Excavator

August 2000

OHS Certificates of Competency

National Assessment Instrument

OHS Certificates of Competency

National Assessment Instrument

Excavator

August 2000

(Revision 1)

Loadshifting Equipment

Excavator

ASSESSMENT
Part 1

Performance

Part 2

Oral/Written

AUGUST 2000

Contents

Page

Assessor Guidelines General

Assessor Guidelines Specific Performance

Part one Performance Assessment

Assessor Guidelines Specific Oral/Written

11

Part two Oral/Written Assessment

12

Load Chart

27

Oral/Written Answer

28

Assessment Summary

35

ASSESSOR GUIDELINES GENERAL

1.
1.1

2.2

Confirm Appointments
Prior to an assessment, you need to
confirm the date, time and location of
the assessment with the applicants and
any other relevant people.

2.3

Equipment Availability
The availability of equipment, materials
and a suitable working area must be
organised and confirmed, prior to the
assessment.

2.4

Workplace Factors
Because procedures and processes vary
greatly between workplaces, it is
important for assessors to plan their
approaches to meet the requirements of
the individual workplace.

Introduction
Scope
These general guidelines apply to all
the assessment instruments for the
certificates of competency prescribed
by the National Guidelines for
Occupational Health and Safety
Competency Standards for the
Operation of Loadshifting Equipment
and Other Types of Specific
Equipment. (NOHSC: 7019)
Assessors should also be familiar with
the publication Assessment guidelines
for National Occupational Health and
Safety Certification Standard for users
and operators of industrial equipment.

1.2

1.3

Additional Guidelines
Guidelines that provide additional
specific information to certificate
assessors are also included in each
assessment instrument. Included,
where appropriate, are specific
instructions on the usefulness of
training records (such as logbooks)
and other certificates with overlapping
competencies.
Evidence of Competence
Evidence of competence is established
in a number of ways. The methods
used in the following instruments
involve:
Assessment of practical
performance
Written and/or oral answers to
questions on underpinning
knowledge.

Make sure you take the timeframe into

account when planning the assessment
and also make applicants aware of any
time limits.
2.5

Selecting Questions
Questions for the written/oral
assessment should be randomly
Selected, either by hand or using the
computer system, if applicable.

3.

Conducting the Assessment

3.1

Provide an Explanation
Begin by explaining clearly to the
applicant what is required of them.
Check that applicant has provided (or
has been provided with) the necessary
tools and equipment.

3.2

2.

Preparing for the Assessment

Practical Performance
Complete the practical performance
checklist, as the applicant works
through the required tasks. Wherever
possible, this should be done in a
normal working environment.

2.1

Study the instruments

You need to read the assessment
instruments and specific instructions
carefully before beginning an
assessment.

Do not ask the applicant questions

while he/she is performing a task, as
this can be distracting, and may affect
the time taken to complete the
assessment.

Excavator Guidelines General

August 2000

If, at any time, the applicant is

endangering themself or others, stop the
assessment immediately. This indicates
that the applicant is not yet competent
and may require further training, before
been reassessed.

the original to the certifying authority.

The assessor retains the triplicate.
4.2

Assessments should also be stopped, if

equipment or property is likely to be
damaged.
3.3

3.4

The standard required for each

instrument is specified in the specific
guidelines and/or on the summary page
at the end of each instrument.

Knowledge
The oral/written assessment determines
the applicants under pinning
knowledge. The model answers
provided with the oral/written
assessment instruments are not
necessarily exhaustive. Use your own
judgement when scoring alternative
answers.
Recording Responses
A box accompanies each item and
question on the assessment forms you
use. Assessors must complete every box
as follows:

CORRECT
PERFORMANCE/ANSWER

NOT YET ACHIEVED

N/A

NOT APPLICABLE

Competency Requirements
In order for you to deem an applicant
competent, he or she must have
completed each section of the
assessment to the standard required.
You should note any time constraints
when arriving at your decision.

In the case of a re-assessment, the

assessor can decide to apply the whole
or only that part of the assessment not
yet achieved.
4.3

Additional Comments
Where an applicant fails to meet the
standard of competence, you should add
a written comment on the Assessment
Summary, which briefly explains the
problem.
Advice to the applicant, on the
appropriate remedial action should also
be included. This will also assist the
certificate assessor, in the event that the
applicant undergoes future
reassessment.

4.4

4.

Determining Competencies

Further Investigation
As a certificate assessor, it is your role
to determine whether or not an
applicant has achieved the standard
necessary for the certifying Authority
to be able to grant a certificate of
competency.

4.1

Assessment Summary
A specific assessment summary is given
for each certificate class. This is to be
filled in and signed by the assessor and
counter signed by the applicant.

Whenever you are unsure of the

applicants performance or knowledge,
ask additional questions, and obtain
additional evidence, before making
your final decision.

If a box is marked incorrectly, cross out

the mistake, mark the correct response
alongside, and initial the change.

