Product Overview

Summary: This SOP sets out a clear, repeatable process for conducting risk assessments on excavation works, from initial planning through to backfilling and site handover. It helps Australian businesses control high‑risk excavation hazards, meet WHS obligations, and protect workers, services, and the public from trench collapses, service strikes, and other serious incidents.

Excavation work is classified as high-risk construction work under Australian WHS legislation due to the potential for ground collapse, engulfment, falls, service strikes and uncontrolled movement of plant. This Safe Operating Procedure provides a structured, step-by-step approach to risk assessment specifically for excavations, ensuring hazards are identified early, evaluated correctly and controlled before any ground is broken. It guides users through planning, site investigation, service locating, soil classification, selection of controls such as benching, battering or shoring, and ongoing review as site conditions change.

For businesses, poorly managed excavation work can lead to catastrophic injuries, utility outages, expensive damage claims and regulatory enforcement action. This SOP helps organisations demonstrate due diligence by embedding WHS best practice into everyday operations. It standardises how risk assessments are completed, documented and communicated to workers and subcontractors, reducing reliance on individual experience alone. By implementing this procedure, you create a defensible, auditable system that supports compliance with WHS Regulations, improves coordination between site teams and utilities, and significantly reduces the likelihood of collapses, near misses and costly rework.

Key Benefits

• Ensure consistent, thorough risk assessments for all excavation activities, regardless of project size or location.
• Reduce the likelihood of trench collapses, service strikes and falls into excavations through systematic hazard identification and control selection.
• Demonstrate compliance with WHS Regulations for high-risk construction work and excavation management, supporting regulatory inspections and audits.
• Improve communication of excavation risks and controls between project managers, supervisors, workers and subcontractors.
• Streamline documentation and record-keeping for excavation risk assessments, permits and change-management decisions.

Who is this for?

• Site Supervisors
• Construction Project Managers
• Civil Engineers
• WHS Managers
• Health and Safety Representatives (HSRs)
• Excavation and Trenching Contractors
• Utility Locators and Service Coordinators
• Local Government Works Supervisors
• Principal Contractors
• Forepersons and Leading Hands

Hazards Addressed

• Ground collapse and trench wall failure leading to engulfment or crushing
• Contact with underground essential services (electricity, gas, water, communications, sewer)
• Falls into open excavations or from edges of trenches
• Striking overhead powerlines with plant or equipment during excavation operations
• Uncontrolled movement or instability of mobile plant operating near excavations
• Ingress of water, flooding or inundation of excavations
• Atmospheric contaminants, reduced oxygen levels or confined space-type conditions in deep or restricted excavations
• Falling objects, tools or materials into excavations onto workers below
• Vehicle and plant interaction with pedestrians around excavation zones
• Manual handling injuries from shoring, trench shields, pipework and materials in and around excavations

Included Sections

• 1.0 Purpose and Scope
• 2.0 Definitions and Legal Framework
• 3.0 Roles and Responsibilities
• 4.0 Planning Excavation Works and Pre-Start Requirements
• 5.0 Site Assessment and Information Gathering
• 6.0 Service Location and Dial Before You Dig (DBYD) Requirements
• 7.0 Soil Classification and Stability Assessment
• 8.0 Risk Assessment Methodology (Likelihood, Consequence and Risk Rating)
• 9.0 Identification of Excavation Hazards
• 10.0 Selection and Implementation of Control Measures (Hierarchy of Control)
• 11.0 Design and Use of Shoring, Benching, Battering and Trench Shields
• 12.0 Controls for Plant and Vehicle Movements Near Excavations
• 13.0 Edge Protection, Access and Egress Requirements
• 14.0 Atmospheric, Water Ingress and Confined Space Considerations
• 15.0 Traffic Management and Public Protection Around Excavations
• 16.0 Consultation, Communication and Toolbox Talks
• 17.0 Permit-to-Excavate and Authorisation Process
• 18.0 Monitoring, Inspections and Review of Excavation Risk Controls
• 19.0 Managing Changes in Conditions (Weather, Ground Movement, Design Changes)
• 20.0 Incident, Near Miss and Non-Conformance Reporting for Excavation Work
• 21.0 Training and Competency Requirements
• 22.0 Record Keeping and Documentation
• 23.0 Review and Continuous Improvement of the Procedure

Legislation & References

• Model Work Health and Safety Regulations (Cth) – Part 4.3 Construction Work, including provisions for high risk construction work and excavations
• Safe Work Australia – Code of Practice: Excavation Work
• Safe Work Australia – Code of Practice: Construction Work
• AS 1742.3: Manual of uniform traffic control devices – Traffic control for works on roads
• AS/NZS 4801: Occupational health and safety management systems (superseded but still commonly referenced in industry)
• AS/NZS ISO 45001: Occupational health and safety management systems – Requirements with guidance for use
• Relevant state and territory WHS Acts and Regulations (e.g. Work Health and Safety Act 2011 and Work Health and Safety Regulation 2011 as adopted by jurisdictions)