Excavation Work Risk Assessment

Assessment Date: [DATE]

Assessor: [ASSESSOR NAME]

Department/Area: [DEPARTMENT/AREA]

Review Date: [REVIEW DATE]

1. Assessment Scope

This risk assessment covers all excavation activities, including but not limited to trenching, soil removal, and backfilling. It includes the use of excavation equipment, hand tools, and related tasks. The scope excludes structural excavation requiring engineered shoring systems.

2. Risk Assessment Methodology

This risk assessment uses a 5x5 risk matrix to determine risk levels. The hierarchy of controls (Elimination, Substitution, Engineering, Administrative, and PPE) is applied to mitigate identified hazards. Risk = Probability x Severity. [1]

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	High	Extreme
Major	Low	Medium	High	Extreme	Extreme
Moderate	Low	Medium	High	Extreme	Extreme
Minor	Low	Low	Medium	High	Extreme
Negligible	Low	Low	Low	Medium	High

4. Hazard Identification and Risk Evaluation

1. Trench collapse

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

Affected Persons: Workers, public, and visitors

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Catastrophic	High

Control Measures

• Eliminate the need for excavation where possible by using alternative construction methods.
• Use trench boxes or shoring systems to prevent collapse.
• Implement a permit-to-work system for all excavation activities.
• Provide workers with high-visibility clothing.
• Ensure workers use appropriate PPE, including hard hats, safety glasses, and steel-toe boots.

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 and public

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	High

Control Measures

• Identify and mark underground utilities before excavation.
• Use safe digging techniques, such as hand digging near utilities.
• Implement a ground disturbance permit process.
• Train workers on utility location and safe digging practices.
• Provide insulated tools and equipment.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Medium

3. Cave-in due to unstable soil

Potential Consequences: Serious injury or death due to collapse of excavation walls.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	High

Control Measures

• Slope or bench excavation walls according to soil type.
• Provide safe access and egress, such as ladders or ramps, every 25 feet.
• Regularly inspect excavations for signs of instability.
• Remove water accumulation to prevent soil weakening.
• Train workers on excavation safety and soil classification.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Medium

4. Falls into excavation

Potential Consequences: Injuries ranging from minor sprains to serious fractures or death.

Affected Persons: Workers and public

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	Medium

Control Measures

• Use barriers and signage to delineate the excavation area.
• Provide adequate lighting for night work.
• Store materials and equipment away from the edge of the excavation.
• Implement traffic control measures to separate workers from vehicles.
• Ensure regular inspections of the excavation site.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Low

5. Falling objects

Potential Consequences: Head injuries, lacerations, or fractures.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Moderate	Medium

Control Measures

• Ensure proper shoring and support systems are in place.
• Use appropriate lifting equipment and techniques.
• Train workers on safe lifting practices.
• Inspect lifting equipment regularly.
• Provide adequate lighting.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Minor	Low

6. Exposure to airborne contaminants (dust, fumes)

Potential Consequences: Respiratory illnesses or other health problems.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Moderate	Medium

Control Measures

• Provide and require the use of appropriate respiratory protection.
• Implement dust control measures, such as water spraying.
• Monitor air quality to ensure compliance with exposure limits.
• Provide adequate ventilation in confined spaces.
• Train workers on the hazards of airborne contaminants.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Minor	Low

7. Equipment-related accidents

Potential Consequences: Serious injuries or fatalities due to equipment malfunction or misuse.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	Medium

Control Measures

• Ensure equipment is properly maintained and inspected.
• Provide training on the safe operation of excavation equipment.
• Use equipment with rollover protection (ROPS) and seatbelts.
• Implement traffic control measures to prevent collisions.
• Ensure operators are competent and authorized.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Low

5. General Control Measures

• Conduct daily pre-shift inspections of all equipment and the excavation site to identify potential hazards.
• Ensure all workers are trained and competent in excavation safety, including hazard identification and control measures.
• Provide and enforce the use of appropriate personal protective equipment (PPE), including hard hats, safety glasses, and steel-toe boots.
• Implement a site-specific safety plan that addresses excavation hazards and control measures.
• Conduct regular safety meetings to discuss excavation hazards and promote safe work practices.

6. Emergency Preparedness

• Establish an emergency response plan that includes procedures for cave-ins, utility strikes, and other potential incidents.
• Ensure that emergency contact information is readily available on site.
• Provide first aid training and supplies on site.
• Establish a clear communication system for emergency situations.

7. Training Requirements

• Excavation Safety Training: Workers must be trained in excavation safety standards, including 29 CFR 1926 Subpart P.
• Soil Classification Training: Workers must be trained to recognize different soil types and understand the requirements for sloping and shoring.
• Shoring and Trench Box Training: Workers must be trained in the proper use of shoring systems and trench boxes.
• Underground Utility Awareness Training: Workers must be trained on the location and identification of underground utilities.
• First Aid/CPR Training: Workers must be trained in first aid and CPR.

8. Monitoring and Review

Review Frequency: Annually, or after any incident

Monitoring Type	Frequency	Responsible Party	Description
Regular Inspection	Daily	Competent Person	Regularly inspect excavations for signs of instability, such as cracks, bulges, or water accumulation.
Air Monitoring	As needed	Industrial Hygienist	Monitor air quality to ensure compliance with permissible exposure limits for airborne contaminants.
Equipment Inspection	Weekly	Competent Person	Inspect shoring systems and trench boxes to ensure they are in good working condition.
Incident Review	Monthly	Safety Manager	Review incident reports and near-miss investigations to identify trends and areas for improvement.

9. Special Circumstances

• Adverse weather conditions, such as heavy rain or freezing temperatures, can increase the risk of cave-ins and other hazards.
• Night work increases the risk of accidents due to reduced visibility.
• Lone work can increase the risk of delayed response in the event of an emergency.

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 when significant changes occur.

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