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AS 4988-2002 Earth-moving machinery - Hydraulic excavators - Laboratory tests and performance requirements for operator
protective guards

Licensee: Mr Scott Ferguson

Date: Monday, April 11, 2011 9:08 AM

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 AS 4988—2002
ISO 10262:1998
AS 4988
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Australian Standard™

Earth-moving machinery—Hydraulic
excavators—Laboratory tests and
performance requirements for operator
protective guards
 This Australian Standard was prepared by Committee ME-063, Earthmoving
Equipment. It was approved on behalf of the Council of Standards Australia on
15 April 2002 and published on 24 May 2002.
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The following interests are represented on Committee ME-063:

Austroads
Australian Industry Group
Construction and Mining Equipment Association of Australia
Department of Defence
Department of Mineral Resources, N.S.W.
Department of Natural Resources and Mines, Qld
Department of Primary Industries, Qld
Safety Institute of Australia
WorkCover New South Wales

Keeping Standards up-to-date

Standards are living documents which reflect progress in science, technology and
systems. To maintain their currency, all Standards are periodically reviewed, and
new editions are published. Between editions, amendments may be issued.
Standards may also be withdrawn. It is important that readers assure themselves
they are using a current Standard, which should include any amendments which
may have been published since the Standard was purchased.
Detailed information about Standards can be found by visiting the Standards
Australia web site at www.standards.com.au and looking up the relevant Standard
in the on-line catalogue.
Alternatively, the printed Catalogue provides information current at 1 January each
year, and the monthly magazine, The Australian Standard, has a full listing of
revisions and amendments published each month.
We also welcome suggestions for improvement in our Standards, and especially
encourage readers to notify us immediately of any apparent inaccuracies or
ambiguities. Contact us via email at [email protected], or write to the Chief
Executive, Standards Australia International Ltd, GPO Box 5420, Sydney, NSW
2001.

This Standard was issued in draft form for comment as DR 01204.

 AS 4988—2002
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Australian Standard™

Earth-moving machinery—Hydraulic
excavators—Laboratory tests and
performance requirements for operator
protective guards

First published as AS 4988—2002.

COPYRIGHT
© Standards Australia International
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 International Ltd
GPO Box 5420, Sydney, NSW 2001, Australia
ISBN 0 7337 4499 0
 ii

PREFACE

This Standard was prepared by the Standards Australia Committee ME-063, Earthmoving Equipment.
The objective of this Standard is to provide designers, manufacturers, suppliers, employers and users
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of hydraulic excavators with specifications covering technical means to minimize the risks to health
and safety of employees and others working with orotherwise near hydraulic excavators.
This Standard is identical with and has been reproduced from ISO 10262:1998, Earth-moving
machinery— Hydraulic excavators— Laboratory tests and performance requirements for operator
protective guards.
Statements expressed in mandatory terms in notes to text and tables are deemed to be requirements of
this Standard.
As this Standard is reproduced from an International Standard, the following applies:
(a) Its number does not appear on each page of text and its identity is shown only on the cover and
title page.
(b) In the source text ‘this International Standard’ should read ‘this Australian Standard’.
(c) A full point should be substituted for a comma when referring to a decimal marker.
References to International Standards should be replaced by references to equivalent Australian
Standards, as follows:
Reference to International Standard Australian Standard
ISO AS
148 Steel—Charpy impact test (V-notch) 1544 Method of impact tests on metals—
1544.2 Part 2: Charpy V-notch
898 Mechanical properties of fasteners 4291 Mechanical properties of fasteners
898-1 Part 1: Bolts, screws and studs made of carbon steel and alloy steel
4291.1 Part 1: Bolts, screws and studs
898-2 Part 2: Nuts with specified proof load 4291.2 Part 2: Nuts with specified proof load
values—Coarse thread values—Coarse thread
3164 Earth-moving machinery—Laboratory 2294 Earth-moving machinery—Protective
evaluation of protective structures— structures
specifications for deflection-limiting 2294.4 Part 4: Specifications for deflection-
volume limiting volume
5153 Earth-moving machinery, and tractors and —
machinery for agriculture and forestry—
Seat index point
7135 Earth-moving machinery—Hydraulic —
excavators—Terminology and
commercial specifications
 1

