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Deep Excavation (over 1.5m) and Ground Stability Risk Assessment

Deep Excavation (over 1.5m) and Ground Stability Risk Assessment

  • • 100% Compliant with Australian WHS Acts & Regulations
  • • Fully Editable MS Word & PDF Formats Included
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  • • Includes 2 Years of Free Compliance Updates

Deep Excavation (over 1.5m) and Ground Stability Risk Assessment

Product Overview

Identify and control organisational risks associated with deep excavations over 1.5 metres and ground stability through a structured, management-level WHS Risk Management framework. This Risk Assessment supports compliance with the WHS Act, strengthens Due Diligence for Officers and PCBUs, and helps protect your business from operational and legal liability arising from excavation-related failures.

Risk Categories & Hazards Covered

This document assesses risks and outlines management controls for:

  • WHS Governance & PCBU Duties: Assessment of organisational responsibilities, consultation arrangements, and due diligence processes for managing deep excavation and ground stability risks.
  • Geotechnical Investigation & Ground Assessment Systems: Management of geotechnical investigations, soil classification, ground condition verification, and approval workflows before excavation commences.
  • Excavation & Ground Support Design Management: Oversight of engineering design, shoring and benching systems, design verification, and change control for excavation support structures.
  • Dewatering & Groundwater Control Management: Assessment of groundwater risks, dewatering strategies, pumping systems, and monitoring controls to prevent instability and base heave.
  • Adjacent Structures & Underground Services: Management of risks to nearby buildings, retaining walls, utilities and buried services, including survey, isolation, and protection strategies.
  • Plant & Vehicle Movements Near Excavation Edges: Control of mobile plant operations, exclusion zones, loading limits, and traffic management plans to minimise surcharge loading and collapse risk.
  • Edge Protection, Access Control & Fall Prevention: Protocols for guardrails, barricades, signage, controlled access points, and safe means of entry and exit to deep excavations.
  • Inspection, Monitoring & Change Management: Systems for formal inspections, monitoring of ground movement, trigger action response plans (TARPs), and escalation when conditions change.
  • Environmental & Weather Impact Management: Assessment of rainfall, flooding, vibration, and other environmental factors that may affect ground stability and excavation safety.
  • Contractor Management & Specialist Competency: Prequalification, selection and oversight of contractors, geotechnical engineers, and other specialists involved in deep excavation work.
  • Training, Competency & Information: Requirements for competency verification, task-specific training, and communication of ground stability hazards to workers and supervisors.
  • Site Layout, Pedestrian Safety & ST&F Controls: Planning of site layout, pedestrian routes, lighting, housekeeping and controls for slip, trip and fall risks around excavation zones.
  • Emergency Preparedness & Incident Response: Development of emergency plans, rescue arrangements, collapse response procedures, and coordination with emergency services.
  • Documentation, Records & Continuous Improvement: Management of permits, inspection records, design documentation, incident reports, and review processes to drive ongoing improvement in excavation controls.

Who is this for?

This Risk Assessment is designed for Business Owners, Project Managers, Construction Managers and Safety Professionals responsible for planning, approving and overseeing deep excavation and ground stability management on construction and civil works sites.

