Table of Contents

 What is the method statement for excavation?

 Excavation Method Statement

What is the method statement for excavation?

This method statement for excavation defines the sequence and control procedures to be followed for
excavation works (Open-cut excavation up to formation level) in the construction projects. This process
also provides practical guidance to manage health and safety risks associated with excavation activity.

What is excavation?

Excavation generally means the removal of soil, rock, or other materials from a site to form an open face,
pit, cavity, trenches, retaining walls, shafts, drives, and tunneling using manual tools, machinery, or
explosives.

The excavation process in construction project involves:

1. Take a level and benchmarks prior to starting the excavation works; the Surveyor will verify the
current excavation level and benchmarks by taking the As-built Survey and furnishing the site
team for their reference.
2. Clearing of the area prior to excavation
The area to be excavated shall be free and clear of any materials stored related to other
packages that might hinder a continuous and smooth working environment. All these materials
shall be removed and transferred from the border of the excavation areas.
3. Excavation of the area excavation will be carried out using excavators or a combination of
excavators with hydraulic rock-breaking hammers.
4. Surveyor shall closely monitor survey monitoring of the formation level works to ensure
that the required formation level will be reached and avoid any over-excavation.
5. Hauling of the excavated materials arising from the project area shall be hauled and stored at a
dedicated contractor’s stockpile area.
6.[5.] Finalization of the formation level
The final 0.5m of rock layer before reaching the formation level shall be excavated using light
jackhammers to ensure the integrity of the founding stratum after the excavation is complete. In
case after reaching the formation level, any loose or unsuitable surface found during an
inspection by the consultant will be removed and will be backfilled with C30 Concrete or suitable
soil materials in accordance with the approved method statement.
7.[6.] Checking of the formation level by Surveyor
The Surveyor shall check the formation level once the excavation is done per approved shop
drawings, where the final formation levels shall comply with the approved design requirements.
Any over-excavation shall be backfilled with C30 concrete, and work shall be done as per the
approved Method Statement for Backfilling Works using C30 Mass Concrete or suitable soil
materials (for over-excavated areas and unsuitable soil/surface).
8.[7.] Trimming of the excavation side slope
The final excavation level shall be leveled and shall be free from any loose/soft materials. Side
slopes of the excavation shall be trimmed. The area will be clean and free from debris,
deleterious materials, and any unsuitable soil/surface as defined in project specifications.
9.[8.] Accessibility/restriction of the excavated areaThe final excavated surface at approved levels
is restricted against vehicle accessibility. Damaged foundation materials due to the passage of
vehicles or other detrimental factors shall be repaired by the Contractor at no extra cost and with
the approval of the Engineer.
10.[9.] Maintenance of the access routes to excavated area maintenance of access ramps and
access routes shall be done periodically for easy and convenient working conditions. Access
 ramps shall be properly sloped and graded, and the embankment shall be properly
shored/supported. Both sides of access ramps shall be installed with concrete barriers for fall
protection. Access roads shall be maintained by proper grading, backfilling, and compaction of
heavily degraded portions. Continuous water spraying shall be done to prevent dust formation,
which is hazardous to everyone’s health.

Excavation Method Statement

1. Description of Works

1.1. Introduction

This method statement for excavation defines the sequence and control procedures to be followed
for Excavation Works. This method also provides practical guidance to manage health and safety risks
associated with excavation activity.

1.2. Definitions

CM Construction Manager
QC Quality Control
HSE Health Safety & Environment
PPE Personal Protective Equipment
PMV Plants, Machinery & Vehicles
GIS Geographical Information System
LPS Loss Prevention System
MS Method Statement
RA Risk Assessment
TPL Third Party Laboratory

1.3. Reference

1. IFC Drawings
2. Approved Shop Drawings
3. Project Specifications (Earthworks Related to Buildings)
4. Project Specifications – Occupational Health & Safety
5. Project Specifications – Buried & Overhead Services
6. Project Specifications – Safe Use of Plant and Equipment
7. Project Specifications – Other Hazardous Activities (Regulatory Document)
8. Project Specifications – Permit To Work
9. HSE Plan
10. Construction Environment Management Plan (CEMP)
11. Heat Stress Management Plan
12. Emergency Response Plan
13. Permit to Work Procedure
14. Temporary Traffic Management Plan
15. Temporary Works Management Procedure
Site Clearing Section
Excavation and Fill Section
Dewatering Section
16. BS 1377 Method of Test for Soils for Civil Engineering Purposes
17. MST- Backfilling Works using C30 Mass Concrete (for Over Excavated Areas & Unsuitable
Soil/Surface)
18. MS- Backfilling Works
1.4. Responsibilities

Project Manager
Responsible for accomplishing the stated project objectives, which include creating clear and attainable
project objectives, building the project requirements, and managing the constraints of the project
management triangle: cost, time, scope, and quality.

