An earth-moving machine used for lifting operations must be fitted with a load hooking

device or a suitable attachment for direct handling of processed material, such as a

grab or magnet. This load hooking device may be mounted on the excavator dipper,
quick hitch or bucket. If the load hooking device is a hook then this should have a clip or
other device which prevents a sling slipping off the hook. Many quick-hitches provide a
load hooking device in the design of the hitch. All load hooking devices should be
marked with their rated capacity.
If the rated lifting capacity for an excavator or the backhoe portion of a backhoe-loader
is greater than 1 tonne (or the overturning moment is greater than 40,000Nm) then the
machine must be fitted with:
a) a boom lowering control device on the raising (main) boom cylinder(s) and which
meets the requirements of ISO 8643:1997 and
b) an acoustic or visual warning device which indicates to the operator when the
object handling capacity or corresponding load moment is reached (see 4.7).
NOTE: Where a risk assessment shows that there is a significant risk of overloading and/or overturning on
machines with a rated capacity of 1 tonne or less, a Rated Capacity Indicator may be required. (See
LOLER ACOP and Guidance paragraph 117).

Suitable slings must be available to attach the load to the excavator. Slings and other
lifting accessories should be CE marked, and marked with the safe working load.
A change in the definition of rated object handling capacity in the latest version of
EN474 has affected new excavators manufactured and CE marked after 29th December
2009. It requires any new excavator which has a rated capacity of over 1 tonne, and
which is going to be used for lifting, to be fitted with an RCI and hose burst check
valves. Previously some manufacturers had been marking the excavator for a rated
lifting capacity of 1 tonne even though it had a rated capacity of well in excess of this.
NOTE: Excavators manufactured, and CE marked before 29th December 2009 are not affected by these
changes.

A further change to the requirements of EN 474-5 occurred in July 2012 which requires
that all new machines supplied after that date must be fitted with hose burst check
valves on the dipper arm cylinder as well as the main boom cylinders.

Summary
• An excavator can be supplied without being equipped for lifting duties, but in
such a case there should be nothing in the supply to encourage the belief that
the machine is suitable for lifting. Such a machine should not be used for lifting
suspended loads under any circumstances.
• An excavator which is equipped for lifting should be equipped with hose burst
protection valves and an overload warning system if the rated capacity is over
1000kg at any point in the working range.

4.4 Load Charts

All excavators used for lifting should be fitted with a rated object handling capacity table,
which is more commonly known as a load chart. The chart shows the rated capacity of
the excavator in a given configuration for a range of radii from the centre of slew,
heights and distance below ground. The example in Figure 4 shows the information
both in tabular form and as a curve on a grid.
NOTE: Load charts are based on the machine standing stationary on firm level ground and are not valid in
other situations.

Load charts for excavators with crawler or wheeled undercarriages generally give two
rated capacities for a given radius - one over the front or rear and one over either side.
Care should be taken to establish whether the rated capacity includes the weight of the

Lifting Operations with Excavators 22 October 2018

bucket or any other attachment, or whether the weight of the bucket or other attachment
has to be deducted from the rated capacity shown on the chart.
Care should also be taken when using attachments such as quick hitches and tilt
rotators which will move the suspension point of the lifting accessories from that
specified on the load chart. This may well increase the load radius and consequently
reduce the rated capacity of the excavator.
Specific models of excavator can be configured in a number of ways with different
booms and dippers, different track configurations, two piece booms and different
counterweights. All of these will affect the machine's rated capacity and it is essential
that the correct load chart is used for lift planning and that a check is made to ensure
that the excavator cab is fitted with the correct load chart before any lifting operation
starts.
Additionally, wheeled excavators will also have different rated capacities depending on
whether they are fitted with outriggers and/or a blade and if the outriggers or blade are
deployed. Some machines are fitted with axle locks which automatically release on
travel, drastically altering the stability characteristics when carrying out pick and carry
duties.
The example in Figure 5 shows rated capacities with outriggers up and outriggers
down. It also shows capacities in both metric and imperial units and care should be
taken when reading dual unit load charts to ensure that they are correctly interpreted.

NOTE: B = Distance of centre of slew to load attachment point

NOTE: Load “C “ must include the weight of quick hitch, bucket or other lifting accessory

Figure 4 - Example of a Load Chart for a Crawler Excavator

Lifting Operations with Excavators 23 October 2018

 Figure 5 - Example of a Load Chart for a Wheeled Excavator

For pick and carry operations the ground conditions such as evenness, flatness,
longitudinal and cross slopes should be taken into account. Slopes are of particular
concern as the lift chart is only valid with the machine stationary on firm level ground.

