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Excavation and earthworks · Australia

SWMS for footing excavation

By Safety PaperworkBuilt from Safe Work Australia and state regulator guidance · How we write and check theseUpdated

Yes. Footing excavation usually includes high risk construction work (work in an area with movement of powered mobile plant), so a SWMS is required by law before work starts.

It must list the hazards, the controls and how they will be put in place, monitored and reviewed, and the workers must be consulted and sign before starting. The main hazards are hitting underground services, being hit by mobile plant, trench or excavation collapse and falling through a floor opening or void.

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SWMS example: footing excavation

This is a complete SWMS for footing excavation, with 5 job steps. Open it in the builder to add your site, crew and signatures, change anything, and download a PDF. Or download the free Word template below and fill it in by hand.

Safe Work Method Statement (SWMS)
Footing excavation · Excavation and earthworks · Example
Document SWMS-001 · Rev 1

High risk construction work covered

Work in an area with movement of powered mobile plant

Job steps, hazards and controls

#Job stepHazardsRisk beforeControlsRisk after
1Get BYDA plans and set out footings
  • Hitting underground services
Extreme
  • Keep machine buckets well clear of marked services and use a spotter. Isolate
  • Scan the area with a cable locator before digging and mark services on the ground. Engineering
  • Hand dig or vacuum excavate to expose services before using a machine near them. Engineering
  • Lodge a free BYDA (Before You Dig Australia) request and get the plans before any digging. Administrative
  • Keep plans or locate tickets on site and check them again if the work area grows. Administrative
  • If you hit a service, stop, get everyone clear, and call the owner and emergency services. Administrative
  • Wear safety boots, gloves and hi-vis when digging. PPE
Medium
2Set up an exclusion zone around the machine
  • Being hit by mobile plant
Extreme
  • Separate people and plant with barriers, exclusion zones and marked walkways. Isolate
  • Use plant with working reversing alarms, cameras and lights. Engineering
  • Have a traffic management plan showing plant routes, loading areas and pedestrian paths. Administrative
  • Use a spotter when reversing or working near people. Administrative
  • Make eye contact with the operator before going near. Stay out of the swing radius. Administrative
  • Operators hold a High Risk Work Licence where needed (for example forklift) and are trained and assessed on other plant. Administrative
  • Do a pre-start check on each machine every day and record it. Administrative
  • Wear hi-vis clothing and a hard hat. PPE
Medium
3Dig to the engineer depth, checking ground stability
  • Trench or excavation collapse
Extreme
  • Use methods that keep people out of the trench, such as directional boring or working from the surface. Eliminate
  • Barricade or cover the excavation so people and plant cannot fall in. Isolate
  • Shore, bench or batter the walls of any trench 1.5 metres deep or more before anyone goes in, unless a geotechnical engineer advises in writing that the sides are safe. Engineering
  • Keep spoil, materials and plant at least 1 metre back from the edge. Engineering
  • Provide a safe way in and out, such as a ladder near where people work. Engineering
  • Inspect the excavation at the start of each shift and after rain or anything that could weaken it. Record it. Administrative
  • Never work alone in a trench. Watch for water, cracks and bulging walls, and get out if you see them. Administrative
  • Wear a hard hat, hi-vis and safety boots. PPE
Medium
4Cover or barricade open footings at the end of each day
  • Falling through a floor opening or void
  • Public entering the work area
Extreme
  • Cover every hole and penetration with a fixed, secured cover marked "HOLE" or "DANGER". Isolate
  • Put guardrails with toe boards around stairwells, lift shafts, voids and open edges. Isolate
  • Install stairs early and fit temporary handrails as soon as they go in. Engineering
  • Never remove a cover or guardrail without approval. Put it back straight away. Administrative
  • Inspect covers and barriers daily and after other trades have been through. Administrative
  • Keep lighting good enough to see openings, especially on lower floors and in the evening. Administrative
  • Use a harness clipped to a rated anchor when working right next to an open void. PPE
  • Fence off the site with secure temporary fencing and lock the gates when you leave. Isolate
  • Give pedestrians a safe, marked path around the work, with ramps for prams and wheelchairs. Isolate
  • Use hoarding, covered walkways or catch fans where work is above public areas. Engineering
  • Put signs at each entry: site name, contact number and "No unauthorised entry". Administrative
  • Make the site safe at the end of each day: cover holes, lower plant, remove ladders and lock tools away. Administrative
  • Use a spotter when moving plant or materials across public paths. Administrative
Medium
5Remove water and loose soil before inspection
  • Drowning
  • Slips and trips
High
  • Work from the bank or a platform instead of in or over the water where you can. Eliminate
  • Put up barriers or guardrails along water edges. Isolate
  • Pump out flooded pits and excavations before work. Engineering
  • Never work near deep water alone. Keep a rescue person with a throw line or life ring ready. Administrative
  • Check water levels and the weather, and stop work in floods or fast-flowing water. Administrative
  • Wear a life jacket when working over or next to water deep enough to drown in. PPE
  • Plan walkways and keep them clear of materials, hoses and leads. Eliminate
  • Run leads and hoses overhead on hooks or stands, or along walls, not across walkways. Engineering
  • Fill or cover holes, and lay boards or mats on muddy access paths. Engineering
  • Clean up offcuts, packaging and spills as you go, not at the end of the day. Administrative
  • Keep work areas, stairs and access paths well lit. Administrative
  • Wear safety boots with good grip, laced up. PPE
Medium

