EXCAVATOR PARTS NEED TO BE INSPECT

Excavation Hazards and Control Measures

Site excavation is a necessary part of many construction projects, but can be an extremely dangerous
job if workers are poorly trained, if the proper safety regulations are not followed, or if the construction
company employer or supervisor are in any way negligent.

Excavation:

An excavation as any man-made cut, cavity, trench, or depression in the earth’s surface formed
by earth removal. Sometime excavation is mixed up with another term ‘trench’ but technically
both terms are not identical such as:

Trench:

A trench is defined as a narrow underground excavation that is deeper than it is wide, and is
no wider than 15 feet (4.5 meters).

Incident/Accident Stats:

From 2000 to 2009, an average of 35 workers died every year in trenching or excavation cave-
ins, according to Bureau of Labor Statistics data, USA. About three in every four fatalities
occurred at residential worksites.
 Hazards & Risks Associated With Excavation
Excavation on a construction site requires the use of heavy machinery, proper safety measures,
and the careful attention of construction workers and supervisors. Unfortunately, there are a
number of factors that can lead to the occurrence of an excavation accident, which can result
in serious injury and tragic loss of life. The following are hazards & risks associated with
excavation:

 Cave-in or excavation collapses excavated material

 Failure of excavation machinery
 Falling person/objects near excavations
 Slip, Trip & Fall
 Hazardous atmosphere/presence of flammable gases
 Exposure to Underground facilities (electric wires, water/gas pipeline)
 Failure to properly shore an excavation site
 Poor training of construction worker
 Asphyxiation due to material flow
 Flooding/Underground water hazards/Extreme weather conditions
 Animal bites/Dengue virus

Excavation Control Measures

Inspection:
 A competent person who fully understands the dangers and necessary precautions should
inspect the area of excavation prior starting work. Tools like geo-scanning detectors,
metal/wire detectors or site layouts are used to detect underground utilities.
 Excavations should also be inspected after any event that may have affected their strength or
stability, or after a fall of rock or earth.
 Inspection of excavation machinery/equipment must be done to identify any substantial faults
prior to start work. A record of the inspections will be required and any faults that are found
should be corrected immediately.
Safe Digging Practices:
 Excavation work should be carried out carefully and follow recognized safe digging practices.
Once a locating device has been used to determine cable positions and routes, excavation may
take place, with trial holes dug using suitable hand tools as necessary to confirm this.
 Excavate alongside the service rather than directly above it. Final exposure of the service by
horizontal digging is recommended, as the force applied to hand tools can be controlled more
effectively. Insulated tools should be used when hand digging near electric cables
GAS Testing:
 Gas testing must be done before & during the entire activity to measure O2 level and to find
out the presence of other hazardous gases. The testing must be done by authorized person.
Protection to fall into Excavations:
Edges of excavations should be protected with substantial barriers where
people/object/equipment are liable to fall into them.
 It can be done by:
 Guard rails and toe boards inserted into the ground immediately next to the supported
excavation side; or
 Fabricated guard rail assemblies that connect to the sides of the trench box
 The support system itself, e.g. using trench box extensions or trench sheets longer than the
trench depth

Falling OR Dislodging Material:

 Loose materials – may fall from spoil heaps into the excavation. Edge protection should include
toe-boards or other means, such as projecting trench sheets or box sides to protect against
falling materials.
 Undermining other structures – Check that excavations do not undermine scaffold footings,
buried services or the foundations of nearby buildings or walls. Decide if extra support for the
structure is needed before you start. Surveys of the foundations and the advice of a structural
engineer may be required.
 Effect of plant and vehicles – Do not park plant and vehicles close to the sides of excavations.
The extra loadings can make the sides of excavations more likely to collapse.

Preventing Excavations Collapse:

 Temporary support – Before digging any trench pit, tunnel, or other excavations, decide what
temporary support will be required and plan the precautions to be taken. Make sure the
equipment and precautions needed (trench sheets, props, baulks etc.) are available on site
before work starts.
 Battering the excavation sides – Battering the excavation sides to a safe angle of repose may
also make the excavation safer. In granular soils, the angle of slope should be less than the
natural angle of repose of the material being excavated. In wet ground a considerably flatter
slope will be required.

Training & Supervision & Safe Systems of Work:

 Worker must provide adequate training on Work at height, scaffolding, tools & machine
operations. Activities related to excavation must be supervised e.g. provision of banks-men to
guide the vehicles.
 Develop safe system of work and introduce permit to work system to carry out the activity in
safe manners.

Methods for Groundwater Controlling and Dewatering:

 Sump pumping
 Well point system
 Siphon draining
 Deep well system
 Ejector system
Safety Signs:
 Safety signs must be displayed on site & they should be clearly visible and understandable
 Use luminous & reflective safety signs during low visibility or at night to prominent the hazards.

Extreme Weather Conditions:

 Workers must be provided with frequent rest breaks & job rotations. Provision of Cooling
shelters, drinks & light clothing for hot environment and warm foods, insulating clothes for
cold environment. In case of stormy weather or rain activity must be stopped immediately.
 Provide cover & brick edges around small excavation & trench to avoid sliding down of water
during rain into excavations.

FREE Rescue Plan:

 Develop fire emergency plan and provide suitable fire equipment on site (Fire blanket, fire
extinguisher, sand buckets & fire retardant suits)

Personal Protective Equipment:

 Provide adequate PPEs like hard helmet, visibility vest, hard/slip resistance shoes, respiratory
equipment, fall arrest or harness, safety go
 DENTIFYING 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.

