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Australian Standard: Safety of Machinery Part 3301: Robots For Industrial Environments-Safety Requirements
Australian Standard: Safety of Machinery Part 3301: Robots For Industrial Environments-Safety Requirements
3301—2009
AS 4024.3301—2009
Australian Standard®
Safety of machinery
Standards Australia wishes to acknowledge the participation of the expert individuals that
contributed to the development of this Standard through their representation on the
Committee and through the public comment period.
Standards may also be withdrawn. It is important that readers assure themselves they are
using a current Standard, which should include any amendments that may have been
published since the Standard was published.
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be found by visiting www.standards.org.au
Australian Standard®
Safety of machinery
Originated as AS 2039—1987.
Revised and redesignated as AS 4024.3301—2009.
COPYRIGHT
© Standards Australia
All rights are reserved. No part of this work may be reproduced or copied in any form or by
any means, electronic or mechanical, including photocopying, without the written
permission of the publisher.
Published by Standards Australia GPO Box 476, Sydney, NSW 2001, Australia
ISBN 0 7337 9152 2
AS 4024.3301—2009 2
PREFACE
This Standard was prepared by the Standards Australia Committee SF-041, General
Principles for the Guarding of Machinery to supersede AS 2939—1987, Industrial robot
systems—Safe design and usage.
During its work, the Committee agreed to use the International Standard ISO 10218-1,
Robots for industrial environments—Safety requirements, Part 1: Robot as the basis for this
Australian Standard. This action will ensure the continuing consistency of machinery safety
standards with each other as well as maintaining a consistent approach to machinery safety
standards in Australia.
Hazards associated with robots are well recognized but the sources of these hazards are
frequently unique to a particular robot system. The number and types of hazards are directly
related to the nature of the automation process and the complexity of the installation. Risks
associated with these hazards vary with the type of robot used, its purpose and the way in
which it is installed, programmed, operated and maintained.
The terms ‘normative’ and ‘informative’ have been used in this Standard to define the
application of the appendix to which they apply. A ‘normative’ appendix is an integral part
of a Standard, whereas an ‘informative’ appendix is only for information and guidance.
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3 AS 4024.3301—2009
CONTENTS
Page
1 SCOPE........................................................................................................................ 4
2 OBJECTIVE ............................................................................................................... 4
3 REFERENCED DOCUMENTS.................................................................................. 4
4 DEFINITIONS............................................................................................................ 5
5 HAZARD ANALYSIS AND RISK ASSESSMENT................................................... 8
6 SAFETY REQUIREMENTS AND PROTECTIVE MEASURES............................... 9
7 INFORMATION FOR USE...................................................................................... 19
APPENDICES
A GRAPHICAL AIDS DEPICTING THE ROBOT SPACE ......................................... 22
B LIST OF SIGNIFICANT HAZARDS........................................................................ 25
C OPTIONAL FEATURES........................................................................................... 27
D MODE LABELLING ................................................................................................ 29
E FUNCTIONAL CHARACTERISTICS OF THREE-POSITION ENABLING
DEVICES .................................................................................................................. 30
F STOPPING TIME AND DISTANCE METRIC ........................................................ 31
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AS 4024.3301—2009 4
STANDARDS AUSTRALIA
Australian Standard
Safety of machinery
1 SCOPE
This Standard specifies requirements and guidelines for the inherent safe design, protective
measures and use of industrial robots and robot systems as defined in Clause 4. It describes
basic hazards associated with robots, and provides requirements to eliminate or adequately
reduce the risks associated with these hazards.
This Standard does not apply to non-industrial robots although the safety principles
established in this Standard may be utilized for them. Examples of non-industrial robot
applications include, but are not limited to undersea, military and space robots; tele-
operated manipulators; prosthetics and other aids for the physically impaired; micro-robots
(displacement <1 mm); surgery or healthcare; and service or consumer products.
2 OBJECTIVE
The objective of this Standard is to provide designers, manufacturers, suppliers and
employers with the technical means to minimize the risks to the health and safety of those
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3 REFERENCED DOCUMENTS
The following documents are referred to in this Standard.
