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Underpinning Risk Assessment

Underpinning 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

Underpinning Risk Assessment

Product Overview

Identify and control organisational risks associated with Underpinning Risk Assessment activities through structured planning, governance, and engineering oversight at a management level. This document supports WHS Act due diligence obligations, strengthens WHS Risk Management systems, and helps protect your business from operational and legal liability.

Risk Categories & Hazards Covered

This document assesses risks and outlines management controls for:

  • WHS Governance, Legal Compliance & PCBU Duties: Assessment of executive due diligence, allocation of WHS responsibilities, and verification that underpinning activities meet PCBU obligations and regulatory requirements.
  • Design Management, Temporary Works & Engineering Verification: Management of underpinning design risk, engineering certification, temporary works stability, and change control for design variations.
  • Geotechnical Investigation, Ground Conditions & Monitoring Systems: Evaluation of site investigation quality, soil characterisation, groundwater considerations, and installation of monitoring systems for movement, settlement, and vibration.
  • Structural Stability of Existing Buildings & Adjoining Properties: Assessment of pre‑construction condition, load paths, crack and movement monitoring, and protection strategies for neighbouring and heritage structures.
  • Excavation Planning, Shoring Systems & Collapse Prevention: Management of excavation staging, support systems, exclusion zones, and verification of collapse prevention measures for underpin pits and trenches.
  • Concrete Supply, Placement & Curing Management for Underpins: Control of concrete specification, supply chain reliability, placement sequencing, curing regimes, and quality assurance testing for underpin elements.
  • Contractor Competency, Licensing & Training Systems: Verification of licences, high‑risk work authorisations, underpinning experience, and ongoing training and competency management for contractors and supervisors.
  • Project Planning, Staging & Interface Coordination: Oversight of programme staging, interface risks with other trades, access constraints, and coordination with occupants, neighbours, and asset owners.
  • WHS Consultation, Communication & Document Control: Systems for toolbox talks, technical briefings, design reviews, version control, and distribution of underpinning procedures, drawings, and risk documents.
  • Plant, Equipment & Maintenance Systems for Underpinning: Management of selection, inspection, and maintenance of jacks, pumps, lifting gear, excavation plant, and monitoring equipment used in underpinning.
  • Health, Fatigue, Psychosocial & Competency Support: Assessment of working hours, fatigue management, psychological stressors on technical staff, and support systems to maintain safe decision‑making capability.
  • Traffic, Public Protection & Neighbouring Property Risk Management: Controls for site access, delivery routes, pedestrian management, public exclusion zones, and protection of adjacent properties and services.
  • Emergency Preparedness, Structural Incident & Collapse Response: Planning for structural movement alerts, partial collapse, service strikes, and coordinated emergency response with clear escalation pathways.
  • Monitoring, Inspection, Audit & Continuous Improvement: Implementation of inspection schedules, survey and monitoring reviews, internal audits, corrective actions, and continuous improvement of underpinning risk controls.

Who is this for?

This Risk Assessment is designed for Business Owners, Construction Managers, Project Engineers, and Safety Professionals responsible for planning, approving, and overseeing underpinning projects and structural remediation works.