3 PLANNING THE EXCAVATION WORK

Excavation work should be carefully planned before work starts so it can be carried out safely. Planning
involves identifying the hazards, assessing the risks and determining appropriate control measures in
consultation with all relevant persons involved in the work including the principal contractor,
excavation contractor, designers and mobile plant operators. Structural or geotechnical engineers may
also need to be consulted at this stage.
Consultation should include discussions on the:
 nature and/or condition of the ground and/or working environment
 weather conditions
 nature of the work and other activities that may affect health and safety
 static and dynamic loads near the excavation
 interaction with other trades
 site access
 SWMS
 management of surrounding vehicular traffic and ground vibration
 type of equipment used for excavation work
 public safety
 existing services and their location
  the length of time the excavation is to remain open
 provision of adequate facilities, and
 Procedures to deal with emergencies.
Further information on amenities and emergencies is available in the Code of Practice: Managing the
work environment and facilities.

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

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.
For further guidance on the duties of designers refer to the Code of Practice: Safe design
of structures.

3.3 Safe Work Method Statements

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.
Further guidance on SWMS and an example SWMS template is available in the Code of
Practice: Construction work.

3.4 Adjacent buildings or structures

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

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

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:
 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’

Further guidance on underground essential services and how to locate them is available in the Code of
Practice: Construction work.

3.6 Securing the work area

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

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

The following table lists common hazards associated with excavation work and examples
of control measures:

Potential hazards Examples of control measures

Ground collapse the use of benching or the installation of ground support (e.g. shoring)
Water inrush pumps or other dewatering systems to remove water and prevent build-
up
Falls ramps, steps or other appropriate access into the excavation
Hazardous manual tasks rotating tasks between workers
Airborne contaminants mechanical ventilation to remove airborne contaminants
Buried contaminants (e.g. training to identify buried contaminants and what action to take
asbestos)
Underground services obtain information from the relevant authorities on the location
of underground services
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).

Figure 2 Excavated material and loads near excavations

Figure 2 shows an example of:

 an excavation with shoring that has been designed to carry vehicle and material loads – this
may be required where there is limited space around the excavation for vehicle movement
and/or material storage, and
  An excavation with shoring that has been designed only to carry the load of the excavated faces
and the related zone of influence.
Any material will add a load to the area where it is placed. It is important that materials are not placed
or stacked near the edge of any excavation as this would put persons working in the excavation at risk.
For example, the placement of material near the edge of an excavation may cause a collapse of the side
of the excavation.
To reduce the risk of ground collapse, excavated or loose material should be stored away from the
excavation. Excavated material should be placed outside the zone of influence. Alternatively, a ground
support system should be designed and installed to carry the additional loads including any ground
water pressures, saturated soil conditions and saturated materials.

If excavating in sloping ground decide which side of the excavation to place the excavated material.
Things to consider include:
 ground conditions
 access to the excavation
 existing underground services
 the need for earthmoving machinery or vehicles to work or move along beside the excavation
 service installation and backfilling requirements, and
 Any manual work being undertaken in the excavation.
Placing material on the lower side of the excavation will reduce the effective height of the excavation
(see Figure 3) and the risk of material falling or being washed into the excavation.

Figure 3 Excavated material impact on effective excavation depth

Care should be taken to ensure that material placed on the high side of the excavation does
not increase the risk of ground collapse, or flooding by ponding or holding back runoff water. Excavated
material should be placed so that it channels rainwater and other run-off water away from the
excavation.
When a trench is being excavated beside an old service line, the excavated material should
be placed on the side opposite the old service line to prevent excessive loading on previously weakened
ground.
If excavated material is placed close to a trench due to obstructions such as fences, buildings
or trees, the weight of the excavated material may overload the sides of a trench. In this case,
the ground support system should be strengthened at these locations and barriers such as toe boards
may need to be provided to prevent the material falling into the excavation.

Different soils when dumped in heaps, will assume a characteristic shape and settle naturally
at different slopes. The angle which a sloping face of loose earth makes with the horizontal is sometimes
referred to as the angle of repose. However, it is poor practice to relate the safe slope of an excavation
to the angle of repose, even though the safe slope may be similar in some types of soil to the angle of
repose.

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.
Further general guidance on plant can be found in the Code of Practice: Managing risks of plant in the
workplace.

Lasers

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

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

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

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.
 Figure 4 Mobile plant operator blind spots

Powered mobile plant operating near ground personnel or other powered mobile plant should be
equipped with warning devices (for example reversing alarm and a revolving light).
An effective system of communication based on two way acknowledgement between mobile plant
operators and ground workers should be established before work commences. Relevant workers
should also be trained in the procedures involved prior to the work commencing. The system should
stop ground workers from approaching mobile plant until the operator has agreed to their request to
approach. Similarly the system should stop operators from moving plant closer than
a set distance from ground workers until the operator has been advised by ground workers that they
are aware of the proposed movement.
Mobile plant operators and ground workers should be made familiar with the blind spots of particular
items of plant being used. Induction training programs should emphasise the dangers of workers
working in close proximity to mobile plant, and adequate supervision should be provided.
Mobile plant operators and ground workers should be provided with and required to wear high-visibility
clothing.
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 kegs, 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

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

Inspection and maintenance

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

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.

Figure 6 Extending trench shields above the excavation

Figure 7 Steel mesh covers over trench shields

A SWMS must be prepared for excavation work that involves a risk of a person falling more than 2
metres.
Further guidance on controlling the risk of falls is available in the Code of Practice: How to prevent falls
at workplaces.

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.
The transport of explosives must be in accordance with the Australian Code for the Transport
of Explosives by Road and Rail.
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

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, and 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.
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

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 Pact