AS
4024 Safety of machinery
4024.1201 Part 1201: General principles—Basic terminology and methodology
4024.1202 Part 1202: General principles—Technical principles
4024.1301 Part 1301: Risk assessment—Principles of risk assessment
4024.1501 Part 1501: Design of safety related parts of control systems—General
principles for design
4024.1604 Part 1604: Design of controls, interlocks and guarding—Emergency stop—
Principles for design
4024.1905 Part 1905: Displays, controls, actuators and signals—Indication, marking and
actuation—Requirements for marking
4024.2801 Part 2801: Safety distances and safety gaps—Positioning of protective
equipment with respect to the approach speed of parts of the human
body
60204 Safety of machinery—Electrical equipment of machines
60204.1 Part 1: General requirements (IEC 60204-1, Ed. 5 (FDIS) MOD)
AS/NZS
61000 Electromagnetic compatibility (EMC)
61000.6.2 Part 6.2: General standards—Immunity for industrial environments
61000.6.4 Part 6.4: Generic standards—Emission standard for industrial environments
ISO
9283 Manipulating industrial robots—Performance criteria and related test methods
9946 Manipulating industrial robots—Presentation of characteristics
4 DEFINITIONS
For the purposes of this Standard, the following definitions apply.
4.1 Actuator
Powered mechanism that converts electrical, hydraulic or pneumatic energy to effect
motion.
4.2 Actuating control
(a) A mechanical mechanism within a control device, e.g. a rod that opens contacts.
(b) A device that initiates a locking or unlocking sequence, e.g. a specialized key.
4.3 Automatic mode
Operating mode in which the robot control system operates in accordance with the task
program.
4.4 Automatic operation
State in which the robot control system operates in accordance with the task as intended.
4.5 Collaborative operation
State in which purposely designed robots work in direct cooperation with a human within a
defined workspace.
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NOTES:
1 The robot also includes the—
(a) manipulator (including actuators); and
(b) controller including teach pendant, and any communication interface (hardware and
software).
2 For the purposes of this Standard the following devices are considered industrial robots:
(a) Hand-guided robots.
(b) The manipulating portions of mobile robots.
(c) Collaborating robots.
3 This includes any additional axes that are controlled by the robot controller.
4.13 Industrial robot system
System comprising—
(a) robot;
(b) end effector(s); and
(c) any equipment, devices, or sensors required for the robot to perform its task.
4.14 Limiting device
Device that restricts the maximum space by stopping or causing to stop all robot motion,
and is independent of the control program and the task programs.
4.15 Local control
State of the system or portions of the system in which the system is operated from the
control panel or pendant of individual machines only.
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4.25 Singularity
Condition caused by the collinear alignment of two or more robot axes, resulting in
unpredictable robot motion and velocities.
4.26 Space
4.26.1 Collaborative workspace
Workspace within the safeguarded space of the robot work cell, where the robot and a
human can perform tasks simultaneously during production operation.
4.26.2 Maximum space
Space that can be swept by the moving parts of the robot as defined by the manufacturer
plus the space that can be swept by the end effector and the workpiece.
NOTE: Graphical representations of maximum space are provided in Appendix A.
4.26.3 Restricted space
Portion of the maximum space that is restricted by limiting devices that establish limits that
will not be exceeded.
4.26.4 Operating space
Portion of the restricted space that is actually used while performing all motions
commanded by the task program. Also called ‘operational space’.
4.26.5 Safeguarded space
Space defined by the perimeter safeguarding devices.
4.26.6 Space
The three-dimensional volume encompassing the movements of all robot parts through their
axes. Also called ‘the envelope’.
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AS 4024.3301—2009 8
discharge (ESD).
NOTES:
1 Guidance may be found in AS/NZS 61000.6.4 and AS/NZS 61000.6.2.
2 Recommended verification methods include visual inspection, practical tests, measurement
and analysis of circuit diagrams.
6.3 Actuating controls
6.3.1 General
Actuating controls that initiate power or motion shall be designed and constructed to meet
the performance criteria specified in Clauses 6.3.2 to 6.3.5.
6.3.2 Protection from unintended operation
Actuating controls shall be constructed or located so as to prevent inadvertent operation.
