Excavation SWMS template Australia: services, ground and entry controls
Use this template only after deciding whether your excavation is high-risk construction work under the law where the job is done. A shaft or trench deeper than 1.5 metres is a model-law high-risk category, and other triggers can apply to shallower work—for example, powered mobile plant, services, a confined space or a traffic corridor. Safe Work Australia’s high-risk list explains the model framework. Check the enacted state or territory law and local regulator; Victoria has a separate OHS framework. A SWMS must be specific to the work, crew, ground, services and plant. It does not make an unsafe excavation safe by being signed.
The existing Complys excavation SWMS guide explains when and why; the free generic SWMS builder supplies blank general fields. This page is the fillable excavation work sequence, evidence and stop-point sheet. Its blank controls must be completed and reviewed by competent people before anyone excavates or enters. The Safe Work Australia excavation model Code warns that collapse can occur quickly and that local adoption must be checked.
Job identity and high-risk classification
| Item | Fill in |
|---|---|
| Excavation PCBU, site supervisor and contact | [ ] |
| Principal contractor, project, exact excavation location | [ ] |
| State/territory, regulator and applicable code | [ ] |
| Purpose, length/width/depth, sequence and expected duration | [ ] |
| Ground/groundwater assessment and competent reviewer | [ ] |
| Adjacent structures, roads, public areas and loading | [ ] |
| Plant, attachments, operators and spotters | [ ] |
| Workers entering, access/egress and rescue arrangement | [ ] |
| Prepared by, consulted crew, date and version | [ ] |
High-risk categories identified: [ ] shaft/trench deeper than local trigger; [ ] powered mobile plant; [ ] work near energised electrical or other listed services; [ ] road/rail/active traffic corridor; [ ] confined space; [ ] potentially contaminated or flammable atmosphere; [ ] other [ ]. State the task and evidence for each tick. The 1.5-metre model trigger is not a “safe under 1.5 metres” rule. Ground can fail at lesser depth and other categories may still require a SWMS.
Do not start / do not enter unless: the services are located and controlled, the ground protection method is approved, the plant and pedestrian interface works, water/atmosphere hazards are assessed, safe access and emergency recovery are in place, and affected workers understand the current SWMS. Name the person authorised to release each hold point.
Pre-excavation hold-point register
| Hold point | Site-specific evidence and control | Releasing person |
|---|---|---|
| Design and ground | [Ground conditions, depth, slope/support design, adjacent loads and structures, competent geotechnical/engineering input where needed] | [ ] |
| Underground/overhead services | [Current plans/enquiry, site marking, locating and verification, owner confirmation, isolation or exclusion] | [ ] |
| Traffic and plant | [Route, segregation, reversing control, edge stand-off, spoil and delivery placement] | [ ] |
| Edge and entry | [Barrier, stable ladder/access, protected entry/exit, no unsupported entry] | [ ] |
| Atmosphere/water | [Ventilation/test decision, gas/fuel source, groundwater/rain forecast, dewatering and exit trigger] | [ ] |
| Support/inspection | [Trench box, shoring, battering/benching or other approved method; inspection after change] | [ ] |
| Emergency and rescue | [Who calls, how to recover without exposing rescuers, site access and first aid] | [ ] |
If a drawing says “services unknown,” or support details are only a guess, the excavation is not ready. Ask the asset owner, designer or competent specialist for the missing decision. The Queensland excavation guidance demonstrates the risks of collapse, falling into the excavation, struck-by material and airborne contaminants; apply Queensland legal detail only in Queensland.
Fillable sequence, hazards and controls
Write the actual method, including the hold point and verifier. Remove unused rows only after considering whether they create an interface.
| Work step | Who can be harmed and how | Control on this site / evidence | Stop or change trigger |
|---|---|---|---|
| 1. Plan and locate | Striking electricity, gas, water or telecom; collapse from adjacent structure | [BYDA/asset plans where relevant, locate, mark, pothole/verify, isolate or agreed exclusion; approved excavation line] | [Plan mismatch, unknown line, unmarked service] |
| 2. Set site and plant routes | Pedestrian/vehicle collision; fall into opening; public access | [Barriers, separate route, spotter/control if needed, authorised plant, edge stand-off, lighting] | [Barrier failed, route changed, unplanned public access] |
| 3. Excavate in stages | Ground/edge collapse, buried worker, machine strike, falling spoil | [Approved sequence, depth/ground checks, spoil and surcharge setback, supported/benched/battered sides as designed] | [Crack, sloughing, water, plant vibration, design deviation] |
| 4. Install support and access | Collapse during installation, pinch/crush, unsupported entry | [Install support from safe position to engineered/manufacturer method, inspect, ladder/egress] | [Support mismatch/damage, unsafe access] |
| 5. Enter and perform task | Collapse, harmful atmosphere, water, falling material, limited egress | [Authorised entry only; support and atmosphere/water decision; communication, supervision, rescue] | [Gas alarm, water rise, lost communication or support defect] |
| 6. Install services/structures | Plant/lifting collision, trench instability, live-service contact | [Approved lifting/placement, exclusion, service isolation, competent installation] | [Changed load, new service or ground condition] |
| 7. Backfill and remove support | Collapse while support withdrawn; moving plant | [Engineered/manufacturer withdrawal sequence, no worker beneath unsupported face, compaction and reinstatement plan] | [Support jam, person enters, settlement/movement] |
| 8. Reinstate and hand over | Unprotected opening, damaged service, unsafe ground | [Final inspection, test/owner approval where required, barriers until safe, as-built/defect handover] | [Unresolved service damage or unstable surface] |
The SWMS should be available to the workers who need it and be reviewed if the work is not being performed as written. Retain the required versions under the applicable law, including incident-related retention where relevant. A “signed and filed” SWMS is not effective if the excavation sequence changes and the crew keeps following the old one.