Notice of Satisfactory Assessment

The original and duplicate are given to
the applicant. The applicant provides

Excavator Guidelines General

August 2000

National Guidelines for OHS Competency Standards

Loadshifting Equipment

Excavator

Part 1
Performance Assessment

AUGUST 2000

3. The performance assessment can be

conducted at any location which has:

ASSESSOR GUIDELINES
SPECIFIC (Performance)

ASSESSMENT INSTRUMENT
SPECIFICATIONS

The following performance assessment

covers the Loadshifting elements

sufficient clear space to operate the

machine
ground suitable for excavating

4. Equipment and Resources required:

1.1, 1.2, 1.3, 2.1, 3.1 & 3.2

1. The assessment requires the operator to

check the equipment, plan the work and to
safely and competently operate the
excavator.

an excavator and equipment

suitable site on which to use the
excavator and equipment to excavate
and backfill a trench.

The assessment is performed in six

sections:

5. Unless the assessor agrees to other

arrangements, it will be the responsibility
of the applicant, applicants employer or
trainer to provide the required equipment
and resources.

1.1

6. To be assessed an applicant must wear:

Conduct routine pre-operational

check of excavator/equipment and
the security of attachments.

1.2

Inspect the site, plan work and

select and fit appropriate
attachments.

1.3

Conduct pre-operational and post

start up checks

1.4

Drive the excavator to the work

area.

1.5

Operate Excavator.

1.6

Shut down the equipment and

secure the site.

7. The performance of each applicant is to be

recorded on the assessors checklist.
8. Safety of personnel: when an applicant is
working dangerously, recklessly or
without the necessary co-ordination, the
assessor must direct the applicant to cease
work and terminate those parts of the
assessment immediately.
9.

The applicant must undertake all

performance criteria. An assessor must
use his/her discretion in assessing
competence under each criteria.
The elements under each criteria must be
marked with the appropriate tick, cross or
n/a to indicate an applicants competence
level for that element.

August 2000

2. Prior learning and experience

An applicant who holds a Front-end
loader/Backhoe, front-end loader of a
skid-steer type, front-end loader, dragline,
or dozer certificate does not require
assessment in sections 2, 3 and 4.

Excavator Guidelines Specific (Performance)

safety helmet (where required)

appropriate footwear
other protective clothing and
equipment as appropriate.

Assessors Note: All performance criteria

marked with a star !are
compulsory/critical. To determine a
persons competence under each
performance criteria, a prescribed number
of elements are required to be
demonstrated/answered under that
criteria. The applicant must achieve the
minimum specified number or more, of
the performance elements to achieve
competence for those criteria. To record
the applicants competence for the
criteria a tick must be placed in the star.
10. Where an applicant is assessed as not yet
competent he/she must be informed of
the reason(s) in order to gain further
appropriate training.
11. The full performance assessment can take
up to 1 hour.
12. The general assessment requirements are
set out in Assessor guidelines general.
13. Competence is achieved for a unit when
the required number of elements for that
unit have been correctly performed and
ticked.
14. Overall competence is achieved when
competence in all units has been
achieved.
15. Where a performance element cannot be
performed the assessor can simulate or
ask a question. The response must be
recorded.

Excavator Guidelines Specific (Performance)

August 2000

2. Visual check of
structure/attachment for defects
(at least 9 elements checked)

UNIT 1: CONDUCTS ROUTINE

CHECKS.
Performance Criteria 1.1.1 and 1.1.2
1. Conduct routine checks on
excavator (at least 13 elements
checked)

!
!
!

Complete walk around

machine
Underneath machine for any
water or oil leaks
Track condition and tension

Attachments for condition and

security

Damaged or broken parts

Quick hitch attachment/safety

device lock

Falling objects protective structure

(FOPS)
Roll-over protective structure
(ROPS)

Tyre condition and pressure

Fuel

Loose nuts, bolts and couplings

Oil level in slew gear box

Bucket for damage

Hydraulic oil level

Bucket for missing, worn or loose

teeth

Vent hydraulic tank (release

pressure)

Worn skid plates/cutting edge

Transmission oil

Hoses, fittings hydraulic rams for

oil leaks

Engine oil

Connections for missing pins or

keeper plates

Brake fluid

Grease fittings and grease pins

Power steering

Battery security, water level and

cleanliness

Coolant

Approved lifting lug

Air tank drained

Wire slings

Air pre-cleaner

Chain slings

Air filter indicator

Synthetic slings

Shackles

Load Chart

Other lifting gear

Excavator Performance

3. Checks other equipment for

defects (at least 4 elements
checked)

August 2000

PLAN WORK AND CHECK

EQUIPMENT

6. Fits appropriate equipment for

the task (at least 3 elements
performed)

Performance Criteria 1.2.1, 1.2.3 and 1.2.5

Suitable tool used

Changes bucket

Secures catches

Power lines

Correct procedure adopted

Trees

Works safely

Overhead service lines

Bridges

Surrounding buildings

Obstructions

Other equipment in area

Personnel in area

Dangerous materials

Underground services

Recently filled trenches

4. Inspects site and plans work:

All hazards are identified where
applicable (at least 8 hazards
identified)

Performance Criteria 1.3.1

5. Appropriate safe access and path

of Load movement is shown (at
least 2 indicated)

