Pool Excavation SWMS
Excavation of in-ground swimming pool void using excavator and bobcat, including site setout, dial-before-you-dig service location, soil retention, spoil management and trucking, dewatering if required, formation of pool floor base.
SWMS variants reference your state’s WHS legislation. Instant download after payment.
Swimming pool excavation covers the excavation of the pool void in pool construction — excavating, shaping and preparing the hole for an in-ground swimming pool, including the over-dig for access and the disposal of spoil. It is the first major stage of pool construction and carries the defining hazards of excavation: the collapse of the excavation walls, striking underground services, the movement of excavation plant around workers, and the open excavation as a fall and access hazard. This document is written on the basis that pool excavation is carried out by competent operators with the excavation, services, plant and fall controls in place.
Pool excavation is carried out in connection with the excavation work Code of Practice, with the ground assessed, the excavation supported against collapse where required, existing underground services located and protected before digging, and the excavation plant and workers separated. Where the excavation is deeper than 1.5 metres it is high risk construction work requiring a SWMS. The excavation collapse, the services, the plant movement, and the open excavation are the defining hazards. This document coordinates the excavation, services, plant and fall controls so the pool excavation is carried out safely.
Hazards identified
9 hazards covered, sorted by priority.
Burial and crush injury, potentially fatal, from collapsing excavation walls
Electrocution, gas release or service damage where services are not located
Crush and run-over injury from excavator and plant movement
Falls into the open pool excavation
Burial of persons working in an unsupported excavation
Instability and collapse from poor ground or groundwater
Collapse or fall from spoil and loads stored near the edge
Service strikes from underground and overhead services
Hearing damage and dust exposure from the excavation
Control measures
Hierarchy-of-controls order: elimination → substitution → isolation → engineering → administrative → PPE.
- 1Engineering: assess the ground and support the excavation against collapse where required — benching, battering or shoring — to the excavation work Code of Practice, and do not allow persons into an unsupported excavation that requires support.
- 2Engineering: maintain plant-and-pedestrian separation around the work with a spotter, and exclude workers from the operating plant and its hazard zone.
- 3Engineering: locate, prove and protect existing underground services before digging using plans, Before You Dig Australia information, a service locator and potholing, and identify and maintain clearance from overhead services.
- 4Engineering: prevent falls into the open excavation with barriers and edge protection, and provide safe access into and out of the excavation.
- 5Engineering: keep spoil and materials back from the excavation edge so they do not surcharge the wall or fall in, and manage groundwater and poor ground conditions.
- 6Engineering: control noise and dust from the excavation, and use mechanical means rather than persons in the excavation where practicable.
- 7Administrative: where the excavation is deeper than 1.5 metres, prepare a SWMS for the high risk construction work before it commences.
- 8Administrative: all workers must hold a valid White Card (General Construction Induction Training, CPCCWHS1001), with the pool-construction, plumbing, electrical, gasfitting, confined space and any other competencies and licences required for the work.
- 9Administrative: conduct a pre-start toolbox talk covering the day's work, identified hazards, isolations, required PPE and emergency procedures, and record attendance in the consultation section.
- 10Administrative: consult workers and any health and safety representatives on the work and its risks, record the consultation, and keep this document available at the workplace.
- 11PPE: eye protection to AS/NZS 1337.1, hearing protection where required, gloves appropriate to the task, high-visibility clothing, and Class I or Class II safety footwear with protective toecap to AS/NZS 2210.3.
- 12Administrative: review and update this SWMS whenever the work scope changes, after any incident or near miss, when a worker or health and safety representative raises a concern, when new hazards are identified, or at minimum every 12 months.
- 13Administrative: ensure each part of the work is carried out by the appropriately licensed or competent person — pool builder, licensed plumber, licensed electrician and licensed gasfitter as relevant — under the applicable state or territory licensing scheme, with compliance certification where required.
Applicable Codes of Practice
Trenching and excavation controls including support against collapse, ground assessment and existing services.
The general construction work duties for the pool construction site.
Controls for the plant and equipment used in the work, including guarding and safe operation.
The risk management process and hierarchy of controls applied to the hazards of the work.
High-Risk Construction Work triggered
Pool excavation is frequently deeper than 1.5 metres, which is high risk construction work requiring a SWMS before the work commences.
This is licensed pool-construction, plumbing, electrical or gas work that, in the circumstances described, is high risk construction work — in or near a shaft or trench with an excavated depth greater than 1.5 metres — so a SWMS must be prepared before the work commences, kept readily accessible, reviewed as necessary, and given to the principal contractor if one is appointed. The work is carried out to the relevant pool safety standards AS 1926.1, AS 1926.2 and AS 1926.3, and the relevant electrical, plumbing, gas and excavation requirements, which are called up by the relevant legislation, with the controls for the specific hazards applied. A failure in this work can cause serious injury, drowning, burial, electrocution or chemical harm, and breaches of the relevant legislation and the primary duty of care under the model WHS Act are actively enforced, with offence categories running from failure-to-comply through to reckless conduct, and the most serious breaches carrying imprisonment for individuals. Body-corporate maxima are substantial and indexed; the current maximum follows the prevailing schedule of the responsible regulator.
