Work Health and Safety (Excavation Work) Code of Practice 2015
In ForceCTH
Jurisdiction
Commonwealth
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legislative instrument
Plain English Summary
7/10 complexity
This Code tells businesses and contractors how to manage health and safety risks for all types of excavation (including trenches, shafts, tunnels and bulk excavations). It sets out who has duties, required risk‑management steps (identify, control, review), thresholds for high‑risk work and practical measures such as obtaining underground services info, preparing SWMS, using competent design and emergency plans. It affects PCBUs, principal contractors, designers, officers and workers and shifts planning, design and control costs onto those duty‑holders while giving inspectors and courts an evidentiary benchmark.
This instrument is an approved Code of Practice produced by Safe Work Australia that provides practical guidance for managing health and safety risks arising from excavation work. The foreword states it is an approved code under section 274 of the Work Health and Safety Act (the WHS Act). As a code of practice it is intended to be a practical pathway to compliance with the WHS Act and the Work Health and Safety Regulations (the WHS Regulations): following the code will, in most cases, achieve compliance with the health and safety duties in those instruments for the subject matter covered. The foreword also records that compliance may alternatively be achieved by following another method or standard if it provides an equivalent or higher standard of WHS than the code. The document distinguishes advisory language from mandatory requirements: the word should signals recommended practice, may signals an optional course, while must/mandatory indicates a legal requirement in the WHS Act or Regulations.
Mechanically, the Code sets out:
the scope of excavation work captured (all excavation types, including bulk excavations deeper than 1.5 metres, trenches, shafts and tunnels, with specific high-risk triggers such as trenches or shafts >1.5 metres and tunnels that require Safe Work Method Statements (SWMS));
a staged risk management process mapped to regulatory requirements (identify hazards, eliminate or, where elimination is not reasonably practicable, minimise risk in accordance with the hierarchy of controls, maintain controls, and review them); and
a set of specific duties and control topics that translate regulatory requirements into practical steps, including: obtaining underground essential services information (Regulation 304), securing work areas for trenches of at least 1.5 metres (Regulation 306), preparing SWMS for high-risk construction work, emergency planning (Regulation 43), designer safety reporting (Regulation 295 and s 22 of the WHS Act), and worker consultation obligations (Sections 46, 47 and 48).
Current sections
Direct links to the current provisions in Work Health and Safety (Excavation Work) Code of Practice 2015.
39
FOREWORD
FOREWORD
FOREWORD
This Code of Practice for managing health and safety risks associated with excavation work is an approved code of practice under section 274 of the Work Health and Safety Act (the WHS Act).
An approved code of practice is a practical guide to achieving the standards of health, safety and welfare required under the WHS Act and the Work Health and Safety Regulations (the WHS Regulations).
A code of practice applies to anyone who has a duty of care in the circumstances described in the code. In most cases, following an approved code of practice would achieve compliance with the health and safety duties in the WHS Act, in relation to the subject matter of the code. Like regulations, codes of practice deal with particular issues and do not cover all hazards or risks that may arise. The health and safety duties require duty holders to consider all risks associated with work, not only those for which regulations and codes of practice exist.
Codes of practice are admissible in court proceedings under the WHS Act and Regulations. Courts may regard a code of practice as evidence of what is known about a hazard, risk or control and may rely on the code in determining what is reasonably practicable in the circumstances to which the code relates.
Compliance with the WHS Act and Regulations may be achieved by following another method, such as a technical or an industry standard, if it provides an equivalent or higher standard of work health and safety than the code.
An inspector may refer to an approved code of practice when issuing an improvement or prohibition notice.
This Code of Practice has been developed by Safe Work Australia as a model code of practice under the Council of Australian Governments’ Inter-Governmental Agreement for Regulatory and Operational Reform in Occupational Health and Safety for adoption by the Commonwealth, state and territory governments.
Scope and application
Scope and application
Scope and application
This Code provides practical guidance for persons conducting a business or undertaking on how to manage the health and safety risks associated with excavation work. This Code applies to all types of excavation work including bulk excavations more than 1.5 metres deep, trenches, shafts and tunnels.
The guidance in this Code is relevant to excavation contractors as well as persons conducting
a business or undertaking who have management or control of workplaces where excavation work is carried out, such as principal contractors.
In providing guidance, the word ‘should’ is used in this Code to indicate a recommended course of action, while ‘may’ is used to indicate an optional course of action.
This Code also includes various references to provisions of the WHS Act and Regulations which set out the legal requirements. These references are not exhaustive. The words ‘must’, ‘requires’ or ‘mandatory’ indicate that a legal requirement exists and must be complied with.
1
INTRODUCTION
1 INTRODUCTION
1.1
What is excavation work?
1.1 What is excavation work?
Excavation work generally means work involving the removal of soil or rock from a site to form
an open face, hole or cavity using tools, machinery or explosives.
A person conducting a business or undertaking must manage risks associated with all kinds
of excavations at the workplace, no matter how deep.
Specific duties apply in relation to the higher-risk excavations such as trenches, shafts and tunnels. However these requirements do not apply to a mine, a bore to which a relevant water law applies or a trench used as a place of interment.
Any construction work (including any work connected with an ‘excavation’) that is carried out
in or near:
a shaft or trench with an excavated depth of greater than 1.5 metres, or
a tunnel
is considered to be ‘high risk construction work’ for which a Safe Work Method Statement (SWMS) must be prepared.
Other key terms relating to excavation work are listed in Appendix A.
1.2
Who has health and safety duties in relation to excavation work?
1.2 Who has health and safety duties in relation to excavation work?
A person conducting a business or undertaking has the primary duty to ensure, so far as is reasonably practicable, that workers and other persons are not exposed to health and safety risks arising from the business or undertaking.
The WHS Regulations include specific obligations for a person conducting a business or undertaking to manage the risks associated with excavation work including trenches.
A person conducting a business or undertaking who has management or control of a workplace where excavation work is being carried out must take all reasonable steps to obtain current underground essential services information relating to the part of a workplace where the excavation work is being carried out and areas adjacent to it before directing or allowing the excavation to commence. This information must be provided to any person engaged to carry out excavation work.
For the purpose of this Code, the person conducting a business or undertaking who carries out the excavation work is sometimes referred to as the ‘excavation contractor’.
A principal contractor for a construction project (for example where the cost of the construction work is $250 000 or more) has additional duties under the WHS Regulations (refer to section 3.1 of this Code).
Designers of structures must ensure, so far as is reasonably practicable, that the structure is without risks to health and safety, when used for a purpose for which it was designed. Designers must give the person who commissioned the design a written safety report that specifies the hazards relating to the design of the structure (refer to section 3.2 of this Code).
Officers, such as company directors, have a duty to exercise due diligence to ensure that the business or undertaking complies with the WHS Act and Regulations. This includes taking reasonable steps to ensure that the business or undertaking has and uses appropriate resources and processes to eliminate or minimise risks that arise from the excavation work.
Workers have a duty to take reasonable care for their own health and safety and that they do
not adversely affect the health and safety of other persons. Workers must comply with any reasonable instruction and cooperate with any reasonable policy or procedure relating to health and safety at the workplace.
1.3
What is required to manage risks associated with excavation work?
1.3 What is required to manage risks associated with excavation work?
Regulation 305 A person conducting a business or undertaking must manage risks to health
and safety associated with excavation work.
Regulation 34-38 In order to manage risks under the WHS Regulations, a duty holder must:
identify reasonably foreseeable hazards that could give rise to the risk
eliminate the risk so far as is reasonably practicable
if it is not reasonably practicable to eliminate the risk – minimise the risk so far as is reasonably practicable by implementing control measures in accordance with the hierarchy
of control
maintain the implemented control measure so that it remains effective, and
review, and if necessary revise control measures so as to maintain, so far as is reasonably practicable, a work environment that is without risks to health and safety.
This Code provides guidance on managing the risks associated with excavation work by following a systematic process that involves:
identifying hazards
if necessary, assessing the risks associated with these hazards
implementing control measures, and
maintaining and reviewing the effectiveness of control measures.
Section 47 A person conducting a business or undertaking must consult, so far as is reasonably practicable, with workers who carry out work for them and who are (or are likely to be) directly affected by a work health and safety matter.
Section 48 If the workers are represented by a health and safety representative, the consultation must involve that representative.
Consultation with workers and their health and safety representatives is required at every step of the risk management process. In many cases, decisions about construction work and projects are made prior to engaging workers, therefore, it may not be possible to consult with workers in these early stages. However, it is important to consult with them as the excavation work progresses.
Consulting, co-operating and co-ordinati
Consulting, co-operating and co-ordinating activities with other duty holders
Consulting, co-operating and co-ordinating activities with other duty holders
Section 46 A person conducting a business or undertaking must consult, co-operate and
co-ordinate activities with all other persons who have a work health or safety duty in relation
to the same matter, so far as is reasonably practicable.
A construction workplace will often be shared by various persons conducting a business or undertaking, such as civil engineers and contractors. Persons with overlapping duties should exchange information about the risks associated with the excavation work including any traffic and plant movements near the excavation area. They should work together in a co-operative and co-ordinated way so that all risks are eliminated or minimised so far as is reasonably practicable.
The first step in the risk management process is to identify the hazards associated with excavation work. Examples of excavation specific hazards include:
underground essential services including gas, water, sewerage, telecommunications, electricity, chemicals and fuel or refrigerant in pipes or lines. Information about the location of these and other underground services, such as drainage pipes, soak wells and storage tanks, in and adjacent to the workplace, must be established before directing or allowing excavation work to commence
the fall or dislodgement of earth or rock
falls from one level to another
falling objects
inappropriate placement of excavated materials, plant or other loads
the instability of any adjoining structure caused by the excavation
any previous disturbance of the ground including previous excavation
the instability of the excavation due to persons or plant working adjacent to the excavation
the presence of or possible inrush of water or other liquid
hazardous manual tasks
hazardous chemicals (e.g. these may be present in the soil where excavation work is to be carried out)
hazardous atmosphere in an excavation (e.g. using Methyl Ethyl Ketone (MEK) solvent for PVC pipes in poorly ventilated trenches)
vibration and hazardous noise, and
overhead essential services (powerlines) and ground mounted essential services (transformers, gas and water meters).