7. Conducts pre-operational startup checks in accordance with

manufacturers specifications/
operating manual - (at least 11
checks made)

Window clean

Mounts correctly

Adjusts seat

Fastens seat belt

Transmission in neutral

Park brake on

Engine start

To the work area

Warning device

For the loads been moved

Gauges

Traffic control considered

Warm up allowed

Rotating hazard light

Attachment movement

Excavator Performance

August 2000

Clear for travel

Smoothly operates controls

Foot brake moving forward &

reverse

Completes task in logical sequence

Parking brake moving forward &

reverse

Crowds bucket to fill

Picks up material

Steering

Competently shifts material

Equipment operated at a safe speed

Ensures direction of slew is clear

Cuts trench to specifications

Demonstrates excavation around a

pipe

Deposits material the required

distance from excavation

UNIT 2 SHIFT LOAD

Performance Criteria 2.1.1 and 2.1.3
8.

Drives to the work area:

(at least 4 elements performed)

Selects correct controls

Raises attachments smoothly

Ensures travel direction clear of

personnel and obstacles

Selects appropriate route

Minimises spillage and ground

damage

Travels at safe speed

Ensures direction of travel clear

Carries bucket at safe travelling

height and crowded back

Uses appropriate path of travel

Has the truck positioned for easy

loading

Approaches truck (or trench)

correctly

Smoothly raises and dumps load

Repositions bucket ready for reload

Maintains stockpile and working

surface

Moves load safely

Lowers load to designated location

Performance Criteria 2.1.1, 2.1.3, 2.1.4,

2.1.5, 2.1.6
9. Operates Excavator:
Sets up excavator and excavates
(at least 20 elements performed)

Applies brake

Ensures turntable is reasonably

level

Checks control movements

Personnel & plant clear of operating

radius

Excavator Performance

August 2000

Loads placed to ensure stability

Neutralises controls

Loads placed to avoid causing

hazard

Applies parking brake

Idles down, shuts down, locks

ignition

10. Identifies the following signals

(responds correctly to all signals)

Stop hand

Moves controls to release pressure

Boom up hand

Applies safety lock

Boom down hand

Dismounts correctly

Slew right hand

Removes keys

Slew left hand

Travel / traverse

11. Consolidates and levels surface

(demonstrates at least 3 elements)

Consolidates fill with excavator

Levels surface with bucket blade

Excess fill for natural compaction

Maintains level surface to work

from

UNIT 3: SHUT DOWN EQUIPMENT

AND SECURE SITE
Performance Criteria 3.1.1, 3.1.2 and 3.2.1
12. Shuts down equipment and
secures site: (demonstrated at
least 7 elements)

Parks equipment in a suitable

location away from danger areas

Attachments lowered to ground

Cutting edge of bucket on ground

Excavator Performance

August 2000

National Guidelines for OHS Competency Standards

Loadshifting Equipment

Excavator

Part 2
Oral/Written Assessment

AUGUST 2000

2.1.1. (select 2) which are both stars.

ASSESSOR GUIDELINES
SPECIFIC (Oral/Written)
ASSESSMENT INSTRUMENT
SPECIFICATIONS

2.1.2. (select 13) including 1 star

Note: 2.1.2 is divided into 6
headings. Each heading
prescribes the number of
questions to be selected.

The oral/written assessment covers the

following Loadshifting elements
1.1, 1.2, 1.3, 2.1, 3.1 & 3.2

1. Oral/Written assessment for Excavator is

divided into three units and eighteen
sections (performance criteria 1.1.1, 1.1.2,
etc).
2. To satisfy the requirements for
competency the applicant must correctly
answer (either in writing or orally) all
critical questions as indicated by a star
and a minimum of 75% of the non-critical
questions from each unit.
Assessor note: The assessment summary
specifies the appropriate number of noncritical questions to be achieved.
Unit 1.0
1.1. Conduct routine checks
1.1.1. (select 12) including 4 stars
1.1.2. (select 2) including 1 star
1.2. Plan work
1.2.1.
1.2.2.
1.2.3.
1.2.4.
1.2.5.

(select 9) including 4 star

(select 7) including 3 star
(select 2)
(select 1)
(select 3) including 1 star

1.3. Check controls and equipment

1.3.1. (select 9) including 2 stars
1.3.2. (select 1) which is a star
Unit 2.0
2.1. Shift load

Excavator Oral/written

2.1.3.
2.1.5.
2.1.6.
2.1.7.

(select 12) including 6 stars

(select 4)
(select 1) which is a star
(select 4) including 2 stars

Unit 3.0
3.1. Shut down equipment
3.1.1. (select 3)
3.1.3. (select 1)
3.2. Secure site
3.2.1. (select 2)
3. Prior learning and experience
An applicant, who holds a front-end
loader/backhoe, front-end loader, frontend load of the skid-steer loader, dragline
or dozer certificate and who answers
questions for performance criteria 1.1.1.
and 2.1.2 satisfactorily, are not required to
complete the rest of the assessment.
4. The full oral / written assessment of
eighty-eight questions can take up to 2
hours to complete.
5. The items marked with a star are of
critical importance. Failing to get any of
these correct means that competency has
not been achieved.
6. Competence is achieved for a unit when
the required number of questions for that
unit have been correctly answered and
ticked.
Overall competence is achieved when
competence in all units has been achieved.
August 2000

11

6. How would you know when the

machine that you are operating
should be serviced?

