3.

2 Identifying the hazards associated with the task

The hazards associated with the task should be identified. These might be associated
with the location and environment where the lifting operation is to be carried out, the
type of lifting equipment to be used, any attachment, the type of load, the location of the
pick up and put down points, the travel route, pick and carry duties or the people
associated with the task or located in the vicinity. This process should also consider the
effect of other operations being carried out in the vicinity and the need for co-ordination
(see Annex A).

3.3 Lift categories

To enable lifts to be planned, supervised and carried out effectively, three categories of
lift are detailed below. The category into which a particular lift will fall depends on the
assessment of the hazards associated with both the environment in which the lift is to
be carried out and those associated with the load and lifting equipment. A non-
exhaustive list of load, lifting equipment and environmental hazards is given in Annex
A.
As part of the planning process for the lifting operation, the environmental and
load/lifting equipment complexities (the “Complexity Index”) should be evaluated and
categorised as either 1 (low), 2 (medium) or 3 (high). This will then enable the
complexity of the lift to be established as shown in Figure 3.
As can be seen from Figure 3, increases in either or both environmental or load
complexity will lead to the lift being allocated a higher category. Having identified the
hazards associated with a particular lift, a hierarchy of control measures should be
applied to eliminate or control those hazards.
Table 1 shows examples of where the same basic lifting task will fall into different lift
categories depending on differing environmental or load complexities.
Environmental complexity (E)

3 Complex Complex Complex

2 Intermediate Intermediate Complex

1 Basic Intermediate Complex

1 2 3

Load/lifting equipment complexity (L)

Figure 3 – Relationship between Complexity Index and Lift Category

Lifting Operations with Excavators 13 October 2018

 Lift category
Complexity
variables and
constants Basic Intermediate Complex

The operator has clear sight of The load is to be placed over The load is to be placed in a
Increasing the load path and the load is to an obstruction such that the trench behind a bund, without
environmental be placed on the ground. operator might not have clear line of sight, and with proximity
complexity sight of the landing area from hazards, such as scaffolding or
the control position. overhead power lines.
A load of known weight with A load of known weight with A load of known weight with
designated top lifting points designated top lifting points designated top lifting points
Constant low load/lifting and central centre of gravity. and central centre of gravity. and central centre of gravity.
equipment complexity The load does not contain The load does not contain The load does not contain
fluids, is not fragile and is fluids, is not fragile and is fluids, is not fragile and is
inherently stable when landed. inherently stable when landed. inherently stable when landed.
Complexity Index E1:L1 Complexity Index E2:L1 Complexity Index E3:L1
A load of known weight with A load of estimated weight with A load of estimated weight and
designated top lifting points an estimated centre of gravity centre of gravity and without
and central centre of gravity. and without designated lifting designated lifting points. The
Increasing load/lifting
The load does not contain points. The load does not load contains fluids, is fragile
equipment complexity
fluids, is not fragile and is contain fluids, is not fragile and and is not stable when landed.
inherently stable when landed. is inherently stable when
landed.
Constant low The operator has clear sight of The operator has clear sight of The operator has clear sight of
environmental the load path and the load is the load path and the load is the load path and the load is
complexity lifted to and from the ground lifted to and from the ground lifted to and from the ground
Complexity Index E1:L1 Complexity Index E1:L2 Complexity Index E1:L3

Table 1 - Examples of the categorization of lifts based on environmental and load

complexities

3.3.1 Basic lift

For a basic lift the duties of the appointed person should include the following:
a) Establishing the complexity of the lifting operation, including load/lifting equipment
and environmental complexity:
• Load complexity will include characteristics such as weight, centre of gravity and
presence of suitable lifting points. This can be established by a reliable source of
information, measuring and weighing the load, or calculation;
NOTE: Where the weight of the load cannot be accurately established the notional weight should
be multiplied by an appropriate factor (typically 1.5) to allow for possible inaccuracies.