PPE

Steel cap bootsHi-vis shirt or vestHard hatHearing protection (earmuffs or plugs)

Plant and equipment

Excavator: Verification of competency (VOC) for the machineSkid steer (Bobcat): Verification of competency (VOC) for the machineHand tools

Permits and plans

Excavation / dig permit

Emergency

Call 000. Add the nearest hospital, the assembly point and the first aider for your site.

Sign-off

Supervisor and every worker sign to confirm they have read and understood this SWMS.

Free SWMS template for footing excavation

Word (.docx) and PDF, A4 landscape, no email needed. Fill in your site details, then print or send it.

Word template (.docx)PDF template

Make yours in 2 minutes

Same document, filled in for your job. Answer a few yes or no questions, the crew signs on the phone, and you send the PDF.

Start this SWMS

Pre-start checklist for footing excavation

Tick these off before work starts. They come from the hazards, permits and equipment in this job.

The safe sequence of work

  1. Get BYDA plans and set out footings
  2. Set up an exclusion zone around the machine
  3. Dig to the engineer depth, checking ground stability
  4. Cover or barricade open footings at the end of each day
  5. Remove water and loose soil before inspection

Hazards to watch on footing excavation

The hazards most specific to this job, and the step where each one comes up.

Step 5DrowningA worker falls into a river, dam, pool or flooded pit and drowns or is swept away.
Step 3Trench or excavation collapseThe trench walls cave in and bury or crush a worker. Trenches 1.5 metres deep or more must be shored, benched or battered unless a geotechnical engineer advises in writing that the sides are safe.
Step 1Hitting underground servicesDigging, drilling or driving pegs hits a buried power cable, gas pipe or water main, causing electrocution, explosion or flooding.
Step 4Falling through a floor opening or voidA worker steps into an open hole, stairwell, lift shaft or penetration and falls to the level below.
Step 2Being hit by mobile plantExcavators, loaders, telehandlers and trucks run over or crush workers, especially when reversing or slewing.
Step 5Slips and tripsWorkers slip on wet or muddy ground or trip on leads, offcuts and uneven ground, causing sprains, broken bones or head injuries.
Almost certainLikelyPossibleUnlikelyRareHow bad it could be: Insignificant to CatastrophicBA
Highest risk on footing excavation: Extreme before controls (B), down to Medium after controls (A), on the Australia 5 by 5 risk matrix (possible and catastrophic becomes rare and catastrophic).