For example, a guarded push-button or key selector switch in an appropriate location may
be used.
NOTE: Recommended verification methods include visual inspection and practical tests.
6.3.3 Status indication
The status of the actuating controls shall be indicated, e.g. power on, fault detected,
automatic operation.
NOTE: Recommended verification methods include visual inspection, practical tests or
observation during operation.
6.3.4 Labelling
Actuating controls shall be labelled to clearly indicate their function (see AS 4024.1905).
NOTE: A recommended verification method is visual inspection.
TABLE 1
COMPARISON OF EMERGENCY AND PROTECTIVE STOPS
Function Emergency stop Protective stop
Location Operator has quick, unobstructed access Determined by the safety distance formula
Initiation Manually Automatically or manually
Safety system AS 4024.1501 Category 3 or as AS 4024.1501 Category 3 or as
performance determined by risk assessment determined by risk assessment
Operational modes shall be selected by a secure means that only enables the selected mode
(e.g. a key operated switch) or other means that provide an equivalent level of security (e.g.
supervisory control).
These means shall—
(a) unambiguously indicate the selected operating mode; and
(b) by themselves, not initiate robot motion or other hazards.
An optional output(s) may be provided to indicate the mode selected. When provided for
safety-related purposes, the output(s) shall comply with the requirements of Clause 6.4.
NOTES:
1 Optional features are described in Appendix C.
2 Examples of labels for modes are illustrated in Appendix D.
3 Recommended verification methods include practical tests, observation during operation and
analysis of circuit diagrams.
6.7.2 Automatic mode
In automatic mode, the robot shall execute the task programme. The robot controller shall
not be in manual mode and safeguarding measures shall be operational.
Automatic operation shall be prevented if any stop condition is detected.
Switching from this mode shall result in a stop.
NOTE: Recommended verification methods include visual inspection, observation during
operation and analysis of circuit diagrams.
(d) have on the pendant a means to adjust the speed from the default value to the full
programmed value; and
(e) display an indication of the adjusted speed on the pendant (e.g. by a highlight on the
pendant display).
NOTES:
1 This optional manual mode has previously been known as T2, or high-speed program
verification.
2 Recommended verification methods include practical tests, measurement, observation during
operation and analysis of circuit diagrams.
6.8 Pendant and other teaching controls
6.8.1 General
Where a pendant control or other control device is able to control the robot from within the
safeguarded space, the requirements in Clauses 6.8.2 to 6.8.5 shall apply.
NOTE: This applies to any device used to control a robot from within the safeguarded space
while drive power is applied to any of the robot axes. This includes robots with powered lead-
through teach mode, whether using robot-mounted manual controls or main/secondary teaching
controls.
(c) The maximum response times for data communication (including error correction)
and for loss of communication shall be stated in the information for use.
(d) Care shall be taken to avoid confusion between active and inactive emergency stop
devices, by providing for appropriate storage or design and information for use.
NOTE: Recommended verification methods include visual inspection, practical tests,
measurement and analysis of circuit diagrams.
6.9 Control of simultaneous motion
6.9.1 Single pendant control
One or more robot controls can be linked to a single teach pendant. When so configured, the
teach pendant shall have the capability to move one or more of the robots either
independently or in simultaneous motion. When in the manual operational mode, all
functions of the robot system shall be under the control of the one pendant.
NOTE: Recommended verification methods include visual inspection, practical tests and analysis
of circuit diagrams.
6.9.2 Safety requirements
Each robot shall be selected individually before it can be activated. To be selected, all
robots shall be in the same operational mode (e.g. manual reduced speed mode). An
indication shall be provided at the point of selection (e.g. at the pendant, control cabinet, or
robot) of those robot(s) that have been selected.
Only the selected robot(s) shall be activated. An indication, clearly visible from within the
safeguarded space, shall be provided of those robot(s) that have been activated.
Unexpected start-up of any robots not activated shall be prevented. This function shall
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circuit diagrams.
6.10.6 Power and force limiting by control system
Where a control system is used to ensure that the maximum values of power and force given
in Clause 6.10.5 are not exceeded, it shall comply with Clause 6.4.
