches. Beyond regulatory requirements, implementing effective environmental controls protects business reputation and maintains community relationships critical for securing future projects.

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Risk Rating

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Key Controls

  • • Pre-start briefing covering hazards
  • • PPE: hard hats, eye protection, gloves
  • • Emergency plan communicated to crew

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