SWMS template · Excavation & Earthworks
Excavator Operations — Safe Work Method Statement
Safe Work Method Statement for operating hydraulic excavators from mini excavators to large machines, covering pre-start checks, getting on and off, quick hitch attachment changes, tracking, slewing near ground workers, loading trucks and float transport.
- Category
- Excavation & Earthworks
- HRCW
- 2 categories
- Job steps
- 8
- Hazards rated
- 21
- PPE items
- 7
This SWMS covers the day-to-day operation of a hydraulic excavator, whatever the size: pre-start checks, getting on and off, changing attachments with a quick hitch, tracking around site, slewing and working near people, loading trucks, loading onto a float, and parking up. It is about running the machine safely, not about the hole. If you are digging trenches or pits deeper than 1.5 metres, pair it with the General Excavation or Trenching and Shoring template for ground support. If you are lifting loads with the excavator, use the Excavator Lifting Operations template. Operating an excavator on a construction site is High Risk Construction Work because it is powered mobile plant, and most excavator jobs also involve trenches deeper than 1.5 metres or work near buried and overhead services.
The people most often killed or badly hurt around excavators are the workers beside them, not the operator. The main hazards are ground workers crushed by the counterweight as it slews (tail swing) or struck by the bucket; a bucket or attachment dropping off a quick hitch that was not locked; the machine rolling over on a slope, an excavation edge or a float ramp; contact with overhead powerlines or buried services; and the operator thrown from the cab in a rollover because the seatbelt was not worn. Visibility to the rear and the side opposite the cab is poor even with cameras.
Quick hitches need their own attention. Regulators across Australia have issued repeated safety alerts after workers were killed or injured by attachments falling from couplers. Use a coupler with a positive secondary lock, fit the locking pin if your coupler has one, and test the lock every time you change an attachment before anyone comes near it.
There is no national high risk work licence for operating an excavator, but the operator must be trained and competent on that machine type and its attachments. Most principal contractors want a nationally recognised statement of attainment or a verification of competency before you start, and some states and territories have extra requirements for earthmoving plant, so check your state or territory regulator. Approach distances for overhead powerlines are set by state electrical safety rules and the network operator.
Customise this template with the excavator make, model and operating weight, whether it is a conventional or zero tail swing machine, the attachments and coupler type in use, the exclusion zone around the slew radius, spotter and communication arrangements, plant and pedestrian routes on your site, any overhead powerlines and the approach distance that applies, the BYDA reference, and the operator's competency evidence.
Important: This SWMS template is a starting point only. Review and customise it for your workplace and task. The PCBU remains responsible for ensuring the SWMS is suitable for the work. Not legal advice.
High Risk Construction Work Types
- Work in an area with movement of powered mobile plant
- Work in or near a shaft or trench deeper than 1.5 metres, or a tunnel
Personal Protective Equipment
- Hard hat (whenever outside the cab)
- High-visibility clothing
- Steel-capped safety boots
- Safety glasses
- Hearing protection (open-cab machines and attachment work)
- Rigger's gloves for attachment changes and greasing
- Sun protection (broad-brim hat, sunscreen) for open-cab and ground work
Risk Assessment
RatingsCatastrophicHighModerateLow
Step 1Pre-start inspection and walkaround
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Mechanical failure from defects such as worn pins, damaged hoses, track damage or faulty slew brake | High | Complete the manufacturer's daily pre-start checklist before the first start of each shift: walk around the machine, check hoses, pins and bushes, tracks and rollers, fluid levels, leaks, lights, horn, travel alarm, camera, mirrors, seatbelt and fire extinguisher. Record the check. Tag out and report any defect that affects safe operation and do not use the machine until it is repaired. | Low | Excavator Operator |
| Hydraulic oil injection injury from a pinhole leak | Moderate | Never run hands along hoses to find leaks. Check suspected leaks with a piece of cardboard with the engine off. Release hydraulic pressure as the manufacturer describes before loosening any fitting. Any injection injury is a medical emergency, even if it looks minor: go to hospital immediately. | Low | Excavator Operator / Fitter |
Step 2Getting on and off the machine and starting up
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Slip or fall when climbing on or off | Moderate | Face the machine and keep three points of contact using the steps and grab handles. Keep steps and tracks clear of mud and grease. Never jump down or use control levers as handholds. | Low | Excavator Operator |
| Unexpected boom or track movement when a control is bumped getting in or out | High | Raise or engage the hydraulic lockout lever before standing up, and keep it locked until seated with the seatbelt on. Lower the attachment to the ground before getting out. Check that nobody is within the slew radius and sound the horn before starting. | Low | Excavator Operator |
| Operator thrown from the seat or crushed in a rollover | High | Wear the seatbelt at all times when the engine is running. Use only machines fitted with a rollover and falling object protective cab or structure suitable for the work. Keep the door closed or the side window guard in place during operation. | Low | Excavator Operator |
Step 3Changing attachments with a quick hitch
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Bucket or attachment falls from the coupler onto a worker | Catastrophic | Use a coupler with a positive secondary lock. Follow the manufacturer's coupling sequence, fit the locking pin if the coupler requires one, and check the lock indicator. Test every change: curl the attachment in, press it firmly against the ground, then lift it clear and check it has not moved before slewing or digging. Nobody within reach of the attachment during coupling or testing. Never operate with a locking pin missing or the coupler warning active. | Low | Excavator Operator |