If the maximum values are exceeded, a protective stop shall be issued.
NOTE: Recommended verification methods include practical tests, measurement and analysis of
circuit diagrams.
6.11 Singularity protection
When in the teach mode, the robot control shall—
(a) stop the robot’s motion and alert the teacher prior to the robot passing through or
correcting for a singularity (the collinear alignment of two or more axes) during
coordinated motion initiated from the teach pendant; or
(b) generate an audible or visible warning signal and continue to pass through singularity
with the velocity of each axis limited to a maximum speed of 250 mm/s.
NOTE: Recommended verification methods include practical tests, observation during operation
and analysis of circuit diagrams.
6.12 Axis limiting
6.12.1 General
A means shall be provided to establish a restricted space around the robot by using limiting
devices. A means for installing adjustable mechanical stops shall be provided to limit the
motion of the primary axis (the axis with the greatest displacement motion) of the robot.
Limiting devices shall comply with Clause 6.12.2 or Clause 6.12.3, or both.
5 Mechanical stops include mechanical stops that are adjusted and then secured with fasteners.
6.12.3 Dynamic limiting devices
Dynamic limiting is the automatically controlled change in a robot’s restricted space during
a portion of the robot system’s cycle. Control devices such as, but not limited to, cam
operated limit switches, light curtains or control activated retractable hard stops may be
utilized to further limit robot movement within the restricted space while the robot performs
its task program. The dynamic limiting device and its associated controls shall be capable
of stopping the robot motion under rated load and speed conditions, and the associated
safety controls shall comply with Category 3 of AS 4024.1501 unless a risk assessment is
performed and determines that another category is required.
NOTE: Recommended verification methods include practical tests, observation during operation
and analysis of circuit diagrams.
6.12.4 Safety rated soft axis and space limits
Soft limits are software-defined limits to robot motion while in automatic mode or any
mode using speeds above reduced speed. Axis limiting is used to define the restricted space
of the robot. Space limiting is used to define any geometric shape which may be used as an
exclusionary zone; either limiting robot motion within the defined space, or preventing the
robot from entering the defined space.
NOTE: A soft limit may be defined as a sphere, cylinder, cube, or other defined spaces within the
restricted space. The movement may be defined to be restricted inside or outside this defined
space.
Safety-rated soft limits are permitted as a means to define and reduce the restricted space
provided they can effect a stop of the robot at full rated load and speed. The restricted reach
shall be defined at the actual expected stopping position that accounts for the stopping
distance travel. The manufacturer shall state the capability in the information for use and
shall disable safety-rated soft limits if this capability is not supported.
Control systems using soft limiting shall comply with Clause 6.4 and not be changeable at
the user level. If the safety-rated soft limit is violated, a protective stop shall be initiated.
Information for use shall include information on worst case stopping time at maximum
speed for soft limits including monitoring time and distance travelled before full stop is
achieved.
NOTE: Additional information is in Appendix C.
Safety-rated zone outputs for use in dynamic restricted space applications shall comply with
Clause 6.4. The hardware configuration of the outputs shall be stated in the information for
use.
A safety rated soft limit shall be set as a stationary zone that cannot be changed without a
system power up and shall not be changed dynamically. Authorization to change the safety
rated soft limit shall be password protected and secure. Once set, safety rated soft limits
shall always become activated upon power up.
NOTES:
1 Soft limits may be particularly useful in controlling motion on the additional axis not fitted
with limiting devices (see Clause 6.12.2),
2 Recommended verification methods include practical tests, measurement, observation during
operation and analysis of circuit diagrams.
6.13 Movement without drive power
The robot shall be designed so that axes are capable of being moved without the use of
drive power in emergency or abnormal situations. Where practicable, moving the axes shall
be carried out by a single person. Controls shall be readily accessible, but protected from
unintended operation. Instructions for moving the axes shall be included in the information
for use, along with recommendations for training personnel on responding to emergency or
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abnormal conditions.
Instructions to the user shall include a warning that gravity and the release of braking
devices can create additional hazards. Where practicable, warning notices shall be posted
near to the activating controls.