2.2
Assessing the risks
2.2 Assessing the risks
Under the WHS Regulations, a risk assessment is not mandatory for excavation work however
it is required for specific situations, for example when working with asbestos. In many circumstances a risk assessment will assist in determining the control measures that should be implemented. It will help to:
identify which workers are at risk
determine what sources and processes are causing that risk
identify if and what kind of control measures should be implemented, and
check the effectiveness of existing control measures.
When assessing the risks associated with excavation work you should consider things such as:
local site conditions including access, ground slope, adjacent buildings and structures, water courses (including underground) and trees
depth of the excavation
soil properties including variable soil types, stability, shear strength, cohesion, presence of ground water, effect of exposure to the elements
fractures or faults in rocks including joints, bedding planes, dip and strike directions and angles, clay seams
any specialised plant or work methods required (e.g. ground support)
the method(s) of transport, haul routes and disposal
what exposures might occur, such as to noise, ultra violet rays or hazardous chemicals
the number of people involved
the possibility of unauthorised access to the work area
local weather conditions, and
the length of time that the excavation will be open.
2.3
Controlling the risks
2 THE RISK MANAGEMENT PROCESS
Regulation 305 A person conducting a business or undertaking must manage risks to health
and safety associated with excavation work before the work commences including the risk of:
a person falling into an excavation
a person being trapped by the collapse of an excavation
a person working in an excavation being struck by a falling thing
a person working in an excavation being exposed to an airborne contaminant.
To manage the risks, all relevant matters must be considered including:
the nature of the excavation
the nature of the excavation work including the range of possible methods of carrying out the work, and
the means of entry into and exit from the excavation (if applicable).
2.1 Identifying the hazards
The first step in the risk management process is to identify the hazards associated with excavation work. Examples of excavation specific hazards include:
underground essential services including gas, water, sewerage, telecommunications, electricity, chemicals and fuel or refrigerant in pipes or lines. Information about the location of these and other underground services, such as drainage pipes, soak wells and storage tanks, in and adjacent to the workplace, must be established before directing or allowing excavation work to commence
the fall or dislodgement of earth or rock
falls from one level to another
falling objects
inappropriate placement of excavated materials, plant or other loads
the instability of any adjoining structure caused by the excavation
any previous disturbance of the ground including previous excavation
the instability of the excavation due to persons or plant working adjacent to the excavation
the presence of or possible inrush of water or other liquid
hazardous manual tasks
hazardous chemicals (e.g. these may be present in the soil where excavation work is to be carried out)
hazardous atmosphere in an excavation (e.g. using Methyl Ethyl Ketone (MEK) solvent for PVC pipes in poorly ventilated trenches)
vibration and hazardous noise, and
overhead essential services (powerlines) and ground mounted essential services (transformers, gas and water meters).
2.2 Assessing the risks
Under the WHS Regulations, a risk assessment is not mandatory for excavation work however
it is required for specific situations, for example when working with asbestos. In many circumstances a risk assessment will assist in determining the control measures that should be implemented. It will help to:
identify which workers are at risk
determine what sources and processes are causing that risk
identify if and what kind of control measures should be implemented, and
check the effectiveness of existing control measures.
When assessing the risks associated with excavation work you should consider things such as:
local site conditions including access, ground slope, adjacent buildings and structures, water courses (including underground) and trees
depth of the excavation
soil properties including variable soil types, stability, shear strength, cohesion, presence of ground water, effect of exposure to the elements
fractures or faults in rocks including joints, bedding planes, dip and strike directions and angles, clay seams
any specialised plant or work methods required (e.g. ground support)
the method(s) of transport, haul routes and disposal
what exposures might occur, such as to noise, ultra violet rays or hazardous chemicals
the number of people involved
the possibility of unauthorised access to the work area
local weather conditions, and
the length of time that the excavation will be open.
2.3 Controlling the risks
The hierarchy of control measures
Some control measures are more effective than others. Control measures can be ranked from the highest level of protection and reliability to the lowest. This ranking is known as the hierarchy of control.
You must always aim to eliminate a hazard, which is the most effective control. If this is not reasonably practicable, you must minimise the risk by one or a combination of the following:
Substitution – for example using an excavator with a rock breaker rather than manual method
Isolation – for example using concrete barriers to separate pedestrians and powered mobile plant to reduce the risk of collision, and
Engineering Controls – for example benching, battering or shoring the sides of the excavation to reduce the risk of ground collapse.
If risk remains, it must be minimised by implementing administrative controls, so far as is reasonably practicable, for example by installing warning signs near the excavation.
Any remaining risk must be minimised with suitable personal protective equipment (PPE), such as providing workers with hard hats, hearing protectors and high visibility vests.
Administrative control measures and PPE rely on human behaviour and supervision and used on their own tend to be the least effective in minimising risks.
Factors that should be considered when choosing suitable control measures include:
excavating plant - when quantities are large, it may be effective to use different types of plant for the various materials to be excavated
stockpiling arrangements - another site may need to be found for temporary stockpiling of materials
material placement - the methods and plant used for excavating, transporting and compacting the material should be evaluated
dewatering equipment, if required, and the system to be used
transport of the excavated material - the type of plant used, the length of haul, the nature of the haul route, and the conditions of tipping and/or spreading.
Chapters 4-6 of this Code provide information on control measures for excavation work.
2.4 Reviewing control measures
The control measures that are put in place to protect health and safety should be regularly reviewed to make sure they are effective.
Regulation 39 You must review your control measures and, if necessary, revise them:
when the control measure is not effective in controlling the risk
before a change at the workplace that is likely to give rise to a new or different health and safety risk that the control measure may not effectively control
if a new hazard or risk is identified
if the results of consultation indicate that a review is necessary, or
if a health and safety representative requests a review.
Common review methods include workplace inspection, consultation, testing and analysing records and data. When reviewing control measures, a SWMS must also be reviewed and revised where necessary.
If problems are found, go back through the risk management steps, review your information and make further decisions about control measures.
The hierarchy of control measures
The hierarchy of control measures
The hierarchy of control measures
Some control measures are more effective than others. Control measures can be ranked from the highest level of protection and reliability to the lowest. This ranking is known as the hierarchy of control.
You must always aim to eliminate a hazard, which is the most effective control. If this is not reasonably practicable, you must minimise the risk by one or a combination of the following:
Substitution – for example using an excavator with a rock breaker rather than manual method
Isolation – for example using concrete barriers to separate pedestrians and powered mobile plant to reduce the risk of collision, and
Engineering Controls – for example benching, battering or shoring the sides of the excavation to reduce the risk of ground collapse.
If risk remains, it must be minimised by implementing administrative controls, so far as is reasonably practicable, for example by installing warning signs near the excavation.
Any remaining risk must be minimised with suitable personal protective equipment (PPE), such as providing workers with hard hats, hearing protectors and high visibility vests.
Administrative control measures and PPE rely on human behaviour and supervision and used on their own tend to be the least effective in minimising risks.
Factors that should be considered when choosing suitable control measures include:
excavating plant - when quantities are large, it may be effective to use different types of plant for the various materials to be excavated
stockpiling arrangements - another site may need to be found for temporary stockpiling of materials
material placement - the methods and plant used for excavating, transporting and compacting the material should be evaluated
dewatering equipment, if required, and the system to be used
transport of the excavated material - the type of plant used, the length of haul, the nature of the haul route, and the conditions of tipping and/or spreading.
Chapters 4-6 of this Code provide information on control measures for excavation work.
2.4
Reviewing control measures
2.4 Reviewing control measures
The control measures that are put in place to protect health and safety should be regularly reviewed to make sure they are effective.
Regulation 39 You must review your control measures and, if necessary, revise them:
when the control measure is not effective in controlling the risk
before a change at the workplace that is likely to give rise to a new or different health and safety risk that the control measure may not effectively control
if a new hazard or risk is identified
if the results of consultation indicate that a review is necessary, or
if a health and safety representative requests a review.
Common review methods include workplace inspection, consultation, testing and analysing records and data. When reviewing control measures, a SWMS must also be reviewed and revised where necessary.
If problems are found, go back through the risk management steps, review your information and make further decisions about control measures.
3
PLANNING THE EXCAVATION WORK
3 PLANNING THE EXCAVATION WORK
3.1
Principal contractor
3.1 Principal contractor
Where the value of construction work is $250 000 or more, the construction work is considered a ‘construction project’ for which additional duties apply to the principal contractor. There can only be one principal contractor for a construction project and this will be either the person commissioning the construction work or a person appointed as the principal contractor by the person commissioning the construction work.
The principal contractor has a range of duties in relation to a construction project including:
preparing and reviewing a WHS management plan
obtaining SWMS before any high risk construction work commences
putting in place arrangements to manage the work environment including falls, facilities, first aid, an emergency plan and traffic management
installing signs showing the principal contactor’s name, contact details and location of any site office, and
securing the construction workplace.
Where significant excavation work is being carried out and building works have not commenced the person who commissions the construction work may appoint the excavation contractor as the principal contractor for the site preparation phase of the project and then replace them with a building expert after this phase is completed. If the excavation contractor is appointed as the principal contractor the contractor must comply with all principal contractor duties while undertaking this role.
For further guidance on how to calculate the cost of construction work and on principal contractor duties refer to the Code of Practice: Construction work.
3.2
Designers
3.2 Designers
Section 22 Designers must ensure, so far as is reasonably practicable, that the structure is designed to be without risks to the health and safety of persons who construct the structure
at a workplace.
Regulation 295 The designer of a structure or any part of a structure that is to be constructed must give the person conducting a business or undertaking who commissioned the design a written report that specifies the hazards associated with the design of the structure that, so far
as the designer is reasonably aware:
create a risk to the health or safety of persons who are to carry out construction work on the structure or part, and
are associated only with the particular design and not with other designs of the same type
of structure.
Designers of structures should consider possible excavation work methods and health and safety control measures when producing any final design documents and the safety report for the structure.
A person commissioning the construction work must consult, so far as is reasonably practicable, with the designer of the whole or any part of the structure about eliminating and controlling risks. If the person commissioning the construction work did not commission the design of the construction project, they must take all reasonable steps to obtain the designer’s safety report.
Where there is a principal contractor, the person commissioning the construction work must give the principal contractor any information they have about the hazards and risks associated with the work.
