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 based on likelihood and severity. The hierarchy of controls (Elimination, Substitution, Engineering Controls, Administrative Controls, and PPE) will be applied to mitigate identified hazards. Field-level risk assessments will supplement this formal risk assessment as work progresses. [1] [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	Medium	High	High
Moderate	Low	Low	Medium	Medium	High
Minor	Low	Low	Low	Medium	Medium
Negligible	Low	Low	Low	Low	Low

4. Hazard Identification and Risk Evaluation

1. Cave-ins 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 by using alternative methods where possible.
• Use trench boxes or shoring systems to prevent cave-ins.
• Slope or bench the excavation walls at a safe angle.
• Provide adequate lighting for night work.
• Implement a permit-to-work system for excavation activities.

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 all underground utilities before excavation.
• Use safe digging practices to avoid damaging utilities.
• Provide training on utility location and damage prevention.
• Establish a communication protocol for reporting and responding to utility strikes.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Medium

3. Equipment rollovers or collisions.

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

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Major	Medium

Control Measures

• Use equipment with rollover protection (ROPS) and seatbelts.
• Provide training on safe equipment operation.
• Maintain equipment in good working order.
• Establish traffic control measures to separate equipment from workers on foot.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Moderate	Low

4. Musculoskeletal injuries due to manual handling of materials.

Potential Consequences: Strains, sprains, or back injuries.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Likely	Moderate	Medium

Control Measures

• Provide proper lifting techniques training.
• Use mechanical aids for heavy lifting.
• Implement a buddy system for lifting heavy objects.
• Ensure adequate lighting and clear pathways.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Minor	Low

5. Confined space hazards (oxygen deficiency, toxic gases).

Potential Consequences: Asphyxiation, poisoning, or explosion.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Major	Medium

Control Measures

• Provide adequate ventilation in confined spaces.
• Test the atmosphere for hazardous gases before entry.
• Implement confined space entry procedures.
• Provide rescue equipment and training.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Rare	Major	Low

6. Slips, trips, and falls.

Potential Consequences: Minor to serious injuries.

Affected Persons: Workers, public

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Likely	Moderate	Medium

Control Measures

• Implement traffic control measures (barriers, signage, flaggers).
• Provide high-visibility clothing.
• Ensure adequate lighting for night work.
• Separate pedestrian and vehicle traffic.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Minor	Low

7. Exposure to hazardous substances (soil contaminants, chemicals).

Potential Consequences: Skin irritation, respiratory problems, or other health effects.

Affected Persons: Workers

Initial Risk Assessment

Likelihood	Severity	Risk Rating
Possible	Moderate	Medium

Control Measures

• Provide training on hazard communication and chemical handling.
• Use appropriate PPE when handling chemicals.
• Store chemicals in designated areas.
• Have spill control measures in place.

Residual Risk Assessment

Likelihood	Severity	Risk Rating
Unlikely	Minor	Low

5. General Control Measures

• Conduct regular site inspections to identify and address potential hazards.

Document all inspections and corrective actions.

• Ensure all workers are properly trained and competent to perform their assigned tasks.

Maintain training records and verify competency through observation and testing.

• Provide and enforce the use of appropriate personal protective equipment (PPE), including hard hats, safety glasses, and high-visibility clothing.

Regularly inspect PPE for damage and ensure proper fit.

6. Emergency Preparedness

• Ensure a readily available emergency response plan is in place, including contact information for emergency services, evacuation procedures, and first aid protocols.
• Establish clear communication channels and emergency signals to alert workers in case of incidents such as cave-ins, equipment failure, or encountering underground utilities.
• Provide on-site first aid supplies and ensure that personnel are trained in first aid and CPR.

7. Training Requirements

• Excavation Safety Training: Training on excavation safety standards, shoring techniques, and hazard recognition.
• PPE Training: Training on the proper use of personal protective equipment (PPE) for excavation work.
• Confined Space Entry Training: Training on confined space entry procedures, atmospheric testing, and rescue techniques.
• First Aid/CPR Training: Training on first aid and CPR.

8. Monitoring and Review

Review Frequency: Annually, or after any incident or significant change in excavation procedures

Monitoring Type	Frequency	Responsible Party	Description
Regular Inspection	Daily	Site Supervisor	Regular inspection of excavation site for signs of instability, water accumulation, or other hazards.
Air Monitoring	As needed, prior to entry	Safety Officer	Air monitoring for hazardous gases or contaminants in confined spaces or areas with potential soil contamination.
Regular Inspection	Weekly	Competent Person	Inspection of shoring and trench boxes for damage or defects.
Incident Review	Monthly	Safety Manager	Review of incident reports and near-miss reports to identify trends and areas for improvement.

9. Special Circumstances

• Weather conditions (rain, snow, extreme temperatures) 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 risk of delayed response 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 significant change in excavation procedures or when significant changes occur.

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