Hazards & Risks Covered

Hazard Risk Description
1. WHS Governance, Duties and PCBU Responsibilities for Excavations
  • • Lack of clear allocation of WHS duties for excavation and ground stability under WHS Act 2011 and WHS Regulations
  • • Inadequate consultation, cooperation and coordination between PCBUs on multi‑PCBU excavation sites
  • • Failure to recognise excavations deeper than 1.5 m as high‑risk construction work requiring specific risk management and SWMS
  • • Inadequate resourcing for competent design, supervision and inspection of deep excavations and ground support systems
  • • Insufficient management oversight of excavation planning, approval and review processes
  • • Poor integration of excavation and ground stability risks into the overall WHS management system
2. Geotechnical Investigation and Ground Condition Assessment Systems
  • • Inadequate or no geotechnical investigation prior to deep excavation
  • • Failure to identify potentially unsafe ground conditions such as loose fill, soft clays, collapsible soils, voids or karst features
  • • Incorrect assumptions about ground strength and behaviour in design and planning
  • • Insufficient consideration of frozen ground, seasonal variations, desiccation cracking and soil softening after rain
  • • Poor communication of geotechnical findings to designers, supervisors and workers
  • • Use of outdated, incomplete or non‑site‑specific geotechnical information
3. Excavation and Ground Support Design Management
  • • Poorly designed or undocumented shoring, bracing or retaining systems for deep excavations
  • • Design not suited to actual ground conditions, surcharge loads or groundwater pressures
  • • No allowance in design for excavation near or adjacent to existing structures and services
  • • Inadequate design for staged excavation, including deep foundation pits and benched slopes
  • • Inappropriate reliance on natural batter slopes without engineering justification
  • • Lack of design review or independent verification for high‑risk or complex excavations
4. Dewatering and Groundwater Control Management
  • • Uncontrolled groundwater inflow causing erosion, piping and loss of ground support
  • • Base heave or uplift failure due to high pore water pressure at the base of excavation
  • • Instability of excavation sides resulting from saturated or softening soils
  • • Inadequate capacity or failure of dewatering systems during heavy rainfall events
  • • Unmanaged lowering of groundwater affecting adjacent structures or ground settlements
  • • Improper discharge or management of contaminated or sediment‑laden groundwater
5. Excavation Adjacent to Existing Structures and Services
  • • Loss of ground support leading to settlement or damage to adjacent buildings, roads or buried services
  • • Uncontrolled movement of retaining walls, foundations or underground structures during excavation
  • • Inadequate identification and protection of underground and overhead services near deep excavations
  • • Excavation undermining nearby structures due to incorrect set‑backs or toe levels
  • • Lack of coordination between structural, geotechnical and services designers
  • • Failure to monitor or respond to early movement or cracking in adjacent assets
6. Management of Plant and Vehicle Movements Near Excavation Edges
  • • Vehicle or mobile plant collapse into excavation due to edge failure or over‑loading
  • • Excessive surcharge loading from stockpiles, materials or equipment near unprotected edges
  • • Insufficient separation between haul routes and excavation edges
  • • Lack of engineering assessment for crane outriggers and heavy plant operating near excavations
  • • Inadequate traffic management and exclusion zones around deep excavations
  • • Poor visibility, lighting or signage contributing to vehicle incidents at excavation edges
7. Edge Protection, Access Control and Fall Prevention Systems
  • • Falls of workers or visitors into open holes, trenches or deep foundation pits
  • • Unprotected excavated edge work leading to falls at different levels
  • • Inadequate barriers, guardrails or covers around excavations
  • • Unauthorised access to excavation areas by the public or non‑inducted personnel
  • • Insufficient control of slip, trip and fall hazards around excavation perimeters
  • • Poorly managed access ways, platforms and ladders into and out of excavations
8. Inspection, Monitoring and Change Management of Ground Conditions
  • • Failure to identify early signs of ground movement, cracking or instability
  • • No formal inspection regime for excavation walls, supports and adjacent ground
  • • Work continuing after significant weather events (e.g. heavy rain) without reassessment
  • • Uncontrolled changes to excavation geometry, depth or support systems
  • • Inadequate documentation and follow‑up of defects, damage or non‑conformances
  • • Lack of competence of personnel conducting excavation inspections
9. Environmental and Weather Impact Management on Ground Stability
  • • Rapid loss of stability in excavation walls due to heavy rain or flooding
  • • Soil softening, erosion or scouring at excavation faces and toes
  • • Unanticipated behaviour of frozen or partially frozen ground during thaw
  • • Surface water run‑off entering excavations and undermining supports
  • • Dust, mud and poor visibility contributing to slip, trip and fall events around excavations
  • • Failure to plan for seasonal conditions and extreme weather events
10. Contractor Management and Competency for Deep Excavation Work
  • • Engagement of contractors without proven experience in deep excavation and shoring systems
  • • Inadequate verification of licences, qualifications and competency for supervisors and operators
  • • Poor alignment of contractor WHS systems with PCBU excavation and ground stability requirements
  • • Lack of clarity in contract documentation about responsibilities for design, inspections and monitoring
  • • Inconsistent standards between multiple contractors working around shared excavations
  • • Failure of contractors to develop and follow project‑specific SWMS and procedures
11. Training, Competency and Information for Ground Stability Risks
  • • Workers and supervisors lacking understanding of deep excavation and ground instability hazards
  • • Insufficient training on identifying potentially unsafe ground conditions
  • • Lack of awareness of control measures for excavation in frozen ground, high groundwater or adjacent to structures
  • • Inadequate briefing on changes to excavation design, depth or support systems
  • • Poor communication of no‑go zones, exclusion areas and emergency arrangements
  • • Language or literacy barriers restricting understanding of excavation safety information
12. Site Layout, Pedestrian Safety and Slip–Trip–Fall Management
  • • Pedestrian exposure to open excavations due to poor site layout and walkway design
  • • Slip, trip and fall hazards created by uneven ground, spoil heaps, hoses and equipment near excavation edges
  • • Inadequate separation of pedestrian routes from vehicle movements at excavation perimeters
  • • Insufficient lighting or signage around excavation approaches and crossings
  • • Uncontrolled access to over‑steepened batters or unstable ground surfaces near pits and trenches
  • • Poorly planned material storage and laydown areas contributing to ground instability at edges
13. Emergency Preparedness and Incident Response for Excavation Failures
  • • Delayed or ineffective response to partial or full excavation collapse
  • • Inadequate rescue arrangements for workers in deep excavations or trenches
  • • Lack of integration between site emergency plans and specific excavation scenarios
  • • Poor communication and coordination between PCBUs and emergency services during an excavation incident
  • • Workers attempting ad hoc rescue in unstable ground conditions
  • • Failure to secure and stabilise excavation areas post‑incident to prevent secondary events
14. Documentation, Records and Continuous Improvement of Excavation Management
  • • Inadequate documentation of excavation designs, inspections, monitoring data and approvals
  • • Loss of critical information needed to understand ground behaviour over time
  • • Failure to review and learn from excavation‑related incidents, near misses and non‑conformances
  • • Poor version control leading to use of superseded excavation drawings or SWMS
  • • Lack of trend analysis to identify recurring issues in ground stability management
  • • Non‑compliance with legislative requirements for records retention

