Free excavation swms template
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Free excavation SWMS template (PDF-ready). Covers trench collapse, service strikes, plant, atmosphere and rescue controls. Download free.
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Key takeaways
- Excavation work is high risk construction work when a trench or shaft exceeds 1.5 metres, so WHS Regulations 2011 Regulation 291 requires a SWMS before the dig starts.
- Trench collapse is the major killer. Control it first with benching, battering, shoring or a trench shield chosen to suit the soil, depth and groundwater.
- Locate services through Dial Before You Dig, record the AS 5488 quality level, then pothole or hand dig within the offset to confirm them before machine excavation.
- Set spoil back at least 0.9 metres from the edge, provide safe ladder access, and keep plant separated from workers with exclusion zones and spotters.
- Test for oxygen deficient or contaminated atmosphere in deep or enclosed excavations, brief the crew on the rescue plan, and revise the SWMS when conditions change.
Updated 9 June 2026
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What is a excavation swms template?
An excavation SWMS (Safe Work Method Statement) is the document a PCBU must prepare before excavation work is carried out as high risk construction work, which under WHS Regulations 2011 Regulation 291 includes any work in or near a trench or shaft with an excavated depth greater than 1.5 metres, a tunnel, or work in or near a place where there is a risk of a person being trapped by the collapse of an excavation. It breaks the dig into sequential steps, identifies the hazards at each step, assesses the risk, and sets out control measures that follow the hierarchy of controls, with trench collapse prevention through benching, battering, shoring or a trench shield as the signature engineering control.
Excavation work is among the most lethal activities on an Australian site because a cubic metre of soil can weigh more than a tonne and a collapse gives no warning. The Model Code of Practice for Excavation Work, published by Safe Work Australia, requires the work to be planned before it starts so hazards can be identified, risks assessed and controls determined in consultation with everyone involved, including the principal contractor, the excavation contractor, designers and mobile plant operators. The SWMS is the document that captures that plan, is read and signed by every worker before they enter the zone, and is revised on site whenever ground, weather or service conditions change.
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Benefits of using this excavation swms template
- Collapse prevention: forces a documented decision on benching, battering, shoring or shielding before anyone enters a trench deeper than 1.5 metres.
- Service strike defence: ties the dig to Dial Before You Dig plans, potholing and hand digging so located electricity, gas, water and telecommunications assets are not struck.
- Legal compliance: satisfies the Regulation 291 and Regulation 299 duty to prepare a SWMS before high risk construction work begins, evidenced for regulator audits.
- Plant and people separation: defines exclusion zones, spotters and barricading so workers on foot are kept clear of excavators, trucks and the open edge.
- Atmosphere control: prompts testing for oxygen deficient or contaminated air in deep or enclosed excavations before entry and during occupation.
- Shared accountability: every worker signs onto the method, confirming they understand the access, spoil and rescue arrangements before the first bucket of dirt is moved.
Benefits of digitising forms in MapTrack
When you move your procedures from paper to MapTrack, you get:
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- Maintain an auditable safety register that satisfies WHS regulator requests.
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What to include in a excavation swms template
This excavation swms template covers 9 key areas:
- Project and dig details: site address, principal contractor, excavation contractor, trench or shaft location, planned depth, length, soil type and the date the SWMS was prepared.
- High risk work category: confirmation that the work is high risk construction work under Regulation 291, with the trench or shaft depth and any nearby services recorded.
- Service location evidence: Dial Before You Dig plan reference, AS 5488 quality level of the located services, and the potholing or hand digging method near each asset.
- Work steps: each stage broken down in order, from service location and set out through to backfill, compaction and reinstatement.
- Hazards per step: collapse and cave-in, service strikes, falls into the excavation, mobile plant interaction, struck-by, atmosphere, ground instability from spoil and water ingress.
- Risk rating: an inherent and residual rating for each hazard using a likelihood-by-consequence matrix, re-scored after the controls are applied.
- Control measures: ground support method (benching, battering, shoring, trench shield), exclusion zones, spotters, edge protection, spoil set back at least 0.9 metres, and safe ladder access.
- Atmosphere and rescue: testing requirements for deep excavations, the emergency response and retrieval plan, first aid arrangements and emergency contacts.
- Sign-on register: name, signature and date for every worker, plant operator and supervisor who has read and agreed to follow the method statement.
How to use this excavation swms template
- Plan the dig and confirm it is high risk construction work.: Before any soil is disturbed, review the design, the proposed depth and the ground conditions, and confirm whether Regulation 291 applies because the trench or shaft exceeds 1.5 metres or there is a collapse or services risk. Record the activity, scope and responsible persons at the head of the SWMS in consultation with the crew.
- Locate underground services and plan the ground support method.: Lodge a Dial Before You Dig enquiry and obtain plans for every utility crossing the site. Note the AS 5488 quality level for each located asset, plan potholing or hand digging within the prescribed offset, and select the collapse control (benching, battering, shoring or a trench shield) appropriate to the soil and depth.
- Break the work into steps and identify hazards at each one.: List every stage from set out and service exposure through excavation, support installation, work in the trench, backfill and reinstatement. For each step record what could go wrong and who could be harmed, covering collapse, service strikes, falls, plant interaction, atmosphere, water ingress and spoil instability, and rate the inherent risk.
- Assign controls following the hierarchy of controls.: For each hazard, define controls in priority order and re-score the residual risk. Specify the ground support system, set spoil back at least 0.9 metres from the edge, provide ladder access within reach of every worker, establish exclusion zones and spotters for plant, barricade the open excavation and set atmosphere testing triggers for deep or enclosed digs.
- Brief the crew, sign on and review on site each day.: Walk the whole crew, including plant operators, through every step, hazard and control at the work face and have each person sign the register. Keep the SWMS on site and accessible, and revise it and re-brief the crew whenever the depth, ground, weather, services or sequence of work changes before the task resumes.
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A SWMS must be prepared before excavation work that is high risk construction work commences, as required by WHS Regulations 2011 Regulation 299, and it must remain available on site for the duration of the work. Before each shift, review the SWMS at the work face to confirm the documented hazards and controls still match the actual ground, weather, water and service conditions, because excavations are dynamic and a trench that was stable yesterday can be compromised by overnight rain or vibration from adjacent plant.
Beyond the daily pre-start review, the SWMS must be revised whenever the planned depth or alignment changes, when a new service is encountered, when the soil or groundwater conditions differ from those assumed, after any incident or near miss, or when a new crew or subcontractor joins the dig. The principal contractor should audit excavation SWMS compliance across all open trenches regularly, and the organisation should review its excavation SWMS templates annually against the current Model Code of Practice for Excavation Work and any state regulator guidance to keep them current.
Frequently asked questions
Applicable regulatory standards
This template aligns with the following regulations and standards:
- WHS Regulations 2011 - Regulation 291 (high risk construction work) and Regulation 299 (SWMS preparation)
- Safe Work Australia - Model Code of Practice: Excavation Work
- WHS Act 2011 - Section 19 (primary duty of care)
- AS 5488.1 - Classification of subsurface utility information (SUI)
- Dial Before You Dig / Before You Dig Australia (BYDA) - service location process
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