AUSTRALIAN STANDARD

Earth-moving machinery — Hydraulic excavators — Laboratory

tests and performance requirements for operator protective guards
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1 Scope

This International Standard establishes a consistent, repeatable test procedure and performance requirements for
evaluating operator-protective guarding that undergo loading. Such guards are usually intended to provide
excavator operators with reasonable protection against objects (e.g. rocks and debris) which would otherwise
penetrate the operators station from the front or top.

It is applicable to hydraulic excavators, as defined in ISO 7135 when equipped with an operator's station guard(s).

2 Normative references

The following standards contain provisions which, through reference in this text, constitute provisions of this
International Standard. At the time of publication, the editions indicated were valid. All standards are subject to
revision, and parties to agreements based on this International Standard are encouraged to investigate the
possibility of applying the most recent editions of the standards indicated below. Members of IEC and ISO maintain
registers of currently valid International Standards.

ISO 148:1983, Steel — Charpy impact test (V-notch).

ISO 898-1:—1), Mechanical properties of fasteners made of carbon steel and alloy steel — Part 1: Bolts, screws
and studs.

ISO 898-2:1992, Mechanical properties of fasteners — Part 2: Nuts with specified proof load values — Coarse
thread.

ISO 3164:1995, Earth-moving machinery — Laboratory evaluations of protective structures — Specifications for
deflection-limiting volume.

ISO 5353:1995, Earth-moving machinery, and tractors and machinery for agriculture and forestry— Seat index
point.

ISO 7135:—2), Earth-moving machinery — Hydraulic excavators — Terminology and commercial specifications.

3 Definitions

For the purposes of this International Standard, the following definitions and abbreviations apply.

3.1
operator guards
system of a top guard (3.3) and a front guard (3.2) for the operator station of excavators

1) To be published. (Revision of ISO 898-1:1988)

2) To be published. (Revision of ISO 7135:1993)

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 2

3.2
front guard
device intended to provide object protection to the front of the operator station of excavators

3.3
top guard
device intended to provide falling object protection to the top of the operator station of excavators
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3.4
deflection-limiting volume
DLV
that volume, related to the operator, which serves to set limits and deflections permissible when performing
laboratory evaluations of ROPS3) and FOPS4)

NOTE — The volume, an approximation, is based on the seated dimensions of a large male operator. Adapted from
ISO 3164:1995.

3.5
drop test object
object meeting the criteria outlined for either Level I or Level II acceptance used in structural loading testing

4 General

4.1 The operator station shall be equipped accordingly with respect to the use of the machine and against risk of
falling and/or approaching objects, with one of the following arrangements:

 a top guard providing protection from falling objects;

 a front guard providing protection from objects that approach from the front;

 a combination of top and front guarding.

4.2 The areas protected include:

 an area which shall be not less than the horizontal projection of the DLV for front guards providing protection
from objects approaching the front of the operator's station;

 an area which shall be not less than the vertical projection of the DLV for top guards providing protection from
objects falling on the upper area of the operator's station.

4.3 Resistance to penetration of the guard to the point of infringement of the DLV is evaluated. The performance
requirements of a representative specimen (i.e. within the manufacturer's specifications) are based on the
performance of a proven structure under laboratory evaluation procedures.

4.4 Two acceptance levels are defined as follows:

a) Level I acceptance is intended for protection from small objects, e.g. small rocks, small debris and other small
objects encountered in operations such as highway maintenance, landscaping and other construction site
services;

b) Level II acceptance is intended for protection from large objects, e.g. large rocks, large debris and other large
objects encountered in applications such as construction and demolition.