UNIT 1: CONDUCT ROUTINE

CHECKS.
Performance criteria 1.1.1 (select 12
including 4 with a star)
1. What precautions must be taken
when inspecting under a raised
attachment?

2. Name three defects to look for

when inspecting the hydraulic
system.

7. Why are you not permitted to join a

chain sling with a bolt?

8. What percentage of broken wires

within a rope lay or eight diameters
of a wire rope sling would cause it
to be discarded?

4. What % wear in a shackle would

cause it to be discarded?

9. List six defects that would

condemn a flexible steel wire rope
(FSWR) from safe use?

5. What action should you take with

tracks that are loose?

10. List six defects that would

condemn a lifting chain and hook
from safe use?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

Excavator Oral/written

____________________________
____________________________
____________________________
______________________________

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
______________________________

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
3. When should slings be inspected?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

August 2000

12

11. What must you do if the SWL tag is

missing from the chain sling?

16. What checks would you conduct on

the tracks of an excavator?

____________________________
____________________________
____________________________
______________________________
12. How do you fill machine tyres with
water ballast?

____________________________
____________________________
____________________________
______________________________

17. How would you check the tension

on the tracks of an excavator?

____________________________
____________________________
____________________________
____________________________
13. What defects would you look for
when carrying out the external
check on the bucket of an
excavator?

!
18. What is the minimum and the
maximum track sag allowable?

____________________________
____________________________
____________________________
____________________________

Excavator Oral/written

____________________________
____________________________
____________________________
____________________________

19. How would you find out the correct

track sag or tension for a specific
machine?

____________________________
____________________________
____________________________
____________________________
15. When would you check the
excavator transmission fluid?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
14. What defects would you look for on
the hydraulic rams and hydraulic
pressure hoses?

____________________________
____________________________
____________________________
____________________________

20. What effect would a hydraulic leak

in the quick hitch line have on the
security of the bucket on an
excavator?

____________________________
____________________________
____________________________
____________________________

August 2000

13

21. What would you look for on an

attachment to ensure it will not fall
off?

26. If a single wire in a sling was

broken could you use the sling?
Explain your answer.

____________________________
____________________________
____________________________
____________________________
22. What action would you take if
during the routine check you found
excessive wear in the power arms
and connections that made the
excavator dangerous to operate?

____________________________
____________________________
____________________________
____________________________

PLAN WORK
Performance criteria 1.2.1 (select 9
including 4 with a star)
27. What underground services would
you check for before starting to
excavate?

____________________________
____________________________
____________________________
____________________________
23. What would you do if a strand were
broken in a flexible steel wire
sling?

28. Who should be contacted in order

to find out the location of
underground services?

____________________________
____________________________
____________________________
____________________________

Performance criteria 1.1.2 (select 2

including 1 with a star)

29. Name six hazards that must be

checked on the work site before
operating the excavator?

____________________________
____________________________
____________________________
____________________________
25. What must be provided on an
excavator before it is used as a
crane?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

24. What must be done to a lowered

bucket before travelling on a road?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
Excavator Oral/written

August 2000

14

30. What is the minimum distance any

part of the excavator is allowed to
operate from:

34. Name five (5) site hazard checks

that you would make of the work
area?

a) Distribution powerlines
b) High voltage transmission
lines

____________________________
____________________________
____________________________
____________________________

NOTE: Assessors must ensure

that the applicant is aware of State
Authority regulations.

35. What is the danger of starting and

running an internal combustion
engine in an enclosed space?

____________________________
____________________________
____________________________
____________________________
31. What precautions should you take
when cutting a trench across a
footpath?

!
36. What action must be taken before
starting up and whilst operating an
internal combustion engine in an
enclosed space?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

37. What must be provided and

maintained on the exhaust of an
internal combustion engine when
operated in a confined space?

____________________________
____________________________
____________________________
____________________________
33. What precautions would you take if
a person were in a trench while you
are lowering pipes into the trench?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
32. If using an excavator to lay pipes in
a trench, what precautions should
be taken?

____________________________
____________________________
____________________________
____________________________

38. Why is it important to keep the

floor plates free from oil, grease
and tools?

____________________________
____________________________
____________________________
____________________________

Excavator Oral/written

August 2000

15

Performance criteria 1.2.2 (select 7

including 3 with a star)
39. What must be provided to prevent a
person falling into a trench?

44. What is the minimum type of

footwear that an operator should
wear to operate loadshifting
equipment?
____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
40. When should hearing protection
(ear muffs) be worn?

45. Under what conditions can a

passenger ride on a machine with
the operator?

____________________________
____________________________
____________________________
____________________________
41. When a danger exists on a site what
should be posted or erected to warn
people of the danger?

46. How do you calculate the cubic

capacity of the bucket of an
excavator?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
43. When would you be required to
shore an excavation?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
42. When should an operator wear a
safety helmet?