If the excavation work is or involves high risk construction work, a person conducting a business or undertaking must prepare a SWMS before the high risk construction work starts. The SWMS must:
identify the type of high risk construction work being done
specify the health and safety hazards and risks arising from that work
describe how the risks will be controlled
describe how the control measures will be implemented, monitored and reviewed, and
be developed in consultation with workers and their representatives who are carrying out the high risk construction work.
In some circumstances one SWMS can be prepared to cover more than one high risk construction work activity being carried out at the workplace by contractors and/or subcontractors. For example, where there is:
a risk of a person falling more than 2 metres, and
a trench with an excavated depth greater than 1.5 metres.
In this case, the contractors or subcontractors can consult and cooperate to prepare one SWMS. Alternatively they can prepare separate SWMS. If they choose to do this they must consult with each other to ensure all SWMS are consistent and they are not creating unintended additional risks at the workplace.
Excavation work may seriously affect the security or stability of any part of a structure at
or adjacent to the location of the proposed excavation which can lead to structural failure
or collapse. Excavation work must not commence until steps are taken to prevent the collapse
or partial collapse of any potentially affected building or structure.
Any excavation that is below the level of the footing of any structure including retaining walls that could affect the stability of the structure must be assessed by a competent person and secured by a suitable ground support system which has been designed by a competent person. Suitable supports to brace the structure may also be required and should be identified by a competent person.
It is also important that other buildings in and around the excavation site are not adversely affected by vibration or concussion during the excavation work. Special precautions may need to be taken in the vicinity of hospitals and other buildings containing equipment sensitive to shock and vibration.
Excavation work must be carried out in a way that does not cause flooding or water penetration
to any adjacent building.
3.5
Essential services
3.5 Essential services
Essential services include the supply of gas, water, sewerage, telecommunications, electricity, chemicals, fuel and refrigerant in pipes or lines. The principal contractor must manage the risks associated with essential services at the workplace.
Specific control measures must be implemented before using excavators or other earthmoving machinery near overhead electric lines. The relevant authority should be consulted regarding approach distances and appropriate control measures implemented to prevent any part of the plant or any load carried on it from coming too close or contacting overhead electric lines.
Underground essential services
Underground essential services
Underground essential services
Regulation 304 A person with management or control of the workplace must, before directing
or allowing work to commence, take all reasonable steps to obtain current underground essential services information about the areas at the workplace where the excavation work is to be carried out. They must also obtain information about underground essential services in areas adjacent
to the site of excavation and have regard for all of the information.
Information on the location of underground services may be obtained by contacting the Dial Before You Dig organisation in your state or territory. Any underground service plans that are obtained including information on underground essential services must be provided to the principal contractor and/or the excavation contractor. Other relevant parties including any subcontractors and plant operators carrying out the excavation work should also be provided
with information about essential services and other plans so the information is considered when planning all work in the area.
Underground essential services information obtained must be:
made available to any worker, principal contractor and subcontractors
readily available for inspection, as required under the WHS Act, and
retained until the excavation work is completed or, if there is a notifiable incident relating
to the excavation work, 2 years after the incident occurs.
Available information about existing underground essential services may not be accurate. Therefore it is important that excavation methods include an initial examination of the area to be excavated, for example sampling the area by exposing a short section of underground services usually using water pressure and a vacuum system to excavate or ‘pothole’ the area.
Figure 1 Underground essential services exposed by ‘potholing’
Regulation 306 A person conducting a business or undertaking who proposes to excavate
a trench at least 1.5 m deep, must ensure, so far as is reasonably practicable, that the work area is secured from unauthorised access (including inadvertent entry).
In securing the trench or excavation, you must consider:
risks to health and safety arising from unauthorised access to the work area, and
the likelihood of unauthorised access occurring.
This requirement aims to protect other workers on site who may be at risk by restricting access to the excavation area. It applies in addition to the duty that the person with management or control of the construction site has to ensure, so far as is reasonably practicable, that the site is secured from unauthorised access from members of the public, for example when the site is near schools, parks, shops or other public places.
3.7
Emergency plan
3.7 Emergency plan
Regulation 43 A person conducting a business or undertaking must ensure that an emergency plan is prepared for the workplace.
The excavation contractor must ensure that the emergency plan deals with unexpected incidents, such as ground slip, flooding, gas leaks and the rescue of workers from an excavation.
To ensure a co-ordinated response to an emergency, the plan should be incorporated as part
of the broader construction project emergency plan prepared by the principal contractor.
4
CONTROLLING RISKS IN EXCAVATION WORK
4 CONTROLLING RISKS IN EXCAVATION WORK
4.1
Excavated material and loads near excavations
4.1 Excavated material and loads near excavations
Mechanical plant, vehicles, storage of materials (including excavated material) or any other heavy loads should not be located in the ‘zone of influence’ of an excavation unless the ground support system installed has been designed by a competent person, for example a geotechnical engineer, to carry such loads.
The zone of influence will depend on the ground conditions. It is the zone in which there may
be an influence on the excavation including possible ground collapse (see Figure 2).
4.2
Plant and equipment
4.2 Plant and equipment
Excavation work cannot be carried out safely unless the plant being used is appropriate for the work and maintained in good condition. A range of plant and equipment may be used for excavation work including:
powered mobile plant (see section 4.3)
air compressors
electric generators
jack hammers
hydraulic jacks
oxy-acetylene (gas cutting/welding)
scaffolding
ladders, and
many types of handheld plant such as shovels, picks, hammers, hydraulic jacks
and pinch/lever bars.
You should ensure:
plant is used and operated by a competent person
that appropriate guards and operator protective devices are fitted
that the safe working load is displayed and any load measurement devices are operating correctly, and
plant is maintained in accordance with the manufacturer/supplier’s instructions or relevant Australian Standards.
Lasers must be designed, constructed and installed so that no person is exposed to accidental irradiation. Lasers that are capable of producing hazardous diffuse reflections or that may constitute a fire hazard, being laser classes 3B and 4, must not be used in construction work.
Any worker operating lasers must be trained in the use of the equipment. Further information on the safe use of lasers is available in AS 2397: Safe use of lasers in the building and construction industry.
4.3
Powered mobile plant
4.3 Powered mobile plant
A wide range of powered mobile plant including earthmoving machinery, may be used for excavation work. To select plant that is suitable for the task, you should consider:
site access and restrictions
site hazards such as overhead powerlines and underground services
the ground conditions
the type and depth of excavation
the volume of material to be excavated and transported, and
where the excavated material is to be located and/or stored.
A high risk work licence is required to operate some types of powered mobile plant. However in most cases earthmoving machinery does not require a licensed operator if it is being used for the purpose for which it was originally designed. Earthmoving machinery operators must be able to demonstrate they are competent to operate the specific type of plant being used and any attachments fitted to the plant.
Traffic management arrangements must be implemented at the workplace when powered mobile plant is to be used for excavation work to prevent collision with pedestrians or other mobile plant.
Earthmoving machinery
Earthmoving machinery
Earthmoving machinery
Bulldozers and scrapers are often used to prepare a work area for further specific excavation.
Bulldozers typically excavate and move large amounts of material short distances. Bulldozers
can be equipped with hydraulically operated rippers at the back of the machine which are capable of loosening the hardest of sedimentary rocks. This material may then be bulldozed away.
This method frequently proves more economical than drilling and blasting softer rock.
Self-propelled rubber tyred scrapers enable very large quantities of material to be excavated and hauled economically over long distances at relatively high speed. Because of the large potential output and speeds of modern scrapers, careful attention should be given to job layout, haul roads, vehicle pathways and overall traffic management to achieve a healthy and safe workplace.
Temporary haul roads should be well constructed and maintained to enable plant operators
to complete the work safely.
Large earthmoving machinery such as bulldozers should not operate close to an overhang
or a deep excavation as the weight may collapse the sides. Equipment should always approach embankments or trenches from across the line of a trench rather than parallel to it.
Excavation work exceeding 1.5 metres deep is typically done by excavators or specialised
plant such as tunnelling machines and raise-bores. Most of these types of plant have an element of mobility, although tunnelling machines typically have restricted movement.
Other plant used in excavation work includes backhoes, rubber tyred loaders, skid steer loaders (for example bobcat), trench diggers, graders and tip trucks.
Blind spots
Blind spots
Blind spots
Operators of powered mobile plant can often have severely restricted visibility of ground workers or nearby pedestrians, particularly those close to the plant. Figure 4 shows some of the blind spots for operators of typical excavation equipment.
Operator protection
Operator protection
Operator protection
Powered mobile plant should be equipped with appropriate combination of operator protection devices, for example enclosed cabin and seat belts, to prevent the ejection of the operator or
the operator being struck by falling objects.
Any earthmoving machinery weighing more than 1500 kgs, not including attachments, and designed to have a seated operator must have an appropriate operator protective structure fitted. These are either in the form of roll-over protective structures (ROPS) or falling object protective structures (FOPS) or both, depending on the application.
Operating near excavations
Operating near excavations
Operating near excavations
Powered mobile plant should not operate or travel near the edge of an excavation unless the ground support system installed has been designed by a competent person to carry such loads. Physical barriers, such as wheel stoppers, can be one way of restricting plant movement near
an excavation (see Figure 5).
Figure 5 Preventing plant operation near excavations
Regular planned inspection and adequate maintenance must be carried out in accordance
with the manufacturer’s recommendations to ensure safe operation of mobile plant used
on excavation work, whether leased, hired or owned. Both mechanical and electrical testing should be done. The following checks should also be carried out:
daily pre-start checks by the plant operator on the general condition and maintenance
of the plant, and
regular inspections of the plant by a competent person in accordance with the manufacturer/supplier’s specifications or relevant Australian Standards.
Any plant defects should be reported immediately to the person conducting business
or undertaking. Where a defect is likely to pose an immediate risk to health and safety
the plant should be removed from service until the defect is rectified.
Owners of plant should keep logbooks and inspection check sheets containing a full service and repair history. These records should include any reported defects, kept current and retained for the life of the plant. If the plant is sold, the records should form part of the documentation forwarded to the purchaser of the plant upon its sale.
4.4
Falls
4.4 Falls
Regulation 78 A person conducting a business or undertaking must manage the risk of a fall from one level to another that is reasonably likely to cause injury to the person or another person.
