Method Statement For Excavation (Open-cut Excavation up to Formation Level) [Template]

method statement for excavation

What is the method statement for excavation (Open-cut excavation up to formation level)?

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.

Excavation process in construction project involves:

  1. Take level and benchmarks

    Prior to start the excavation works, the Surveyor will verify the current excavation level and benchmarks by taking the As-built Survey and furnish the site team for their reference.

  2. Clearing of area prior to excavation

    The area to be excavated shall be free and cleared of any materials stored related to other package might hinder continuous and smooth working environment. All these materials shall be removed and transferred out of the border of 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. Survey monitoring of the formation level

    The works shall be closely monitored by Surveyor to ensure that the required formation level will be reached and avoiding any over excavation.

  5. Hauling of the excavated materials

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

  6. Finalization of the formation level

    The final 0.5m of rock layer before reaching the formation level shall be excavated using light jack hammers 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 inspection of consultant will be removed and will be backfilled with C30 Concrete or suitable soil materials in accordance with the approved method statement.

  7. Checking of the formation level by Surveyor

    The formation level shall be checked by Surveyor once the excavation is done in accordance with 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 approved Method Statement for Backfilling Works using C30 Mass Concrete or suitable soil materials (for over excavated areas and unsuitable soil/surface).

  8. Trimming of the excavation side slope

    The final excavation level shall be levelled and shall be free from any loose/soft materials. Side slopes of the excavation shall be trimmed. Area will be clean and free from debris, deleterious materials and any unsuitable soil/surface as defined in project specifications.

  9. Accessibility/restriction of the excavated area

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

  10. Maintenance of the access routes to excavated area

    Maintenance of access ramps and access routes shall be done periodically for easy and convenient working condition. Access ramps shall be properly sloped, graded and embankment shall be properly shored/supported. Both sides of access ramps shall be installed with 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.

Method Statement For Excavation (Open-cut Excavation up to Formation Level) [Template]

1. Description of Works

1.1. Introduction

This method statement for excavation defines the sequence and control procedures to be followed for Excavation Works (Open Cut Excavation up to Formation Level) for xxxxxxx project. This method also provides practical guidance to manage health and safety risks associated with excavation activity.

1.2. Definitions
xxxxxx Developer / Client
xxxxxx Project Management
xxxxxx Supervising Consultant
xxxxxx Main Contractor
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, which are 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 that 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 compliance with QA/QC Plan.

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. Will advise for Health & Safety requirements and monitor the Hazard controls implemented on site as per the Method Statement/Risk assessment.

Chief Surveyor
Carry out a pre-construction survey to fix the locations and corresponding elevations as per the approved shop drawings.
Ensure the 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 soils competent persons shall evaluate EVERY proposed excavation location before excavation starts.
Ensures that all open trenches and excavation 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 the movement of heavy equipment.

First Aider
The first aider respond promptly when requested, operate with competence, know how to secure additional help when needed, reports incidents and actions taken and comply with requirements for certification.

CAT Scan Operator
The CAT (Cable Avoidance Tool) operator is responsible to locate all existing services so that they can be avoided.

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

DescriptionNo. of UnitsApplications
Excavator with Bucket1Loading of Excavated Materials
Excavator with Hammer1Excavation Works
Dump Trucks2Hauling of Excavated Materials
Wheel Loader1Loading of Excavated Materials
Water Trucks1Dust Control
Generators1Power Supply
Mobile Lighting TowersAs per Site RequirementsLightings
Leica TS 15m Total Station1Setting Out for Construction
Leica NA2 Automatic Level1Levelling
CAT Scanner & Genny1Locating Existing Services

2.2 Work Force

DesignationNo. of Persons
Project Manager1
Construction Manager1
Temporary Works Manager/Supervisor1
Site Engineers2
Site Supervisors2
Foreman2
Surveyor1
Survey Aide2
Soil Competent Person1
QA/QC Engineer1
Permit Officer1
Safety Officer1
First Aider1
Equipment Operator5
Rigger1
Flagman2
Spotter2
Checker1
Laborer6
CAT Scan Operator1

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/Plan/Documents.
  • Permits from the concerned authority shall be obtained prior to start 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 make sure that access roads are always clear from any obstruction and site is always accessible.
    Provision of access and egress such as ladders, steps, ramps, or other safe means of egress and be with 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.
  • Prior to the commencement of work all materials, plants, and equipment will be checked to ensure that 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 pins and locking pins.
  • All task and indicator lighting is in working order.
  • Plant Mobile plants to be fitted with a reverse alarm, flashing beacon, and to be maintained in working condition.

4.2 Site Clearance

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

4.3 Traffic Management

  • The Site Team with the assistance of the Safety Officers shall coordinate logistics and materials movement through site following the direction and road signs displayed on site. The required diversion routes shall be marked on drawings including the required traffic signs.
  • 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 Sub-contractor starts on the project.
  • Method statement and Risk Assessment to be briefed to all construction team before the activity start.
  • 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 out of the border of 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, as well as to 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 at least 1.2m. Where night-time pedestrian or vehicle access is adjacent to excavation, then all solid barriers will be fitted with warning lights.

Prior to start, the excavation works, the Surveyor will verify the current excavation level by taking the As-built Survey and furnish the site team for their reference.

The works shall be closely monitored by Surveyor to ensure that the required formation-level will be reached and avoiding any over-excavation.

Excavation works shall be done as follows:

Excavation will be carried out using a combination of excavators with hydraulic rock breaking hammers.

Number of equipment within the combination will be deployed in 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.

Contractor to use multiple excavators and breaking hammer (if required) to adhere to the programme of works provided HSE rues are adhered to.

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

The contractor shall establish a maintenance scheme considering numerous equipment to be utilized for the project. Pre-inspection, repairs, greasing, and refueling activities shall be done on 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 only to the approved disposal area directed by the Consultant.

Precautions shall be practiced while loading excavated materials since overloading might happen that will be dangerous during transportation. Loading shall be strictly monitored and ensure all dump trucks/tipper trailers will only carry as per 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. To control the weights being loaded on each truck, a weighbridge shall be in place.

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 “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 per trip all dump trucks loaded/leaving from the hauling area and a separate recording will be done while dumping on the temporary stockpile/storage area in order 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 the summer period.

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 not to exceed the top level of the hopper 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 Dump Box shall not be deteriorated to prevent falling of materials while entering the main road. Prior to moving out on the excavation area, all trucks will drive across a 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 on 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.

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 the material in layers and give the area 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.

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 the inspection of the consultant will be removed and will be backfilled with C30 concrete or suitable soil materials in accordance with the approved Method Statement.

The formation level shall be checked by Surveyor once the excavation is done in accordance with 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 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 passage of vehicles or other detrimental factors shall be repaired by the Contractor at no extra cost, and to the approval of the Engineer.

Maintenance of access ramps and access routes shall be done periodically for easy and convenient working conditions. Access ramps shall be properly sloped, 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 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.

Construction site to have 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 be done also.

6. Risk Assessment

Risk Assessment is attached as Appendix B of this document.

7. Health and Safety

All Risks are evaluated prior to any works commencing utilising 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 for 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 approved shop drawing, method statement and records are generated referring to approved ITP. All testing shall be carried out by TPL in the presence of Contractor’s QC Team.

Best management practices shall also be considered which may be stated by product manufacturer or suppliers.

Authority requirement will take precedence over all requirements in case authority approval is to be secured.

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

It is to be ensure that regular tool box trainings related work quality are conducted and records are maintained.

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

10. List of AppendicesMethod 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” Drawings

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