Excavation Work SWMS
Excavation for footings, services, basements, and trenching including shoring and edge protection.
SWMS variants reference your state's WHS legislation. Instant download after payment.
This SWMS covers the full scope of excavation work on Australian construction sites — trench excavation for services, bulk earthwork for site preparation and basements, rock breaking with hydraulic hammers, piling by bored, driven, and screw methods, underpinning of existing foundations, dewatering to manage groundwater, contaminated and non-contaminated soil removal, and retaining-wall construction. It is written for civil contractors, plant operators, piling crews, shoring specialists, and subcontractors engaged on residential, commercial, and infrastructure projects.
Excavation work triggers high-risk construction work categories under Schedule 1 of the WHS Regulation 2025 (NSW). Category 14 — trenching where the trench is deeper than 1.5 metres — is the defining category; trench collapse remains one of the most common construction fatality mechanisms because unsupported walls fail without warning, burying workers in seconds. Category 13 — use of powered mobile plant — applies across excavator, loader, and piling rig operation. Category 6 applies to structural alterations requiring temporary support during underpinning. Category 18 applies to work near powered mobile plant on civil sites. Section 299 of the WHS Regulation requires a SWMS before HRCW commences.
Hazards identified
12 hazards covered, sorted by priority.
Fatal asphyxiation within three minutes under collapsing soil; most trench fatalities occur in excavations under 2 metres deep where crews perceive low risk.
Electrocution from unidentified electrical cable, flood from water main, or explosion from gas main struck by excavator bucket or hand digging without service location.
Fatal crush or strike from excavator slew, truck reversing, or piling rig movement in shared ground space without segregation or spotter control.
Drowning, hypothermia, and wall undermining from uncontrolled surface or groundwater, particularly in tidal or high-water-table locations.
Fatal burial from spoil stacked within the influence zone of the excavation or from stockpile collapse during handling.
Fractures, head injury, and fatal fall from workers or the public entering or slipping into an unprotected excavation exceeding 1.5 metres.
Fatal crush or strike from an unstable rig on soft ground, or from tendon and reinforcement failure during the concrete-placement phase of CFA or bored piles.
Exposure to asbestos fibres, hydrocarbons, heavy metals, or bioaccumulated contaminants during excavation on former industrial, fuel-station, or landfill sites.
Acute and chronic silicosis from inhalation of RCS generated during hydraulic hammer operation, auger drilling, and rock breaking without suppression.
Permanent hearing loss, hand-arm and whole-body vibration syndrome from sustained operation of excavators, rigs, and rock breakers.
Lumbar disc injury and shoulder strain from handling heavy timbers, hydraulic shores, and trench-box components during install and removal.
Fatigue-driven shortcutting of shoring, service-location, and exclusion-zone controls when daily excavation targets drive schedule pressure.
Control measures
Hierarchy-of-controls order: elimination → substitution → isolation → engineering → administrative → PPE.
- 1Eliminate the need to enter trenches wherever practicable — install services from above using trenchless methods (directional drilling), pre-fabricate pipework at the surface, or use remote-operated plant.
- 2Before any ground disturbance, complete a Before You Dig Australia (BYDA) lookup for every service owner and obtain current plans. Pothole by hand or with non-destructive hydro-excavation to positively locate services before mechanical digging.
- 3For trenches deeper than 1.5 metres, walls are battered to the soil angle of repose, benched, or shored per AS 2200 and the Excavation Work Code of Practice. A competent person (as defined under WHS Regulation r298) signs off the shoring design before entry.
- 4Geotechnical assessment of ground conditions before bulk excavation and retaining work. Soil classification governs the shoring design — cohesive, granular, or disturbed soils require different treatment.
- 5Spoil piles kept at least 1 metre clear of the excavation edge, or at the distance required by the geotechnical assessment — whichever is greater. No stockpiling of plant, materials, or vehicles within the influence zone.
- 6Traffic management plan segregating plant from pedestrian and ground-worker zones. Spotters used for reversing plant and for any time a worker must enter the slew radius of an excavator. Audible reverse alarms and flashing beacons on all mobile plant.