In managing the risks of falls, the WHS Regulations require the following specific control measures to be implemented where it is reasonably practicable to do so:
carry out the work on solid construction that includes a safe means of access and egress
if a fall risk cannot be eliminated, minimise the risk of fall by providing and maintaining a safe system of work including
using fall prevention devices (e.g. temporary work platforms and guard rails) or
work positioning systems (e.g. industrial rope access systems), or
fall arrest systems such as catch platforms.
Control measures include:
the support system itself, for example using trench box extensions or trench sheets longer than the trench depth (see Figure 6)
installing guard rails or covers on trench shields (see Figure 7)
inserting guard rails and toe boards into the ground immediately next to the supported excavation side
installing landing platforms or scaffold towers inside deep excavations
securing ladders to trench shields
installing effective barriers or barricades
providing clearly defined pedestrian detours
provision of alternative access and egress points to the excavation for emergency use, and
backfilling the excavation as work progresses.
4.5
Using explosives
4.5 Using explosives
Construction work that involves the use of explosives is defined by the WHS Regulations as high risk construction work and a SWMS must be prepared before this work commences.
A competent person experienced in the controlled application of explosives for the purpose
of carrying out the excavation work should be consulted before deciding whether explosives
may be used for the excavation.
All possession, storage, handling and use of explosives must be carried out in compliance
with the relevant dangerous substances/goods or explosives legislation applicable in your state
or territory.
Explosives must only be used by a competent person who is licensed in the use of explosives and has experience in the work to be undertaken. If explosives are used in excavation work,
a licensed competent person must develop the blast management plan and be responsible
for all aspects of the use of explosives.
For further information on the use of explosives for excavation work, refer to AS 2187.2: Explosives – Storage and Use - Use of Explosives
4.6
Atmospheric conditions and ventilation
4.6 Atmospheric conditions and ventilation
The risk of atmospheric contamination through a build up of gases and fumes must be controlled in excavation work. Gases and fumes heavier than air can collect in tunnels and excavations for example: gases (such as sulphur dioxide), engine fumes (such as carbon monoxide and carbon dioxide) and leakage from gas bottles, fuel tanks, sewers, drains, gas pipes and LPG tanks.
Plant that uses a combustion engine (for example air compressors, electrical generators) should never be used in a confined excavation such as a trench if workers are in the trench. The build-up of exhaust gases in the excavation, particularly carbon monoxide, can cause death.
Ventilation systems help to maintain adequate oxygen levels and dilute flammable gases, fumes and certain dusts, such as coal and sulphide which can ignite if in its explosive limits. The use of mechanical ventilation also reduces dust, fumes, hazardous contaminants and can control air temperature and humidity.
The ventilation system should be designed by a competent person to provide adequate ventilation levels through the excavation (for example a tunnel) during construction. This might include additional localised extraction ventilation to deal with the production of dust, heat or fumes from the excavation process and the operation of large plant or other activities like plant maintenance. The design should allow for the installation of ventilation equipment or ducting as the excavation progresses to maintain adequate air supply to the working face.
Other methods of controlling the risks associated with atmospheric contamination include:
pre-start checks of atmospheric conditions
using gas monitors including workers’ wearing personal monitors near their airways
ensuring adequate ventilation (either natural or mechanical)
working in pairs, with one person as a safety observer at the surface to monitor conditions
ensuring familiarity with rescue procedures, and
using PPE.
Further guidance on working in confined spaces is available in [Code of Practice: Confined spaces.](http://www.safeworkaustralia.gov.au/sites/swa/about/publications/pages/confined-spaces-cop)
4.7
Manual work
4.7 Manual work
Manual excavation methods are generally used for small, shallow excavations (for example less than 1.5 metres deep) in soft soils.
Regulation 60 A person conducting a business or undertaking must manage the risk of a musculoskeletal disorder associated with hazardous manual tasks.
When working in close proximity, workers should be kept sufficiently far apart to prevent injury from the use of picks or other hand tools. This applies particularly to work in trenches and small excavations.
Preparatory drilling activity and the use of hand drills may increase the risk of musculoskeletal disorders including disorders associated with exposure to vibration. For further guidance on controlling the risks of musculoskeletal disorders, refer to the Code of Practice: Hazardous manual tasks.
4.8
Information, training, instruction and supervision
4.8 Information, training, instruction and supervision
Section 19 A person conducting a business or undertaking must ensure, so far as is reasonably practicable, the provision of any information, training, instruction and supervision that is necessary to protect all persons from risks to their health and safety arising from the work carried out.
Regulation 39 A person conducting a business or undertaking must ensure that information, training and instruction provided to a worker is suitable and adequate having regard to:
the nature of the work carried out by the worker
the nature of the risks associated with the work at the time of the information, training and instruction, and
the control measures implemented.
The training provided must be readily understandable by any person to whom it is provided.
Regulation 317 A person conducting a business or undertaking must not direct or allow a worker to carry out construction work unless the worker has successfully completed general construction induction training.
Training specific to the excavation work and to the site should also be provided to workers by
a competent person. Workers operating certain types of plant at the workplace must possess
a valid licence to operate that plant.
Workers in a supervisory role (for example leading hand or foreman) should be experienced
and trained in excavation work to ensure the work is carried out in accordance with SWMS.
Further information on general construction induction training and other training is available
in Chapter 6 of the Code of Practice: Construction work.
Source text: opening excerpt
Sourced from the Federal Register of Legislation (legislation.gov.au), CC BY 4.0.
FOREWORD FOREWORD
FOREWORD
This Code of Practice for managing health and safety risks associated with excavation work is an approved code of practice under section 274 of the Work Health and Safety Act (the WHS Act).
An approved code of practice is a practical guide to achieving the standards of health, safety and welfare required under the WHS Act and the Work Health and Safety Regulations (the WHS Regulations).
A code of practice applies to anyone who has a duty of care in the circumstances described in the code. In most cases, following an approved code of practice would achieve compliance with the health and safety duties in the WHS Act, in relation to the subject matter of the code. Like regulations, codes of practice deal with particular issues and do not cover all hazards or risks that may arise. The health and safety duties require duty holders to consider all risks associated with work, not only those for which regulations and codes of practice exist.
Codes of practice are admissible in court proceedings under the WHS Act and Regulations. Courts may regard a code of practice as evidence of what is known about a hazard, risk or control and may rely on the code in determining what is reasonably practicable in the circumstances to which the code relates.
Compliance with the WHS Act and Regulations may be achieved by following another method, such as a technical or an industry standard, if it provides an equivalent or higher standard of work health and safety than the code.
An inspector may refer to an approved code of practice when issuing an improvement or prohibition notice.
This Code of Practice has been developed by Safe Work Australia as a model code of practice under the Council of Australian Governments’ Inter-Governmental Agreement for Regulatory and Operational Reform in Occupational Health and Safety for adoption by the Commonwealth, state and territory governments.
Scope and application Scope and application
Scope and application
This Code provides practical guidance for persons conducting a business or undertaking on how to manage the health and safety risks associated with excavation work. This Code applies to all types of excavation work including bulk excavations more than 1.5 metres deep, trenches, shafts and tunnels.
The guidance in this Code is relevant to excavation contractors as well as persons conducting
a business or undertaking who have management or control of workplaces where excavation work is carried out, such as principal contractors.
The Code establishes how particular hazards should be handled, including underground and overhead essential services, plant selection and maintenance, powered mobile plant controls, operator protection, ventilation and atmospheric monitoring in confined or deep excavations, use of explosives (with cross-reference to dangerous goods/explosives legislation), manual task controls, and training and supervision obligations (section 4 and related clauses).
Enforcement and evidentiary effects are also stated. The foreword emphasises that the Code is admissible in court proceedings under the WHS Act and Regulations, and that inspectors may refer to the Code when issuing improvement or prohibition notices. The Code is presented as a model document developed under the Council of Australian Governments’ intergovernmental agreement; it is intended for adoption across Commonwealth, state and territory jurisdictions, so jurisdictions may vary in their local adoption and any later amendments. The Code repeatedly cross-references the WHS Act and WHS Regulations where legal duties exist, while providing practical examples and defined “competent person” expectations to guide compliance.
In short, this Code does not create new legislative duties; it translates and interprets duties in the WHS Act and Regulations for excavation work, signals which elements are mandatory, and offers practical implementation guidance intended to reduce workplace risk and to be relied on by duty holders, workers and regulators. The Code also records exceptions and interactions with other legal regimes (for example mines, bores regulated by water laws, and explosives legislation), directing duty holders to consult the relevant jurisdictional instruments where applicable.
Main concepts
The Code organises its approach around a set of core WHS concepts and excavation-specific ideas. The primary regulatory architecture it invokes is the WHS duty-holder model: a person conducting a business or undertaking (PCBU) has the primary duty to ensure, so far as is reasonably practicable, that workers and other persons are not exposed to health and safety risks arising from the business or undertaking. The Code refers to this duty repeatedly and maps practical tasks to satisfy it.
Key conceptual elements in the Code are:
Excavation work defined: The Code defines excavation work broadly, as removal of soil or rock to form an open face, hole or cavity using tools, machinery or explosives. It applies to all kinds of excavations, including bulk excavations deeper than 1.5 metres, trenches, shafts and tunnels. It expressly excludes mines, bores regulated by a relevant water law, and trenches used as places of interment from the scope of the higher-risk specific rules, but requires PCBUs to manage risks for all excavations (section 1.1).
High risk construction work trigger points: The Code identifies certain excavation activities as high risk construction work under the WHS Regulations. In particular, excavation deeper than 1.5 metres (trenches and shafts) and all tunnels attract additional regulatory controls, including the requirement that a Safe Work Method Statement (SWMS) be prepared before work begins (section 1.1, section 3.3).
Risk management process: The Code maps the WHS Regulations’ risk management steps into a four-stage, iterative process: identify hazards; assess risks where necessary; implement controls in accordance with the hierarchy of control; and maintain and review controls (Regulations 34-39 and Regulation 305 are cited). It stresses that elimination is the first objective and, if not reasonably practicable, minimisation should follow through substitution, isolation, engineering controls, administrative controls and PPE, listed in descending order of effectiveness.