Hazards & Risks Covered

Hazard Risk Description
1. WHS Governance, Legal Compliance & PCBU Duties
  • • Lack of clear allocation of WHS responsibilities for underpinning works between PCBU, principal contractor and subcontractors
  • • Failure to identify and comply with WHS Act 2011 and WHS Regulation requirements specific to excavation, shoring and structural alterations
  • • Inadequate consultation, cooperation and coordination between multiple duty holders on complex underpinning projects
  • • No formal process for reviewing and approving structural methodologies that impact existing buildings and neighbouring properties
  • • Insufficient oversight of high-risk construction work obligations, including written SWMS for underpinning and associated excavation
  • • Failure to keep and maintain required WHS documentation, records and licences
  • • Lack of due diligence by officers in monitoring WHS performance of underpinning contractors
2. Design Management, Temporary Works & Engineering Verification
  • • Underpinning design not prepared or checked by a suitably qualified and experienced structural engineer
  • • Inadequate consideration of soil conditions, groundwater and existing foundation performance in the design process
  • • Lack of engineered design for temporary works such as shoring, propping, needle beams and formwork systems
  • • No formal design verification or independent review for complex or high-risk underpinning solutions
  • • Design documentation not adequately coordinated between architect, structural engineer, geotechnical engineer and builder
  • • Failure to incorporate construction staging, load transfer sequences and temporary support requirements into the design
  • • Uncontrolled design changes on site without engineering review or updated documentation
3. Geotechnical Investigation, Ground Conditions & Monitoring Systems
  • • Inadequate site investigation leading to unexpected soil profiles, voids, fill or rock conditions during underpinning
  • • Failure to identify groundwater levels, perched water or artesian conditions affecting underpinning stability and constructability
  • • No system for ongoing monitoring of ground movement and building settlement during underpinning activities
  • • Inadequate assessment of the impact of neighbouring excavations, dewatering or vibration on soil stability
  • • Poor communication of geotechnical risks and limitations from consultants to construction and supervision teams
  • • No trigger action response plan (TARP) linked to ground movement or settlement monitoring results
4. Structural Stability of Existing Buildings & Adjoining Properties
  • • Loss of structural stability of the building being underpinned due to inadequate temporary support systems
  • • Differential settlement or heave causing cracking, distortion or partial collapse of existing structures
  • • Adverse impacts on neighbouring properties and shared party walls from underpinning activities
  • • Inadequate assessment of load paths and redistribution when excavating below existing footings
  • • Lack of real-time supervision and control during critical stages of load transfer and concrete curing
  • • No systematic documentation of existing defects prior to commencement, leading to disputes and unrecognised progressive damage
5. Excavation Planning, Shoring Systems & Collapse Prevention
  • • Inadequate system for identifying and controlling excavation collapse risks under existing structures
  • • Failure to design and install appropriate shoring or underpinning pits in accordance with ground conditions
  • • Uncontrolled excavation sequence leading to undermining of footings or walls
  • • Poor inspection and maintenance regime for shoring, strutting and temporary supports
  • • Lack of coordination between excavation plant operations and underpinning pit access, exposing workers to collapse or engulfment
  • • Inadequate consideration of surcharge loads from plant, spoil heaps or building materials near underpinning pits
6. Concrete Supply, Placement & Curing Management for Underpins
  • • Use of incorrect concrete mix design or poor-quality materials compromising underpin capacity
  • • Inadequate control of concrete placement sequence leading to voids, honeycombing or incomplete bearing under existing footings
  • • Insufficient curing time or premature load transfer causing cracking or reduced structural performance
  • • Lack of coordination between concrete deliveries, access constraints and pit availability leading to rushed or unsafe practices
  • • Inadequate inspection and testing regime to verify concrete strength prior to jacking or load transfer
7. Contractor Competency, Licensing & Training Systems
  • • Engagement of underpinning contractors or workers without demonstrated competency or experience in underpinning existing structures
  • • Lack of verification of high-risk work licences, tickets and qualifications for plant operators and riggers involved in shoring and lifting
  • • Inadequate training on project-specific underpinning procedures, design intent and risk controls
  • • No formal competency assessment for supervisors managing complex underpinning staging and temporary works
  • • Reliance on informal on-the-job learning without structured training for new workers or labour-hire personnel
8. Project Planning, Staging & Interface Coordination
  • • Underpinning works not adequately integrated into the overall construction program and staging plan
  • • Conflicting activities (demolition, heavy lifting, concrete pours) occurring concurrently above or adjacent to active underpin pits
  • • Inadequate planning for access, egress and materials handling in constrained spaces under existing structures
  • • Poor communication and handover between shifts or subcontractors working on different stages of the underpinning sequence
  • • Failure to plan for service diversions, isolation and relocation prior to underpinning beneath existing utilities
9. WHS Consultation, Communication & Document Control
  • • Workers and subcontractors not adequately consulted on underpinning risks and proposed controls
  • • Key underpinning information (design changes, monitoring results, TARPs) not effectively communicated to those who need it
  • • Use of obsolete or superseded drawings, SWMS or procedures in the field
  • • Language barriers or low literacy levels preventing proper understanding of underpinning requirements
  • • Insufficient signage and visual aids at underpinning zones and shoring systems
10. Plant, Equipment & Maintenance Systems for Underpinning
  • • Use of unsuitable or poorly maintained plant for excavation and handling in constrained underpinning environments
  • • Failure of jacks, props, needles or shoring equipment due to lack of inspection and maintenance
  • • Inadequate selection or configuration of plant leading to excessive vibration or surcharge on existing structures
  • • Lack of systems for verifying rated capacities and compatibility of components in temporary works assemblies
  • • Ad hoc modification of equipment on site without engineering approval
11. Health, Fatigue, Psychosocial & Competency Support
  • • Worker fatigue due to extended hours or high concentration demands during critical underpinning stages
  • • Stress and anxiety related to perceived collapse or structural failure risks, impacting decision-making
  • • Inadequate management of occupational health risks such as silica dust, noise and manual handling during underpinning works
  • • Insufficient supervision or mentoring of less experienced workers dealing with complex underpinning tasks
  • • Poor culture where workers are reluctant to stop work or report concerns about structural stability
12. Traffic, Public Protection & Neighbouring Property Risk Management
  • • Uncontrolled interaction between construction traffic and public areas near underpinning works
  • • Inadequate hoarding, fencing or exclusion zones to protect the public from excavation and structural risks
  • • Failure to manage vibrations, noise and settlement impacting neighbouring properties and infrastructure
  • • Lack of emergency access routes for emergency services in congested underpinning work zones
  • • Inadequate communication with neighbours and local authorities about underpinning risks and monitoring arrangements
13. Emergency Preparedness, Structural Incident & Collapse Response
  • • Lack of clear emergency procedures for partial collapse, sudden movement or failure of underpinning systems
  • • Workers not trained in recognising early warning signs of structural distress or excavation failure
  • • Insufficient emergency equipment and resources for prompt stabilisation of minor failures
  • • Poor coordination with emergency services regarding site access and structural hazards
  • • Failure to preserve incident scenes and critical information for investigation and learning
14. Monitoring, Inspection, Audit & Continuous Improvement
  • • Infrequent or inconsistent inspections of underpinning pits, shoring and existing structures
  • • Failure to act on monitoring data showing adverse trends in settlement or movement
  • • Audits focusing only on paperwork rather than physical verification of underpinning controls
  • • Lack of systematic review of underpinning incidents and near misses across projects
  • • No feedback loop to update designs, procedures and training based on actual performance