Construction Manager
Responsible for overall construction activities, ensuring that all quality and safety procedures are
implemented and required approved permits are obtained.

Site Engineer
Supervise operations in accordance with the approved Method Statement, shop drawings, specifications,
material submittals, and schedules to achieve the acceptance of the project deliverables.

Site Supervisor
Supervise closely the activities designated to them and ensure that all instructions and safety procedures
are followed and strictly adhered to.

Site Foreman
To liaise with the Site Engineer and Supervisor for the work execution.

Permit Officer
Coordinate all relevant permits and ensure they are current and up to date for the duration of the
activities.
The Permit Officer shall ‘walk down” the proposed excavation area prior to being issued a permit to dig.
Ensures permits shall be valid for 30 days and re-evaluate excavations remaining open beyond this
timeframe

QA/QC Engineer
Ensure the proper implementation of the Quality system and monitor the overall quality of the work is
maintained. Conduct inspection and monitor tests.
Determine and report any non-conformance and recommended corrective actions. Ensure that all
personnel is aware of the quality requirement.
Training of relevant personnel.
Conduct surveillance and inspection duties at various stages to ensure QA/QC Plan compliance.

Environmental Officer / Manager

Coordinate all relevant Environmental activities associated with the works being undertaken.

HSE Manager
Health, safety, and environmental (HSE) managers generally plan, coordinate and implement issues and
directives within the organization. They ensure safe environmental working conditions for all employees.

HSE Engineer
Ensure enforcement of safety procedures in accordance with the approved HSE Plan.
Will be closely monitoring the site engineer’s strict implementation of the MS and Risk Assessment, the
use of proper tools and equipment to maintain safety, certifications of equipment and their adherence to
safety regulations, reporting of any unsafe work, or stopping work that does not comply with ES&H
procedures.

Advises Health & Safety requirements and monitors the Hazard controls implemented on-site per the
Method Statement/Risk assessment.
Chief Surveyor
Per the approved shop drawings, carry out a pre-construction survey to fix the locations and
corresponding elevations.
Ensure quality and compliance during phases of surveying works and the regular checking of the
surveying equipment or periodic calibration from a third party.
Check the validity and the serial number of calibration certificates is available and posted in the survey
equipment.
Secure the proper safety guarding of surveying equipment.
To maintain the records of all surveying equipment handled.

Survey Aide
Maintain and use Surveying equipment. Assist Surveyors in taking measurements, record measurements
manually or electronically, and peg out boundaries.

Soils Competent Person(s)

Responsible for evaluating and classifying soil characteristics. The soil-competent persons shall evaluate
EVERY proposed excavation location before excavation starts.
Ensures that all open trenches and excavations deeper than (5’) into which personnel plan to work shall
be inspected daily. Ensures that excavation inspections shall be documented and made available for
review by the client representative.

Equipment Operator
The only authorized person to operate any equipment to be used in the project.

Banksman
The Banksman is responsible for assisting with the movement of heavy equipment.

First Aider
The first aider responds promptly when requested, operates with competence, knows how to secure
additional help when needed, reports incidents and actions taken, and complies with requirements for
certification.

CAT Scan Operator

The CAT (Cable Avoidance Tool) operator is responsible for locating all existing services to avoid them.

