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Excavation Work Over 1.5 Risk Assessment

Excavation Work Over 1.5 Risk Assessment

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Excavation Work Over 1.5 Risk Assessment

Product Overview

Identify and control organisational risks associated with Excavation Work Over 1.5m through a structured, management-level Risk Assessment that supports planning, governance, and safe systems of work. This document helps demonstrate Due Diligence under the WHS Act, reducing organisational exposure to operational liability and regulatory non-compliance.

Risk Categories & Hazards Covered

This document assesses risks and outlines management controls for:

  • Governance, Legal Compliance and WHS Duties: Assessment of PCBU obligations, officer due diligence, consultation duties, and alignment of excavation activities with organisational WHS policy and legal requirements.
  • Planning, Design and Engineering Controls: Management of geotechnical assessments, excavation design, benching and battering strategies, and the selection of higher-level engineering controls to minimise collapse and engulfment risks.
  • Contractor Management and Procurement of Services: Protocols for pre-qualification, scope definition, WHS capability assessment, and integration of contractor systems into the principal contractor’s excavation risk controls.
  • Competency, Training and Supervision: Assessment of competency standards for supervisors, plant operators and spotters, including induction, task-specific training, and verification of competency for excavation over 1.5m.
  • Underground and Overhead Services Management: Management of service location, Dial Before You Dig processes, isolation and exclusion zones for underground utilities and overhead power, and coordination with asset owners.
  • Permit to Work and Authorisation Systems: Implementation of excavation permits, confined space interface controls, hot work and isolation permits, and authorisation workflows prior to breaking ground.
  • Plant, Equipment and Shoring System Management: Assessment of suitability, inspection and maintenance of excavators, loaders, trench shields, shoring, access systems, and lifting equipment used in deep excavation work.
  • Site Planning, Traffic Management and Public Interface: Management of site layout, separation of plant and pedestrians, public protection measures, barricading, signage, and access/egress around open excavations.
  • Monitoring, Inspection and Change Management: Protocols for routine inspections of excavation walls, water ingress, shoring integrity, and formal processes for managing changes in ground conditions, scope or methodology.
  • Emergency Preparedness and Incident Response: Planning for ground collapse, engulfment, service strikes, plant incidents and medical emergencies, including rescue procedures and coordination with emergency services.
  • Health, Wellbeing and Environmental Conditions: Assessment of exposure to noise, vibration, dust, heat and cold, as well as fatigue, psychosocial factors, and environmental impacts such as erosion and contamination.
  • Documentation, Records and Continuous Improvement: Management of risk registers, inspection records, permits, training evidence, incident investigations and review processes to support continuous improvement in excavation safety.

Who is this for?

This Risk Assessment is designed for Business Owners, Construction Managers, Project Managers and Safety Professionals responsible for planning, approving and overseeing excavation work over 1.5 metres on civil, construction and infrastructure projects.