47. What are two conditions that would

result in a trench shield or shoring
been used?

____________________________
____________________________
____________________________
____________________________

48. You have to cut an excavation

deeper than 1.5m. The workers
have to enter this excavation and
there is a likelihood that the walls
may collapse. Using the excavator
what could you do to make the
excavation safe to enter?

____________________________
____________________________
____________________________
____________________________
Excavator Oral/written

August 2000

16

49. You have to load a truck with large

boulders using your excavator. You
are on the same level as the truck.
What are the dangers?

53. To travel down or up a steep incline

would you change gears on the
incline or select the appropriate
gear before travelling on the
incline?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

Performance criteria 1.2.3 (select 2)

Performance criteria 1.2.4 (select 1)
50. When travelling on a sloping
surface which is the safest route of
travel?

____________________________
____________________________
____________________________
____________________________
51. What gear should be selected to
travel down a steep sloping
surface?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

55. What must you obtain before

digging up a footpath with an
excavator?

____________________________
____________________________
____________________________
____________________________
52. What hazards would you check for
on a travel route before moving the
excavator to perform work?

54. What documentation would you be

required to obtain from an
authorised person to operate an
excavator in a hazardous working
area?

____________________________
____________________________
____________________________
____________________________

Performance criteria 1.2.5 (select 3

including 1 with a star)
56. What attachment would you fit to
an excavator to break up reinforced
concrete?

____________________________
____________________________
____________________________
____________________________

Excavator Oral/written

August 2000

17

57. When an excavator is used in a

demolition process what must be
provided on the machine to protect
the operator?

Performance criteria 1.3.1 (select 9

including 2 with a star)
61. What action would you take if you
noticed a bulge form in one of the
machines hydraulic hoses?

____________________________
____________________________
____________________________
____________________________
58. Name four types of attachments
that may be used on an excavator?

62. When should the operator carry out

tests, checks and inspections on the
excavator that is to be operated?

60. How do you select the appropriate

bucket to perform the excavation
work?
____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

63. Describe how you would safely

mount/dismount an excavator.

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
59. On a construction site who would
you contact to confirm the job
requirements for the work to be
performed with the excavator?

CHECK CONTROLS AND

EQUIPMENT:

____________________________
____________________________
____________________________
____________________________

64. Where can the start up/shut down

procedures for each excavator be
found?

____________________________
____________________________
____________________________
____________________________
65. Before performing the work with
an excavator, what should you do if
you have not used the machine
before?

____________________________
____________________________
____________________________
____________________________
Excavator Oral/written

August 2000

18

66. On mounting the excavator what

should you do before attempting to
start the engine?

71. Your excavator has run out of

diesel, you refill the tank but the
motor will not start. What could be
the possible cause?

____________________________
____________________________
____________________________
____________________________
67. Once sitting in the operators seat
and before driving off, what should
you do for safety and comfort?

____________________________
____________________________
____________________________
____________________________

UNIT 2 - SHIFT LOAD:

Performance criteria 2.1.1 (select 2) with a
star.

73. Why are you not allowed to hoist

persons with the bucket of an
excavator?

74. Why are you not allowed to attach

slings to the teeth of the bucket?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

Excavator Oral/written

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
70. Before reversing an excavator,
what action should you take?

____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
69. Before moving off what should be
done with grounded attachments?

Performance criteria 1.3.2 (select 1) with a

star.
72. What action would you take with
damage and defects found on the
machine?

____________________________
____________________________
____________________________
____________________________
68. What should be referred to for the
correct start up and shut down
procedure for the equipment?

August 2000

19

Performance criteria 2.1.2 (select 2

including 1 with a star)
75. You are required to operate an
excavator on soft and uneven
ground. What effect would this
have on the load you could raise
and carry with the excavator?

Weight of materials (select 2)

80. List two ways that you would

assess the weight of a load to be
hoisted?

____________________________
____________________________
____________________________
____________________________

81. What is the approximate weight of

cubic metre of concrete?

____________________________
____________________________
____________________________
____________________________

Excavator Oral/written

____________________________
____________________________
____________________________
____________________________
82. Of topsoil or clay which is harder
to excavate, push and spread?

____________________________
____________________________
____________________________
____________________________

Load Charts (Select 1)

78. From excavator load chart
Appendix A what is the SWL to
be hoisted over the side at a radius
of 3.0 metre and at a hook height of
3.0 metres?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
77. What must be provided on an
excavator to attach slings so that
the excavator may be used as a
crane?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
76. How would you establish the load
that can be safely lifted by an
excavator?

79. From excavator load chart

Appendix A what is the SWL to
be hoisted over the side at a radius
of 6.1 metre and at a hook height of
(minus) 3.0 metres?

Load factors (select 2)

83. What effect does a choker hitch
around a square load have on the
SWL for the sling?

____________________________
____________________________
____________________________
____________________________

August 2000

20

84. A four legged bridle sling

arrangement is attached to a rigid
load. How many and which sling
legs would be assumed to support
the load?
____________________________
____________________________
____________________________
____________________________

89. State the formula for calculating the

WLL of grade 30 to grade 75 lifting
chain?