1.5. Interfacing with Other Operations

Construction Projects – Adjacent by others

Dewatering Works

1.6. List of Contractors

Main Contractor:
xxxxxxx

2. Resources
2.1 Equipment and Tools

Description No. of Units Applications

 Excavator with Bucket 1 Loading of Excavated Ma

Excavator with Hammer 1 Excavation Works

Dump Trucks 2 Hauling of Excavated Ma

Wheel Loader 1 Loading of Excavated Ma

Water Trucks 1 Dust Control

Generators 1 Power Supply

Mobile Lighting Towers As per Site Requirements Lightings

Leica TS 15m Total Station 1 Setting Out for Constructi

Leica NA2 Automatic Level 1 Levelling

CAT Scanner & Genny 1 Locating Existing Service

2.2 Workforce

Designation No. of Persons

Project Manager 1

Construction Manager 1

Temporary Works Manager/Supervisor 1

Site Engineers 2
Site Supervisors 2

Foreman 2

Surveyor 1

Survey Aide 2

Soil Competent Person 1

QA/QC Engineer 1

Permit Officer 1

Safety Officer 1

First Aider 1

Equipment Operator 5

Rigger 1

Flagman 2

Spotter 2

Checker 1
 Laborer 6

CAT Scan Operator 1

3. Materials

Scaffolding
Signages
Concrete Barriers
Jersey Barriers
Ladders
Cables
Various Hand Tools for Excavation (spades, shovels, mattocks, etc.)
Marking Paints
Pins and Pegs

4. Site Planning

4.1 Preparation


Obtain necessary As-built records/Plans/Documents.
 Permits from the concerned authority shall be obtained prior to starting work at the site.
 In areas determined to have service lines from government authority- ROP (Road Opening
Permit) and/or Service Information Sheet (SIS) must be taken, and conditions are to comply.
 Excavation and trenching to depths greater than 1.5 meters (5’) require client permission.
 Excavation and trenching shall not begin until the Contractor has applied for and acquired an
authorized permit to dig from their Supervising Consultant.
 Carry out hazard identification and risk assessment
 Determine control measures to mitigate hazards/risks.
 The contractor shall ensure that all gate passes, permits, tools, materials for safety precautions,
manpower, and equipment are available before the commencement of work.
 The Site Team shall ensure that access roads are always clear from any obstruction and that the
site is always accessible.
Provision of access and egress such as ladders, steps, ramps, or other safe means of egress and
be within a reasonable distance. The horizontal distance between access points shall not exceed
7.5 m.
 Prior to the commencement of any excavation work, all persons involved will be given a pre-work
briefing based on the Job Hazard Analysis relating to the risks and required control measures for
the excavation work. The appointed excavation supervisor will be responsible for presenting and
recording the briefing.
 Before the commencement of work, all materials, plants, and equipment will be checked to
ensure they are in good condition. In particular, the condition of all mechanical excavators will be
checked to ensure that:
 All windows in the driver’s cab are clean, unbroken, and unobstructed.
 Rearview mirrors are securely attached, unbroken, and clean.
 All track plates and connectors are in good condition and secured with proprietary locking pins.
 The dipper arm joints and attachments are secured with proprietary and locking pins.
 All task and indicator lighting is in working order.
 Plant Mobile plants are to be fitted with a reverse alarm and flashing beacon and to be
maintained in working condition.
4.2 Site Clearance

 With the assistance of the Safety Officers, the Site Team shall coordinate logistics and materials
move through the site following the direction and road signs displayed on site. The required
diversion routes, including the required traffic signs, shall be marked on drawings.
 All materials & equipment stored related to other packages shall be removed and transferred from
the border of the excavation areas.
 The Environmental Team shall ensure that all waste materials etc., are removed before
commencing the works to ensure no contamination to the ground has taken place, and a report of
the site status should be presented before works startup.

4.3 Traffic Management

 With the assistance of the Safety Officers, the Site Team shall coordinate logistics and materials
move through the site following the direction and road signs displayed on site. The required
diversion routes, including the required traffic signs, shall be marked on drawings.
 The Work Permits and Operator Certificates shall be compiled for reference to authorized
personnel.

4.4 Pre-Construction Safety Meetings

 The meeting shall be scheduled prior to the beginning of the work and before any Subcontractor
starts on the project.
 The method statement and Risk Assessment will be briefed to the construction team before the
activity starts.

 General contractual safety, health, and environmental requirements.
 Traffic safety will be discussed to emphasize these meetings.
 Roles of the contractor, subcontractors, authorized representatives, and all project workers.
 Accident reporting requirements.
 Specific details of the work to be performed along with the use of personal protective equipment.
 Emergency procedure.
 5. Methodology

 The area to be excavated shall be free and clear of any materials stored related to other
packages that might hinder a continuous and smooth working environment. All these materials
shall be removed and transferred from the border of the excavation areas.

 Dust that will be generated during excavation shall be controlled by regular spraying/sprinkling of
water through the use of water trucks.

