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 specialized engineering controls.

2. Risk Assessment Methodology

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

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	Low	Medium	High	Extreme
Minor	Low	Low	Low	Medium	High
Negligible	Low	Low	Low	Low	Medium

4. Hazard Identification and Risk Evaluation

1. Trench collapse due to unstable soil.

Potential Consequences: Serious injury or death due to burial.

Affected Persons: Workers, public

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	High

Control Measures

• Eliminate the need for excavation where possible through design changes.
• Use trench boxes or shoring systems to prevent collapse.
• Slope excavation walls to a safe angle.
• Implement a permit-to-work system.
• Provide hard hats, safety glasses, and high-visibility clothing.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Major	Medium

2. Struck by excavation equipment (e.g., excavator, backhoe).

Potential Consequences: Crushing injuries, fractures, or death.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	Medium

Control Measures

• Use equipment with appropriate guarding.
• Conduct regular equipment inspections and maintenance.
• Ensure operators are trained and certified.
• Establish exclusion zones around operating equipment.
• Use spotters to assist equipment operators.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Low

3. Striking underground utilities (e.g., gas, electric, water).

Potential Consequences: Electrocution, explosion, flooding, or service disruption.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	High

Control Measures

• Identify and mark underground utilities before excavation.
• Use hand tools or non-destructive methods near utilities.
• Establish a safe digging zone around utilities.
• Provide training on utility location and avoidance.
• Have a contingency plan in case of utility strikes.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Medium

4. Slips, trips, and falls due to uneven surfaces or poor lighting.

Potential Consequences: Sprains, fractures, or head injuries.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Likely	Moderate	Medium

Control Measures

• Provide adequate lighting for night work.
• Use reflective clothing and equipment.
• Implement a buddy system for lone workers.
• Conduct regular site inspections to identify slip and trip hazards.
• Provide training on safe walking and working surfaces.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Minor	Low

5. Asphyxiation due to oxygen deficiency or hazardous gases in confined spaces.

Potential Consequences: Loss of consciousness or death.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Major	Medium

Control Measures

• Provide proper ventilation in confined spaces.
• Test atmosphere for hazardous gases before entry.
• Use respiratory protection when necessary.
• Implement a confined space entry permit system.
• Train workers on confined space entry procedures.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Rare	Major	Low

5. General Control Measures

• Conduct daily pre-shift inspections of all equipment and work areas.

Use a checklist to ensure all items are inspected consistently.

• Ensure all workers receive site-specific safety training before starting work.

Maintain training records and verify understanding through testing.

• Implement a strict housekeeping policy to maintain clear walkways and work areas.

Regularly remove debris and waste materials.

6. Emergency Preparedness

• Establish emergency communication protocols, including radio contact and pre-arranged signals.
• Ensure availability of first aid equipment and trained personnel on-site.
• Develop an emergency evacuation plan, including designated escape routes and assembly points.

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: Training on the proper use, inspection, and maintenance of personal protective equipment (PPE).
• Emergency Response Training: Training on emergency response procedures, including first aid and evacuation plans.

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 inspection of excavation shoring and sloping.
Testing	Before each entry	Competent Person	Atmospheric testing in confined spaces.
Audit	Weekly	Maintenance Manager	Equipment maintenance and inspection records review.

9. Special Circumstances

• Adverse weather conditions (e.g., heavy rain, extreme heat) can affect soil stability and worker safety.
• Night work increases the risk of slips, trips, and falls 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 or when significant changes occur.

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