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New Stability Field Tests For Excavators
New Stability Field Tests For Excavators
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(2010),"Case study analysis of construction excavator H&S overturn incidents", Engineering,
Construction and Architectural Management, Vol. 17 Iss 5 pp. 493-511 <a href="https://
doi.org/10.1108/09699981011074583">https://doi.org/10.1108/09699981011074583</a>
(2008),"Health and safety issues relating to construction excavators and their attachments",
Engineering, Construction and Architectural Management, Vol. 15 Iss 4 pp. 321-335 <a href="https://
doi.org/10.1108/09699980810886838">https://doi.org/10.1108/09699980810886838</a>
Stability field
New stability field tests for tests
construction excavators
David J. Edwards and Gary D. Holt
Loughborough University, Loughborough, UK 337
Received November 2008
Abstract Revised March 2009
Purpose – The extensive use of mini-excavators in construction presents a significant health and Accepted March 2009
safety risk from their tendency to become unstable, or in the extreme to roll-over, under certain
working conditions. No standard exists to specifically assess excavator stability, so the purpose of this
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paper is to document the development and trial of a series of practical field tests designed to achieve
this.
Design/methodology/approach – Tests were designed in collaboration with a group of plant
experts and competent operators. The tests were subsequently trialled by applying them to four
mini-excavators, the aim being to see if these plant items could be reliably assessed in terms of their
stability characteristics. Results of the study were presented to H&S experts for comment.
Findings – The tests were able to assess mini-excavator stability. For each machine, five “stability
criteria” were scored thereby producing an overall score, by which mini-excavator stability could be
conveniently represented.
Research implications – No previous field test research has been identified in this area. The results
produced here may go some way towards developing an international standard for on-site stability
tests.
Practical implications – The tests are easy to apply at the work site so long as performed by
competent persons under appropriately risk-assessed and risk controlled conditions; and if
disseminated to industry, could act as a means of standardising mini-excavator stability tests until
such time an International Standard becomes available.
Originality/value – Research in this area is entirely novel.
Keywords Construction equipment, Health and safety, Excavating
Paper type Research paper
1. Introduction
Given the hazardous nature of construction (Griffith and Howarth, 2001), the subject of
health and safety (H&S) is well entrenched within the construction management
literature (see Darshi De Saram and Tang, 2005; Teo et al., 2005). Because construction
relies heavily on mechanisation (Edwards et al., 2003, Ch. 1), a pertinent aspect of that
subject for all who execute building and civil engineering works is plant and
equipment safety. In this context “plant” is generally meant to include self-propelled
off-highway machines (such as excavators and dumpers); while the term “equipment”
often generically classifies hand-held automated tools such as drills, sanders, and
breakers (Edwards and Holt, 2006). This study is concerned with the former
classification and in particular, focuses on mini-excavators. Engineering, Construction and
Architectural Management
Vol. 16 No. 4, 2009
Acknowledgement is gratefully extended to those plant manufacturers, hirers, professionals, and pp. 337-352
q Emerald Group Publishing Limited
operators who so enthusiastically participated in this study, along with those within HSE, who 0969-9988
furnished constructive feedback on the study outcomes. DOI 10.1108/09699980910970833
ECAM 1.1. Mini-excavators and their use in construction
16,4 Mini-excavators usually take the form of a tracked vehicle being less than 7 Tonnes in
weight[1] that can swing about its axis through 3600 (generally termed “slewing”);
being fitted with a hydraulically operated arm to which can be attached various types
of tool. The tracks are often made of rubber (so as not to damage pavements during
travel), and the tool most often used is an excavating bucket, although other options
338 include hydraulic breakers and various types of dedicated lifting attachment (Edwards
and Holt, 2008).
The mini-excavator is used extensively for all kinds of construction work, including:
digging foundations; installing drainage; working within tight spaces (such as
caissons and within buildings); and for emergency utility works. Reasons for its
popularity include its small size, light weight, transportability, relatively low capital
cost, simplicity in operation, and general versatility (Edwards and Holt, 2008.).
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Accordingly, mini-excavator sales have increased significantly over the last 15 years
and as Table I demonstrates, the trend of sales for total units sold in the UK and Ireland
equates to an average annual growth of 21 per cent year-on-year; representing an
increase from 1,300 excavators sold in 1992 to almost 12,000 in 2005. It follows
therefore, that any health and safety risks associated with this kind of plant are likely
to affect all who operate, own, or otherwise manage mini-excavators throughout the
construction sector.