What changes on your site

This example covers the job itself. Your site may add more. Add controls for any of these that apply (the builder asks you these as yes or no questions):

  • Will anyone work more than 2 metres off the ground?
  • Will anyone use a ladder or stepladder?
  • Will anyone work on a roof?
  • Is there a skylight, clear sheet, fibro or other fragile roofing?
  • Will you use a scaffold or mobile tower?

Licences and legal requirements in Australia

This task can involve these high risk construction work categories under the WHS Regulations:

  • Work in an area with movement of powered mobile plant

Equipment on this job that needs a licence, ticket or training:

  • Excavator: Verification of competency (VOC) for the machine
  • Skid steer (Bobcat): Verification of competency (VOC) for the machine

A SWMS must be prepared before any high risk construction work starts. It must list the high risk work, the hazards and risks, the control measures, and how those controls will be put in place, monitored and reviewed. It must be easy for the workers to read and understand.

Rules that apply: WHS Regulation 2011, Part 5.1 Plant; WHS Regulations, Part 6.3 Division 3 (Excavation work, r.304 to 306); WHS Regulation 2011, Part 4.4 Falls.

Each state has its own regulator and some extra rules: New South Wales, Victoria, Queensland, Western Australia, South Australia and Australian Capital Territory.

Why SWMS get rejected

Principal contractors send documents back for these reasons. This example avoids them, but check yours too.

  • It is generic: another site address, tasks that are not on this job, or no sign it was reviewed for this site. WorkSafe WA says a generic SWMS may not meet the regulations unless it is reviewed and amended for the workplace.
  • The HRCW boxes are not ticked, or the ticks do not match the tasks (for example a roof job with no falls box ticked).
  • Falls are controlled only by "be careful", training or a harness, with no edge protection or scaffold and no reason why higher controls are not reasonably practicable.
  • Workers will clip on to a harness but there is no rescue plan for someone left hanging.
  • The "how controls are implemented, monitored and reviewed" part is missing, or it says the same thing on every row.
  • No worker sign-on, no person responsible for compliance, or a date given to the principal contractor that is before they actually received it.
  • Licence or White Card details are missing for workers operating plant or doing licensed high risk work.

Questions

Do I need a SWMS for footing excavation?

Yes. Footing excavation usually includes high risk construction work (work in an area with movement of powered mobile plant), so a SWMS is required by law before work starts.

Who signs the SWMS?

The person conducting the business (PCBU) or their supervisor prepares it with the workers, and every worker doing the high risk work signs to show they were consulted and understand it. Give a copy to the principal contractor before work starts.

How long do I keep it?

Keep this SWMS, and every revised version, until the high risk construction work is finished, where workers and inspectors can see it on site. If a notifiable incident happens during the work, keep it for at least 2 years after the incident.

What PPE is needed for footing excavation?

Usually Steel cap boots, Hi-vis shirt or vest, Hard hat, Hearing protection (earmuffs or plugs). The site rules may add more, so check with the principal contractor.

More excavation and earthworks SWMS

SWMSTrenching10 stepsSWMSSite Cut6 stepsSWMSPool Excavation8 stepsSWMSStormwater Drainage Installation5 stepsSWMSPost Hole Boring5 stepsSWMSBackfill and Compaction5 steps

Related jobs in other trades

ConcretingConcrete Cutting and Core DrillingAlso involves hitting underground servicesConcretingConcrete Slab PourAlso involves being hit by mobile plantConcretingFormworkAlso involves being hit by mobile plantRoofingRoof Tile ReplacementAlso involves public entering the work areaRoofingGutter ReplacementAlso involves public entering the work areaDemolitionNon Friable Asbestos RemovalAlso involves public entering the work area

Toolbox talks for this job

Toolbox talkSlips, Trips and FallsToolbox talkExcavation and Trench SafetyToolbox talkBefore You Dig: Underground ServicesToolbox talkMobile Plant and Spotters

Blank SWMS template: free SWMS templates. Also for other countries: United Kingdom (RAMS) · United States (JHA) · Canada (FLHA)

Sources