Need to add specific hazards for your workplace?

Don't worry if a specific hazard isn't listed above. Once you purchase, simply log in to your Client Portal and add your own custom hazards at no extra cost. We take care of the hard work—creating the risk ratings and control measures for free—to ensure your document is compliant within minutes.

Legislation & References

This document was researched and developed to align with:

  • Work Health and Safety Act 2011
  • Work Health and Safety Regulations 2017
  • AS/NZS ISO 31000:2018: Risk management — Guidelines
  • ISO 45001:2018: Occupational health and safety management systems — Requirements with guidance for use
  • Safe Work Australia – Excavation Work Code of Practice: Guidance on managing WHS risks associated with excavation and trenching activities relevant to underpinning works.
  • Safe Work Australia – Construction Work Code of Practice: Framework for WHS management on construction projects, including structural alterations and underpinning.
  • AS 2159: Piling — Design and installation, including geotechnical and structural considerations relevant to underpinning methods.
  • AS 3600: Concrete structures — Design and construction requirements for concrete underpin elements.
  • AS 4678: Earth-retaining structures — Guidance on soil retention and stability relevant to excavation and shoring for underpinning.
  • AS 2550 series: Cranes, hoists and winches — Safe use, for lifting and jacking equipment used in underpinning operations.
  • AS/NZS 4801 (superseded but referenced): Occupational health and safety management systems — Used as a reference for structured WHS management practices.
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