Consultation, co‑operation and co‑ordination: The Code emphasises consultation obligations (s 47), the role of health and safety representatives (s 48), and the duty to consult, co‑operate and co‑ordinate with other duty holders with overlapping duties (s 46). These statutory duties are integrated into each stage of the risk management process.
Principal contractor and designer duties: For construction projects with construction work valued at $250,000 or more, the Code sets out principal contractor responsibilities (section 3.1), including WHS management plans, securing the site and arranging SWMS where required. Designers must, so far as is reasonably practicable, design structures to be without risks to persons constructing them (s 22) and must provide a written safety report specifying hazards associated with the design (Regulation 295).
Underground and overhead essential services: The Code requires PCBUs with management or control of the workplace to take all reasonable steps to obtain current underground essential services information before permitting excavation (Regulation 304). It also requires that work near overhead electric lines be managed and that the relevant authority be consulted about approach distances (section 3.5).
Specific technical controls: The Code sets out excavation-specific risk controls including securing the work area for trenches at least 1.5 metres deep (Regulation 306), design by competent persons of ground support where excavations may affect building footings, atmospheric and ventilation controls for confined or deep excavations, operator protective structures on plant, and competent-person requirements for design and stability assessments.
Documentation and retention: The Code requires obtained underground services information be made available to workers and contractors, be readily available for inspection, and be retained until excavation completion or, where there is a notifiable incident, for two years after the incident (Regulation 304). It also recommends plant owners keep logbooks and inspection records for the life of the plant.
Evidence and enforcement framing: The Code explicitly notes that it is admissible in court and that an inspector may refer to it when issuing notices. It therefore functions both as practical guidance and as an evidentiary benchmark of what is known about hazards and reasonable practicability in excavation work.
These main concepts structure the behavioural expectations placed on duty holders, capture the technical risk areas that require specialist input, and allocate responsibilities across actors such as PCBUs, principal contractors, designers, competent persons and workers.
Who it affects
The Code identifies several categories of duty holders and persons whose behaviour and costs will be affected by its guidance. The principal groups are:
Person conducting a business or undertaking (PCBU): The Code locates primary obligations on a PCBU to manage risks associated with excavation work, including the duty to identify hazards, eliminate or minimise risks in line with the hierarchy of control, maintain control measures and review them (Regulation 305 and Regulations 34-39). PCBUs also have specific procedural obligations such as obtaining underground essential services information before excavation (Regulation 304) and ensuring emergency plans are in place (Regulation 43).
Excavation contractor: The Code uses the term excavation contractor to describe a PCBU who carries out the excavation. Where PCBUs engage contractors, the Code requires that underground services information be provided to persons engaged to carry out excavation work. If an excavation contractor is appointed as principal contractor for the site‑preparation phase, they must fulfil principal contractor duties while in that role (section 3.1).
Principal contractor: For construction projects where the value of construction work is $250,000 or more, a principal contractor (either the person commissioning the work or an appointed person) has additional duties. These duties include preparing and reviewing a WHS management plan, obtaining SWMS for high-risk construction work, arranging emergency planning, traffic management and site security, and providing site signage (section 3.1).
Designers: Designers of structures have duties under s 22 of the WHS Act and Regulation 295 to design so far as is reasonably practicable to eliminate risks to those who will construct the structure and to provide a written safety report specifying hazards associated with the design. Designers should consider excavation methods and health and safety control measures in final design documents and safety reports (section 3.2).
Officers: Officers of corporations have a due diligence duty under the WHS Act to take reasonable steps to ensure that the business or undertaking has appropriate resources and processes to eliminate or minimise excavation risks. The Code references officers’ obligations without rewriting them.
Workers and health and safety representatives: Workers have duties to take reasonable care for their own health and safety and to comply with reasonable instructions and cooperation duties. The Code mandates consultation with workers who carry out work likely to be directly affected by WHS matters (section 47), and that consultation include health and safety representatives where they exist (section 48). Workers are also the direct recipients of training, supervision and site-specific information under s 19 and related regulations.
Competent persons and specialised contractors: The Code repeatedly requires that competence be demonstrated for certain tasks: design of ground support by a competent person (section 3.4), competent persons for explosives use, ventilation system design, plant inspection and ground stability assessments. Contractors and consultants who provide these services will be engaged and their competence verified.
Owners/operators of plant and equipment: Plant owners, hirers and operators must ensure equipment is appropriate for the work, operated by competent persons, maintained per manufacturer instructions, and operated with any required operator protections fitted. Owners are recommended to keep full service and repair histories and to transfer this documentation on sale.
Third parties and adjacent owners: The Code requires duty holders to consider impacts on adjacent buildings and structures, and to take measures (including competent person assessments and ground support) to prevent destabilising neighbouring structures. It also requires PCBUs to secure sites against unauthorised access, particularly where public access is likely.
Who pays and who decides: The Code allocates costs and decision responsibility primarily to the PCBU. PCBUs decide excavation methods, plant selection, whether to engage competent persons or designers, whether to appoint an excavation contractor as principal contractor, and the implementation of hierarchy-of-control measures. Designers decide what hazards to record in safety reports. Principal contractors decide site-level arrangements such as WHS plans and emergency planning. Workers and subcontractors make operational decisions within the constraints and instructions that PCBUs and principal contractors set. Costs borne by duty holders include the expense of obtaining underground services information, commissioning competent person design and ground-support work, erecting barricades and temporary works, preparing SWMS, maintaining plant, and training workers.
The Code notes exceptions where some excavation-specific obligations do not apply, for example to mining operations, bores regulated under a water law and trenches used as places of interment. It also directs duty holders to comply with other applicable law (for example explosives or dangerous goods legislation), which can impose further duties and costs on licensed persons or operators.
Key duties and rights
The Code translates statutory duties into concrete actions and highlights both mandatory and recommended measures. Below are the principal duties and the practical rights that the Code describes or enables.
Principal mandatory duties (as referenced in the Code)
Manage excavation risks (Regulation 305). A PCBU must manage risks to health and safety associated with excavation work before work commences, including specific risks such as falls into excavations, collapse entrapment, being struck by falling objects and exposure to airborne contaminants.
Follow general risk management steps (Regulations 34-39). These include identifying reasonably foreseeable hazards, eliminating risks so far as reasonably practicable, minimising residual risk via the hierarchy of controls, maintaining controls, and reviewing controls.
Obtain underground essential services information (Regulation 304). A person with management or control of the workplace must take all reasonable steps to obtain current underground services information for the area where excavation will occur and adjacent areas, and to have regard to that information before allowing excavation to begin. Information must be provided to the principal contractor and to any person engaged to carry out excavation work, be made available to workers, be readily available for inspection, and be retained until completion or, if there is a notifiable incident, for two years after the incident.
Secure trenches at least 1.5 m deep from unauthorised access (Regulation 306). The person proposing such excavation must ensure the work area is secured so far as reasonably practicable.
Prepare and follow Safe Work Method Statements (SWMS) for high risk construction work (section 3.3). A SWMS must be prepared before any high-risk construction work starts and must identify the work, hazards, control measures, and how controls will be implemented, monitored and reviewed, developed in consultation with workers.
Emergency planning (Regulation 43). A PCBU must ensure an emergency plan is prepared for the workplace and the excavation contractor must ensure the plan deals with incidents such as ground slips, flooding, gas leaks and rescue from excavation.
Designer duties (s 22 and Regulation 295). Designers must, so far as reasonably practicable, design structures without risks to those who will construct them and must provide a written safety report specifying hazards associated with the design.
Falls management (Regulation 78). A PCBU must manage risks of falls from one level to another, with options for falls prevention devices, work positioning systems, or fall arrest systems, as appropriate.
Hazardous manual tasks (Regulation 60). A PCBU must manage the risk of musculoskeletal disorders associated with manual tasks.
Training and supervision (s 19 and Regulation 39 and 317). A PCBU must provide necessary information, training, instruction and supervision; general construction induction training is required before a worker carries out construction work (Regulation 317). Training specific to the excavation and site must be provided.
Rights, entitlements and procedural protections the Code recognises or supports
Consultation rights: Workers carrying out work that is or will be directly affected by WHS matters must be consulted so far as reasonably practicable (s 47). Where workers are represented by a health and safety representative, that representative must be involved in consultation (s 48). The Code requires consultation at every step of the risk management process.
Access to information: Underground essential services information obtained must be made available to workers, principal contractors and subcontractors, and be readily available for inspection (Regulation 304). Designers’ safety reports must be provided to the person commissioning the design.
Evidentiary effect of the Code: The Code is admissible in court proceedings and courts may regard the Code as evidence of what is known about a hazard, risk or control and may rely on it in determining what is reasonably practicable. This creates a practical right to rely on the Code as a benchmark for reasonable practise in prosecution or enforcement contexts.
Delegation and appointment: The Code allows for roles to be allocated, for example the principal contractor role may be appointed to an excavation contractor for site-preparation phases, subject to that appointee assuming principal contractor duties while appointed (section 3.1).
Operational duties that affect decisions and commercial arrangements
Documentation and record retention duties: underground services plans, plant logbooks and inspection records are required to be retained and made available in specific circumstances. These records will affect contract terms and handover obligations where plant is sold or hired.
Competency requirements: The Code requires competent persons for design, ground-support design and specialist operations (for example explosives use), which affects procurement of professional services and the use of specialist licences.
The Code therefore places both procedural and substantive obligations on PCBUs and linked duty holders, preserves worker consultation rights, and converts many statutory duties into discrete, documentable tasks and records. It distinguishes between regulatory musts and recommended shoulds, enabling duty holders to identify areas where compliance is legally required and where the Code offers best-practice guidance.
Penalties and enforcement
The Code itself does not set penalty levels. Instead, it describes enforcement mechanisms and the evidentiary role the Code plays in WHS enforcement. The foreword states that Codes of Practice are admissible in court proceedings under the WHS Act and Regulations and that courts may regard a code as evidence of what is known about a hazard, risk or control, and may rely on the code in determining what is reasonably practicable in the circumstances. The Code also notes that an inspector may refer to an approved code when issuing improvement or prohibition notices.