Compact excavators having a mass of 6 000 kg or less are excluded from acceptance Level II.

3) ROPS: Roll-over protective structure.

4) FOPS: Falling object protective structure.

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 3

4.5 Guards meeting the following criteria may not give crush protection under all conceivable circumstances of the
machine being struck from above or the front. Nonetheless, it can be expected that crush protection will be ensured
under at least the loading conditions specified in the following tests.

5 Laboratory tests

5.1 Apparatus for testing the top guard

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5.1.1 Drop test object for Level I testing, made of solid steel or ductile iron, with a spherical contact surface and
a diameter not exceeding 250 mm (see figure 1), possessing the potential energy required. See 8.1 or 8.2 and
figure 2 to determine the mass and/or drop-height ratio necessary to obtain the required energy. Typical mass is
46 kg for Level I.

5.1.2 Drop test object for Level II testing, made of steel, designed as shown in figure 1, and possessing the
potential energy required for loading. See 8.1 or 8.2 and figure 2 to determine the mass and/or drop height ratio
necessary to obtain the required energy. Typical mass is 227 kg for Level II.

Dimensions in millimetres

Key
1 May be drilled and tapped for lifting eye.
∆d1 ª 204; ∆d2 = 255 to 260; l1 ª 102; l2 ª 68; l3 = 583 to 585

a) Level I: mass weighing 46 kg b) Level II: mass weighing 227 kg

NOTE — Dimensions d1, d2, l1, l2 and l3 are optional. Dimensions of the drop test object are determined with respect to both
its mass and drop height (as determined from figure 2) that shall provide the required energy.

Figure 1 — Examples of laboratory drop test object

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 4
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a) Level I energy requirement curve

Energy required: 1 365 J

b) Level II energy requirement curve

Energy required: 11 600 J

Figure 2 — Height and mass for drop test object necessary to meet energy requirements

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 5

5.1.3 Apparatus, providing the following:

 a means of raising the standard object to the required height;

 a means of releasing the standard object so that it drops without restraint;

 a surface that cannot be penetrated by the machine or test bed when undergoing loading during the drop test;
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 a means of determining whether the operator guard(s) penetrates the deflection-limiting volume during the drop
test which may be either

 a DLV, placed upright, made of a material which indicates any penetration by the operator guard(s).
Grease may be put on either the lower surface of the cover or the top of the DLV to indicate such
penetration; or

 a dynamic instrumentation system of sufficient frequency response to indicate the relevant deflection with
respect to the DLV.

5.2 Apparatus for testing the front guard

5.2.1 Standard laboratory penetration test object, made of steel, with the shape of the tapered end of the object
in figure 1. The object length shall be sufficient to avoid a diameter larger than 260 mm making contact with the front
guard during test.

5.2.2 Apparatus, providing the following:

 a means of pushing the object into the front guard;

 a means of measuring the force exerted to push the object into the front guard;

 a means of determining the test object or front guard penetration of the DLV, during the push test. This may be
a DLV, placed upright, made of a material which indicates any penetration by the operator guard(s). Grease or
similar substance put either on the front of the DLV or on the inner surface of the front guard to indicate
penetration. The DLV shall be positioned at the SIP5) (see ISO 5353 and ISO 3164) and fixed firmly to the
same part of the machine to which the operator seat is secured;

 a means of simultaneously measuring the deflection distance and the force used to push the object into the
front guard.

5.3 Optional dynamic test

5.3.1 The front guard may be submitted to an optional dynamic test using a device (see figure 1) that results in
equivalent energy absorbed by the guard.

5.3.2 The operator station base shall be provided with the same relative base firmness as that of the normal
machine arrangement so as to restrict unnatural energy absorption by the operator station during the optional
dynamic test. Furthermore, the test surface under the operator station shall be of such firmness that it is not
penetrated by the arrangement when loaded.

6 Test conditions

6.1 Measurement accuracy

The measurement accuracy of the deflection of the guard shall be ± 5 % of the maximum deflection measured.

