Work Activities · 7 checks · 2 critical

Excavations
safety audit checklist

Trench support, edge protection, services, inspections.

Every check below says what good looks like, when it passes, the regulation or HSE guidance it rests on and the defects that usually fail it. Critical checks are marked: a fail on one of those stops the activity.

  1. 1.
    Excavation supported or battered back to safe angle
    Critical: a fail stops the work
    What to look forTrench support (trench box, hydraulic shoring, sheet piling) for any excavation over 1.2m deep where collapse risk. Alternative: battered back to safe angle (firm clay 1:1, soft soil 1:2, unstable up to 1:3), based on ground conditions per geotechnical or designer assessment. Box extends above ground level to act as edge protection. No undermining of supports.
    Acceptable whenCDM 2015 Reg 22, excavations supported as soon as practicable. HSG185, Health and safety in excavations. NHBC 4.4 (depth-based requirements). Support designed by competent person where over 1.2m or in unstable ground. Battered slope angle from designer.
    StandardCDM 2015 Reg 22. HSG185, Health and safety in excavations. BS 6031:2009, Code of practice for earthworks.
    Common defectsVertical-sided trench >1.2m, no support, risk of collapseTrench box not extending above ground, operatives unprotected at topPlant/spoil heap close to edge surcharging the bankBattered slope assumed safe for stiff clay but ground is sandy fillRemoval of support starts before excavation backfilledWet weather softening sides, no re-inspection
  2. 2.
    Edge protection barriers in place
    Critical: a fail stops the work
    What to look forRobust barriers around all excavations more than 2m deep, and all where fall could cause injury, Heras with kickboards, scaffold tube + boards, or proprietary excavation guard. Min 950mm top rail. Marker tape at night. Lit at night with battery beacons. Toe board prevents kicking spoil/tools into excavation.
    Acceptable whenWork at Height Regs 2005 Reg 6 + 7 (excavation = "any place from which a person could fall a distance liable to cause injury"). Top rail 950mm-1.1m, intermediate rail, toe board. Robust enough to resist accidental impact (1kN load).
    StandardWork at Height Regs 2005. CDM 2015 Reg 22. HSG185. BS EN 13374:2013+A1:2018.
    Common defectsHazard tape only, no physical barrierHeras blown over, lying flat, no protection at allBarrier set right at edge, falls in if leaned onNo lighting/beacons after darkOperatives moving barrier for ease of access, not replaced
  3. 3.
    Service scans completed before digging (CAT & Genny)
    What to look forScan with CAT4 (or higher) on Power, Radio AND Genny modes. Marked findings on ground (paint or pegs), colour-coded per BS 8574 (yellow electric, blue water, red telecoms, etc). Statutory undertaker drawings reviewed against site survey. Trial holes dug by hand/vacuum excavation in vicinity of services.
    Acceptable whenHSG47, Avoiding danger from underground services (3rd edition 2014). Always combine three approaches: plans, scan, safe digging practice. PAS 128 (specification for surveying). BS 8574:2014, colour coding of utility apparatus.
    StandardHSG47, Avoiding danger from underground services. PAS 128:2014. BS 8574:2014.
    Common defectsCAT only, no Genny / no signal-trace modePlans not requested from utilities (or out of date)Mechanical excavator working within 500mm of marked serviceNo trial holes dug to confirm depth before machine digOperatives not trained in CAT use, false negativesBuried HV strike, fatal flashover
  4. 4.
    No materials stored within 1m of edge
    What to look forSpoil and materials kept minimum 1m back from edge, minimum, more for deeper excavations or unstable ground (often 2m or beyond batter line). Surcharge load not exceeding design assumption. No plant tracking close to edge. Skips/boxes minimum 2m back.
    Acceptable whenCDM 2015 Reg 22(2)(c). HSG185, materials, spoil and plant kept clear of edges. Setback at minimum equal to depth of excavation for soft ground; verified by temporary works designer for deep excavations.
    StandardCDM 2015 Reg 22. HSG185. BS 6031:2009.
    Common defectsSpoil heaped at edge, surcharging trench wallPlant tracking parallel and close to trench, edge collapseStockpile within 1m, slips into excavation when rainingSkip placed at edge, sets up surchargeNo barrier between operatives and edge in spoil area