From those statements a practical enforcement framework can be drawn from the Code:
Evidentiary weight: The Code is positioned as a benchmark that courts and inspectors can use to assess whether a duty holder has taken reasonably practicable steps. Because courts may regard the Code as evidence of known hazards and acceptable controls, failing to follow mandatory or clearly established Code measures can strengthen regulator and prosecutorial cases that a PCBU or officer did not meet their obligations. Conversely, following the Code will be persuasive evidence that the duty holder took reasonable steps to comply, in most cases achieving compliance with the WHS Act and Regulations.
Administrative enforcement: Inspectors may issue improvement notices or prohibition notices where work poses or may pose an immediate or ongoing risk to health and safety. The Code explicitly notes inspectors may refer to the Code when issuing such notices. That referral is discretionary; inspectors will compare site practice against the Code and the Regulations.
Criminal and civil enforcement under the WHS Act: The Code does not specify fines or criminal penalties, but its repeated mapping to specific statutory provisions (for example Regulation 304, Regulation 305, Regulation 306, Regulation 43, Regulation 78, Regulation 317 and s 22 of the WHS Act) means that failure to comply with those statutory duties can be the basis for enforcement action under the WHS Act and Regulations, which provide for civil and criminal sanctions administered by jurisdictional regulators and courts. The Code’s admissibility means it can be used in those proceedings.
Implementation, evidentiary and discretion risks
Inspector discretion: Because the Code is admissible but not binding law, inspectors retain discretion to determine whether a duty holder’s alternative control measures meet an equivalent or higher standard. The foreword explicitly acknowledges that other methods may achieve compliance, but this creates a risk that an inspector or court may not accept an alternative unless it demonstrably provides equivalent or higher protection.
Ambiguity between should and must: The Code contains a mixture of mandatory obligations that restate regulatory requirements and recommended practices worded as should. Misreading a should as optional where a corresponding regulatory duty exists may expose a duty holder to enforcement action; conversely, strict application of all should provisions by an inspector could broaden enforcement beyond the regulatory text if the inspector treats the Code as de facto normative guidance.
Evidentiary exposure: The Code’s use as evidence cuts both ways. Good-faith adherence will be protective, but documentation gaps, failure to retain required records (for example underground services information retention obligations under Regulation 304), or reliance on inaccurate services information can increase exposure.
The Code also cross-references distinct regulatory regimes (for example explosives and dangerous‑goods legislation). Enforcement relating to those matters will be undertaken under the applicable statutes in each jurisdiction, and the Code directs duty holders to comply with those regimes in addition to the WHS Act and Regulations. In short, compliance failures with the duties reflected in the Code can attract inspector action, improvement or prohibition notices, and can be used as evidence in court proceedings under the WHS Act and Regulations; the Code itself does not prescribe fines or criminal penalties.
How it interacts with other laws
The Code is explicitly framed as guidance that operates within the WHS statutory system and in conjunction with other specialist legislation and codes. The foreword and various substantive clauses point to multiple intersections:
WHS Act and Regulations: The Code interprets and operationalises obligations found in the WHS Act and WHS Regulations. It repeatedly cites specific regulatory provisions, including Regulation 305 (manage excavation risks), Regulations 34-39 (general risk management duties), Regulation 304 (obtain underground essential services information), Regulation 306 (secure trenches 1.5 m deep), Regulation 43 (emergency plan), Regulation 295 (designer safety report), Regulation 78 (manage fall risks), Regulation 60 (musculoskeletal disorders and hazardous manual tasks) and Regulation 317 (general construction induction training). The Code is intended to be used alongside those statutory texts.
Construction and design codes: The Code cross-references the Code of Practice: Construction work and the Code of Practice: Safe design of structures for overlapping topics such as SWMS, principal contractor duties, and designer obligations. For construction projects, readers are directed to the construction code for detailed SWMS guidance and for calculating construction work costs that trigger principal contractor duties (section 3.1 and 3.3).
Confined spaces and plant management: For atmospheric hazards and ventilation, the Code directs duty holders to the Code of Practice: Confined spaces. For plant, it refers to the Code of Practice: Managing risks of plant in the workplace. These cross-references indicate that where an excavation presents hazards covered by these other codes (for example confined space entries, plant operation risks), those codes and the underlying statutes are relevant and may impose additional duties.
Explosives and dangerous goods law: The Code treats the use of explosives in excavation as high risk construction work and explicitly requires compliance with dangerous substances/goods or explosives legislation applicable in each jurisdiction. It also requires adherence to the Australian Code for the Transport of Explosives by Road and Rail and references AS 2187.2 for further direction. This means licensing, storage, handling and transport obligations under other statutes must be followed in addition to the WHS Act and Regulations.
State/territory service location systems and utility law: The Code assumes duty holders will obtain underground essential services information from the appropriate state/territory systems, for example Dial Before You Dig services, but it also notes this information may not be accurate and prescribes potholing as an additional verification method. Where an excavation interacts with regulated bores or mines, the Code excludes some of those activities from its higher-risk provisions and indicates that other regimes (mining laws, relevant water law for bores) will apply.
Evidence and court practice: The Code’s foreword states that courts may regard the Code as evidence of known hazards and controls and rely upon it in determining reasonable practicability. This creates an evidentiary linkage where compliance with or departure from the Code can influence outcomes in WHS prosecutions or civil litigation.
Practical interoperability consequences for duty holders
Multiple compliance layers: Duty holders must navigate WHS statutory duties, Code guidance, and sector- or hazard-specific statutes (explosives, mining, water law). Compliance therefore requires assessing which legal regime is primary for the activity and ensuring that practices satisfy each applicable standard.
Acceptance of alternatives: The foreword allows that alternative methods or industry standards can achieve compliance if they provide equivalent or higher protection. However, the Code’s admissibility means alternative measures must be demonstrably at least equivalent, otherwise regulators or courts may not accept them.
Recordkeeping and transfer: The Code’s retention and documentation recommendations interact with contract law and asset transfer obligations. For example, plant maintenance records to be kept for the life of the plant and passed on at sale can create contract and compliance obligations on vendors and buyers.
Overall, the Code operates as a sector-specific interpretive layer sitting on top of the WHS Act and Regulations while pointing to other specialist law that can add obligations. It therefore functions as both a practical compliance guide and a pointer to parallel statutory frameworks that influence how excavation work must be planned and executed.
Amendment history
The text supplied does not include an amendment history section, nor does it provide dates of issue, version numbers or a chronology of prior amendments. The foreword states the Code has been developed by Safe Work Australia as a model code of practice under the Council of Australian Governments’ Inter‑Governmental Agreement for Regulatory and Operational Reform in Occupational Health and Safety for adoption by Commonwealth, state and territory governments. That framing implies the Code is intended as a model to be adopted or adapted in each jurisdiction, which commonly results in jurisdictional variations and later updates at state or territory level.
What the document does show about provenance and likely amendment mechanisms:
Model-code route: Being a model code developed by Safe Work Australia means the Code is likely published and updated centrally, with jurisdictions then adopting or reissuing it under their own WHS legislation. This typically leads to differences in the timing and content of adoption across jurisdictions.
Cross-referenced statutory anchors: The Code anchors many practical obligations to specific WHS Regulations and WHS Act sections (for example s 22, s 47, Regulation 304, Regulation 305). Where those statutory provisions change, the Code’s relevant guidance may be superseded or require updating.
External standards linkage: The Code references external standards and codes (for example AS 2187.2 for explosives, Dial Before You Dig services, Australian Code for the Transport of Explosives). Changes to those referenced standards may lead to consequential updates to guidance or expectations.
Practical implications for compliance professionals
Confirm the current version in jurisdiction: Because no amendment history is embedded in the supplied text, duty holders should verify the current, jurisdictional version of the Code on Safe Work Australia’s website or via their state/territory regulator. Adoption dates, jurisdictional variations, and any amendments will be stated in the version issued by each regulator.
Watch for legislative change: If a State, Territory or the Commonwealth amends the WHS Act or WHS Regulations, the Code may be revised to reflect new statutory duties or interpretations. Relying on an out‑of‑date Code version risks compliance gaps.
Monitor external standards: Where the Code relies on Australian Standards or industry codes, changes in those documents (for example new editions of AS standards) can alter what constitutes equivalent or higher standards under the Code.
Because the supplied text lacks explicit amendment metadata, users must not assume the version provided is current for their jurisdiction. The Code’s model nature means amendments may be reflected at the jurisdictional adoption step, so practitioners must verify the operative text and any local modifications before relying upon it.
Litigation history
The supplied Code does not include any case law, citation of judicial decisions, or a litigation history. It expressly states that Codes of Practice are admissible in court proceedings under the WHS Act and Regulations and that courts may regard a code as evidence of what is known about a hazard, risk or control and may rely on the code in determining what is reasonably practicable. The Code therefore operates as a body of technical and practical benchmark evidence that may be used in litigation, prosecutions and regulatory proceedings, but the text does not identify any precedential cases applying this specific Code.
What the absence of litigation examples implies for practitioners
No jurisdictional precedents cited here: The Code itself leaves it to courts and regulators to determine how to apply it in any given fact pattern. Practitioners should search jurisdictional case law to determine how particular courts or tribunals have treated compliance with previous or similar Codes of Practice when assessing reasonable practicability or breaches of WHS duties.
Evidentiary use likely: Given the Code’s stated admissibility, expect it to be used by regulators and prosecuting authorities as a practical benchmark in enforcement work. Courts may rely on it to determine the state of knowledge about hazards and reasonable control measures at the time of an incident.
Defence value: Conversely, well-documented adherence to the Code, where the Code addresses an identified hazard, is likely to be relied upon in defence of enforcement action as evidence that the duty holder followed recognised best practice and took reasonable steps to manage risks.
Advice for researchers and litigators
Seek jurisdictional case law on Codes of Practice: Because the Code does not include litigation history, anyone relying on it in litigation should source decisions where courts have considered adherence to a Code of Practice in determining reasonable practicability or culpability under a WHS prosecution.
Preserve contemporaneous records: If the Code will be used defensively, the evidentiary value hinges on contemporaneous records showing that the Code’s measures were implemented, that underground services information was obtained and provided, that SWMS were prepared and reviewed, and that training and inspections occurred as described.
In short, while the Code declares itself admissible and identifies its potential evidentiary weight, the text does not provide litigation examples. Legal practitioners should therefore conduct jurisdictional case law searches to understand how courts have treated compliance with equivalent Codes of Practice in practice.