5) SIP: Seat index point

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 6

6.2 Machine or test bed condition

6.2.1 The operator guards to be evaluated shall be attached to the machine in the same manner as in actual
machine use. A complete machine is not required; however, the portion to which the operator guards are mounted
shall be identical to the structure on the complete machine.

6.2.2 If the operator guards are mounted on a machine, the following apply:
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a) for the test, the machine may be equipped with customary attachments provided their position does not
interfere with the test of the guards;

b) all ground engaging tools shall be in normal carrying positions;

c) all suspension systems including pneumatic tyres, shall be set at operating levels, with variable suspensions
set in the "hard" range.

6.2.3 All cab elements, such as windows, normally removable panels, or non-structural fittings, that do not
contribute to the strength of the operator guards shall be removed.

6.2.4 The guards to be tested shall be representative of units within the manufacturer's specifications.

7 Test procedure

7.1 General

It is the intent of this procedure to evaluate the area of the top guard and front guard with the least resistance to
penetration. If design features such as cut-outs for windows or equipment or variations in cover material or
thickness indicate an area with lower penetration resistance within the vertical and horizontal projections of the DLV,
the drop or static location should be adjusted accordingly. In addition, if cut-outs in the top guard or front guard
cover are intended to be filled with devices to provide adequate protection, those devices or equivalent ones shall
be in place during the drop or static test.

7.2 Top guard test

7.2.1 The appropriate laboratory drop test object (figure 1) shall be placed on top of the top guard (small end of the
object down) at the location designated in 7.2.2, 7.2.3, and 7.2.4. It is intended that the drop location include at least
a portion of the vertical projection of the top plane area of the DLV. If it does not, two drop tests shall be required;
one to be located within the top plane area as far as possible from major, upper, structure members; and the other
to be as defined in 7.2.2, 7.2.3, and 7.2.4. Also, where other materials or a different thickness are used in different
areas above the DLV, each area in turn shall be subjected to a drop test. These tests may be performed on the
same top guard.

7.2.2 The small end of the object shall be entirely within the vertical projection of the DLV on the top guard.

7.2.3 Accounting for the requirements of 7.2.2, the small end of the object shall be placed closest to the top most
point of the DLV and to the centroid of the largest unsupported area on the top guard (i.e. the area not supported by
major, upper, structural members).

7.2.4 Should the vertical projection of the DLV be divided into two, or more segments by vertical projections of
major, upper, structural members, the requirements of 7.2.2 and 7.2.3 shall apply to the segment containing the
largest area of the DLV projection. See figure 3.

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 7
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Key

1 Centroid for A-B-C

2 Major structural members
3 Drop object
4 DLV top plane
NOTE — Area I and area II represent segmented vertical projections of the DLV area onto the top guard. Area I is larger than
area II.

Figure 3 — Drop test impact point for a top guard

7.2.5 The drop test object shall be raised vertically to a height above the position specified in 7.2.2 and 7.2.3 to
obtain the potential energy specified in 8.1. The drop test object shall be released so that it falls without restraint
onto the guard.

7.2.6 As it is unlikely that a free fall will result in the object hitting the exact location and/or be in the impact position
as described in 7.2.1 to 7.2.4, the deviations are limited as indicated in 7.2.6.1 to 7.2.6.4.

7.2.6.1 For a Level I guard, the initial impact of the small end of the object shall be entirely within a circle of
100 mm radius. (The centre of this circle is to coincide with the vertical centreline of the object as positioned
according to 7.2.1 to 7.2.4, but not on any major, upper, horizontal member.)

7.2.6.2 For a Level II guard, the initial impact of the small end of the object shall be entirely within a circle of
200 mm radius. (The centre of this circle is to coincide with the vertical centreline of the object as positioned
according to 7.2.1 to 7.2.4, but not on any major, upper, horizontal member.)