- 7Edge protection on all excavations deeper than 1.5 metres. Perimeter fencing on multi-day excavations; physical barriers around open holes at all times outside working hours. Warning signage at the approach.
- 8Contaminated-soil controls: site history review, pre-excavation sampling where a former industrial or fuel-storage use is possible, and an asbestos inspection of any soil known or suspected to contain fill. Class A or Class B licensed removalist engaged where asbestos is confirmed.
- 9Dust controls for rock breaking, drilling, and truck loading: water suppression at the point of generation, wheel wash and covered loads for haul trucks, and respiratory protection (P2 minimum) for operators outside enclosed cabs.
- 10Dewatering plan for excavations below the water table: well-pointing, spear-point, or submersible pumps as appropriate. Discharge quality managed against POEO Act requirements — sediment basins or filtration before release to stormwater.
- 11Piling rig operation: documented pad design, tyre-pressure and track-bearing assessment for the pad, outriggers extended and pinned where applicable, and load charts available at the operator position. Rig operator holds the relevant high-risk work licence.
- 12Underpinning follows an engineered sequence — alternate-bay excavation, temporary propping of the existing foundation, rapid concrete placement, and cylinder-strength verification before the adjacent bay is opened. A structural engineer signs off the sequence.
- 13PPE baseline: high-visibility clothing (AS/NZS 4602.1), hard hat, safety footwear (AS/NZS 2210.3), safety glasses, hearing protection near plant, gloves, and P2 respirator where dust cannot be suppressed to below the WES.
- 14All operators hold the relevant high-risk work licence (LE, LB, LF, CN, CT as applicable). Ground workers hold a valid White Card (CPCCWHS1001). Dogman and rigger tickets for lifting operations.
- 15Psychosocial controls per WHS Regulation 2025 r55A-55D: realistic daily depth and volume targets, a documented stop-work right where ground conditions change or services are uncertain, and scheduled breaks from vibrating plant.
- 16Conduct a daily pre-start toolbox talk covering ground conditions, identified services, exclusion zones, traffic plan, and weather. Record attendance.
Applicable Codes of Practice
Primary binding guidance for trench, bulk, and underpinning excavation including shoring design, spoil management, and service-strike prevention.
Baseline for HRCW categorisation, SWMS content, and principal contractor interaction.
Governs the risk-assessment methodology applied across the excavation scope.
Applies when excavation disturbs asbestos-contaminated fill or buried cement-sheet pipe.
Applies to plant and rock-breaker operation which routinely exceeds the daily exposure standard.
Technical standard referenced for trench shoring design and pipe loading.
High-Risk Construction Work triggered
Service trenching, bulk basement excavation, and utility work routinely exceed 1.5 metres.
Excavators, rigs, rock breakers, compactors, and truck operations are core to the scope.
Service trenching in roadways and utility work near rail corridors is common civil scope.
Because excavation work routinely triggers multiple HRCW categories, Section 299 of the WHS Regulation 2025 (NSW) requires the SWMS to be prepared before work commences, kept available on site for inspection, reviewed and updated if the work changes, and provided to the Principal Contractor on request. Failure by a PCBU to prepare or maintain a current SWMS for HRCW is an offence under Section 300; maximum penalty for a body corporate is $36,000 per offence and $7,200 for an individual. Where excavation disturbs contaminated land the PCBU also has duties under the Contaminated Land Management Act 1997 (NSW).
Who this is for
- →Civil contractors and earthworks subcontractors engaged on residential, commercial, or infrastructure projects.
- →Excavator, loader, and piling-rig operators holding the relevant high-risk work licence.
- →Shoring specialists and trenchworkers installing trench boxes or hydraulic shores.
- →Underpinning and retaining-wall contractors working on structural support packages.
- →Site supervisors and WHS leads reviewing excavation subcontractor SWMS during pre-start.
What you receive
- ✓Editable Microsoft Word document (.docx, Word 2016 or newer compatible).
- ✓Title page with PCBU name, ABN, site address, project, and revision date fields.
- ✓Signed approval block for PCBU, Principal Contractor, and nominated excavation supervisor.