• Consideration of environmental hazards at the location of the operation will

include the access and egress required for the lifting equipment and the suitability
of the ground to take the loads imposed by the lifting equipment during
preparation for the lift and during the lift itself, including any travelling;
b) Selection of the lifting equipment, based on the load characteristics, including
weight of the load and any lifting accessories; the maximum height of lift and the
maximum radius required. The rated capacity of different lifting equipment should
be specified by the manufacturer. In cases where the lifting equipment has been
de-rated at time of thorough examination, the rated capacity stated on the current
Report of Thorough Examination, issued by the competent person, should be used.
Manufacturer’s sales leaflets should not be relied on for the rated capacity of
specific lifting equipment;
c) Ensuring that the surface area of the load is taken into account to ensure that its
movement in the wind does not present a hazard e.g. lead to an increased load
radius or due to the sail effect increase the effective load;

Lifting Operations with Excavators 14 October 2018

d) Ensuring that the lifting equipment has been thoroughly examined at least within the
previous 12 months and has been inspected and checked before use. It is essential
that the Report of Thorough Examination and associated inspection reports which
confirm that the equipment is safe to use are available;
NOTE: The Report of Thorough Examination for the excavator should be carried with the machine.

e) Selecting appropriate lifting accessories, including their method of attachment to the

load, configuration and any protection used to prevent damage;
f) Ensuring that lifting accessories have been thoroughly examined, at least within the
previous 6 months, inspected and checked before use. It is essential that the
Report of Thorough Examination is available to confirm that the lifting accessories
are safe to use;
g) Ensuring that a system for reporting and rectifying defects is in place;
h) Designating a suitable person to check the lifting accessories and any lifting points
that are provided on the load to ensure they are free from any obvious defect before
attaching the load to the lifting equipment;
i) Ensuring that the outcomes of the planning process are recorded in a risk
assessment and lift plan which should be signed by the appointed person;
NOTE: In many instances a basic lift may be covered by a generic risk assessment and a generic lift
plan provided that no additional hazards are identified on site.

j) Selecting and defining the roles of the members of the lifting team. In some
instances, it may be possible to combine some of the roles of members of the lifting
team (See 5.3);
k) Briefing all persons involved in the lifting operation to ensure that the safe system of
work described in the lift plan is understood. All persons involved in the lifting
operation should be instructed to seek advice from the appointed person if any
change is required to the lifting operation, or if any doubts about safety arise;
l) If one or more handlines/taglines are required to give more control of the load, the
lift supervisor should designate persons to handle the lines;
m) Checking, if numerous loads are to be lifted over a long period that no changes are
required in the safe system of work;
n) Ensuring that there is a lift supervisor (see 5.2.2) designated to direct personnel
and that the operation is carried out in accordance with the lift plan;
NOTE: It may be possible to combine the roles of lift supervisor and slinger/signaller in some
circumstances (see 5.3).

o) Ensuring that adequate control of access to lifting zones is in place (see 7.4.1).
The appointed person and lift supervisor should be aware of the limits of their
knowledge and experience concerning lifting operations, and when conditions exceed
these limits, further advice should be sought.

3.3.2 Intermediate lift

For an intermediate lift the duties of the appointed person should include the following,
in addition to the duties listed in 3.3.1:
a) Identifying all significant hazards in the operating area, including any areas required
for access or setting up of the lifting equipment;
NOTE: This may involve the appointed person visiting site if they have any concerns about the detail
and quality of the information with which they have been provided.

b) Ensuring that a site/task specific risk assessment and lift plan, detailing control
measures for the identified risks, is prepared;

Lifting Operations with Excavators 15 October 2018

c) Liaison with any other person or authority, as required to overcome any hazard, by
including any necessary corrective action or special measures in the safe system of
work;
d) Determining any requirement for personnel in addition to the operator, such as a
slinger/signaller or dedicated lift supervisor;
e) Consideration of the effect of the lifting operation on surrounding property or
persons, including the general public. This should lead to arranging for appropriate
action to minimize any adverse effects, and to giving appropriate notice to all
persons concerned.