7.2.6.3 For a Level I guard, the first contact between the object and the guard shall be made by the spherical end
of the drop test object. For a Level II guard, the first contact between the object and the top guard shall be made by
the small end of the drop test object. See figure 1.

7.2.6.4 There are no requirements on the location or impact position of subsequent impacts due to rebound.

7.3 Front guard test

7.3.1 Static test

7.3.1.1 The small end of the appropriate laboratory penetration test object shall be placed against the front guard
at the location designated in 7.3.1.2 to 7.3.1.4.

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 8

7.3.1.2 The small end of the object shall be entirely within the horizontal projection of the DLV on the front guard
closest to the front most point of the DLV and to the centroid of the largest unsupported area on the front guard (i.e.
the area not supported by major structural members). See figure 4.
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Key

1 Top guard
2 Front guard
3 DLV
4 Load object

Figure 4 — Test object location

7.3.1.3 Should the horizontal projection of the DLV be divided into two, or more segments by major structural
members, the requirements of 7.3.1.1 and 7.3.1.2 shall apply to the segment containing the largest area closest to
the DLV projection. See figure 4.

7.3.1.4 The object shall be pushed in a plane perpendicular to the front guard surface at the location(s) indicated in
7.3.1.2 and 7.3.1.3.

7.3.1.5 The rate of deflection shall be such that the loading can be considered static. The rate of load application
can be considered static provided the rate of deflection at the load application point is not greater than 5 mm/s.

7.3.1.6 Force and deflection at deflection increments no greater than 15 mm, measured at the point of application
of the load shall be recorded.

7.3.1.7 Loading shall continue until the front guard has achieved the energy requirements given in 8.1. (See
figure 5 for the method of calculating energy). The deflection used in calculating energy shall be the displacement of
the front guard along the line of action of the force. The line of action of the load object shall be maintained within a
circle of 50 mm radius of the initial contact point.

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 9
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Calculation of energy:

D1F1 F +F F +F
U= + ( D 2 − D1) 1 2 +....+( DN − DN−1) N−1 N
2 2 2

Figure 5 — Force-deflection curve

7.3.2 Dynamic test

The front guard may be dynamically tested with a device that results in equivalent energy applied to the guard. If
electing to use this option, the drop test object outlined for use with an overhead guard test can be used. See
figure 4. The procedures described in 7.2 can be used to determine the drop height and mass for the required
energy. The drop test location shall be defined according to 7.3.1.1 to 7.3.1.3.

8 Performance

8.1 Top guard test

The protective properties of the top guard shall be estimated by the ability of the cab or protective structure to resist
impact. The DLV (see ISO 3164) shall not be penetrated by any part of the protective structure under the first or
subsequent impacts of the test object at the energy levels listed below:

a) Level I: absorbed energy 1 365 J;

b) Level II: absorbed energy 11 600 J.

If the test object penetrates through the top guard, it shall be considered to have failed the test.

8.2 Front guard test

During the test no part of the front guard or the operator station shall penetrate the DLV (see 5.2) at the energy
levels for the required performance level

a) Level I: absorbed energy 700 J;

b) Level II: absorbed energy 5 800 J.

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 10

If the test object penetrates through the top guard, it shall be considered to have failed the test.

8.3 Material requirements

8.3.1 In addition to the performance requirements, there are material requirements to ensure that the guards will
have meaningful resistance to brittle fracture. This requirement is met when all guards and mounting material in a
manufacturer’s representative specimen meets the required toughness characteristics. To ensure structural integrity
at low temperatures, material selection, design, and weld considerations shall emphasize high density and
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toughness, i.e. the ability to resist brittle fracture of the structure.

This requirement may be met by conducting the laboratory tests with all structural members at, or below - 18 °C,
provided material specifications and procurement assure that materials in the guards subsequently manufactured
have toughness characteristics similar to those in the tested representative specimen. Alternatively, the requirement
may be met by applying the loading at a higher temperature provided all of the structural members of the guards are
fabricated from materials meeting the mechanical requirements given in 8.3.2 to 8.3.4.

