Tips from the experts on what to look for when inspecting hydraulic excavators

This is the first of a new range of articles designed to help our readers with more information on important hazards and

safety features on various types of plant & equipment.

When we inspect a hydraulic excavator using Plant Assessor, the first thing we need to do is to enter the make and model

of the machine, and its unique identifier (serial number). The best place to start is by locating the manufacturer’s machine

identification plate.

For most excavators the manufacturers ID plate is on the outside of the operator platform/cabin adjacent the boom con-

nection point. The serial number is generally on the plate however if not it will be stamped on the chassis in this area.

Sometimes you will need to wipe off grease or dirt to see it.

Next you will need to identify and select the machine’s features and attachments. This is a simple check box process in

Plant Assessor. Once that is complete, it is time to consider the specific controls required to manage the hazards and risks

on your machine.

Plant Assessor walks you through consideration of various “families” of controls specific to the machine you are inspecting.

The questions are grouped logically, which helps streamline the inspection process.

Here are some tips to help make sure you get it right when inspecting hydraulic excavators:

Plant Assessor Update

Tips for Risk Assessment of

Hydraulic Excavators

1

Risk/Control Area Tip

Hydraulic Hoses All hoses must be free from damage and wear. Hoses located within the vicinity of operator position(s) must

be considered in light of the hose and or the the hydraulic oil to come in contact with the operator in the

event of failure. Glass is not considered an appropriate guarding material. See our separate guidance on

inspecting hydraulic hoses.

Quick Hitches Firstly, determine what type of hitch is on the machine (see our recent guidance relating to quick hitches)

Secondly, answer the questions relating to the locking mechanism(s) located on/in the hitch.

Thirdly, consider the operation of the hitch controls in the cab (if relevant), and consider the safeguards

against accidental operation by addressing the specific requirements set out in AS4772 Earthmoving

Machinery – Quick hitches for excavators and backhoes.

Lastly, if in NSW, consider the specific requirements of the revised WorkSafe NSW Position Paper.

Access & Egress

Working at Heights

Consider risks associated with getting on and off the machine. Not just the operator area but the engine area

as well. Key things to look for include:

Steps must be non slip

Must have step iron on the track assembly on any machine that has tracks higher than 400mm

Must have two hand holds

Plant Assessor Update

Tips for Risk Assessment of

Hydraulic Excavators

2

Risk/Control Area Tip

Access & Egress

Working at Heights

(continued)

The area adjacent the engine cover will often need to be accessed to complete daily pre-op checks. If this is

the case, it is considered a work area and two things must be considered:

1. Is it non slip, and;

2. If the distance to the ground is greater than 1.8m is there fall protection (generally a handrail)?

Safe Lifting Does the machine have a point from which to lift freely suspended loads?

This is generally on the front of the quick hitch (if one is fitted). If this is present then there are 4

requirements as prescribed by AS1418.8 Cranes, hoists and special purpose appliances (section 5).

1. Lifting point must be “closed eye” type, hooks are not acceptable

2. Must have a rated capacity label adjacent the lifting point, generally on each side of the dipper

arm

3. Must have a lifting chart adjacent the operator work position

4. If the rated capacity is greater than 1T controlled lowering devices must be fitted to the hydraulic

cylinders on both the boom and the dipper arm (see separate article on Lifting capacity –

earthmoving equipment)

For more information on lifting capacity of earthmoving equipment see our specific guidance material

Neutral start control In order to prevent unintended movement at startup, a neutral start control is a requirement for any

machine, however on excavators you must ensure that both travel and other operation controls are

deactivated when start up is taking place.

Many machines isolate the upper carriage controls only, allowing for travel during start up.

It is important when testing neutral start controls to ensure no one can be injured if the machine was to

move/operate when the test is undertaken. We recommend setting up an exclusion zone and using a

spotter.

Labelling Whilst there are extensive label requirements for most machines, the two key labels on an excavator are:

1. Overhead power (complete with table outlining approach distances to varying voltage lines)

2. Dial before you dig

These are key risk areas as a potential consequence of contact with overhead or underground services is

death.

Protective Structures:

ROPS (Rollover)

FOPS (Falling Objects)

TOPS (Tip Over)

Excavators used to be considered exempt from ROPS. The reasoning behind this is a little complicated, and

related to the wording of AS2294 Earthmoving Machinery – Protective Structures.

References to this standard have now been deleted from WHS legislation, and new provisions introduced

into the States and Territories that have adopted harmonised legislation (regulations 214 and 215).

Plant Assessor Update

Tips for Risk Assessment of

Hydraulic Excavators

3

Risk/Control Area Tip

Protective Structures:

ROPS (Rollover)

FOPS (Falling Objects)

TOPS (Tip Over)

(continued)

Plant Assessor requires consideration of a number of specific ISO standards covering these controls. These

essentially require the inspector to locate and read the manufacturers plate to determine to what standards

the cabin or other structure is compliant. If you cannot find the compliance plate, then you must consider

the cabin to be non-compliant.

If a machine is not fitted with these protective structures then each time the machine is moved to a new job

or site a risk assessment must be undertaken which considers rollover, falling objects and tipping.

Lights, beacon &

movement alarm

As with all machines visibility is critical. The operator needs to be able to see in low light situations, and

personnel working in the vicinity of the machine need to be aware of the machine’s presence and

movement.

If any light or the machine’s movement alarm is damaged, not working or missing then you must answer

NO and provide details in the comments section.

Structural As with all machine inspections looking for and identifying structural damage is as important as it is difficult.

Talking with the operator and maintenance staff is one simple way to unearth damage that you might not

see.

If any damage is discovered, then a risk assessment must be carried out to consider if any action is required.

Follow these steps:

1. Identify is the damage has created any hazards

2. Consider the consequence of the hazard and the likelihood that the hazard could do harm

3. Consider an appropriate risk treatment

4. Put a strategy in place to monitor

Whilst this is not a comprehensive list of

issues requiring attention when

conducting a plant risk assessment on a

hydraulic excavator, it covers many of the

higher risk issues.

We will consider other types of plant &

equipment in future articles.

In the meantime, if you wish to learn

more about how to better manage your

plant & equipment safety, please contact

Plant Assessor on 1300 728 852 or via

our contact form

Disclaimer: This information is intended to provide general information on the subject matter. This is not intended as legal or expert advice for your specific

situation. You should seek professional advice before acting or relying on the content of this information. Please contact us for further assistance.