Excavation Permit
An Excavation Permit is a formal safety document authorising digging work. It ensures compliance with the Work Health and Safety Act 2011 by mandating asset location and risk controls before starting high risk construction work.
An official document allowing authorised digging or ground penetration. It ensures tradespeople identify and protect underground assets before work starts.
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About this Document
An Excavation Permit is a formal written record used to control high risk excavation work on construction sites and civil projects across Australia. This document is essential for any business or tradesperson planning to break ground. It serves as a checklist to ensure you have located all underground services, assessed the ground conditions, and put controls in place to protect workers and the public. In Australia, excavation work is classified as high risk construction work under the Work Health and Safety Act 2011. This means you cannot simply pick up a shovel or an excavator and start digging. You must follow a strict process to manage the risks associated with hitting underground cables, gas pipes, or water mains. Failing to use a permit can lead to severe fines, injury, and damage to essential infrastructure. This guide explains everything you need to know about creating and using an Excavation Permit specifically for Australian businesses. The primary purpose of the Excavation Permit is to provide a safe system of work. It acts as a communication tool between the site manager, the excavator operator, and the person authorising the dig. The permit confirms that a Dial Before You Dig enquiry has been submitted and plans have been received. It verifies that the on site assets have been potholed or located using a cable locator. It ensures that shoring, benching, or shielding is in place if trenches are deeper than 1.5 metres. It also checks that traffic management plans are active if the excavation affects public roads or footpaths. Under the WHS Act 2011, a Person Conducting a Business or Undertaking or PCBU must ensure that high risk construction work is not carried out unless a Safe Work Method Statement or SWMS is prepared. The Excavation Permit works alongside the SWMS. While the SWMS outlines the general risks and controls, the permit authorises the specific activity at a specific time and place. You should not start work until the permit is signed and issued. The legal requirements for excavation vary slightly between states and territories, but the core principles of the model WHS laws apply everywhere. In New South Wales, the Work Health and Safety Regulation 2017 includes specific codes of practice for excavations. In Victoria, the Occupational Health and Safety Regulations 2017 set out similar duties. Regardless of your location, you must comply with the Australian Standard AS/NZS 4764 for underground asset protection and AS 2870 for residential footings and slabs. These standards inform the content of a permit system. To complete an Excavation Permit correctly, you start with the planning phase. You must submit an enquiry to the Before You Dig Australia or BYDA service. This is a free service that provides plans and information about registered underground assets in your work area. You must review these plans and identify the location of cables and pipes. However, plans are not always 100 percent accurate. You must use electronic locating devices and potholing or non destructive digging to verify the exact location and depth of assets. Once you have this information, you fill out the permit. The permit must include specific details. It needs the site address and a clear description of the work area. It needs the date and time of the excavation. It must list the machinery being used, such as a 1.8 tonne mini excavator or a hand trencher. It must specify the maximum depth of the dig. The permit requires details about the soil type. For example, is the ground rock, clay, or sand? This determines the risk of collapse. The permit must reference the current SWMS. You must attach the utility plans and mark them up to show the proposed excavation zone. The permit also needs a section for hazard identification. Common hazards include overhead powerlines, confined spaces, traffic, and buried contamination. You must list the control measures for each hazard. For instance, if there is a risk of trench collapse, the control measure is battering the banks to a 45 degree angle or using trench shields. If there is a risk of hitting a gas pipe, the control measure is hand digging within the designated exclusion zone. Once the permit is filled out, it must be signed. The person doing the excavation acknowledges they understand the risks and controls. The supervisor or site manager signs to authorise the work. This authorisation is only valid for the shift specified on the permit. If the work is not finished, you must renew the permit for the next shift. If conditions change, such as rain making the trench walls unstable, you must cancel the current permit and reassess the risks. Common mistakes to avoid include relying solely on utility plans without potholing. Another mistake is digging too close to underground services without using hand tools. Many tradespeople forget to consider the weight of the excavator near the trench edge, which can cause a collapse. Failing to barricade the excavation area is another