Risk Assessment for Excavation Work

Assessment Date: [DATE]

Assessor: [ASSESSOR NAME]

Department/Area: [DEPARTMENT/AREA]

Review Date: [REVIEW DATE]

1. Assessment Scope

This risk assessment covers all activities related to excavation work, including but not limited to: site preparation, digging, trenching, soil removal, shoring, and backfilling. It includes the use of excavation equipment, hand tools, and any related tasks. Excluded from this assessment are activities related to demolition of existing structures, which require a separate risk assessment.

2. Risk Assessment Methodology

This risk assessment follows a qualitative approach using a 5x5 risk matrix to determine risk levels. The likelihood of occurrence is rated as Rare, Unlikely, Possible, Likely, or Almost Certain. The severity of potential consequences is rated as Negligible, Minor, Moderate, Major, or Catastrophic. The risk rating is then determined by combining likelihood and severity, resulting in a risk level of Low, Medium, High, or Extreme. Control measures are identified based on the hierarchy of controls (Elimination, Substitution, Engineering controls, Administrative controls, and PPE) to reduce risks to acceptable levels.

3. Risk Matrix Reference

The following matrix is used to evaluate risk levels based on likelihood and severity:

		Likelihood
Rare	Unlikely	Possible	Likely	Almost Certain
Severity	Catastrophic	Low	Low	Medium	Medium	High
Major	Low	Low	Medium	Medium	High
Moderate	Low	Medium	Medium	High	Extreme
Minor	Low	Medium	High	Extreme	Extreme
Negligible	Medium	Medium	High	Extreme	Extreme

4. Hazard Identification and Risk Evaluation

1. Trench collapse due to unstable soil conditions.

Potential Consequences: Serious injury or death due to burial or crushing.

Affected Persons: Workers, public

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	High

Control Measures

• Eliminate the need for excavation through design changes.
• Use trench boxes or shoring systems.
• Slope or bench the excavation walls.
• Implement a permit-to-work system.
• Provide high-visibility clothing.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Major	Medium

2. Striking underground utilities (gas, electric, water).

Potential Consequences: Electrocution, explosion, flooding, or disruption of services.

Affected Persons: Workers, public

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	High

Control Measures

• Identify and mark underground utilities before excavation.
• Use safe digging practices around utilities.
• Provide training on utility identification and safe digging.
• Establish a communication protocol with utility companies.
• Use non-destructive methods for locating utilities.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Medium

3. Equipment-related accidents (struck-by, caught-in).

Potential Consequences: Injuries ranging from minor cuts and bruises to serious fractures or death.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Moderate	Medium

Control Measures

• Use appropriate excavation equipment for the task.
• Ensure equipment is properly maintained and inspected.
• Provide training on safe equipment operation.
• Establish exclusion zones around operating equipment.
• Use spotters when operating equipment near workers.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Low

4. Exposure to hazardous substances (e.g., gases, fumes, dust).

Potential Consequences: Respiratory illness, poisoning, or other health effects.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Moderate	Medium

Control Measures

• Provide adequate ventilation in excavations.
• Monitor air quality for hazardous substances.
• Use respiratory protection when necessary.
• Implement a confined space entry program if required.
• Stop work if hazardous conditions are detected.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Minor	Low

5. Falls into excavation.

Potential Consequences: Injuries ranging from sprains and fractures to serious head trauma.

Affected Persons: Workers, public

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Moderate	Medium

Control Measures

• Provide secure fencing and barriers around the excavation site.
• Use warning signs and lights to alert people to the hazard.
• Cover or backfill excavations when not actively worked on.
• Inspect the site regularly to ensure security measures are in place.
• Implement traffic control measures if necessary.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Minor	Low

6. Injuries from hand tools.

Potential Consequences: Cuts, lacerations, punctures, or musculoskeletal injuries.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Minor	Medium

Control Measures

• Provide appropriate tools for the task.
• Ensure tools are properly maintained and inspected.
• Provide training on safe tool use.
• Enforce the use of appropriate PPE (gloves, eye protection).
• Use tools designed to reduce strain and vibration.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Minor	Low

7. Musculoskeletal injuries (MSDs) from manual handling.

Potential Consequences: Strains, sprains, back injuries, or other MSDs.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Minor	Medium

Control Measures

• Provide training on manual handling techniques.
• Use mechanical aids to reduce manual lifting.
• Reduce the weight or size of loads.
• Encourage workers to take breaks and stretch.
• Implement a reporting system for musculoskeletal injuries.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Minor	Low

8. Heat stress.

Potential Consequences: Heat exhaustion, heat stroke, or other heat-related illnesses.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Minor	Medium

Control Measures

• Provide training on recognizing and avoiding heat-related illnesses.
• Provide adequate water and shade.
• Encourage workers to take frequent breaks.
• Schedule work during cooler times of the day.
• Use cooling vests or other cooling devices.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Minor	Low

5. General Control Measures

• Conduct daily pre-shift inspections of equipment and work areas.
• Ensure all workers are properly trained and competent to perform their assigned tasks.
• Provide and enforce the use of appropriate personal protective equipment (PPE).
• Maintain good housekeeping practices to prevent slips, trips, and falls.
• Implement a 'buddy system' where appropriate, especially for high-risk tasks.

6. Emergency Preparedness

• Establish emergency evacuation routes and assembly points.
• Ensure readily available first aid equipment and trained personnel.
• Establish communication protocols for emergency situations.
• Keep a list of emergency contact numbers on site.

7. Training Requirements

• Excavation Safety Training: Workers must be trained on the recognition and avoidance of unsafe conditions, as well as the regulations applicable to excavation work.
• PPE Training: Workers must be trained on the proper use, inspection, and maintenance of personal protective equipment (PPE).
• Equipment Operation Training: Workers must be trained on the safe operation of excavation equipment, including pre-shift inspections and hazard awareness.
• Emergency Response Training: Workers must be trained on emergency response procedures, including evacuation routes, first aid, and communication protocols.
• Underground Utility Awareness: Workers must be trained to identify underground utilities and safe digging practices.

8. Monitoring and Review

Review Frequency: Annually, or after any incident or near-miss

Monitoring Type	Frequency	Responsible Party	Description
Regular Inspection	Daily	Site Supervisor	Regular inspections of excavation site for hazards and unsafe conditions.
Performance Indicator	As needed, based on site conditions	Safety Officer	Air quality monitoring in excavations where hazardous substances may be present.
Audit	Monthly	Safety Manager	Review of incident and near-miss reports to identify trends and areas for improvement.

9. Special Circumstances

• Adverse weather conditions (rain, snow, extreme temperatures) can affect soil stability and increase the risk of slips, trips, and falls.
• Night work increases the risk of accidents due to reduced visibility. Ensure adequate lighting is provided.
• Lone work increases the risk of delayed response in case of an emergency. Implement a check-in system.

Approval and Sign-off

This risk assessment has been reviewed and approved by:

Assessor: _________________________ Date: __________

Manager/Supervisor: _________________________ Date: __________

Safety Representative: _________________________ Date: __________

This risk assessment must be reviewed annually, or after any incident or near-miss or when significant changes occur.

Safety powered by SALUS