4.5 Stability
The stability of excavators when lifting depends on the position of the combined centre
of gravity (C of G) the excavator and the load it is lifting. As can be seen in Figure 6, if
the combined C of G is inside the tipping line the turning effect or moment of the C of G
about the tipping line will keep the tracks on the ground and the machine will be stable.
If, however the excavator is overloaded and the combined C of G moves outside the
tipping line, as in Figure 7, the moment of the C of G about the tipping line will cause
the machine to tip.
Figure 8 shows the increase in load radius caused by the excavator on a slope. The
effect of this increase in load radius will be to reduce the machine’s stability. This
increase in load radius may not be indicated by the excavator’s instruments.
The position of the tipping line determines the stability of an excavator when lifting and
will change depending on the slew position of the boom and whether the undercarriage
is tracked or wheeled. Wheeled under carriages will have different stability
characteristics depending on the use of locking oscillating axles, outriggers and blades.

Lifting Operations with Excavators 24 October 2018

 Figure 6 - Stable Excavator with Combined Centre of Gravity Inside the
Tipping Line

Figure 7 - Unstable Excavator with Combine Centre of Gravity Outside

the Tipping Line

Lifting Operations with Excavators 25 October 2018

 Figure 8 – Adverse Effect of Slope on Load Radius

Figure 9 shows that for a tracked type undercarriage, as the side tipping line is closer to
the centre of the machine than the front and rear tipping lines the machine will be less
stable when lifting over the side than when lifting over the front or rear.

Stability Tipping Line

Most Stable Forward/ backwards
Least Stable Either side

Figure 9 - Tipping Conditions for a Tracked Type Undercarriage

Lifting Operations with Excavators 26 October 2018

 Configuration
Free on wheels – no axle lock
Rated Capacity none

Configuration
Free on wheels – axle locked
Rated Capacity 3.7t

Configuration
Blade down – axle locked
Rated Capacity 5.1t

Configuration
One set of stabilizers down – axle locked
Rated Capacity 5.4 tonnes

Configuration
Blade down and stabilizers down
Rated Capacity 7.8 tonnes

Configuration
Two sets of stabilizers down
Rated Capacity 10.4 tonnes
NOTE: Rated capacities shown are for a
typical 18 tonne wheeled excavator at one
radius and one lifting point height

Figure 10 - Tipping Conditions for a Wheeled Undercarriage with

Stabilizers or a Blade

Lifting Operations with Excavators 27 October 2018

Figure 10 shows that for a wheeled undercarriage, the side tipping lines vary
significantly depending on the locking or not of an oscillating axle and the deployment of
outriggers or a blade. As shown, the deployment of axles locks, blades and stabilizers
has a significant effect on the rated capacity of the excavators.
The position of the front tipping line also depends on the deployment of outriggers or a
blade. As a general rule a wheeled excavator will be more stable and have better lifting
capacities with the oscillating axle locked or the outriggers/blade deployed.
NOTE: Rated capacities shown in Figure 10 are for a typical 18 tonne wheeled excavator at one radius
and one lifting point height.

4.6 The Effect of Tyres on Stability

Tyres play a vital part in the stability of 360°wheeled excavators and 180° backhoe
loaders. Stability and load carrying capacity can be adversely affected by issues such
as:
• Incorrect tyre pressure;
• Differences in diameter of tyres on the same axle due to differential wear;
• Differences in diameter of tyres on the same hub for twin wheel machines:
• Incorrect ply rating;
• Use of tyres which are not of the required performance specification;
• Tyres with identical nominal sizes being of different physical size;
• Poor tyre repairs.
Tyre maintenance, repair and replacement are dealt with in more detail in Annex H.

4.7 Overload Warning Devices and Rated Capacity Indicators

Where excavators used for lifting have a maximum rated capacity greater than or equal
to 1,000 kg, or an overturning moment greater than or equal to 40,000 Nm they must be
fitted with an acoustic or visual warning device which indicates to the operator when the
rated lift capacity or corresponding load moment is reached and continues as long as
the load or load moment is exceeded.
The excavator operator should always ensure that the overload warning device is
activated prior to any lifting operation.
The standard overload warning device fitted by excavator manufacturers is not a rated
capacity indicator or limiter as fitted on most cranes. Overload warning devices are
generally calibrated with the excavator in its least stable condition i.e. cross carriage.
This means that when lifting in line with the tracks, the alarm will activate well before the
maximum rated radius for the load is reached. This frequently leads to operator
frustration (see the example in Table 2).