1992 1,322
1993 2,138 61.72
1994 4,028 88.40
1995 3,620 2 10.13
1996 2,801 2 22.62
1997 3,460 23.53
1998 4,046 16.94
1999 5,619 38.88
2000 6,735 19.86
2001 7,332 8.86
2002 8,629 17.69
2003 10,198 18.18
2004 11,390 11.69
Table I. 2005 11,992 5.29
Mini-excavator sales UK
and Ireland 1992-2005 Source: Authors’ personal correspondence with plant manufacturer’s economist
orientation of the tracks during slewing operations, and the effects of inertia of the Stability field
machine while at work (being particularly related to machine power and slew speed). tests
Working on steep slopes is especially hazardous for plant (HSE, 2008b).
In addition to structural damage, roll-over of plant can endanger the operator and/or
anyone else in the machine’s vicinity; which explains why roll-overs account for almost
one fifth of all deaths related to workplace transport (HSE, 2005, p. 77). Some cases in
point highlight these risks. For example, of the 60 tonne mobile crane that overturned 339
after being used on soft ground (HSE, 2008b); the operator that drowned after
becoming trapped in water when his overturned excavator fell onto the cab door
(WorkSafe, 2008); and the operator who had to be freed from his excavator when it
rolled over due to operator error (Contract Journal, 2008).
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The emphasis on what is reported in this paper is the veracity of the tests themselves;
not the stability characteristics of any particular mini-excavator(s). This is because,
given that the tests proved appropriate for stability assessment, then mini-excavator
owners and operators can apply them in their own working environments, as means to
making their own judgements (but see “Limitations of the study” later).
manufacturers (e.g. some test with excavator buckets fitted, others do not);
.
the results can vary significantly depending upon machine configuration during
testing (e.g. excavator direction upon the tilt table, configuration of excavator
arm and dozer blade); and
.
the test is static so it bears little relationship to the dynamics of a machine at
work.
The latter point is particularly important because while working:
(1) an excavator’s centre of gravity is dynamic; and
(2) the machine generates inertia and turning moments.
3. Method
Along with the researchers, a group of six industry experts were assembled to design
the tests. This industry-led group comprised six senior plant managers representing
three major plant companies and three mini-excavator manufacturers. The aim of the
tests was established as being to: put the excavators in real work conditions and induce
instability for subjective analysis. This in turn was agreed would in the main be a
function of slewing the excavator at speed with the arm extended fully under various
conditions. It was further decided to use the largest bucket available for each machine
and to undertake testing with this bucket fully charged, again to maximise induced
instability. Detailed discussion led the group to finally settle on eight tests in all, and
these are described in a little more detail as follows.
342
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Figure 1.
Test 1 start configuration
343
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Figure 2.
Plan view of Test 1
showing 1800 slewing
angle
344
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Figure 3.
Start configurations for
Tests 3 and 4
Figure 4.
Position of wooden block
to simulate uneven ground
Stability field
tests
345
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Figure 5.
Simulated working in
Test 6
machines are shown in Table II but note that detail is purposely sparse here to
maintain machine make and model anonymity.
346
Figure 6.
Start position for Test 7
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Figure 7.
Plan view of test
Stability field
Machine ID Features
tests
A (Canopy)
Kg: 1,680
Track width: 980 mm
Bucket size: 1,000 mm
Arm length: 2,800 mm 347
B (Cab)
Kg: 1,482
Track width: 970 mm
Bucket size: 900 mm
Arm length: 2,900 mm
C (Cab)
Kg: 1,580
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trained; one deemed “competent” and somewhat trained; and one who was a “novice”.
This mix of operators was decided upon so as to provide the widest spectrum of actual
operator performance during tests; and of operator feedback after testing. Each
operator ran each test once.
4. Test results
After testing each machine, the operators considered the excavator’s stability
performance throughout the eight tests, and subjectively scored five criteria. These
criteria were:
(1) “general” operation and performance of the machine when subjected to induced
instability;
(2) responsiveness of the machine’s controls;
(3) blade control;
(4) tracking ability; and
(5) bucket-to-blade for “clean up” activities[2].
C3 Blade control 9
C4 Tracking 9
C5 Bucket to blade clean up activities 8 44
D D1 General operation 10
D2 Responsiveness to controls 10
Table III. D3 Blade control 10
Qualitative assessment of D4 Tracking 9
the four mini-excavators D5 Bucket to blade clean up activities 10 49
5. Discussion
Mini-excavators are used extensively within construction; their sales have peaked at
almost 12,000 units within the UK in recent years. However, from a health and safety
standpoint, they present significant risks from becoming unstable or turning over
during use.
Of course, these kinds of incidents can relate to the inexperience of the operator or
result from operator-induced error; so it is essential that where the risk of
mini-excavator instability may exist, operators must be appropriately trained,
experienced, and supervised. Therefore, it is stated at the outset that operator best
practice is arguably the most effective way to mitigate the risks of machine instability
or possible turnover during “normal” work operations. However, (as part of an overall
risk assessment and risk control strategy) some of the risk can be removed if the most
stable machine type for the intended work environment is procured at the outset.