3.3.3 Complex lift

For a complex lift the duties of the appointed person should include the following, in
addition to the duties listed in 3.3.1 and 3.3.2:
a) Identifying all exceptional hazards in the operating area, including any areas
required for access or setting up of the lifting equipment. This will require the
appointed person to visit the location of the planned lifting operation as part of the
planning process;
b) Liaison with any other person or authority, as required to overcome any hazard, by
including any necessary corrective action or special measures in the safe system of
work;
c) Ensuring that the lift plan includes the exact sequence of operations when lifting the
load;
d) Preparing a sufficiently detailed and dimensioned drawing of the site, lifting
equipment and the load, identifying the load path, pick up and set down areas,
together with the position of any exceptional hazards in the area. The information
provided should be sufficient to enable the operator to position the lifting equipment
accurately:
e) being present on the site during a complex lift, unless they select a competent
deputy to attend in their place.
NOTE: Excavators are not generally suitable for complex lifts. Other items of lifting equipment are likely to
be more suitable (see 1.0 and 3.5).

3.4 Carrying out a risk assessment

Having identified the hazards associated with the task, a risk assessment should be
carried out to identify who might be harmed, the likelihood of them being harmed and
the severity of any harm. The assessment should be reviewed at several stages during
the planning process and recorded. If any circumstances relating to the planned lifting
operation change the assessment should be reviewed to take account of these
changes.

3.5 Selection of lifting equipment

The findings of steps 3.1 to 3.4, identifying the lifting operation and the associated
hazards and risks, allocating a lift category and risk assessing the activity, should all be
considered and used to select the most suitable type of lifting equipment.
Before choosing an excavator, consider the guidance at section 4.0, Selection of
excavators used for lifting. If an excavator is considered to be the most suitable type of
lifting equipment, record this in the risk assessment and review the decision should any
of the assumptions (site conditions, load, environment etc.) change.
Where excavators are specified for lifting suspended loads and travelling with those
loads (pick and carry), the planning process must take account of the additional hazards
associated with these activities. As excavators are not primarily designed for lifting

Lifting Operations with Excavators 16 October 2018

loads, the first step should be to ensure that an excavator is the most suitable
equipment for carrying out the task (see 4.0).
Unlike a mobile crane or tower crane, an excavator cannot lift a load over a point
without the operator simultaneously raising the boom and lowering the dipper arm to
keep the suspension point stationary on the horizontal plane. These restrictions may
prevent precision lifting operations with small clearances being carried out safely. In
such circumstances, the use of alternative lifting equipment will be more appropriate.
Regulation 4 of the Provision and Use of Work Equipment Regulations 1998 (PUWER)
requires that employers ensure that work equipment provided for their employees is the
most suitable for the purpose for which it is being used and reduces or eliminates risks
to the user and other people.

3.6 Selection of lifting accessories

Lifting accessories should have adequate capacity for the load being lifted and be
appropriate for the environment e.g. chain slings are generally less susceptible to
damage than fabric slings. The rating or WLL of a sling is based on the sling hanging
vertically and being connected directly to the load. This rating will be reduced as the
angle between the legs of a sling increases or where the method of use differs from a
straight connecting of the sling to the load e.g. choked, basket or hashed.
Some points to be born in mind when selecting lifting accessories are:
• Positive attachment of slings to the load is better than using non-positive means
such as a choke hitch;
• Protection of slings against sharp edges;
• De-rating of lifting accessories appropriate to the configuration being planned;
• Use of lifting frames/beams to stabilise/control the orientation of the load;
• Removal of the need to have persons in close proximity to the load e.g. for
stabilisation or guidance purposes;
• The provision of safe systems of work to ensure loads cannot inadvertently fall
or swing, etc. in situations where slingers have to intervene to reconfigure
accessories (see 6.16).

3.7 Selection of attachments

Special attachments for lifting should be compatible with the machine and coupling
means (quick-hitch) to which they are being attached. The appointed person should
verify that the combination is designed to take the load in this manner. This may require
clarification from the machine and attachment manufacturers.

3.8 Identifying control measures

Once the risk assessment has highlighted the risks involved in the lifting operation, the
procedures and measures required to control them should be identified and recorded.
These decisions should be reviewed in the light of changing circumstances and any
changes recorded.

3.9 Developing the method to be used

Having identified the hazards, evaluated the risks and worked out the control measures
required to carry out the lifting operation safely, these components should be developed
into a coherent plan. This should include consultation with those who will be
undertaking or be affected by the task. Any contingency measures and emergency
procedures should be included in the plan.