 Adequate safeguards and barriers will be provided to prevent workers inside excavations from
surface hazards and provide pedestrians and motorists with safeguards that prevent falling,
walking, or driving into open excavations. This requirement pertains to any excavation within
twenty (20) meters of a pedestrian walkway or road.

 Solid barriers will be placed around all excavations over 1.2m deep at a distance of at least 1.2m.
All solid barriers will be fitted with warning lights when night-time pedestrian or vehicle access is
adjacent to the excavation.

 Before starting the excavation, the Surveyor will verify the current excavation level by taking the
As-built Survey and furnish the site team for their reference.
 Surveyor shall closely monitor the works to ensure that the required formation level will be
reached and avoid any over-excavation.

 Excavation works shall be done as follows:

 Excavation will be done using a combination of excavators and hydraulic rock-breaking hammers.

 The number of equipment within the combination will be deployed on the project site and shall
work simultaneously. All excavation equipment will be fitted with sound suppression devices such
as mufflers or as recommended by manufacturers.

 The contractor is to use multiple excavators and breaking hammers (if required) to adhere to the
program of works provided HSE rules are adhered to.

 All personnel, including operators/riggers, shall wear adequate ear protection and respiratory face
mask in addition to the required PPEs on site. In order to keep dust emissions to the minimum
level, frequent water spraying will be done in the working area with the water trucks assigned for
each location.

 The contractor shall establish a maintenance scheme considering the numerous pieces of
equipment to be utilized for the project. Pre-inspection, repairs, greasing, and refueling activities
shall be done in the area designated for the project, including parking areas, at the end of
everyday work.

 All extracted materials from the excavation site shall be properly hauled by loading onto dump
trucks/tipper trailers using wheel loaders or bucket excavators and shall be disposed of only in
the approved disposal area directed by the Consultant.

 Precautions shall be practiced while loading excavated materials since overloading might
happen, which will be dangerous during transportation. Loading shall be strictly monitored, and
ensure all dump trucks/tipper trailers will only carry as per the maximum required loading capacity
to prevent overloading that will result in an uncontrollable wheel and/or tipping or slanting.

 The type of trucks to be used for hauling operation shall have a capacity of between 16m³ – 19m³
for smaller dump trucks and 22m³ – 32m³ for much bigger dump trucks. A weighbridge shall be in
place to control the weights being loaded on each truck.

 All trucks/vehicles shall have a maximum speed limit of 15 km/hr. which will be imposed strictly,
and any violators shall be noted for fine/removal on the site premises.

 The supervisor will closely monitor the loading of materials and will assign a “Spotter” to guide
and control the required maximum volume every dump truck should carry. A vantage point in the
form of a scaffold tower will be erected for monitoring.

 A “Checker” will record all dump trucks loaded/leaving from the hauling area per trip. A separate
recording will be done while dumping on the temporary stockpile/storage area to monitor the
volume of excavated materials.

 The “Checker” will be stationed at the exit point, most probably at the level ground, before
entering the ramps. Each trip of the truck shall be recorded with truck details (i.e. Body Number,
Driver’s Name, etc.) with the driver’s signature for each corresponding trip.
All equipment/vehicles to be used during the operation shall have an operational A/C unit, especially
during summer. All dump trucks to be used upon transporting excavated materials inside or outside site
premises shall be covered with mats or safety nets to ensure that materials are intact and there will be no
dust formation or scattering/falling objects.

Dump trucks shall not be over-filled to exceed the hopper’s top level for easy fixing of mats or safety nets.

Option 1: Dump truck to be fitted with mechanically operated rolling cover mats or safety nets pulled by a
rope in position (see sample attached).

Option 2: Mats or safety nets shall be spread evenly to cover the entire hopper by personnel using
ladders to hook the nets to the edges of the hopper. Personnel on the ladder fixing the mats or safety nets
shall be assisted by another worker on the ground holding the ladder secure. In the event of
transporting/disposing of unsuitable materials outside site premises, ensure that all wheels of dump trucks
are thoroughly cleaned, and the dump box shall not have deteriorated to prevent falling of materials while
entering the main road. Prior to moving out on the excavation area, all trucks will drive across rumble
strips above a catch pit to remove collected materials from wheels.

Any purpose of use of all excavated/extracted materials on site shall be underwritten permission from the
client through the Consultant as per project specification requirements. Furthermore, all extracted
materials shall be hauled and stored and/or disposed of only in the areas approved by the Client and/or
Municipality as applicable, with information and under the supervision of the Consultant staff.