____________________________
____________________________
____________________________
____________________________
SWL of slings (select 4)

85. What effect does a choker hitch

around a round load have on the
SWL for a wire rope sling?

90. What is the SWL of a 12mm

diameter wire rope sling?
____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
Rule of thumb formula (select 2)
86. State the rule of thumb formula to
calculate the SWL of wire rope.

91. What is the diameter of a single leg

wire rope sling that is required to
hoist a 2048 kg load?

92. What is the SWL of a flexible steel

wire rope (FSWR) 16mm in
diameter?

93. When a sling is reeved around a

square load how is the WLL/SWL
altered?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

Excavator Oral/written

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
88. State the rule of thumb formula to
calculate the SWL of a grade 80
lifting chain?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
87. State the rule of thumb formula to
calculate the diameter of the wire
rope sling required to lift a
specified load?

August 2000

21

94. What is the SWL of an 8mm

diameter flexible steel wire rope
(FSWR)?

98. Is it permissible for loads to be

slewed over the cabin of the truck
been loaded? Explain your
answer.

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

For variation of question 94 use:

5.5mm
10mm
18mm
95. What is the SWL of a 12mm mild
steel chain?

99. List three precautions that must be

considered when dumping
material into a truck using an
excavator?

100. What action should be taken if

you discover a large rock in the
side of a trench that you are
digging?

For variation of question 96 use:

8mm grade 80
10mm grade 30
13mm grade 80

101. How far must people be kept

away from the excavator when it
is digging?

Excavator Oral/written

____________________________
____________________________
____________________________
____________________________

Performance criteria 2.1.3 (select 12

including 6 with a star)

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

97. What is the danger of slewing with

a load when the turntable is not
level?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
96. What is the SWL of a 7.1mm
diameter 80-grade chain?

102. Name two methods that should

be used to prevent a cave in of a
trench or excavation?

____________________________
____________________________
____________________________
____________________________

August 2000

22

103. What would be the indications

that you are excavating quiet
close to an underground
service?

108. When loading trucks using an

excavator, where should the
truck driver and other
observers be?

__________________________
__________________________
__________________________
__________________________
104. While excavating you suspect
there could be an underground
service in the area of the
excavation, what action would
you take?

___________________________
___________________________
___________________________
___________________________

110. How are vehicles/machines

stopped from coming too close
to an excavation?

111. What are the dangers of

driving your excavator close to
the edge of an excavation?

___________________________
___________________________
___________________________
___________________________

__________________________
__________________________
__________________________
__________________________
107. Before reversing a machine
what precaution should be
taken?

___________________________
___________________________
___________________________
___________________________

__________________________
__________________________
__________________________
__________________________
106. The load you are going to lift is
likely to swing, how would
you prevent this from
happening?

109. What is the minimum diameter

size tag line that can be used to
control loads?
___________________________
___________________________
___________________________
___________________________

__________________________
__________________________
__________________________
__________________________
105. How high must the bucket be
kept above the ground when
driving forward?

__________________________
__________________________
__________________________
__________________________

Excavator Oral/written

August 2000

23

Performance criteria 2.1.5 (select 4)

112. Interpret the following Signal

113. Interpret the following Signal

114. Interpret the following Signal

115. Interpret the following Signal

Excavator Oral/written

116. Interpret the following Signal

117. Interpret the following Signal

118. Interpret the following Signal

119. Interpret the following Signal

August 2000

24

Performance criteria 2.1.6 (Select 1) with a

star.
120. How far away from an excavation
must material be dumped?

124. The excavator you are operating

overheats and needs to be checked
for coolant level. What precautions
would you take prior to removing
the radiator cap and topping up the
coolant?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

Performance criteria 2.1.7 (select 4 including

2 with a star)
121. How would you dismount a
machine that contacted live power
lines, which could not be released,
or the power turned off?

____________________________
____________________________
____________________________
____________________________
122. If the slings shifted on a load been
hoisted, what action would you
take?

125. If you are operating an excavator

and it makes contact with
powerlines what should you do?

____________________________
____________________________
____________________________
____________________________

UNIT 3 - SHUT DOWN

EQUIPMENT

Performance criteria 3.1.1 (select 3)

126. Name three areas where you would
not park the excavator.

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________
123. If you accidentally damaged an
underground electrical cable, whom
would you immediately contact to
render the power supply safe?

127. When leaving the excavator what

should be done with all
hydraulically raised attachments?

____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

128. What type of surface is the ideal

type to park an excavator on?

____________________________
____________________________
____________________________
____________________________
Excavator Oral/written

August 2000

25

129. What is the danger of parking near

an excavation?

134. Before leaving the site what must

be provided to restrict access to the
site?

____________________________
____________________________
____________________________
____________________________
130. Describe the correct way to park an
excavator.

____________________________
____________________________
____________________________
____________________________

135. List eight things that must be done

when parking the machine?

____________________________
____________________________
____________________________
____________________________
Performance criteria 3.1.3 (select 1)
131. What post-operational checks of an
excavator should the operator carry
out?