Need to add specific hazards for your workplace?

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Legislation & References

This document was researched and developed to align with:

  • Work Health and Safety Act 2011
  • Work Health and Safety Regulations 2017
  • Excavation Work Code of Practice (Safe Work Australia / State Regulators): Guidance on planning, managing and controlling risks associated with excavation work.
  • Managing the Risk of Falls at Workplaces Code of Practice: Requirements for fall prevention around excavation edges and access points.
  • Managing Risks of Plant in the Workplace Code of Practice: Guidance on safe use of earthmoving plant and vehicles operating near excavation edges.
  • How to Manage Work Health and Safety Risks Code of Practice: Framework for systematic hazard identification, risk assessment and control implementation.
  • AS/NZS ISO 31000:2018: Risk management — Guidelines
  • AS 2159 Piling – Design and Installation: Reference for ground support, piling works and interaction with deep excavations.
  • AS 3798 Guidelines on Earthworks for Commercial and Residential Developments: Guidance on earthworks, compaction and ground stability considerations.
  • AS 4678 Earth-retaining Structures: Design and performance principles for retaining systems and excavation support structures.
  • AS/NZS 4801 / ISO 45001 (OHS Management Systems): Principles for integrating excavation and ground stability controls into organisational safety management systems.
Standard Risk Assessment Features (Click to Expand)
  • Comprehensive hazard identification for all activities
  • Risk rating matrix with likelihood and consequence analysis
  • Existing control measures evaluation
  • Residual risk assessment after controls
  • Hierarchy of controls recommendations
  • Action priority rankings
  • Review and monitoring requirements
  • Consultation and communication records
  • Legal compliance references
  • Sign-off and approval sections

$79.5

Safe Work Australia Aligned