Lifting Operations with Excavators 17 October 2018

3.10 Recording the planning in a Lift Plan
Once the plan has been developed it should be recorded in a Lift plan. The length and
detail of this document depends on the complexity of the lifting operation to be
undertaken and on the risks involved. The Lift plan should include the following
information:

• Project;
• Location;
• Date of issue, revision number and approval sign off;
• Lifting equipment and load description;
• Load stability before, during and after the lifting operation, including checks to be
undertaken;
• Pick-up and delivery points;
• Sequence of operations;
• Ground and operational area – assessed and passed as suitable for the lifting
and travelling (including pick and carry) operations to be undertaken;
• Requirements for Exclusion Zones and any sequencing of other activities to
maintain safe areas;
• Arrangements for adequate supervision of operations;
• Arrangements for signalling between the slinger/signaller and operator;
• Names of personnel involved in the lifting operation;
• Suitable and sufficient information, instruction and training for operator,
slinger/signaller and supervisor;
• Authorisation of operator and supervisor;
• Communicate safe method of work;
• Contingency planning;
• Arrangements for ensuring that equipment provided is maintained and fit for
purpose;
• Arrangements for ensuring that equipment (including lifting attachments) is
thoroughly examined and tested at appropriate intervals;
• Lifting accessories and their configuration.

3.11 Lifting team competence

Before starting the lifting operation, the appointed person should ensure that the
members of the lifting team are competent to carry out the lift or series of lifts. A
competence or training card does not mean that the holder has the necessary
competence to carry out their role in the lifting team for lifts of all complexities (see 5.4).

3.12 Communicating the planned safe system of work to all persons involved
One of the most important aspects of successful planning is to ensure that the contents
of the planned safe system of work (lift plan) are communicated effectively to, and
between, all parties involved, taking account of language differences. Arrangements
should be made to ensure that copies of any lift plans are given and explained to the
appropriate people (including the Principal Contractor) and that others involved in the
job are fully briefed. Similarly, any changes to the plan should be communicated to all

Lifting Operations with Excavators 18 October 2018

parties. The chain of communication is generally the appointed person briefing the lift
supervisor who then briefs the remainder of the lifting team.
Confirmation of the plan being communicated and understood should be obtained and
recorded. This may be by obtaining signatures of those being briefed.
It is essential that part of the communication process includes co-ordination with other
activities that may impinge on the task to be undertaken.

3.13 Reviewing the plan before the job starts

Immediately before a job starts the specified method should be checked to see if any
aspect of the job has changed and the effect that these changes could have on the
safety of the operation. If any modifications to the plan are required these should be
communicated effectively to all those involved. The competent person should amend
the lift plan and initial any significant changes.

3.14 Monitoring the lifting operations

The appointed person should undertake or arrange for appropriate monitoring of the
lifting operation, particularly if the lift is complex or taking place over a long period of
time. The frequency of monitoring should reflect the duration, complexity and
environment of the lifting operation.

3.15 Planning for lifting during deliveries

The appointed person on a construction should ensure that all lifting operations
associated with deliveries or collection of materials, equipment and plant are effectively
planned, supervised and carried out safely. This should apply even if materials etc. are
being offloaded using a vehicle’s own lifting equipment.

3.16 Further guidance

Further guidance on lift planning is given in:
• L113 Safe use of lifting equipment, HSE Books
(www.hse.gov.uk/pubns/books/l113.htm)

• BS 7121-1:2016, Code of practice for safe use of cranes – Part 1: General

• Annex I.