frequent breach. Pedestrians and vehicles must be kept away from open trenches. Using the permit as a tick and flick exercise without explaining the risks to the workers is also a violation of the WHS Act. You must consult with your workers. The permit signing meeting is a good time to do this. The permit must be kept on site while work is underway. An inspector from Safe Work Australia or the state regulator such as SafeWork NSW or WorkSafe Victoria can ask to see it at any time. Not having the permit available can result in stop work orders and penalty notices. There are also financial implications. If you damage an underground asset because you did not have a permit or follow the process, you may be liable for the repair costs. This can run into tens of thousands of dollars. , damaging infrastructure can disrupt services to the community and create safety hazards like gas leaks or electrocution. For specific projects like building a new pool, digging for house foundations, or installing drainage, the Excavation Permit is your first line of defence. It creates a paper trail that proves you took reasonable steps to ensure safety. In the event of an incident, this document is for insurance and legal purposes. ASIC does not directly regulate excavation permits, but company directors have duties under the Corporations Act 2001 to ensure companies comply with WHS laws. This includes ensuring proper permit systems are in place. The ATO requires records of all business activities, and these permits form part of your project documentation for tax and GST purposes. To summarise, an Excavation Permit is a non negotiable part of excavation work in Australia. It manages the risk of hitting underground services and trench collapse. It ensures compliance with the WHS Act 2011 and relevant Australian Standards. It protects your business, your workers, and the public. By taking the time to complete the permit thoroughly and reviewing it before every shift, you demonstrate a commitment to safety and professional conduct. Do not let the pressure of a timeline tempt you to skip this step. The cost of an accident is far higher than the time it takes to fill out the form. Ensure your team is trained in how to read the permit and what to do if they encounter an unexpected hazard. Encourage a culture where workers feel empowered to stop work if the conditions do not match the permit. This proactive approach is the hallmark of a safe and successful Australian trades business.
Key Facts
- Excavation is defined as high risk construction work under the WHS Act 2011.— Work Health and Safety Act 2011 (Cth)
- A Safe Work Method Statement (SWMS) must be prepared before high risk excavation work begins.— Safe Work Australia Code of Practice - Excavation Work
- Underground assets must be located using potholing or non-destructive digging as per AS/NZS 4764.— Standards Australia / Before You Dig Australia
- Trenches deeper than 1.5 metres require specific ground support controls like shoring or shielding.— Work Health and Safety Regulation 2011
- It is illegal to commence excavation without first checking plans from the Before You Dig Australia service.— Before You Dig Australia (BYDA)
Sources
Required Sections
Work Details
Specific information about the excavation task including location, depth, and duration.
Location of Excavation Work
Enter the full street address of the site where the excavation will take place. You must include the lot number, street name, and suburb. For rural or regional properties, record the property identification number or rural address number. This information is critical for emergency services and site verification. If the work occurs on a construction site with multiple lots, specify the exact lot or stake number. You must also indicate if the work is within a public road reserve or on private property. Working near public infrastructure requires separate approvals from local authorities and asset owners, such as the relevant council or road authority.
Depth of Excavation
State the maximum depth of the hole or trench in metres. Be accurate with this measurement as it determines the shoring, benching, or shielding requirements needed to prevent a collapse. Under the Work Health and Safety Regulation 2011 (WHS Regulations), a person conducting a business or undertaking (PCBU) must manage the risks of excavation work. If you are digging deeper than 1.5 metres, you are generally required to use ground support systems unless a competent person determines the ground is stable. Do not guess this measurement. Use a laser level or tape measure. You must also identify the type of soil you are digging in, such as rock, clay, or sand, because this affects the angle of repose and safety controls.
Volume of Material to be Removed
Estimate the total volume of soil, rock, or fill to be excavated and removed from the site in cubic metres. This figure helps organise the correct size and number of waste trucks or bins. If you are backfilling, note the volume of material being kept on site. You must ensure that stockpiled spoil is placed at a safe distance from the edge of the excavation to prevent collapse. The Code of Practice: Excavation Work provides guidance on managing these risks. Accurate volume estimation also assists in managing sediment and erosion controls, which are mandatory under local council environmental protection guidelines to prevent sediment entering stormwater drains.