____________________________
____________________________
____________________________
____________________________
____________________________
____________________________
____________________________
____________________________
____________________________

____________________________
____________________________
____________________________
____________________________

SECURE SITE:
Performance criteria 3.2.1 (select 2)
132. What shall be provided when an
excavator has to be parked on or
protrudes on to an access way?

____________________________
____________________________
____________________________
____________________________
133. For what reason should the key be
removed from ignition of the
machine?

____________________________
____________________________
____________________________
____________________________

Excavator Oral/written

August 2000

26

APPENDIX A
Load Chart for Excavator Stationary on firm level ground
EXCAVATOR LOAD CHART
22 Tonne Excavator fitted with a 3.05m long arm, 1m bucket and 600mm shoes
Radius

Max reach

7.6m

6.1m

Hook height

Front

Side

Front

Side

6.1m

*3100

*3100

*3450

*3250

4.6m

*3150

2650

*3950

3.0m

*3300

2400

1.5m

3550

0m

4.6m

Front

Side

3250

*4100

*4100

*4450

3050

*5050

2300

4550

2950

3600

2300

4450

-1.5m

3900

2500

4350

-3.0m

4654

2950

-4.6m

6650

4250

3.0m

Front

Side

Front

Side

4500

*6450

*6450

*10750

*10750

*6050

4200

*8300

*6450

*5450

*5450

2850

6200

400

*9650

6050

*6900

*6900

2750

6100

3850

*9650

5900

*10200

*10200

6100

3900

9650

6000

*14900

12300

9200

6100

*13800

12700

The ratings are based on 75% of tipping load, stationary on firm level ground as per AS 1418.5
* The ratings do not exceed 87% of hydraulic lifting capacity or 75% of tipping load.
For pick and carry loads on firm level ground the load shall not be greater than 66.7% of tipping load as per AS 1418.5 or 88.9% of the SWL.
Where ground is sloping, rough or not firm, the load must be dramatically reduced.

Excavator Load Chart

August 2000

27

ANSWERS TO ORAL/WRITTEN
QUESTIONS

10.
!
!
!

UNIT 1: CONDUCT ROUTINE CHECKS.

Performance criteria 1.1.

!

1.

Chocks, Blocks or safety bars must be

used to prevent the raised bucket from
falling.

!
!
!
!

2.
!
!
!
!
!

3.

Oil leaks
Loose connections
Splits
Fractures or bulges in hoses
Bent piston rods

11. Check for grade marking and calculate

WLL, on completion of use, return it to
the manufacturer for SWL tagging

Prior to and after their use. (AS1666.1)

4. 10% wear.
5. Have the track tension adjusted.

7. Because the bolt is not an approved

joining method and it does not have a
load rating.
8. 10%
9.

!
!
!
!
!
!
!
!
!
!

One broken wire immediately above

or below a terminal or end fitting.
Core collapse
Corrosion
Kinks
Crushed
Birdcaging
Damaged splices
10% of broken wires in 8 diameter of
rope
Stretched
Affected by heat
Knotted

Excavator Oral/Written - Answers

12. Wheel jacked up with the valve at the top

of the wheel, fill with water to
manufacturers specifications, add antifreeze if required and then add air
pressure.
13. Worn or missing teeth or a worn cutting
edge and other damage to the actual
bucket and bucket pivot pins.

6. By the hour meter, manufacturers

recommendation and log book.

Cracks in links
Over 10% wear
Over 10% elongation
Over 5% wear or stretch in throat of
hook
Over 10% wear in bite hook
Twisted or damaged links
No SWL tag
Rusted
Chain or hook affected by heat
Spot welded links

14. Leaks from seals, spilt or fractured hoses,

and bent or damaged rams.
15. When the transmission is cold or after the
transmission is hot and as per the
manufacturers specifications.
16. Check for any visual damage to the track
and the track tension
17. By placing a straight edge on the track
from the roller to the driver wheel and
measuring the distance from the straight
edge to the track.
18. Not less than 2.5cm or more than 3.8cm.
19. From the manufacturers manual

August 2000

28

20. The leak would cause a reduction in the

pressure of the hydraulic line which could
cause the quick hitch to release the bucket
attachment, particularly when the engine
was stopped
21. That the safety pins and keeper plates
are in place.

!
!

Underground services (gas, electricity,

sewerage, water, communication
lines)
Personnel
Ground conditions / recently filled
trenches

30.
at least 2 metres from domestic
powerlines
! at least 6 metres from high voltage
transmission lines
NOTE: Assessors must ensure that the
applicant is aware of Statutory
Authority regulations
!

22. Inform supervisor/authorised person,

tag equipment and refrain from
operating the excavator until repairs
have been carried out.
23. It must never be used and it should be
discarded.
31.
Performance criteria 1.1.2

24. Raise the bucket and secure it. Carry the

bucket as per manufacturers guide.

25. A manufacturers approved lifting lug

with SWL marked on the machine.

Obtain information from relevant

authorities who may run services
under the footpath
Excavate towards any underground
services, slowly
Provide appropriate barricades and
signs

26. Yes. You can use the wire rope sling

provided that the one wire is not broken
immediately below or above a terminal or
end fitting then it cannot be used.