8.3.1 Bolts used structurally shall be metric property class 8.8, 9.8 or 10.9 (ISO 898-1). Nuts used structurally shall
be metric property class 8 or 10 (ISO 898-2).

8.3.2 In those countries using the inch system, bolts and nuts used shall be of an equivalent grade.

8.3.3 Structural members of the guard and the mounts which attach the guard to the machine shall be made of
steels meeting or exceeding one of the Charpy V-notch (CVN) impact strengths as shown in the table 1. Specimens
are to be "longitudinal" and taken from flat stock, tubular, or structural sections before forming or welding for use in
the guard. Specimens from tubular or structural sections shall be taken from the middle of the side of greatest
dimension and shall not include welds. See ISO 148.

NOTE — The Charpy V-notch evaluation is primarily a quality control check and the indicated temperature does not directly
relate to operating conditions.

Table 1 — Minimum Charpy V-notch impact strengths

Specimen size Energy requirements1) Specimen size Energy requirements1)

(- 30 °C) (- 30 °C)
mm J mm J
10 ¥ 10 2) 11,0 10 ¥ 6 8,0
10 ¥ 9 10,0 10 ¥ 5 2) 7,5
10 ¥ 8 9,5 10 ¥ 4 7,0
10 ¥ 7,5 2) 9,5 10 ¥ 3,3 6,0
10 ¥ 7 9,0 10 ¥ 3 6,0
10 ¥ 6,7 8,5 20 ¥ 2,5 2) 5,5
1) An alternative energy requirement may be allowed at - 20 °C. The energy requirement at - 20 °C is
2,5 times the value specified for - 30 °C. Other factors affect impact energy strength, i.e. direction of rolling,
yield strength, grain orientation and welding. These shall be considered in selecting a steel.
2) Indicates preferred size. Specimen size shall be no less than the largest preferred size that the material will
permit.

Structural members made from materials other than steel shall have equivalent low temperature impact resistance.

8.3.4 Steel less than 2,5 mm in thickness with a maximum carbon content of 0,20 % shall be considered to meet
the Charpy V-notch requirements.

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 11

9 Labelling

Falling object guards meeting the requirements of this International Standard shall be labelled according to 9.1 and
9.2.

9.1 Label specifications

9.1.1 The label shall be of a permanent type and permanently attached to the structure.
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9.1.2 The label shall be located on the structure so as to be read easily and to be protected from defacing by
weather.

9.2 Label content

The following information shall be specified on the label:

a) name and address of the manufacturer or constructor of the guard;

b) identification number of the guard, if any;

c) machine make, model(s), or serial number(s) the guard is designed to fit;

d) reference to the International Standard(s) for which the guard meets all of the performance requirements and
the level being met (national regulations may be included);

e) the manufacturer may include such other information as deemed appropriate (for example, installation, repair or
replacement information).

10 Reporting of test results

The test report shall include the results of the test and be presented in a typical test report in accordance with
annex A.

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 12

Annex A
(normative)

Standard test report

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A.1 Identification A.2 Information supplied by

manufacturer(s)
A.1.1 Machine(s)
Location of DLV: _____________________
Type: ______________________________

Manufacturer: ________________________ A.3 Conclusion

Model: _____________________________ Confirm the test results by the following:
Serial number (if any): _________________ 1) The minimum performance requirements of
ISO 10262 were met (not met) in this test
Machine frame part number: ____________
2) Date of test: _______________________
A.1.2 Operator guards
3) Name and address of the test facility:
A.1.2.1 Top guard
___________________________________
Manufacturer: ________________________
___________________________________
Model: _____________________________
4) Tested by (signature):
Serial number (if any): _________________
___________________________________
Guard part number: ___________________
5) Date of report: _____________________
A.1.2.2 Front guard

Manufacturer: ________________________

Model: _____________________________

Serial number (if any): _________________

Front Guard part number: ______________

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