Scheduled Work Times
Specify the planned start date and time and the expected finish date and time. Include set-up and site restoration time in your schedule. You must adhere to local council environmental noise restrictions, which often prohibit the use of heavy machinery before 7am or after 6pm on weekdays, and at different times on weekends. If you are working near a sensitive receiver, such as a hospital or residence, you may need a specific noise permit. If the work runs longer than one shift, you must provide details of site lighting and security arrangements. If there is a delay, update the site supervisor immediately. The permit is only valid for the dates and times listed here.
Underground Services
Confirmation that utilities have been located and plans reviewed.
Underground Services Verification
You must confirm the location of all underground assets before excavation begins. Hitting a service is a serious safety risk and can lead to expensive repairs, fines, and project delays. Follow this checklist strictly to ensure you meet your legal duties under the Work Health and Safety Act 2011 and Work Health and Safety Regulations 2011.
1. Obtain Current Plans and BYDA Reference Number Before any work starts, submit an enquiry to Dial Before You Dig (BYDA). You must receive and review current plans from every asset owner in the area. Do not rely on old plans or assumptions.
Record the official BYDA reference number for this project in the space provided. This number is your proof that you took the necessary steps to identify hazards.
2. Verify Plans On-Site Compare the BYDA plans against the actual site conditions. Look for above-ground indicators such as pit lids, valve covers, and paint marks. If the plans do not match the site features, or if the information is unclear, you must contact the asset owner immediately for clarification.
3. Potholing and Non-Intrusive Detection Plans are indicative only. You must physically locate the exact depth and position of buried assets. Use a combination of electronic locating devices (Cable Avoidance Tools) and non-destructive digging methods to expose the services. This process is known as potholing or using "air pots".
Under AS 5488:2019 Classification of subsurface utility information, you are required to visually verify assets before digging close to them. You must not use mechanical excavators within the designated clearance zone of an underground service unless the asset owner has given written permission.
4. Marking Services Once the services are located and potholed, clearly mark their position on the ground. Use high-visibility paint or flags and markers. The markings must be clear and remain visible for the duration of the excavation work. Ensure all workers and plant operators are aware of the marked locations.
5. Proximity and Safety Measures Maintain a safe distance from marked services. If you must dig within the exclusion zone, you must use hand tools or non-destructive digging methods only. Refer to the Code of Practice: Excavation Work for specific requirements on safe distances and support mechanisms for underground pipes and cables.
Checklist Confirmation
- BYDA enquiry submitted and current plans received from all asset owners
- BYDA Reference Number recorded: ______________________
- Plans compared with site features and discrepancies reported
- Assets located using electronic locating devices
- Assets physically exposed (potholed) using non-destructive digging
- Services clearly marked on the ground with paint or flags
- All workers briefed on locations and safety exclusion zones
Risk Assessment and Controls
Identification of hazards and the methods used to control them.
Risk Assessment and Controls
Before breaking ground, you must assess the specific risks of the site. This is not just paperwork. It is a legal requirement under the Work Health and Safety Act and Work Health and Safety Regulations. You need to identify every hazard that could hurt a worker, a member of the public, or damage property. Use this section to list those hazards and the exact steps you will take to control them.
Identified Hazards
Check the site and tick the specific risks relevant to this job.
Overhead and Underground Services
- Overhead electric lines
- Underground electric cables
- Gas pipes
- Water and sewage mains
- Telecommunication cables
Ground and Structural Conditions
- Ground collapse or trench failure
- Falling rock or debris
- Proximity to existing buildings or foundations
- Uneven or unstable ground
- Contaminated soil (e.g. asbestos)
Site Environment and Traffic
- Mobile plant and machinery interaction
- Public traffic and pedestrians
- Dust and excessive noise
- Falling objects hitting people below
- Hot works or flammable atmospheres
Hazard Control Measures
For every hazard you tick above, you must write a control measure. Follow the hierarchy of controls. Eliminate the risk first. If you cannot do that, minimise it using engineering controls or Personal Protective Equipment (PPE). Record your specific plan below.
