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

Description No. of Units Applications

Excavator with Bucket 1 Loading of Excavated Materials

Excavator with Hammer 1 Excavation Works

Dump Trucks 2 Hauling of Excavated Materials

Wheel Loader 1 Loading of Excavated Materials

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 Construction

Leica NA2 Automatic Level 1 Levelling

CAT Scanner & Genny 1 Locating Existing Services

2.2 Work Force

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/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.

For a complete template download this customized form here.

8. Environment Issues

For a complete template download this customized form here.

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.

For a complete template download this customized form here.

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 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” Drawings

For a complete template of Method Statement for Excavation (Open-cut

Excavation up to Formation Level) download this customized form here.