POSITION PAPER

PROTECTIVE STRUCTURES
FOR EARTHMOVING EQUIPMENT
This Position Paper clarifies provisions in the Occupational Health and Safety Regulation 2001 (OHS
Regulation 2001) for fitting protective structures to earthmoving equipment as defined by the
Regulation. It also applies to earthmoving equipment that is used for other purposes, or which has been
modified to carry out other tasks that alter its designation from earthmoving equipment, such as in the
forestry industry sector or in scrap yards, and which are exposed to the risk of overturning or objects
falling on them.
The Regulation specifically requires all earthmoving equipment with a mass between 700kg and
100,000kg to be designed, manufactured, supplied and fitted with an appropriate structure that protects
the operator from the risks associated with their machine overturning and objects falling on them. (Refer
to Clauses 93(3)(b), 104(b), 121(3) and 130(2), and 141(6) respectively.) Such a structure must conform
with the series of Australian Standards AS 2294 Earth-moving machinery Protective structures.
The Regulation makes no further qualification for excluding certain earthmoving equipment from the
provision of incorporating an operators protective structure; however, the AS 2294 series specifically
excludes some types of earthmoving equipment from its scope, and it is limited to roll over protective
structures (ROPS) and falling object protective structures (FOPS).
WorkCover will apply the following approach to address the issue:

EXCLUSIONS
Subject to the conditions outlined below, the following types of earthmoving machinery are excluded
from the provision under the Occupational Health and Safety Regulation 2001 to fit operator protective
structures that conform with AS 2294:

road rollers or compactors with a mass of 2700 kg or less

power shovels
draglines
paving machines
earthmoving equipment that is designed to be operated by an operator in a standing position.
These include profilers, stabilisers, materials transfer vehicles, and stand-up loaders and
excavators
hydraulic excavators.

CONDITIONS
The Exclusions outlined above may be applied providing:
(a)

The risks of the earthmoving equipment overturning or objects falling on their operators have
been assessed and other means are used to control them. The risk assessment should be in
writing and the controls should form part of a documented safe work method statement.

Note: The risk of a machine overturning increases as variables increase. These variables are both
operational amount of load, distribution of load, speed of machine, ground conditions (including

obstructions), gradient, tyre pressures where relevant, steering angle, resistance of object (including
overload) and design, such as a machines centre of gravity, the stiffness of its suspension and its
track width.
(b)

Where a risk assessment indicates that the operator of a hydraulic excavator, including those
designed to be operated from a standing position, is at risk from falling objects and/or objects
that that approach from the front of the excavator, it is fitted with a protective structure that
conforms with AS 4988: 2002 Earth-moving machinery Hydraulic excavators Laboratory
tests and performance requirements for operator protective guards.

(c)

Where a risk assessment indicates that compact excavators those with an operating mass
between 1,000kg and 6,000kg are at risk of tipping over, they are be fitted with a structure
that conforms to AS 4987: 2002 Earth-moving equipment Tip-over protection structures for
compact excavators Laboratory tests and performance requirements.

(d)

Where a risk assessment indicates that it is necessary to fit the machines listed for exclusion
with operator protective structures other than those within the scope of AS 4987 and AS 4988,
the structure is designed by a suitably qualified engineer having regard to the performance
requirements of the relevant part(s) of the Australian Standard AS 2294: 1997. Such a structure
would not require deformation testing if the engineer is satisfied that calculations are sufficient
to prove its performance.

WorkCover officers visiting sites where earthmoving machinery is being supplied or used contrary to the
provisions of the Regulation as qualified by this Position Paper may take appropriate enforcement
action.
For further information, contact your local WorkCover NSW Office listed in the telephone directory or
phone the WorkCover Information Centre on 13 10 50.
Produced by the State Coordinator Plant
May 2003