Excavated materials arising from the project area shall be hauled and stored at a dedicated contractor
stockpile area.

The Stockpile area shall be of adequate distance from the excavation areas, and a bulldozer and/or a
wheel loader will periodically grade the stockpile to allow stockpiling of the material in layers and give the
area a neat and healthy look. Provision of safety nets around the perimeter of stockpiles to prevent
unexpected wearing down/rolling of rock pieces or soil materials.

Before reaching the formation level, the final 0.5m of rock layer shall be excavated using light
jackhammers to ensure the integrity of the founding stratum after the excavation. In case after reaching
the formation level, any loose or unsuitable surface found during the inspection by the consultant will be
removed and will be backfilled with C30 concrete or suitable soil materials in accordance with the
approved Method Statement.

The Surveyor shall check the formation level once the excavation is done per approved shop drawings,
where the final formation levels shall comply with the approved design requirements. Any over-excavation
shall be backfilled with C30 concrete, and work shall be done as per the approved Method Statement for
Backfilling Works using C30 Mass Concrete (for Over Excavated Areas and Unsuitable Soil / Surface).

The final excavation level shall be leveled together with the side slope, shall be trimmed, and shall be free
from any loose/soft materials. The area will be clean and free from debris, deleterious materials, and any
unsuitable soil/surface as defined in project specifications.

The final excavated surface at approved levels is restricted against vehicle accessibility. Damaged
foundation materials due to the passage of vehicles or other detrimental factors shall be repaired by the
Contractor at no extra cost and with the approval of the Engineer.

Access ramps and routes shall be maintained periodically for easy and convenient working conditions.
Access ramps shall be properly sloped and graded, and embankment shall be properly shored/supported.
Both sides of access ramps shall be installed with a concrete barrier for fall protection.
Access roads shall be maintained by proper grading, backfilling, and compaction of heavily degraded
portions. Continuous water spraying shall be done to prevent dust formation, which is hazardous to
everyone’s health.

5.1 Dewatering Works

The dewatering works shall be kept operational to ensure that the water level on-site is 1m below
existing/finished grade levels and the site is in dry conditions at all times during the construction activities
as a minimum, in compliance with Dewatering of the Project Specifications.

The construction site is to have an existing permanent dewatering works design that will be utilized
throughout the execution of the works.

5.2 Third-Party Testing

Test for Suitability of excavated materials as per ASTM D2487-98: Standard Classification of Soils for
Engineering Purposes and BS 1377: Method of Test for Soils for Civil Engineering Purposes will also be
done.

6. Risk Assessment

Risk Assessment is attached as Appendix B of this document.

7. Health and Safety

All Risks are evaluated before any work commencing utilizing the matrices to determine the level of
significance in terms of likelihood of occurrence and severity of hazard based on the allocated numerical
values.

Refer to the Appendices for the risk assessment matrix and full and detailed Risk Assessments.

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8. Environment Issues

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9. Quality Issues

9.1 Inspection, Test, and Sampling of Method Statement for Excavation (Open-cut excavation up
to formation level)
Request for Inspection and Testing will be submitted prior to and after the execution of works.

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9.2 Quality Assurance Requirements Table

Ensure that work is executed as per the approved shop drawing, method statement for excavation, and
records are generated referring to approved ITP. TPL shall carry out all testing in the presence of the
Contractor’s QC Team.
Best management practices shall also be considered, which may be stated by the product manufacturer
or suppliers.

Authority requirements will take precedence over all requirements if authority approval is to be secured.

For non-authority approval activities, approved latest project specifications will take precedence.

It is to be ensured that regular toolbox training related to work quality is conducted and records are
maintained.

The construction department to ensure that the next backfilling shall not proceed until TPL completes
testing of the preceding layer. Only the latest controlled copies of documents, including drawings, forms,
checklists, etc., shall be used for work execution.

10. List of Appendices – Method Statement for excavation (Open-cut excavation up to formation
level)

Appendix A: Risk Assessment

Appendix B: Inspection and Test Plan (ITP)

Appendix C: STARRT CARD

Appendix D: Dewatering Layout for each Tower Site

Appendix E: As-built & Excavation/Formation Level” DrawingsWe have been using these templates in
most of the projects that I am involved with. (qaqcconstruction.com recommends)