NOTE: Recommended verification methods include practical tests, observation during operation
and analysis of circuit diagrams.
6.14 Provisions for lifting
Provisions for lifting the robot and its associated components shall be provided and shall be
adequate for handling the anticipated load. Examples include lifting hooks, eye bolts,
threaded holes, and fork pockets.
NOTE: Recommended verification methods include visual inspection, practical tests and
observation during operation.
6.15 Electrical connectors
Electrical connectors that might cause a hazard if they are separated, or if they break away,
shall be designed and constructed so as to prevent unintended separation.
Connectors shall be provided with a means to prevent cross-connection.
NOTE: Recommended verification methods include visual inspection and practical tests.
(g) The location and function of all control systems, including the interface diagrams for
electrical, hydraulic, and pneumatic systems necessary for set-up and installation.
(h) The ability to select high speed control using the pendant.
(i) The installation of limiting devices, including their number, location and degree of
adjustment of mechanical limiting capability. This includes the number, location and
implementation of any non-mechanical limiting devices, capabilities of dynamic
limiting (when included) and the actual expected stopping position that accounts for
the stopping distance travel when using safety-rated soft limiting.
(j) The number and operation of enabling devices and instructions for installation of
additional devices.
(k) The stopping time and distance or angle from initiation of stop signal of the three
axes the greatest displacement and motion.
NOTE: A suggested metric is given in Appendix F.
(l) The safety control system performance of the robot as determined from Clause 6.4.
(m) Specifications for any fluids or lubricants to be used in lubrication, braking, or the
transmission system internal to the robot, including guidance on correct selection,
preparation, application and maintenance of any process-unique consumables.
(n) Guidance on the means for the release of persons trapped in the machine.
(o) Information defining the limits for the range of motion and load capacity, including
maximum mass, position of the centre of gravity of the workpiece and work holding
fixture.
(p) The limits for the maximum mass, moment of inertia, tilting moment, and space
required for auxiliary machines and for tools supplied with automatic tool magazine
systems.
(q) Procedures to avoid errors of fitting during maintenance of the machine.
(r) Information on relevant Standards the robot meets, including any that have been
certified by a third party.
(s) Response time of detection of loss of communication signal for cableless pendants.
Any changes or additions to the information provided by the manufacturer shall be provided
by the party that makes the change or addition to the robot system.
7.3 Marking
AS 4024.1905 specifies general requirements for the marking of machinery.
Additionally, each robot or robot system shall be marked in a distinct, legible and durable
manner with—
(a) the manufacturer’s name and address, model number and reference number, month
and year of manufacture;
(b) the mass of the machine;
(c) supply data for electrical and where applicable, hydraulic, and pneumatic systems
(e.g. minimum and maximum pneumatic pressures);
(d) lifting points for transportation and installation purposes (where applicable); and
(e) range and load capacity.
Guards, protective devices and other parts that are part of the machine but not fitted to it
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shall be marked with identification data. Any other information needed for fitting shall be
provided.
APPENDIX A
GRAPHICAL AIDS DEPICTING THE ROBOT SPACE
(Informative)
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APPENDIX B
LIST OF SIGNIFICANT HAZARDS
(Normative)
Drawing-in or trapping Between robot arm and any fixed object Around fixed 6.12
objects close to
restricted space
Contact of persons Contact with live parts or connections Electrical cabinet, 6.2.4
with live parts (direct terminal boxes,
contact) control panels at
machine
Hazards generated by neglecting ergonomic principles in the design process
Unhealthy postures or Poorly designed teach pendant Teach pendant 6.8
excessive effort
(repetitive strain)
Inadequate Inappropriate location of controls At load/unload 6.3
consideration of work piece and tool
operation by hand, mounting or setting
arm, foot or leg or sharpening or
cleaning positions
Inadequate design, Inadvertent operation of controls At or near robot 6.3
location or cell
identification of
manual controls
Inadequate design or Misinterpretation of displayed At or near robot 6.3
location of visual information cell
display units
Unexpected start-up, unexpected overrun/over speed
Failure/disorder of the Mechanical hazards associated with At or near robot 6.2.2
energy source robot or additional axes cell
(continued)
APPENDIX C
OPTIONAL FEATURES
(Informative)
C1 GENERAL
The requirements contained in this Standard are the minimum to ensure the safety of a
robot. Many additional features can be added to a robot to enhance safety, but are not
necessarily required safety items in the traditional sense, or do not require specific safety
performance criteria given in AS 4024.1501 or other such documents.