Decisions that cannot be filled with generic text
Ground support and adjacent load
Record soil and groundwater conditions, excavation geometry, nearby foundations, traffic, stored spoil and plant load. A competent person should determine the protective method—support, battering, benching or other safe design—and when it must be installed. A trench box protects only when used within its design and placed for the actual depth and work. Do not let anyone enter an unsupported section while support is removed. WorkSafe Queensland’s 2025 trench-collapse alert illustrates the danger during box removal; the investigation described there was preliminary, so this page does not use it to assign fault.
Service verification
An enquiry or drawing is a start, not proof of exact location. Record the enquiry/reference, asset-owner response, field marks, locating method and non-destructive exposure where needed before mechanical excavation approaches the service. Agree isolation or safe approach with the owner. If a service is unexpected, stop, protect the area and obtain a new decision. The SWMS must say who can authorise work around it.
Atmosphere, water and rescue
Some excavations create confined-space or hazardous-atmosphere questions, especially near fuel, sewer, decaying material or poor ventilation. Do not label every trench a confined space or assume an open trench is safe. Assess the actual location and local definition with a competent person, then set monitoring, ventilation, permit and rescue requirements if needed. Forecast rain and groundwater; set a visible water-rise trigger that gets everyone out. Never send an unprotected rescuer into a collapsing trench or hazardous atmosphere.
Plant and people
Identify the exclusion zone for buckets, swing and reversing, and the stand-off from the edge based on ground and plant loads. Coordinate deliveries and other contractors; a truck can overload the excavation edge even without entering the work area. Keep access usable as the excavation lengthens. A generic “spotter present” statement is not enough without the route, communication method and authority to stop plant.
Briefing, review and handback
| Worker/contractor | Role | SWMS version explained | Query/variation raised | Acknowledgement method |
|---|---|---|---|---|
| [ ] | [ ] | [ ] | [ ] | [ ] |
| [ ] | [ ] | [ ] | [ ] | [ ] |
| Change | Immediate safeguard | Competent reassessment | Workers/principal contractor told | Restart approval |
|---|---|---|---|---|
| [Rain, new service, soil change, depth/plant/design change] | [ ] | [ ] | [ ] | [ ] |
Inspect at the start of work and after events that may affect stability, using the frequency and competence required by local law and site risk. Handover should state what remains open, which support or barriers must stay, whether services were affected, and who receives as-built information. Do not close the work simply because backfill is complete.
Where Complys fits
The Complys AU SWMS software page is the commercial destination; the free generic builder can help turn a completed method into a document. Public marketing claims job links, worker acknowledgement and versioning, but each function and plan entitlement requires an implementation check. Complys does not locate services, design shoring, approve entry or determine legal compliance. The CTA is to build and control the verified excavation SWMS and supporting records after competent site decisions are made.
Frequently asked questions
Does every excavation need a SWMS?
Not automatically under the model construction provisions. A trench or shaft deeper than the applicable trigger does, and other high-risk categories may apply even to shallow work. All excavation risks still need management regardless of whether the statutory SWMS threshold is met.
Can workers enter while a trench box is being removed?
Do not assume so. Removal must follow the approved support and backfill method; workers must not be left exposed to an unsupported collapse risk. Obtain competent design/site approval for the actual sequence.
Is a BYDA enquiry enough to confirm services?
No. Use the returned plans and asset-owner information with site locating and safe verification as the risk requires. Stop if what is found differs from the records.
When should the SWMS be rewritten?
Review when the method, conditions or hazards change—especially ground, water, services, depth, support, plant or nearby activity—and brief workers before the changed high-risk work continues.
Source, claim, owner, link, product and writer-side QA — 5 October 2026
| Claim or decision | Primary/observed evidence | Writer check |
|---|---|---|
| High-risk work trigger/SWMS duty | SWA high-risk list | 1.5 m model threshold not described as “safe below”; local law explicit. |
| Excavation collapse and controls | SWA excavation model Code; Queensland guidance | Local adoption and competent ground design gate; Queensland facts not universalised. |
| Removal hazard | WorkSafe Queensland trench-collapse alert | Preliminary incident; no inferred causal finding. |
| Existing Complys owner | AU excavation SWMS guide; generic builder | New page is a fillable sequence/hold-point template, not another explainer. Repo/in-flight collision check remains. |
| Money-page product truth | AU SWMS software | No unverified live-feature, price or safety-certification claim. |
Writer-side disposition: READY. The form is complete and distinct from the existing explainer. Before publication, a competent person must adapt it to the site; verify current enacted law, support/entry/services/rescue, exact route and in-flight owners, Complys implementation, links and independent whole-page QA. Nothing was published or changed in the Complys repository.