- ✓Hazard register with the 12 hazards above, each with consequence, inherent risk, controls, and residual risk scored on a 5x5 matrix.
- ✓Hierarchy-of-control measures cross-referenced to WHS Regulation sections and the Excavation Work Code of Practice.
- ✓Service-location register template with BYDA reference, pothole method, and depth confirmation.
- ✓Consultation record for HSR sign-off and worker input per Section 47 of the WHS Act.
- ✓Worker sign-on register for daily acknowledgement with space for high-risk work licence records.
- ✓Legislation schedule pre-populated for NSW with variance table for VIC, QLD, SA, WA, TAS, NT, ACT.
- ✓Emergency contacts, trench-rescue procedure, and review-and-update log.
Worked example
A four-person excavation crew — one excavator operator, one pipelayer, one labourer, and one site supervisor — is subcontracted to install 80 m of 150 mm sewer main at 2.1 m depth for a new townhouse development in Rouse Hill. The trench runs close to two Sydney Water assets (sewer and water), one Jemena gas main, and one Ausgrid LV cable. The supervisor completes this SWMS: the trench depth triggers HRCW Category 14 and requires a trench box; the service congestion triggers a pothole-and-confirm protocol before mechanical digging; the excavator slew triggers a spotter and exclusion zone. The SWMS is signed, the BYDA plans and the engineer-stamped shoring design are filed on site, and the crew acknowledges. On day two the clay strata change to wet silty sand and the competent person upgrades the trench-box length; the SWMS review record captures the change before work resumes.
Related legislation
- Work Health and Safety Act 2011 (NSW) — Section 19 primary duty; Section 27 officer due diligence; Section 47 worker consultation.
- WHS Regulation 2025 (NSW) — r. 298-300 (SWMS); r. 304-306 (excavation specific requirements); r. 55A-55D (psychosocial); r. 215 (high-risk work licences).
- Contaminated Land Management Act 1997 (NSW) — excavation of contaminated land.
- Protection of the Environment Operations Act 1997 (NSW) — dewatering discharge and sediment control.
- Roads Act 1993 (NSW) — works within the road reserve.
- Sydney Water Act 1994 (NSW) and equivalent state legislation — service crossings.
Frequently asked questions
Does this SWMS cover contaminated-land excavation?
Yes. The document addresses site history review, pre-excavation sampling, and asbestos-in-soil handling. Where contamination is confirmed, the work becomes regulated under the Contaminated Land Management Act 1997 (NSW) with notification and remediation plan obligations in addition to the SWMS.
Is piling covered?
Yes. Bored, driven, and screw piling hazards including rig stability, pad design, and tendon placement are included. For specialised piling methods such as secant wall, diaphragm wall, or sheet-pile, a project-specific addendum aligned to the engineer's methodology is recommended.
Can I use this SWMS in Victoria?
You can use it as a starting point. Victoria operates under the OHS Act 2004 and OHS Regulations 2017, and excavation is regulated under Part 5.3. Update the legislation schedule and cite WorkSafe Victoria Compliance Codes — including the Excavation Compliance Code — in place of SafeWork Australia Codes of Practice.
Does the SWMS include a trench-rescue procedure?
Yes. A trench-rescue procedure is included referencing do-not-enter protocols for rescuers without shoring certification, first-aid and 000 contact, and preservation of the scene for investigation. It is not a substitute for trained confined-space or trench-rescue personnel.
How often does this SWMS need to be reviewed?
Review whenever the work or hazards change materially — change of ground conditions, new service information, depth increase, or weather event — and after any incident or worker concern. At minimum, every 12 months and at the start of each project.
Is this SWMS compliant with the 1 July 2026 Section 26A changes?
Yes. From 1 July 2026, 34 approved Codes of Practice become legally binding under Section 26A of the amended WHS Act. This SWMS cites the currently-approved Codes that will become binding — Excavation Work, Construction Work, How to Manage WHS Risks, Asbestos, and Managing Noise. No amendment is required for the 2026 transition.
Document details
Other SWMS Templates
Need something custom?
Build a site-specific SWMS from scratch using the SWMS Builder. Select your trade, add your site details, and generate a compliant document in minutes.
Open SWMS Builder →