Gotchas
The Code contains several provisions and drafting features that create practical compliance risks and potential traps for duty holders. These are matters where a straightforward reading may understate legal or operational exposure.
Must versus should language
The Code mixes mandatory legal restatements (must) and advisory recommendations (should). For example, Regulation 304 and Regulation 306 create statutory musts, whereas many technical measures are phrased as should. Misinterpreting should as optional when a corresponding statutory duty exists, or failing to document why an alternative approach is equivalent, can increase enforcement risk. Conversely, reading all shoulds as non‑binding can lead to implementation gaps in areas where courts or inspectors expect those recommendations to be followed.
Underground services information is required before work starts, but may be inaccurate
Regulation 304 requires PCBUs with management or control of the workplace to take all reasonable steps to obtain current underground essential services information and to have regard to it before allowing excavation. The Code warns that available information may not be accurate and recommends potholing or exposing short sections to verify locations. Duty holders who rely solely on records obtained from utility maps or Dial Before You Dig without verification risk unplanned contacts and regulatory scrutiny if the information proves inaccurate.
Retention obligations and documentary exposure
Regulation 304 mandates that underground services information obtained must be retained until excavation completion or, if there is a notifiable incident, for two years thereafter. The Code also recommends plant records are kept for the life of the plant and transferred on sale. Failing to retain or make available these records can hinder defence of enforcement action and may be cited by inspectors.
Trench depth trigger points
The Code creates specific legal requirements for trenches at least 1.5 metres deep (Regulation 306) and treats excavations exceeding 1.5 metres as usually requiring engineered support. Small errors in measurement or classification can move an excavation into the high‑risk category that requires SWMS, security measures and additional oversight. Contractors must therefore be precise about depth calculations and keep documentary evidence of the depth determinations.
High risk construction work and SWMS coverage
The Code permits a single SWMS to cover multiple high-risk activities, but also requires co‑operation among contractors to ensure SWMS are consistent and do not create additional risks. Where multiple parties prepare separate SWMS without adequate coordination, the workplace could end up with conflicting controls or gaps, which inspectors may view negatively.
Responsibility allocation where a PCBU appoints an excavation contractor as principal contractor
Section 3.1 allows the excavation contractor to be appointed principal contractor during site-preparation phases. If the appointment is made, the contractor must comply with all principal contractor duties while appointed. Employers must ensure the appointment is captured in contract documents and that responsibilities and resourcing for WHS management are clearly transferred and documented.
Designer safety reports and obtaining them
Regulation 295 requires designers to give a written report specifying design-associated hazards. If the person commissioning the work does not have the designer’s report (for example, because the design was commissioned by a subcontractor), the commissioning person must take all reasonable steps to obtain it. Failure to obtain or provide the designer’s safety report can create regulatory gaps and complicate risk assessments.
Competence and “competent person” ambiguity
The Code repeatedly requires design and assessment work to be undertaken by a competent person but does not prescribe a specific standard for competence. Duty holders must therefore establish and document how competence was assessed and demonstrate that the individual’s qualifications and experience match the complexity of the task. This is particularly important for ground support design and atmospheric/ventilation systems.
Interface with other statutory regimes
Where explosives, dangerous goods, mines or water-law regulated bores are involved, additional licensing, storage, handling and procedural requirements apply. The Code references but does not replicate those regimes. Duty holders may mistakenly assume following the Code alone is sufficient, risking non-compliance with specific licensing or dangerous substances rules.
Review and change management obligations
Regulation 39 requires review of controls when controls become ineffective, when changes introduce new risks, or on request by a health and safety representative. Duty holders may under‑resource ongoing monitoring and review and rely on initial control measures without periodic evaluation, which can be a compliance vulnerability.
Emergency preparedness and rescue capability
The Code requires an emergency plan and specifically that the excavation contractor ensure the plan deals with rescue from excavations. Rescue from deep excavations requires trained personnel, equipment and rehearsed procedures; underestimating the planning and resourcing needed for rescue can lead to major liability exposure.
Training and inductive requirements
Regulation 317 requires a worker to have successfully completed general construction induction training before being directed or allowed to carry out construction work. Site-specific and task-specific training is also required. Calls for “competence” plus licensing for certain plant types mean that PCBUs must track worker qualifications and ensure they are valid and documented.
These “gotchas” share a common theme: legal obligations are often triggered by specific measurements or factual states and are evidenced by documentation and demonstrable competence. Duty holders should take a conservative approach to classification, documentation and verification rather than relying solely on high-level or historical compliance practices.
How to comply
The Code provides both mandatory steps and recommended practices that, if followed and documented, will in most cases demonstrate compliance with the WHS Act and Regulations for excavation work. Below is a practical compliance roadmap that matches the Code’s structure, with references to the regulatory obligations noted in the Code.
Initial planning and scoping
Determine whether the work is excavation within the Code’s scope (all excavation types including trenches, shafts, tunnels and bulk excavations) and whether any exceptions apply (mines, bores covered by relevant water law, trenches of interment) as noted in section 1.1.
Ascertain whether the excavation is high risk construction work. If the excavation is a trench or shaft with an excavated depth greater than 1.5 metres, or a tunnel, a SWMS must be prepared (section 1.1 and section 3.3).
Obtain and verify underground essential services information
Before permitting excavation, take all reasonable steps to obtain current underground essential services information for the excavation area and adjacent areas (Regulation 304).
Make the information available to the principal contractor, excavation contractor, subcontractors and workers, and retain the information until the excavation is completed or, if there is a notifiable incident, for two years after the incident (Regulation 304).
Do not rely solely on service plans if accuracy is uncertain. Carry out potholing or other exposure methods to physically verify the location of services where necessary, using non-destructive techniques where possible (the Code recommends exposing a short section using water pressure and vacuum systems).
Conduct risk identification and, where necessary, risk assessment
Identify excavation-specific hazards from the Code’s non-exhaustive list: underground services, ground collapse, falling objects, soil stability, water ingress, hazardous atmospheres, vibration, noise, and overhead services (section 2.1).
While a formal risk assessment is not mandatory for all excavation work, perform one where it will support selection of control measures, particularly for complex or high-risk excavations (section 2.2). Record the rationale for controls selected.
Implement the hierarchy of controls
Always aim to eliminate hazards where reasonably practicable. If elimination is not possible, use the hierarchy: substitution, isolation, engineering controls, administrative controls and PPE (section 2.3).
For excavations that may affect adjacent building footings or structures, obtain an assessment by a competent person and have ground support systems designed by a competent person (section 3.4).
For trenches and excavations greater than 1.5 metres, install appropriate ground support such as benching, battering, shoring, trench boxes or trench shields; ensure guard rails, covers, landing platforms and secure ladders where required to manage fall risks (Regulation 78; section 4.4).
Prepare required documentation
Prepare SWMS for high-risk construction work before work commences. The SWMS must identify the high risk work, specify hazards and risks, describe controls and how control effectiveness will be monitored and reviewed, and be developed in consultation with workers (section 3.3).
Where a construction project meets the $250,000 threshold, ensure that a principal contractor is appointed and that project-level WHS management plans and site arrangements are in place (section 3.1).
Ensure designers provide the required written safety report specifying design-related hazards to the person commissioning the design, and obtain those reports where necessary (s 22; Regulation 295).
Secure the work area and manage access
For trenches at least 1.5 metres deep, ensure the work area is secured from unauthorised access so far as reasonably practicable (Regulation 306). Consider fencing, signage, barricades and public-space controls where the site adjoins schools, parks or shops.
Control zones, plant exclusion zones and physical barriers should be implemented to prevent plant from operating near excavations unless the ground support is designed to carry such loads (section 4.1 and 4.3).
Implement emergency and rescue planning
Prepare an emergency plan for the workplace that addresses excavation-specific incidents such as ground slips, flooding, gas leaks and worker rescue from excavations (Regulation 43; section 3.7).
Ensure emergency procedures are integrated into the principal contractor’s broader construction emergency plan where applicable, and supply training and rescue equipment suitable for the excavation depth and type.
Manage atmospheric risks and ventilation
Do not use combustion engine plant in confined excavations where workers are present without effective ventilation. Use mechanical ventilation designed by a competent person for tunnels or confined spaces and consider personal gas monitors for workers (section 4.6).
Have a rescue and monitoring regime in place for oxygen-deficient or contaminated atmospheres and ensure workers are trained in recognition and emergency response.
Select and maintain plant and equipment
Choose plant suitable for the excavation depth, soil conditions and site access. Ensure operators are competent and licensed where required, plant has appropriate operator protection structures (ROPS or FOPS where required), and pre-start checks and scheduled maintenance are performed and recorded (section 4.2, 4.3).
Keep logbooks and inspection check sheets containing full service and repair history for the life of the plant and transfer these documents on sale (section 4.3).
Training, supervision and competence management
Provide general construction induction training before workers do construction work (Regulation 317) and task/site-specific training supervised by competent persons. Ensure training is understandable to the intended recipients and is documented (s 19; Regulation 39).
Implement supervision levels proportionate to the risk and complexity of the excavation work, and ensure supervisors are experienced and trained in excavation operations and SWMS compliance.
Consultation, co‑operation and coordination
Consult with workers and health and safety representatives at every step of the risk management process where they are, or are likely to be, directly affected (s 47; s 48).
Where multiple PCBUs operate on a construction site, co‑operate and co‑ordinate activities with other duty holders to exchange information regarding traffic, plant movement and excavation risks (s 46). Ensure SWMS are consistent when multiple contractors operate in the same area.
Recordkeeping and review
Retain underground essential services information as required and ensure it is available for inspection (Regulation 304).
Review control measures when controls are found ineffective, before changes create new risks, if a new hazard is identified, if consultation indicates a review is necessary, or if a health and safety representative requests a review (Regulation 39; section 2.4).
Keep SWMS current and review them where work changes or incidents occur.
Special obligations and cross-sector compliance
If explosives are used, comply with jurisdictional explosives and dangerous goods legislation, engage licensed competent persons to develop blast management plans, and follow the Australian Code for the Transport of Explosives by Road and Rail and AS 2187.2 (section 4.5).
