SWMS template · Excavation & Earthworks
General Excavation — Safe Work Method Statement
Safe Work Method Statement for excavation work using mechanical plant (excavators, backhoes) and hand tools. Applicable to excavations deeper than 1.5 metres or where underground services or adjacent structures are present.
Last reviewed
- Category
- Excavation & Earthworks
- HRCW
- 3 categories
- Job steps
- 4
- Hazards rated
- 7
- PPE items
- 6
General excavation is HRCW under regulation 291 of the model WHS Regulations where the excavation is of a trench, pit, tunnel, or shaft more than 1.5 metres deep and a person could be trapped by the collapse of the ground. This threshold is low — most construction excavations meet it — meaning a SWMS is mandatory for the vast majority of mechanical excavation work on Australian construction sites. The Safe Work Australia Model Code of Practice: Excavation Work is the primary reference document.
There are no specific HRW licences required for operating an excavator in Australia (excavators are excluded from the HRW plant licence framework). However, excavator operators must be trained and assessed as competent in operating the specific machine, and this competency obligation under the model WHS Act is enforceable. On larger commercial sites, principal contractors typically require documented competency evidence (such as a verification of competency) and current service and maintenance records for the machine.
The two most significant excavation hazards are ground collapse and striking buried services. Ground collapse in unsupported excavations — particularly in sandy or cohesionless soils, saturated ground, or ground surcharge by adjacent plant or materials — can occur without warning and can bury a person within seconds. Shoring, battering, or benching to an engineer-approved design is required for excavations deeper than 1.5 m. The specific shoring method must be determined based on a geotechnical assessment and the loads from adjacent structures, plant, and materials.
Before You Dig Australia (byda.com.au) must be contacted and service plans obtained before any excavation. Potholing by hand within 500 mm of indicated services is mandatory. Striking a live HV cable or gas main during excavation can cause fatalities instantly.
Customise this template with the excavation dimensions, the soil type assessment, the shoring or battering design, the Before You Dig Australia reference number, and adjacent structure setbacks. This SWMS applies in all Australian states and territories.
Important: This SWMS template is a starting point only. Review and customise it for your workplace and task. The PCBU remains responsible for ensuring the SWMS is suitable for the work. Not legal advice.
High Risk Construction Work Types
- Work in or near a shaft or trench deeper than 1.5 metres, or a tunnel
- Work on, in or adjacent to a road, railway or other traffic corridor in use by traffic
- Work in an area with movement of powered mobile plant
Personal Protective Equipment
- Hard Hat
- High Visibility Vest
- Safety Boots (Steel Capped)
- Safety Glasses
- Gloves
- P2 Dust Mask (when dry conditions)
Risk Assessment
RatingsCatastrophicHighModerateLow
Step 1Underground service location and site preparation
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Striking underground services (electrical, gas, water, communications) | Catastrophic | Obtain Before You Dig Australia (BYDA) plans. Use cable and pipe locator. Hand-dig trial holes to confirm service locations. Mark all services with spray paint and flags. No machine excavation within 300 mm of located services. | Moderate | Excavation Contractor / Site Supervisor |
| Struck-by incident involving mobile plant | Catastrophic | Establish and barricade exclusion zone around operating plant. No pedestrians within swing radius of excavator. Spotter required when operating near workers. Two-way communication between operator and spotter. | Low | Plant Operator / Spotter |
Step 2Excavation using mechanical plant
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Cave-in or trench collapse burying workers | Catastrophic | Geotechnical assessment of soil type required for excavations >1.5 m. Benching, battering or trench shoring installed to engineer-specified design. No workers in unshored trench >1.5 m deep. Daily inspection by competent person. | Moderate | Site Supervisor / Competent Person |
| Overloading of excavation spoil causing edge failure | High | Spoil stockpiled minimum 1 m from excavation edge. Excess spoil removed promptly by truck. No heavy plant or vehicles within setback distance specified in geotechnical assessment. | Low | Plant Operator / Site Supervisor |
Step 3Worker entry into excavation
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Fall into excavation during entry or egress | High | Install ladder at maximum 9 m intervals. Barricade perimeter when unattended. No jumping in or out of excavation. Ladder extends 1 m above entry point. | Low | All Workers |
| Engulfment by sudden inrush of water or liquids | Catastrophic | Check weather forecast before entry. Monitor for groundwater intrusion. Install sump pumps where required. Pre-plan escape route. Supervisor to maintain visual contact with workers in excavation. | Moderate | Site Supervisor |
Step 4Backfill and compaction
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Compaction plant operator in proximity to excavation edge | High | Backfill in layers not exceeding 300 mm. Compactor operator to maintain safe distance from edge. Inspect shoring for displacement during backfill operations. | Low | Plant Operator / Site Supervisor |
Relevant Codes of Practice
Worker Acknowledgement
By signing below, I confirm that I have read, understood and agree to comply with this Safe Work Method Statement.
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