Rated Capacity in tonnes at 3m Lift Point Height

Lifting Configuration
Max. Radius 9m Radius 7.5m Radius 6m Radius
Over End 4.9 6.5 7.7 9.0
Over Side 3.6 4.1 5.5 7.8
% of rated capacity at which overload
warning alarm will sound when lifting 73% 63% 71% 87%
over end

Table 2 – Example of Early Sounding of Overload Warning Alarm for a 30

tonne Excavator

Lifting Operations with Excavators 28 October 2018

The HSE’s guidance to LOLER states that “Where there is a significant risk of
overturning and/or overloading arising during the use of any lifting equipment, devices
such as rated capacity indicators and rated capacity limiters, which provide audible
and/or visual warning when the safe lifting limits are being approached, should be
provided.”
Excavators can alternatively be fitted with full rated capacity indicators, either at time of
first supply or at a later date. These alternative rated capacity indicators are more
sophisticated and will deal with the issue of differing capacities at differing slew angles.
They can also provide the limiting of functions when an overload occurs, data logging,
display the mass of the load being lifted and allow pre-setting of height, minimum
radius, maximum radius, depth and slew.
The advantages of using rated capacity indicators/limiters are that the operator will get
an accurate display of corresponding load moments, regardless of how the machine is
configured, allowing them to configure the machine correctly for lifting, without having to
physically measure height radius or slew angles, the display also gives them
information pertaining to, the mass of the load being lifted and allows programming for
pre-setting of height, minimum radius, maximum radius, depth and slew restrictions.
Limiters also provide hydraulic lockout/limiting functions when a percentage of overload
occurs, also the information is data logged giving the employer peace of mind and
allows them to better plan and control lifts.
The function and calibration of both overload warning devices and rated capacity
indicators should be checked at the intervals specified by the manufacturer, after any
major repair and at each thorough examination.
NOTE: The requirements for overload warning devices on excavators equipped for lifting are set out in EN
474-5. The requirements in BS 7262 do not apply to excavators.

4.8 Visibility
4.8.1 360° Excavators
Restricted visibility when the boom is raised and when large loads are carried coupled
with poor segregation have been identified as a major cause of accidents involving
pedestrians and 360° excavators. The great majority of 360° excavators feature a left-
hand side-mounted cab and a centrally-mounted boom meaning that the operator’s
view around the machine when normally seated is partially or fully obstructed or
‘masked. The cab frame, and the boom and dipper in certain angles and configurations
during work further restricts all-round vision and prevents a clear view, particularly when
slewing to the right. Other parts of the machine such as the rear engine covers or
counterweight also restricts rear and three-quarter side views.

4.8.2 180° Excavators

When using the backhoe unit for work activities, the operator’s view of the bucket and
surrounding area can depend upon the position of the backhoe relative to the centre
line of the machine. The operator station is located along the machine’s centre-line and
working with an offset backhoe (where it is positioned to one side of the machine) can
reduce visibility with certain configurations of the boom and dipper during work. Slewing
the boom/dipper away from the operator is when the risk is highest due to the lack of full
visibility.

4.8.3 Preventing collisions

The most effective way of preventing accidents between pedestrians and excavators is
segregation. Operators should always ensure by appropriate means, prior to
commencing a task, that personnel are clear of the area immediately around the
machine. This may involve getting out of the cab and walking around the machine. This
role may also be undertaken by the slinger/signaller.

Lifting Operations with Excavators 29 October 2018

On 360° excavators, to mitigate collisions with structures, objects or persons, the front
of cab must face direction of travel and no reversing should take place. Where this is
not possible due to areas of minimal room, exclusions zones and/or a marshaller should
be employed.
On 180° excavators, one of the highest risks to pedestrians, structures or objects is
when the excavator is being reversed, particularly when boom and dipper are folded
across the rear of the machine, for which visibility is severely restricted. This is further
compounded in that the operator is seated in a forward direction and is reliant on using
the reversing mirrors, or turning the upper part of their body to ensure that the
machine’s path is clear. Exclusions zones and assistance from a marshaller should be
employed in areas of pedestrian movement. The working area that covers the working
range of the boom and dipper should be cordoned off to prevent unauthorised access,
and places of safety clear of the working range of the machine should be facilitated for
supporting staff working with the machine.
Operator visibility is aided by clean cab windows and mirrors, and window and mirror
cleanliness should form part of the operator's pre-use checks.
Guidance on the assessment of visibility and the selection of visibility aids is given in:
• HSE Sector Information Minute No. 02/2007/02 Assessing Field of Vision for
Operators of Earth Moving Machinery on Construction Sites
• HSE Safety Notice FOD 1-2015 - Earth Moving Machinery – changes to visibility
requirements
• Annex I.

Lifting Operations with Excavators 30 October 2018