Overhead and Underground Services Control
- Control Measure: I have contacted Dial Before You Dig on 1100 or Byzad to get current plans.
- Control Measure: I have used cable avoidance tools (CAT and Genny) and potholing to verify the exact location and depth of services.
- Control Measure: I have erected safety flags and visual barriers to keep machinery clear of overhead lines. I am observing the minimum exclusion distances set by the Electricity (General) Regulations.
Ground Stability and Collapse Control
- Control Measure: I will install shoring, shielding, or benching as designed by a qualified engineer.
- Control Measure: Excavations deeper than 1.5 metres will have a safe means of access and exit, such as a ladder, placed within the trench.
- Control Measure: I will keep excavated materials (spoil) and machinery at least 1 metre back from the trench edge to prevent collapse.
- Control Measure: Barricades or covers will protect open trenches from public access.
Traffic and Mobile Plant Control
- Control Measure: I have separated pedestrians from machinery using physical barriers or exclusion zones.
- Control Measure: A trained traffic controller will manage public vehicles if the excavation affects the road.
- Control Measure: A dedicated spotter will guide the machine operator and ensure no one enters the swing radius.
Personal Protective Equipment (PPE)
- Control Measure: All workers on site must wear high visibility clothing, steel capped boots, and appropriate head protection.
- Control Measure: Dust masks or respiratory protection will be used if dust levels are high.
This risk assessment must stay available on site for the duration of the work. If site conditions change or you find a new hazard, you must stop work and update this form immediately.
Machinery and Equipment
Details of the plant being used for the excavation.
Machinery and Equipment Register
Accurately recording the details of all machinery and equipment on site is a mandatory requirement for maintaining a safe workplace under the Work Health and Safety Act 2011 (Cth) and corresponding state legislation. This section serves as a central register to verify that every item of plant is suitable for the specific excavation work and that only appropriately qualified personnel operate it.
Plant Identification
For every excavator, backhoe, skid steer, or trencher used on this project, you must record the manufacturer, make, and model. Include the serial number or plant identification number. This information is critical for compliance with the Work Health and Safety Regulation 2011, specifically Part 4.4 regarding the safe operation of plant. In the event of an incident or inspection, site auditors and SafeWork representatives rely on this register to trace specific equipment to maintenance records and safety inspections. Ensure that the machinery listed currently holds a valid certificate of inspection where required by the Model Code of Practice: Managing risks of plant in the workplace.
Operator Details
You must record the full name of the operator assigned to each machine for every shift. Under Australian WHS laws, a Person Conducting a Business or Undertaking (PCBU) must verify that workers operating plant are competent. This register provides evidence that the business has identified who is in control of heavy machinery at any given time. If you rotate operators during the day, update this log immediately. Failing to record the specific operator for a specific shift can lead to significant compliance breaches and penalties during an investigation.
Licences and Competency
List the licence number and class for every operator. High-risk work licences (HRWL) are issued by the SafeWork regulator in each state or territory. You must physically sight the original licence card or a verified digital copy to confirm it is current before work commences. For non-licensable machinery, such as some skid steers or mini excavators depending on the state regulations and tonnage, you must record the statement of attainment or competency verification. This ensures compliance with the Australian Standard AS 1926.1 where applicable, and the general duty of care to provide training. Do not allow any worker to operate machinery until their licence details are recorded here and verified against the relevant state worker register.
Verification
By signing this Excavation Permit, the authorised person confirms that all machinery listed above meets the design standards and safety requirements of the Machinery Directive 2006/42/EC or equivalent Australian Standards, and that all operators hold valid, high-risk work licences.
Frequently Asked Questions
What is an Excavation Permit?
When do I need an Excavation Permit?
Is an Excavation Permit legally required in Australia?
How do I get a Dial Before You Dig plan?
Who can sign an Excavation Permit?
What is the difference between a Permit and a SWMS?
How close can I dig to underground services?
Does a small trench need a permit?
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