Who this is for
- →Pool builders and excavation operators excavating pools.
- →Pool construction and earthworks contractors.
- →Excavation and plant operators on pool sites.
- →Pool construction businesses and PCBUs.
- →PCBU safety managers and supervisors coordinating the excavation, services and plant controls.
What you receive
- ✓Editable Microsoft Word document (.docx) fully compatible with Microsoft Word 2016 and newer, Google Docs, and LibreOffice Writer.
- ✓Title page with editable fields for PCBU name, ABN, site address, project name, principal contractor details, and document revision date.
- ✓Hazard register with the swimming pool excavation hazards — each with a documented consequence, inherent risk rating on a 5x5 likelihood-consequence matrix, hierarchy-of-control measures, and residual risk rating.
- ✓Pool excavation prompts referencing the excavation Code of Practice, a ground-support and collapse section, a services-location and plant-separation section, and an open-excavation fall record.
- ✓Licensing, competency and permit prompts for the pool-construction, plumbing, electrical, gasfitting and any specialist work, and a respiratory protection selection and fit-test record per AS/NZS 1715 where relevant.
- ✓Worker consultation record per the model WHS Act consultation duty and a worker sign-on register (blank, expandable).
- ✓Applicable legislation and Codes of Practice schedule pre-populated for the model WHS jurisdiction with a state-variance reference table covering the harmonised states, plus Victoria.
- ✓Emergency procedure template and a revision log.
Worked example
A pool builder is engaged to excavate the void for an in-ground swimming pool. The ground is assessed and the excavation supported against collapse where required — benching, battering or shoring — to the excavation work Code of Practice, and persons are not allowed into an unsupported excavation that requires support. Existing underground services are located, proved and protected before digging using plans, Before You Dig Australia information, a service locator and potholing, and clearance maintained from overhead services. Plant-and-pedestrian separation is maintained with a spotter, and workers excluded from the operating plant. Falls into the open excavation are prevented with barriers and edge protection, and safe access provided. Spoil is kept back from the edge, and groundwater and poor ground conditions managed. Because the excavation is deeper than 1.5 metres, a SWMS is prepared for the high risk construction work. Noise and dust are controlled. The excavation is completed safely, and the records retained.
Related legislation
- Model Work Health and Safety Act — primary duty of care; the duty to consult workers; the reckless-conduct offence; and notifiable-incident provisions, as enacted in each jurisdiction.
- Model Work Health and Safety Regulations — Section 291 high risk construction work and the SWMS preparation and review duties, and the excavation, confined space and electrical provisions where applicable, as enacted in each jurisdiction.
- The swimming pool safety standards AS 1926.1, AS 1926.2 and AS 1926.3, the electrical Wiring Rules AS/NZS 3000, the plumbing and drainage standards AS/NZS 3500, AS/NZS 5601.1:2022 for gas, and the hazardous chemicals and silica requirements, are called up by the relevant building, plumbing, electrical, gas and safety legislation, together with the National Construction Code and local council requirements.
- Pool construction, plumbing, electrical and gasfitting work is licensed under each state and territory's licensing schemes, with electrical work carried out by a licensed electrician and gas work by a licensed gasfitter, and compliance certification required for notifiable work; pool safety barrier requirements apply under state and territory pool-safety laws.
- Victoria operates under the Occupational Health and Safety Act 2004 and the Occupational Health and Safety Regulations 2017, with the high risk construction work, excavation, confined space and electrical provisions applying in place of the model instruments.
Frequently asked questions
Is pool excavation high risk construction work?
Pool excavation is frequently deeper than 1.5 metres, and work in or near a trench or shaft deeper than 1.5 metres is high risk construction work requiring a SWMS before the work commences. The excavation is supported against collapse, services located first, and the SWMS prepared where the depth triggers it.
How is excavation collapse prevented?
The ground is assessed and the excavation supported against collapse where required — benching, battering or shoring — to the excavation work Code of Practice, and persons are not allowed into an unsupported excavation that requires support. Supporting the excavation and keeping persons out of unsupported excavations prevents burial from a collapse.
How are underground services protected?
Existing underground services are located, proved and protected before digging using plans, Before You Dig Australia information, a service locator and potholing, and clearance is maintained from overhead services. Locating and protecting services before digging prevents a strike on an electrical, gas or other underground service.
How is plant kept clear of workers?
Plant-and-pedestrian separation is maintained with a spotter, and workers are excluded from the operating excavation plant and its hazard zone. Separating the excavation plant from workers prevents crush and run-over injury from the excavator and plant movement on the pool site.
Who carries out pool excavation?
Pool excavation is carried out by competent pool builders and excavation operators in connection with the excavation work Code of Practice, with the excavation, services, plant and fall controls, and a SWMS where the depth exceeds 1.5 metres. The excavation is supported and services located before digging.