The following optional features are in no specific order of importance or desirability.
Robots equipped with these features will have greater flexibility in use and re-use and
greater potential safety performance.
NOTES:
1 The features given in Paragraphs C2 to C4 are very important to provide additional flexibility
for robot installation if the robot may ever be redeployed in an application other than that for
which it was originally designed and configured.
2 Feature given in Paragraph C5 to C7 provide an enhanced level of safety in robot systems.
provides for a common emergency stop, allowing the robot emergency stop to
function as a system emergency stop.
(b) Capability for emergency stop device to be functional without power (see
Clause 6.5.2).
C3 ENABLING DEVICE
Additional features for enabling devices are as follows:
(a) Capability of enabling device output functions to interconnect enabling devices into a
common circuit controlling multiple robots and equipment.
(b) Capability to connect multiple additional enabling devices to one enabling circuit.
C4 MODE SELECTION
Additional features for mode selection are as follows:
(a) Capability to provide information as to the state of the mode selection to the safety
control system.
(b) Output requirements are specified in Clause 6.7.
C5 ANTI-COLLISION SENSING
To be most effective in preventing harm to personnel, the robot should stop and create an
awareness signal when a collision is sensed and not move to another position without
operator intervention.
APPENDIX D
MODE LABELLING
(Informative)
Table D1 provides examples of graphic symbols that may be used to denote the operational
modes identified in Clause 6.7. Additional descriptive text may be included with the
graphic symbols to be as explicit as possible in providing information on the mode selection
and expected performance.
TABLE D1
ROBOT OPERATIONAL MODE LABELS
Clause Mode Graphic symbol
6.7.2 Automatic
APPENDIX E
FUNCTIONAL CHARACTERISTICS OF THREE-POSITION
ENABLING DEVICES
(Informative)
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NOTES:
1 When the operator part is pressed fully to Position 3, the contact is opened again.
2 When the operator part returns from Position 3 to Position 1, the contact remains open without functionally
passing Position 2.
APPENDIX F
STOPPING TIME AND DISTANCE METRIC
(Informative)
F1 SCOPE
This Appendix provides guidance for a metric that can be used in presenting information for
use required in Clause 7.2(k) to ensure standardized data from all the manufacturers. This
information is needed to calculate the safe distance when applying safeguarding devices. To
make this information useful and practical, measurements need to be taken at a number of
conditions up maximum speed and rated payload to be able to predict actual running
conditions.
These tests should comply with the performance testing conditions described in ISO 9283
as applicable. This includes the following areas:
(a) The manipulator should be warmed up prior to testing.
(b) The robot should be mounted per manufacturer’s requirements.
(c) Environmental requirements for power, temperature, etc. should be met.
(d) Establish a proper test procedure.
(e) Describe the method of measurement.
Test points should be measured multiple times for each data point and an average provided.
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The manufacturer should forecast the degradation of stopping performance due to normal
use and recommend when the robot should be refurbished.
F2 DATA RECOMMENDATIONS
(a) The stopping time should be measured from the initiation of a stop signal to when all
manipulator motion ceases.
(b) The stopping distance should be measured as the total distance travelled after the
initiation of a stop signal. Distance should be provided in linear or angular units as
appropriate.
(c) At minimum, the stop category should be a stop Category 0. If the robot has the
capability of using a stop Category 1, additional data or correction factors should be
provided.
(d) The speed should be measured at 25, 50, 75 and 100% of maximum speed.
(e) The payload should be measured at 25, 50, 75 and 100% of maximum rated payload.
(f) Data should be provided for the three axes of greatest displacement.
F3 DATA PRESENTATION
Stopping time and distance should be presented graphically. A typical chart is given in
Figure F1.
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updated regularly to take account of changing technology.
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