Hazards & Risks Covered

Hazard Risk Description
1. Governance, Legal Compliance and WHS Duties
  • • Failure to identify and comply with WHS Act 2011, WHS Regulation 2011 and relevant Codes of Practice for excavation work
  • • Lack of clear allocation of WHS responsibilities for excavation activities within the organisation
  • • Inadequate consultation, cooperation and coordination between PCBUs on multi-contractor excavation sites
  • • Absence of a formal excavation risk management procedure for work deeper than 1.5 m (including trenching)
  • • Failure to require competent person involvement in planning and oversight of excavation work
  • • Poor integration of excavation risks into the organisation’s WHS management system and risk register
2. Planning, Design and Engineering Controls
  • • Inadequate early-stage design consideration of excavation stability, access and services
  • • Failure to obtain or review geotechnical and soil condition information prior to excavation design
  • • Poor coordination of design between structural, civil and temporary works engineers for shoring, battering and benching
  • • Lack of standardised engineering criteria for excavation support systems over 1.5 m
  • • Design changes on site not formally reviewed or approved by a competent person or engineer
  • • Insufficient planning for separation of excavations from structures, roads, plant and underground utilities
3. Contractor Management and Procurement of Services
  • • Engagement of contractors without verified competency or systems for managing excavation risks over 1.5 m
  • • Procurement processes focused on lowest price rather than demonstrable WHS performance and excavation experience
  • • Lack of prequalification criteria specific to excavation safety (e.g. shoring design experience, underground service protection systems)
  • • Inadequate review of contractors’ WHS management plans, excavation procedures and safe systems of work
  • • Poor alignment between principal contractor requirements and subcontractor systems, resulting in gaps or conflicts
  • • No contractual requirements for reporting, incident notification and WHS performance metrics specific to excavation work
4. Competency, Training and Supervision
  • • Supervisors and workers lacking competency in excavation risk recognition, including ground instability and service strikes
  • • No formal competency criteria for key roles such as excavation supervisor, spotter and plant operator working near excavations
  • • Insufficient training on organisation-specific excavation procedures and permit systems
  • • Over-reliance on on-the-job learning without structured assessment of knowledge and skills
  • • Inadequate supervision ratios or absence of competent supervision during critical excavation activities
  • • Failure to maintain up-to-date training and competency records related to excavation work
5. Underground and Overhead Services Management
  • • Systemic failure to identify, record and communicate the location of underground services before excavation
  • • Reliance on outdated or incomplete utility plans without verification
  • • No standardised process for engaging service locators or using detection technologies
  • • Poor integration of service information into design, risk assessments and permits
  • • Inadequate management of overhead electrical and other services near excavation plant and spoil
  • • Lack of clear organisational rules about working distances, isolation and coordination with asset owners
6. Permit to Work and Authorisation Systems
  • • No structured permit system for controlling excavation work over 1.5 m
  • • Permits treated as a paperwork exercise rather than a risk management and verification tool
  • • Unauthorised persons initiating or altering excavations without formal approval
  • • Lack of integration between excavation permits and other permits (e.g. confined space, hot work, service isolation)
  • • Failure to ensure permits reflect changing conditions such as weather, groundwater, or adjacent works
  • • Inadequate training of permit issuers and receivers in excavation-specific risks
7. Plant, Equipment and Shoring System Management
  • • Procurement of plant and shoring equipment that is unsuitable or inadequately rated for the planned excavation conditions
  • • Lack of standard specifications and inspection criteria for excavation support systems
  • • Inadequate maintenance and inspection of plant used for excavation and lifting of shoring equipment
  • • Use of improvised or non-certified shoring components
  • • Poor control of hire equipment brought onto site without verification of condition and documentation
  • • Absence of a system to ensure that manufacturers’ instructions and engineering requirements are followed
8. Site Planning, Traffic Management and Public Interface
  • • Poor site layout leading to interaction between excavations, vehicles, pedestrians and other work fronts
  • • Inadequate separation between public areas and excavation zones, particularly in urban or brownfield environments
  • • Lack of standard requirements for barricading, edge protection and signage around excavations
  • • Insufficient control of delivery vehicles and subcontractor plant movements near excavation edges
  • • Unclear responsibilities for maintaining safe access and egress routes around excavation areas
  • • Failure to account for third-party property, utilities and traffic corridors in excavation planning
9. Monitoring, Inspection, and Change Management
  • • Irregular or informal inspection of excavations, shoring and surrounding ground conditions
  • • Lack of defined triggers for increased monitoring (e.g. heavy rainfall, vibration, adjacent excavation, groundwater ingress)
  • • Changes to excavation shape, depth or support not formally assessed or signed off by a competent person
  • • Inconsistent recording and communication of inspection findings to relevant parties
  • • Failure to respond promptly to signs of ground movement, subsidence, or shoring distress
  • • No systematic review of excavation-related incidents, near misses and non-conformances
10. Emergency Preparedness and Incident Response
  • • Absence of excavation-specific emergency response planning (e.g. ground collapse, engulfment, service strike, plant rollover)
  • • Emergency plans not reflecting the particular constraints of deep or narrow excavations
  • • Inadequate coordination with emergency services regarding site access and rescue from excavations
  • • Workers and supervisors not trained or drilled in excavation emergency procedures
  • • Lack of appropriate rescue equipment and communication systems for excavation emergencies
  • • Failure to include excavation scenarios in broader site emergency exercises and debriefs
11. Health, Wellbeing and Environmental Conditions
  • • Failure to consider environmental factors such as heat, cold, rain and groundwater in excavation risk management
  • • Workers exposed to fatigue, stress or time pressure leading to poor decisions regarding excavation safety
  • • Inadequate systems for managing noise, vibration and dust generated by excavation activities
  • • Poor control of water ingress, dewatering and its effect on excavation stability
  • • No organisational standards for working hours, breaks and rotation for high-risk excavation tasks
  • • Lack of integration of health monitoring (e.g. heat stress, fatigue) with excavation work planning
12. Documentation, Records and Continuous Improvement
  • • Critical excavation information (designs, permits, inspections, service locations) not captured or stored systematically
  • • Difficulty retrieving historical excavation records for audits, incident investigations or later works
  • • No structured process for learning from excavation-related incidents and near misses across projects
  • • Inconsistent documentation quality between different sites or contractors
  • • Failure to review and update excavation procedures and standards based on operational experience and regulatory change
  • • Limited management visibility of key excavation risk indicators and compliance status

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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: Guidance on managing risks associated with excavation work, including trenches and shafts.
  • Managing the Risk of Falls at Workplaces Code of Practice: Requirements for fall prevention around open excavations and edges.
  • How to Manage Work Health and Safety Risks Code of Practice: Framework for hazard identification, risk assessment and control implementation.
  • Construction Work Code of Practice: WHS management principles for construction projects involving excavation activities.
  • AS/NZS ISO 31000:2018: Risk management — Guidelines
  • AS 2865: Confined spaces — Where excavation interfaces with confined space hazards.
  • AS 4801 / ISO 45001: Occupational health and safety management systems — Principles for systematic WHS management and due diligence.
  • Relevant Service Provider and Utility Standards: Requirements for working in proximity to underground and overhead services (e.g. electricity, gas, water, telecommunications).
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

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