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 activities related to excavation work, including but not limited to site preparation, digging, shoring, and backfilling. It includes the use of excavation equipment, hand tools, and any related tasks performed within the excavation zone. Excluded from this assessment are activities related to demolition or removal of underground utilities prior to excavation, 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 selected based on the hierarchy of controls: Elimination, Substitution, Engineering controls, Administrative controls, and Personal Protective Equipment (PPE).

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	Medium	Medium	High	Extreme
Moderate	Medium	Medium	High	Extreme	Extreme
Minor	Medium	High	Extreme	Extreme	Extreme
Negligible	High	Extreme	Extreme	Extreme	Extreme

4. Hazard Identification and Risk Evaluation

1. Excavation collapse due to unstable soil conditions

Potential Consequences: Serious injury or death due to being buried or crushed

Affected Persons: Workers, public, and visitors

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	High

Control Measures

• Shoring or sloping the excavation walls
• Regular inspections of excavation stability by a competent person
• Barricades and warning signs around the excavation area
• Safe work procedures for working in excavations

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

• Locating and marking underground utilities before excavation
• Safe digging practices around utilities
• Using non-destructive digging methods near utilities
• Emergency shut-off procedures for utilities

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Medium

3. Musculoskeletal injuries due to manual handling of materials and tools

Potential Consequences: Sprains, strains, back injuries, and other musculoskeletal disorders

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Likely	Moderate	High

Control Measures

• Using appropriate personal protective equipment (PPE) such as hard hats, safety glasses, and steel-toe boots
• Safe lifting techniques
• Regular breaks and job rotation
• Ergonomic tool design

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Moderate	Medium

4. Mobile equipment (excavators, loaders) striking workers or other equipment

Potential Consequences: Serious injury or death due to being struck by equipment

Affected Persons: Workers and public

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Moderate	Medium

Control Measures

• Implementing traffic control measures, such as signage, barriers, and flaggers
• Using high-visibility clothing
• Maintaining equipment in good working order
• Regular inspection of equipment

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Low

5. Hazardous atmosphere (oxygen deficiency, toxic gases) in excavations

Potential Consequences: Asphyxiation, poisoning, or explosion

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Major	Medium

Control Measures

• Air monitoring for oxygen levels and hazardous gases
• Confined space entry procedures
• Ventilation of the excavation
• Rescue plan and equipment

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Rare	Major	Low

6. Falling objects striking workers below

Potential Consequences: Head injuries, lacerations, fractures, or death

Affected Persons: Workers, public

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Moderate	Medium

Control Measures

• Barricades and warning signs around the excavation area
• Proper storage and handling of materials
• Regular inspections to identify and correct hazards
• Securing tools and equipment to prevent falling objects

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Low

5. General Control Measures

• Conduct daily safety meetings to discuss potential hazards and control measures.
• Ensure all workers have received appropriate safety training and certifications for their tasks.
• Maintain a clean and organized work site to prevent slips, trips, and falls.
• Provide adequate lighting for all work areas, especially during night work or in poorly lit areas.

6. Emergency Preparedness

• Establish emergency evacuation routes and assembly points in case of collapse or other incidents.
• Ensure that all workers are trained in emergency procedures, including first aid and CPR.
• Maintain communication systems (e.g., radios, cell phones) for emergency contact.
• Establish procedures for contacting emergency services (police, fire, ambulance) and providing site-specific information.

7. Training Requirements

• Excavation Safety Training: All workers involved in excavation work must receive training on excavation safety, including hazard identification, shoring techniques, and emergency procedures.
• Equipment Operator Training: Workers who operate excavation equipment must be trained and certified in the safe operation of that equipment.
• Competent Person Training: A competent person must be trained to inspect excavations and identify potential hazards.
• First Aid/CPR Training: All workers must be trained in first aid and CPR.

8. Monitoring and Review

Review Frequency: Annually, or after any incident or near-miss related to excavation activities

Monitoring Type	Frequency	Responsible Party	Description
Regular Inspection	Daily	Competent Person	Regularly inspect excavation walls for signs of instability.
Air Monitoring	As needed, especially in confined spaces	Safety Officer	Monitor air quality in excavations for hazardous gases and oxygen levels.
Equipment Inspection	Daily before use	Equipment Operator	Inspect all excavation equipment for proper functioning and safety features.
Incident Review	Monthly	Safety Committee	Review incident reports 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 worker safety.
• Night work increases the risk of accidents due to reduced visibility.
• Lone work increases the response time in case 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 near-miss related to excavation activities or when significant changes occur.

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