  5. 5.
    Daily inspection by competent person
    What to look forDaily start-of-shift inspection by named competent person, check support, signs of movement (cracks, slumps), water ingress, atmosphere. After any event likely to affect (rain, frost-thaw, plant strike). Record retained on site. Stop work if defects found. Inspector competence to HSG185 / equivalent.
    Acceptable whenCDM 2015 Reg 24, inspection at start of shift, after any event likely to affect, and after any unintentional fall of material. Schedule 3 inspection report. Records retained on site until project complete.
    StandardCDM 2015 Reg 24 + Schedule 3. HSG185 chapter 8.
    Common defectsNo daily inspection record, assumed safeInspector signature but inspection clearly not done (defects unflagged)No inspection after heavy rainUntrained foreman doing inspection, not competentInspection checklist generic, not specific to this excavation
  6. 6.
    Permit to dig issued
    What to look forPermit to dig issued by responsible person before any breaking ground. Permit references services drawings, scan results, safe digging methods (hand dig within 500mm of services). Time-bound. Closed out at end of shift or task. Displayed at excavation. Different from permit to enter (deep excavation/confined).
    Acceptable whenHSG47, formal permit-to-dig system. Issued by trained person; specifies area, depth, method, services known and unknown. Linked to RAMS for ground works. Signed acknowledgement by person breaking ground.
    StandardHSG47. CDM 2015 Reg 8 (general management duty). Site-specific permit procedure per RAMS.
    Common defectsVerbal permission only, no permit issuedPermit issued but not displayed or briefedPermit out of date (multi-day works on single permit)Permit doesn't reference scan or servicesNo close-out, left open after works complete
  7. 7.
    Pump/dewatering in operation if needed
    What to look forSump and pump where groundwater or surface water collects. Discharge controlled, not direct to drain or watercourse without consent. Settlement bag or tank to remove silt before discharge. Pump suction guarded. Diesel pumps in bunded area. Backup pump for critical works. Atmosphere check if discharge into confined space.
    Acceptable whenHSG185 chapter 9. Water Resources Act 1991, no pollution from dewatering. Environmental Permitting Regs 2016, abstraction licence required if >20m³/day. PPG6 (works near watercourses). PPG13 (vehicle washing).
    StandardHSG185. Water Resources Act 1991. Environmental Permitting Regs 2016. PPG6 / PPG13.
    Common defectsDischarge pumped direct to surface drain, silt pollutionSump full, water rising in trench, operatives still workingPump on bare ground above watercourse, diesel riskSuction unguarded, debris fouls/seizes pumpNo backup pump, primary fails, trench floods

Questions people ask

How often should a excavations audit be done?

Weekly is the common rhythm for a live site, plus whenever the work, the plant or the people change and after any incident or near miss. What matters is that it is scored, recorded, dated and the actions are closed out, not the exact frequency. Guidance, not legal advice.

What is the difference between a safety audit and an inspection?

An inspection looks at the site. An audit checks the system as well: is the paperwork there, do the people know it, is what was promised actually happening. On a small site the words blur, and that is fine. The checks below cover both.

What happens with a failed item?

A corrective action with an owner and a date, and a photo of the fail so nobody argues later. 2 of the 7 checks here are marked critical: a fail on one of those stops that activity until it is put right.

Who should carry out the audit?

A competent person, and where possible not the person whose work is being looked at. The site manager auditing the site manager's housekeeping is better than nothing, but a visiting supervisor or the SHEQ lead sees what the regular eye has stopped noticing.

Is a site safety audit a legal requirement?

The Management of Health and Safety at Work Regulations 1999 require arrangements for monitoring your health and safety measures (regulation 5), and CDM 2015 requires every contractor to plan, manage and monitor the work under their control (regulation 15). A recorded, scored audit is how you show that is happening. Guidance, not legal advice.

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