| Crushed fingers or hands when a helper changes pins manually | High | Rest the attachment on level ground or timber blocks. Operator lowers the arm, engages the hydraulic lockout and keeps hands off the controls while the helper is in front of the machine. Agree hand signals before starting. Line up holes with a drift, never with fingers. | Low | Excavator Operator / Labourer |
| Attachment too heavy or not compatible with the coupler | Moderate | Use only attachments that match the coupler and are within the weight and hydraulic flow the excavator manufacturer allows. Check the attachment ID plate before first use. | Low | Supervisor / Excavator Operator |
Step 4Tracking and travelling around site
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Rollover on slopes, batters or excavation edges | High | Stay within the manufacturer's slope limits. Travel straight up and down slopes, not across. Carry the bucket low with the boom in line with the tracks. Keep tracks back from excavation edges and batters by the distance set in the excavation plan or by a competent person. Slow down on soft, wet or uneven ground. | Moderate | Excavator Operator |
| Pedestrians struck by the machine while tracking | High | Use designated plant routes separated from walkways by barriers or bunting. Use a spotter wherever plant routes cross pedestrian areas or the operator cannot see the travel path. Travel alarm and lights must work. Stop immediately if anyone comes into the operating area. | Moderate | Supervisor / Excavator Operator |
| Ground giving way under the machine over buried tanks, pits, culverts or backfilled trenches | High | Identify buried structures and recent backfill before tracking. Keep off them or use timber or steel mats where the ground cannot carry the machine. | Low | Supervisor / Excavator Operator |
Step 5Digging, slewing and working near ground workers
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Ground worker struck by the bucket or crushed by the counterweight during slewing | Catastrophic | Mark an exclusion zone covering the full slew radius of the boom, attachment and counterweight. Ground workers enter only after making eye contact with the operator and getting a clear signal, and only once the attachment is on the ground and the hydraulic lockout is engaged. Use a spotter with agreed hand signals or a radio when people must work close to the machine. | Moderate | Excavator Operator / Spotter / Supervisor |
| Person trapped between the counterweight and a wall, fence, truck or other fixed object | High | Use a zero or reduced tail swing machine on tight sites. Where the counterweight passes close to a fixed object, barricade the gap so nobody can walk into it. Check behind before every slew. | Low | Supervisor / Excavator Operator |
| Striking buried electrical, gas, water or communications services | Catastrophic | Get BYDA plans before digging and mark services on the ground. Locate and expose services by hand digging or non-destructive vacuum excavation within the zone set by each asset owner before digging with the machine. Use a toothless bucket near exposed services. Stop and notify the asset owner if a service is damaged. | Moderate | Supervisor / Excavator Operator |
| Boom or attachment contacting overhead powerlines | Catastrophic | Identify all overhead lines before work starts. Keep the machine and attachment outside the approach distance set by your state's electrical safety rules and the network operator, and mark the limit with signs or height markers. Where work must happen near that distance, use a safety observer whose only job is to watch the boom, and ask the network operator about de-energising or relocating the line. Visual markers on lines do not insulate them. | Moderate | Supervisor / Excavator Operator / Safety Observer |
Step 6Loading trucks
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Spoil or rock falling onto the truck driver or cab | High | Never slew the bucket over the truck cab. Load from the side or rear. The driver stays in the cab or stands in a marked safe area outside the slew radius, as set by site rules. Do not overfill the bucket or the truck body. | Low | Excavator Operator / Truck Driver |
| Truck reversing into ground workers at the loading point | High | Set a single loading point with a defined approach. Use a spotter for reversing trucks where visibility is limited. Ground workers stay out of the loading area while trucks move. | Low | Supervisor / Spotter |
Step 7Loading and unloading from a float or tag trailer
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Excavator slides off the ramps or tips off the trailer | Catastrophic | Load only on firm, level ground with the trailer brakes on and the trailer coupled. Ramps must be clean, dry and secured at the spacing that suits the tracks. Line the machine up straight before climbing, travel slowly with the attachment low, and never turn on the ramps. Nobody beside, behind or under the ramps during loading. | Moderate | Excavator Operator / Truck Driver |
| Machine shifts during transport | High | Lower the attachment onto the deck, engage the slew lock and hydraulic lockout, and remove the key. Restrain the machine with rated chains and tensioners at the manufacturer's tie-down points, following the national Load Restraint Guide. Check restraint after the first few kilometres. | Low | Truck Driver |
Step 8Refuelling, parking and shutdown
| Hazard / Risk | Initial Risk | Control Measures | Residual Risk | Responsibility |
|---|---|---|---|---|
| Unauthorised use or the machine moving when unattended | Moderate | Park on firm, level ground away from excavation edges, with the attachment on the ground, the hydraulic lockout engaged and the key removed. Lock the cab at the end of the shift. | Low | Excavator Operator |
| Fire or fuel spill during refuelling | Moderate | Engine off before refuelling. No smoking or ignition sources within the refuelling area. Use a spill kit for any spill and keep it on site. Fire extinguisher fitted to the machine and checked. | Low | Excavator Operator |
Relevant Codes of Practice
Worker Acknowledgement
By signing below, I confirm that I have read, understood and agree to comply with this Safe Work Method Statement.
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