Lifting Operations with Excavators 19 October 2018

4.0 Selection of Excavators Used for Lifting
4.1 Selection of Excavators
An effective and safe excavator is one which is well matched to the type and size of
load to be carried and lifted, together with the environment in which it is to be used. The
selection process should at least take into account the following points:
• Is an excavator an appropriate machine for this application?
• Is the site of adequate size for the use of excavators?
• Can the excavator be made level for the lifting operation?
• What are the weight, dimensions and characteristics of both the excavator and
the load(s) to be lifted?
• Does the excavator have load chart for pick and carry duties?
• What are the radii and height of lift required?
• Is additional safety equipment required for this operation? e.g. Full RCI, height
and slew restriction.
• How far will the loads have to be carried and over what sort of terrain are pick
and carry duties required?
• What are the number, frequency and types of lifting operation?
• What space is available for excavator access, deployment, operation and
stowage, including the space required for correct deployment of stabilizers (if
fitted)?
• Is there a need for attachments such as buckets, block grabs, grapples or lifting
hooks?
• What is the effect of the operating environment on the excavator and vice versa?
• Is operator selection a criterion for machine selection?
• Will the operator have adequate visibility?
• Is an excavator still an appropriate machine for this application?
The selection of the excavator and any attachments should be part of the planning
process (see 3.0).
NOTE: Account should be taken of the load safety devices fitted to excavators supplied for lifting duties.
These will vary depending of the date of first supply. See 4.3.

4.2 Selection of Attachments

Attachments for use with excavators carrying out lifting operations should be chosen
with care to ensure that the combination of excavator and attachment is both safe and
productive. The fitment of an attachment may alter the lifting capacity of the machine
and if the correct load chart is not used there is a risk of overturning or damage to the
machine’s structure. The selection process should at least take into account the
following points:
• Which make and model of excavator is the attachment going to be fitted to?
• What task is the attachment required for?
• Which type of attachment is best suited to the application?
• Is the attachment approved for use on that machine?
• Is the attachment compatible with the excavator?

Lifting Operations with Excavators 20 October 2018

 • Is the hanger/adapter plate suitable?
• Are load charts and user instructions available for the use of the attachment on
the specific excavator?
• Is the excavator operator both familiar with and competent to operate the
attachment?
• Will the operator require additional training and/or familiarisation (see 5.4)?
• Who will be carrying out fitting and removal of the attachment and are they
competent to do so?
• Are there particular hazards associated with the location and/or the task to be
carried out?
• Will the attachment be sourced from the excavator manufacturer, from an
attachment manufacturer or from a third party?
• Will the attachment be sourced from the excavator owner’s own stock?
• Will the attachment be used for the lifting of suspended loads?
Attachments should be designed for use with a specific machine, CE marked to the
Machinery Directive and supplied with an EC Declaration of Conformity as items of
"interchangeable equipment". They should also be supplied with instructions to enable
them to be assembled and used safely with the specific excavator. The instructions
should specify which excavators the attachment can be safely assembled and used
with, either by reference to the technical characteristics of the excavator or, where
necessary, by reference to specific models of excavator. Care should be taken when
using attachments designed and manufactured by a third party (not the excavator
manufacturer) as these may not comply with the above requirements.
It should be noted that where an attachment is not CE marked or supplied with an EC
Declaration of Conformity, the person who assembles the excavator/attachment
combination is responsible for conformity of the new machine with the requirements of
the Machinery Directive 2006/42/EC.
Specific guidance on the classification and CE marking of attachments is given in:
CECE guidance on the classification of attachments to construction equipment for the
machinery directive 2006/42/EC, Committee for European Construction Equipment.

4.3 Design Requirements

The design of earth moving machinery for lifting (object handling) is covered by the
European standard BS EN 474 parts 1, 3, 4 and 5 (see Annex I). BS EN 474-1 defines
object handling as:
“The application of earth-moving machinery comprising lifting, lowering and transporting
of a load by use of lifting accessories, whereby the assistance of a person or the
operator of the machine is required for hooking, unhooking or stabilising (whilst
transporting) the load.”
Any earth-moving machine designed for object handling should have a rated object
handling capacity table available inside the cab. An example is shown in Fig. 4. If a
rated object handling capacity table is not available, then the machine should not be
used for object handling.
In the UK, the Health and Safety Executive considers that the use of an excavator to
move processed material using attachments such as a grab or a magnet is a lifting
operation as defined by the Lifting Operations and Lifting Equipment Regulations 1998
(LOLER). Such lifting operations must be planned, supervised and carried out in
accordance with Regulation 8 of LOLER.

Lifting Operations with Excavators 21 October 2018