Where excavation could affect adjacent structures or building footings, obtain competent person assessments and engineered ground support and document the technical advice and installation.
Practical evidence and audit trail
Document all decisions and technical advice: designers’ safety reports, competent person ground-support designs, SWMS, plant maintenance logs, training records, underground services verification (potholing) records, emergency plan documents and consultation minutes. The Code’s admissibility in court means contemporaneous records materially assist regulatory defence.
Use checklists tied to the Code’s regulatory citations (Regulation 304, Regulation 305, Regulation 306, Regulation 43, Regulation 78, Regulation 317 and Regulation 295) to ensure no statutory duty is omitted.
Who pays and who decides
The PCBU pays and decides on risk management measures, procurement of competent persons, verification works, and documentation practices. Principal contractors bear project-level costs for site security, SWMS coordination and emergency planning where a project meets the statutory threshold. Designers are responsible for providing safety reports and bear the cost of preparing them. Workers’ training costs flow to the engaging PCBU, which must also resource supervision and rescue capability.
By following the Code’s mandatory provisions and documented guidance, and by maintaining contemporaneous records that demonstrate the application of the hierarchy of control, consultation and review processes, duty holders will usually be able to demonstrate compliance with the WHS Act and WHS Regulations for excavation work. Where alternatives to the Code are used, ensure the alternative provides an equivalent or higher standard and document the basis for that equivalence in case of regulatory scrutiny.
How to use this code of practice How to use this code of practice
How to use this code of practice
In providing guidance, the word ‘should’ is used in this Code to indicate a recommended course of action, while ‘may’ is used to indicate an optional course of action.
This Code also includes various references to provisions of the WHS Act and Regulations which set out the legal requirements. These references are not exhaustive. The words ‘must’, ‘requires’ or ‘mandatory’ indicate that a legal requirement exists and must be complied with.
1 INTRODUCTION
1 INTRODUCTION
1.1 What is excavation work?
1.1 What is excavation work?
Excavation work generally means work involving the removal of soil or rock from a site to form
an open face, hole or cavity using tools, machinery or explosives.
A person conducting a business or undertaking must manage risks associated with all kinds
of excavations at the workplace, no matter how deep.
Specific duties apply in relation to the higher-risk excavations such as trenches, shafts and tunnels. However these requirements do not apply to a mine, a bore to which a relevant water law applies or a trench used as a place of interment.
Any construction work (including any work connected with an ‘excavation’) that is carried out
in or near:
a shaft or trench with an excavated depth of greater than 1.5 metres, or
a tunnel
is considered to be ‘high risk construction work’ for which a Safe Work Method Statement (SWMS) must be prepared.
Other key terms relating to excavation work are listed in Appendix A.
1.2 Who has health and safety duties in relation to excavation work?
1.2 Who has health and safety duties in relation to excavation work?
A person conducting a business or undertaking has the primary duty to ensure, so far as is reasonably practicable, that workers and other persons are not exposed to health and safety risks arising from the business or undertaking.
The WHS Regulations include specific obligations for a person conducting a business or undertaking to manage the risks associated with excavation work including trenches.
A person conducting a business or undertaking who has management or control of a workplace where excavation work is being carried out must take all reasonable steps to obtain current underground essential services information relating to the part of a workplace where the excavation work is being carried out and areas adjacent to it before directing or allowing the excavation to commence. This information must be provided to any person engaged to carry out excavation work.
For the purpose of this Code, the person conducting a business or undertaking who carries out the excavation work is sometimes referred to as the ‘excavation contractor’.
A principal contractor for a construction project (for example where the cost of the construction work is $250 000 or more) has additional duties under the WHS Regulations (refer to section 3.1 of this Code).
Designers of structures must ensure, so far as is reasonably practicable, that the structure is without risks to health and safety, when used for a purpose for which it was designed. Designers must give the person who commissioned the design a written safety report that specifies the hazards relating to the design of the structure (refer to section 3.2 of this Code).
Officers, such as company directors, have a duty to exercise due diligence to ensure that the business or undertaking complies with the WHS Act and Regulations. This includes taking reasonable steps to ensure that the business or undertaking has and uses appropriate resources and processes to eliminate or minimise risks that arise from the excavation work.
Workers have a duty to take reasonable care for their own health and safety and that they do
not adversely affect the health and safety of other persons. Workers must comply with any reasonable instruction and cooperate with any reasonable policy or procedure relating to health and safety at the workplace.
1.3 What is required to manage risks associated with excavation work?
1.3 What is required to manage risks associated with excavation work?
Regulation 305 A person conducting a business or undertaking must manage risks to health
and safety associated with excavation work.
Regulation 34-38 In order to manage risks under the WHS Regulations, a duty holder must:
identify reasonably foreseeable hazards that could give rise to the risk
eliminate the risk so far as is reasonably practicable
if it is not reasonably practicable to eliminate the risk – minimise the risk so far as is reasonably practicable by implementing control measures in accordance with the hierarchy
of control
maintain the implemented control measure so that it remains effective, and
review, and if necessary revise control measures so as to maintain, so far as is reasonably practicable, a work environment that is without risks to health and safety.
This Code provides guidance on managing the risks associated with excavation work by following a systematic process that involves:
identifying hazards
if necessary, assessing the risks associated with these hazards
implementing control measures, and
maintaining and reviewing the effectiveness of control measures.
Section 47 A person conducting a business or undertaking must consult, so far as is reasonably practicable, with workers who carry out work for them and who are (or are likely to be) directly affected by a work health and safety matter.
Section 48 If the workers are represented by a health and safety representative, the consultation must involve that representative.
Consultation with workers and their health and safety representatives is required at every step of the risk management process. In many cases, decisions about construction work and projects are made prior to engaging workers, therefore, it may not be possible to consult with workers in these early stages. However, it is important to consult with them as the excavation work progresses.
Consulting, co-operating and co-ordinati Consulting, co-operating and co-ordinating activities with other duty holders
Consulting, co-operating and co-ordinating activities with other duty holders
Section 46 A person conducting a business or undertaking must consult, co-operate and
co-ordinate activities with all other persons who have a work health or safety duty in relation
to the same matter, so far as is reasonably practicable.
A construction workplace will often be shared by various persons conducting a business or undertaking, such as civil engineers and contractors. Persons with overlapping duties should exchange information about the risks associated with the excavation work including any traffic and plant movements near the excavation area. They should work together in a co-operative and co-ordinated way so that all risks are eliminated or minimised so far as is reasonably practicable.
The first step in the risk management process is to identify the hazards associated with excavation work. Examples of excavation specific hazards include:
underground essential services including gas, water, sewerage, telecommunications, electricity, chemicals and fuel or refrigerant in pipes or lines. Information about the location of these and other underground services, such as drainage pipes, soak wells and storage tanks, in and adjacent to the workplace, must be established before directing or allowing excavation work to commence
the fall or dislodgement of earth or rock
falls from one level to another
falling objects
inappropriate placement of excavated materials, plant or other loads
the instability of any adjoining structure caused by the excavation
any previous disturbance of the ground including previous excavation
the instability of the excavation due to persons or plant working adjacent to the excavation
the presence of or possible inrush of water or other liquid
hazardous manual tasks
hazardous chemicals (e.g. these may be present in the soil where excavation work is to be carried out)
hazardous atmosphere in an excavation (e.g. using Methyl Ethyl Ketone (MEK) solvent for PVC pipes in poorly ventilated trenches)
vibration and hazardous noise, and
overhead essential services (powerlines) and ground mounted essential services (transformers, gas and water meters).
2.2 Assessing the risks
2.2 Assessing the risks
Under the WHS Regulations, a risk assessment is not mandatory for excavation work however
it is required for specific situations, for example when working with asbestos. In many circumstances a risk assessment will assist in determining the control measures that should be implemented. It will help to:
identify which workers are at risk
determine what sources and processes are causing that risk
identify if and what kind of control measures should be implemented, and
check the effectiveness of existing control measures.
When assessing the risks associated with excavation work you should consider things such as:
local site conditions including access, ground slope, adjacent buildings and structures, water courses (including underground) and trees
depth of the excavation
soil properties including variable soil types, stability, shear strength, cohesion, presence of ground water, effect of exposure to the elements
fractures or faults in rocks including joints, bedding planes, dip and strike directions and angles, clay seams
any specialised plant or work methods required (e.g. ground support)
the method(s) of transport, haul routes and disposal
what exposures might occur, such as to noise, ultra violet rays or hazardous chemicals
the number of people involved
the possibility of unauthorised access to the work area
local weather conditions, and
the length of time that the excavation will be open.
2.3 Controlling the risks
2 THE RISK MANAGEMENT PROCESS
Regulation 305 A person conducting a business or undertaking must manage risks to health
and safety associated with excavation work before the work commences including the risk of:
a person falling into an excavation
a person being trapped by the collapse of an excavation
a person working in an excavation being struck by a falling thing
a person working in an excavation being exposed to an airborne contaminant.
To manage the risks, all relevant matters must be considered including:
the nature of the excavation
the nature of the excavation work including the range of possible methods of carrying out the work, and
the means of entry into and exit from the excavation (if applicable).
2.1 Identifying the hazards
The first step in the risk management process is to identify the hazards associated with excavation work. Examples of excavation specific hazards include:
underground essential services including gas, water, sewerage, telecommunications, electricity, chemicals and fuel or refrigerant in pipes or lines. Information about the location of these and other underground services, such as drainage pipes, soak wells and storage tanks, in and adjacent to the workplace, must be established before directing or allowing excavation work to commence
the fall or dislodgement of earth or rock
falls from one level to another
falling objects
inappropriate placement of excavated materials, plant or other loads
the instability of any adjoining structure caused by the excavation
any previous disturbance of the ground including previous excavation
the instability of the excavation due to persons or plant working adjacent to the excavation
the presence of or possible inrush of water or other liquid
hazardous manual tasks
hazardous chemicals (e.g. these may be present in the soil where excavation work is to be carried out)
hazardous atmosphere in an excavation (e.g. using Methyl Ethyl Ketone (MEK) solvent for PVC pipes in poorly ventilated trenches)
vibration and hazardous noise, and
overhead essential services (powerlines) and ground mounted essential services (transformers, gas and water meters).
2.2 Assessing the risks
U
This is an opening excerpt, not the complete document.