SiteSorted
Excavation and earthworks · Australia

SWMS for pool excavation

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

Yes. Pool 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, road traffic, being hit by mobile plant and trench or excavation collapse.

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SWMS example: pool excavation

This is a complete SWMS for pool excavation, with 8 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)
Pool 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, check overhead power lines and access, and set out the pool
  • Hitting underground services
  • Contact with overhead power lines
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
  • Ask the network operator to turn off, move or insulate the lines before work starts. Eliminate
  • Use non-conductive (fibreglass) ladders near any power lines. Substitute
  • Mark the safe distance with flags, tape or goal posts and keep all plant and people outside it. Isolate
  • Keep out of the No Go Zone set by your state and the network operator, or get written approval and a safety observer. In NSW and Qld, untrained people and plant stay at least 3 m from lines on poles up to 132 kV, 6 m up to 330 kV and 8 m above 330 kV. In Victoria the limits differ, and work within 8 m of tower lines needs a spotter and the network operator's permission. Administrative
  • Use a dedicated spotter whenever plant moves or raises anything near lines. Administrative
  • Treat all lines as live. If plant touches a line, stay in the cab and keep everyone well away. Administrative
Medium
2Plan truck routes and protect neighbouring fences and footings
  • Road traffic
  • Structural collapse during alterations
Extreme
  • Do the work at low-traffic times, or close the road or lane with approval. Eliminate
  • Put solid barriers between the work and traffic where speeds are high, not just cones. Isolate
  • Use a truck-mounted attenuator or buffer vehicle on high speed roads. Engineering
  • Have a Traffic Management Plan. Signs and cones are set out by accredited traffic controllers to your state's rules. Administrative
  • Get a road occupancy or street works permit from the road authority before you start. Administrative
  • Park work vehicles to shield the work zone, with beacons on. Administrative
  • Wear day and night hi-vis clothing (AS/NZS 4602.1). PPE
  • Get an engineer to check before removing any wall, beam, post or bracing that may be load-bearing. Eliminate
  • Keep everyone clear of the area under and next to the work. Isolate
  • Install temporary props, needles or shoring as designed before removing any support. Engineering
  • Follow the engineer's sequence. Do not change it without approval. Administrative
  • Check props daily. Do not remove them until the permanent support is in and approved. Administrative
  • Install temporary support to the engineer's or temporary works design before any load bearing element is altered. Administrative
  • Wear a hard hat and safety boots. PPE
Medium
3Set up an exclusion zone and spotter around the excavator
  • 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
4Dig in stages, keeping spoil away from the edge
  • Trench or excavation collapse
  • Being hit by mobile plant
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
  • Trench or excavation collapse: see step 5 for the full controls Administrative
  • Being hit by mobile plant: see step 3 for the full controls Administrative
Medium
5Batter or shore the walls and keep people out of the hole unless it is safe
  • Trench or excavation collapse
  • Falling through a floor opening or void
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
  • 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
Medium
6Watch for groundwater and pump out, keeping pump leads dry
  • Drowning
  • Electric shock from leads and power tools
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
  • Use battery-powered tools where you can. Substitute
  • Plug all tools into an RCD-protected outlet or a portable RCD. Engineering
  • Keep leads off the ground and out of water, using lead stands or hooks. Engineering
  • Check leads, plugs and tools before every use. Tag out and remove anything damaged. Administrative
  • Test and tag leads, tools and RCDs at the intervals in AS/NZS 3012 (every 3 months on construction sites). Push-button test portable RCDs before each use. Administrative
  • Do not use tools in rain or wet areas unless they are rated for it. Administrative
  • Wear safety boots and dry gloves. PPE
Medium
7Load and cart spoil, cleaning the road
  • Road traffic
  • Poor housekeeping and waste
Extreme
  • Road traffic: see step 2 for the full controls Administrative
  • Order materials to size and send packaging back where you can. Eliminate
  • Put skip bins and waste chutes close to the work. Engineering
  • Clean as you go, and do a full clean up at the end of each day. Administrative
  • Keep exits, stairs and walkways clear at all times. Administrative
  • Stack materials neatly on level ground, away from edges. Administrative
  • Wear gloves when handling waste. PPE
Medium
8Fence the hole at the end of every day
  • Public entering the work area
  • Falling through a floor opening or void
  • Drowning
Extreme
  • 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
  • Falling through a floor opening or void: see step 5 for the full controls Administrative
  • Drowning: see step 6 for the full controls Administrative
Medium

PPE

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

Plant and equipment

Excavator: Verification of competency (VOC) for the machineTipper or site dumper: Driver licence for the vehicle class, VOC for site dumpersSkid 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 pool 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 pool 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, check overhead power lines and access, and set out the pool
  2. Plan truck routes and protect neighbouring fences and footings
  3. Set up an exclusion zone and spotter around the excavator
  4. Dig in stages, keeping spoil away from the edge
  5. Batter or shore the walls and keep people out of the hole unless it is safe
  6. Watch for groundwater and pump out, keeping pump leads dry
  7. Load and cart spoil, cleaning the road
  8. Fence the hole at the end of every day

Hazards to watch on pool excavation

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

Step 6, 8DrowningA worker falls into a river, dam, pool or flooded pit and drowns or is swept away.
Step 2, 7Road trafficPassing cars and trucks hit workers or plant working on or next to a road.
Step 4, 5Trench 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 1Contact with overhead power linesA ladder, EWP, crane, tipper or long length of material touches or gets close to an overhead line and electrocutes people.
Step 6Electric shock from leads and power toolsDamaged leads, plugs or tools, or water near power, give the user an electric shock.
Step 2Structural collapse during alterationsRemoving a wall, beam, post or bracing makes part of the building fall on workers.
Almost certainLikelyPossibleUnlikelyRareHow bad it could be: Insignificant to CatastrophicBA
Highest risk on pool 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
  • Tipper or site dumper: Driver licence for the vehicle class, VOC for site dumpers
  • 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; WHS Regulation 2011, Part 4.7 and AS/NZS 3012.

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 pool excavation?

Yes. Pool 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 pool excavation?

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

More excavation and earthworks SWMS

SWMSTrenching10 stepsSWMSFooting Excavation5 stepsSWMSSite Cut6 stepsSWMSStormwater Drainage Installation5 stepsSWMSPost Hole Boring5 stepsSWMSBackfill and Compaction5 steps

Related jobs in other trades

ConcretingConcrete Slab PourAlso involves contact with overhead power linesConcretingConcrete Cutting and Core DrillingAlso involves hitting underground servicesConcretingFormworkAlso involves being hit by mobile plantScaffoldingScaffold ErectionAlso involves contact with overhead power linesLandscapingTree RemovalAlso involves contact with overhead power linesWelding and fabricationStructural Steel ErectionAlso involves structural collapse during alterations

Toolbox talks for this job

Toolbox talkOverhead Power LinesToolbox talkExtension Leads and Power ToolsToolbox talkExcavation and Trench SafetyToolbox talkBefore You Dig: Underground Services

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

Sources