Given the limitations of tilt table data on judging mini-excavator stability, it is
logical to carry out dynamic vis-à-vis static stability tests. In that context, the tests
developed here were intended for application at the workplace and were able to assess
a sample of mini-excavators in terms of their stability characteristics. By using a
simple multi-criteria scoring system, an overall stability score was generated. Table III
shows that based on that system of scoring, machine “D” came out top with a score of
49/50 followed by “C”, “B” and finally “A” – the latter scoring 30/50.
In two cases (A and D) lowest criterion score was assigned to “Tracking” which
indicates a feeling of instability by the operator when moving the machine. For
machine B, lowest score was shared among three criteria and for Machine C lowest
score went to “Bucket-to-blade clean up activities”. Clearly, stability characteristics
were perceived quite differently among the four excavators used in the test trials. A
Pearson product-moment correlation test was carried out between the four sets of
criteria scores using SPSS (version 16). No significant (i.e. p # 0.05) correlations were Stability field
identified. The strongest positive correlation was between scores for cases A and D tests
(r(5) ¼ 0.79, p ¼ 0.11); so although these two machines were ranked furthest apart, the
pattern of their scores was quite similar. This would indicate that the (stability
characteristics) of these two machines were somewhat like-for-like in practice, but on
machine D such were perceived as being much more stable than on machine A.
349
5.1. Invited opinion on the research outcomes
A summary of this study was presented to three members of the workplace transport
section of the Health and Safety Executive (HSE) (hereafter termed “experts”), who
were identified through the authors’ personal networks. The experts’ feedback was
accordingly invited. In that HSE is a non-partisan body, and to protect the identity of
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A converse situation may mean rejection by those intended to benefit from such tests.
A third aspect worth mention is the scoring process. While carried out here by a
group of three operators, this could of course be undertaken individually (e.g. by an
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6. Conclusions
Mini-excavator procurement decisions should take account of machine stability (given
the intended working environment) if risks of instability and roll-over are to be
minimised. Presently, manufacturer tilt-table data does not provide a consistent
method for machine users or purchasers to make such (pre-procurement) comparisons
or decisions.
The eight on-site stability field tests presented here are easy to carry out and their
results easy to interpret. Accordingly, they facilitate a way to assess machine stability
(in the absence of any other formal regime being available) and make comparisons
between different plant items; without specialist equipment or knowledge.
The usefulness of the tests was agreed among the group of experts; this being
further confirmed in that one company who collaborated in the research, confidently
based a major mini-excavator investment decision, significantly in part on these
results. They stated that they were satisfied that the testing regime discriminated
adequately between the machines and identified which type of machine was most
stable in relation to their intended work environment (for it).
Future development of these tests might include a broader range of assessment
criteria and work environments (machine activities). Otherwise, it is proffered that the
rationale presented might form the basis of designing on-site operator-assessed
stability tests for mini-excavators, that are simple yet effective enough to witness
universal adoption throughout construction – so long as they are undertaken in safely Stability field
managed circumstances and not used as the sole health and safety plant procurement tests
decision making tool (appropriate health and safety decisions must embrace
appropriate professional advice in all circumstances).
Notes
351
1. This is “rule-of-thumb”. Some manufacturers also define heavier variants as “minis” while
others might describe them as “micros”, “midis” or “compacts” depending on their weight
(see JCB, 2008).
2. Blade control relates to the machine’s grading blade fitted to the front of the machine that
can be raised and lowered hydraulically; tracking is the name given to moving forwards and
backwards on the machines tracks; bucket-to-blade operation involves using the bucket and
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blade to tidy and scoop up loose material which very often involves scooping the bucket
towards and against the blade to help fill it.
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Corresponding author
Gary D. Holt can be contacted at: g.d.holt@lboro.ac.uk
1. Lingard Helen School of Property, Construction and Project Management, RMIT University,
Melbourne, Victoria, Australia Cooke Tracy School of Property, Construction and Project Management,
RMIT University, Melbourne, Victoria, Australia Gharaie Ehsan Sustainable Built Environment National
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fatal incidents involving excavators in the Australian construction industry. Engineering, Construction and
Architectural Management 20:5, 488-504. [Abstract] [Full Text] [PDF]
2. Helen LingardSchool of Property, Construction and Project Management, RMIT University,
Melbourne, Australia Tracy CookeSchool of Property, Construction and Project Management, RMIT
University, Melbourne, Australia Ehsan GharaieSustainable Built Environment National Research Centre,
Swinburne University, Melbourne, Australia. 2013. The how and why of plant‐related fatalities in the
Australian construction industry. Engineering, Construction and Architectural Management 20:4, 365-380.
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