32. An approved lifting lug must be used and

the SWL must be marked on the machine.
Persons are to be cleared from the trench
where the pipe is to be layed.

PLAN WORK:

33. Ensure the person is not under the load

been lowered and is standing well clear
of either end of the pipe, make sure
you are lowering the pipes in a location
where the trench will not cave in.

Performance criteria 1.2.1

27. Check for power, telephone, gas, water,
sewer, drainage, and fibre optic cable
lines.

34.
!

28. The site supervisor who will contact the

supply authorities for council maps of the
site.

!
!
!
!

29.

!
!
!
!
!
!
!
!
!

Powerlines
Trees
Overhead service lines
Bridges
Surrounding buildings and structures
Obstructions
Other equipment
Dangerous materials

Excavator Oral/Written - Answers

August 2000

!
!
!
!

Hidden holes
Drop offs
Embankment
Over head obstructions
Underground services
Overhead power lines
Telephone lines
Other obstructions that could be
dangerous
Personnel
Plant & Equipment

29

35. Exhaust fumes from the internal

combustion engine in an enclosed space
can kill.

Performance criteria 1.2.3

36. The enclosed space must be adequately

ventilated.

51. The lowest possible gear

50. Directly up or down a sloping surface.

52.
37. An approved exhaust control unit,
catalytic converter (scrubber).

!
!
!

38.

!
!

To prevent the foot plates from

becoming slippery and causing
operator to slip when mounting or
dismounting
To prevent the tools from fouling
controls

!
!
!
!
!
!

Hidden holes
Drop offs
Embankments
Overhead obstructions
Underground services
Overhead power lines
Telephone lines
Other obstructions that could be
dangerous
Personnel
Plant & equipment

39. Barricades, guardrails or fencing.

Performance criteria 1.2.4
40. When the noise level could contribute to
the loss of hearing. (eg; above 85 dba)

53. Select the appropriate gear before

travelling on the incline.

41. Warning signs barricades, guardrails or

fencing.

54. The required hazardous work permits.

42. Where there is a possibility that the

operator could be struck on the head.

55. A permit from the relevant local

government authority.

43. When the excavation is greater than

1.5 metres in depth.

Performance criteria 1.2.5

56. Hydraulic hammer attachment.

44. Footwear that encloses the foot and has a

non-slip sole.
45. Only if a special seat and seatbelt has
been provided within the confines of the
machine for a passenger.

57. A falling object protective structure.

(FOPS)
58.
!
!

46.

LxWxHt
2
47. A trench into which a person is to enter
which is1.5 metres or more in depth &
where the soil is unstable or backfilled.

48. Bench, batter sides, drop in trench shields

!
!
!
!

49. As you raise the bucket the boulders

could tip out of the bucket onto the truck

Excavator Oral/Written - Answers

59.

August 2000

Excavating bucket
Rock bucket
Hydraulic hammer
Magnet attachment
Trench bucket
Mower attachment
Approved lifting lug for slinging
loads
Log grapple
Blade grader

The person in charge on the site or other

person authorised to confirm job
requirements
30

60.
!
!

Type of material to be excavated

Size of the excavation or trench to be
considered

Performance criteria 1.3.

72. Tag the machine, put it out of service
and report the damage and defects to
the authorised person.

CHECK CONTROLS AND

EQUIPMENT:

UNIT 2: SHIFT LOAD:

Performance Criteria 1.3.1

Performance criteria 2.1.1

61.

Stop operating, tag the machine and

make sure the hose is replaced before
the machine is used.

73.

The manufacturer did not design the

machine to hoist persons and it is
against all safe operating procedures.

62.

Daily before use.

74.

63.

Facing the machine use the grab-rail

or handrail and steps to mount
/dismount the machine (Three points
of contact).

64.

In the manufacturers manual.

You may break off the teeth and/or

the sling could slip off the teeth and
cause the load to fall, which may
injure or kill someone or damage the
load. It is against regulations to sling
loads using an excavator without the
appropriately approved lifting
connection fitted.

65.

Read the operators manual to familiarise

yourself with the machine (e.g. controls
and decal information).

66.
67.

Make sure controls are in neutral or

park and park brake is on.
Adjust seat until comfortable, adjust
mirror (if applicable) and secure safety
belt.

Performance criteria 2.1.2

75.

It would reduce the weight of the load

that could be safely carried.

76.

By the load chart on the excavator.

77.

A specially designed and approved

lifting lug.

Load charts
68.

69.
70.

Always refer to the manufacturers

operation manual for the correct
procedure.
Attachments should be raised to the
correct travelling height or stowed.

78.

10750 kg

79.

3900 kg

Weight of materials

Look back over both shoulders to ensure

the path of travel is clear. Sound horn
twice before moving unless there is a
reversing/motion alarm fitted.

80.
!
!
!
!

71.

Air in the fuel system and the fuel

system needs bleeding.

Excavator Oral/Written - Answers

By calculating the weight

Delivery dockets
Weighbridge certificate
Weight marked on the item

81.

2.4 tonnes

82.

Clay

August 2000

31

Options
2048kg
900kg
5408kg

Load factors
83.

Reduces the SWL/WLL by 50%

84.

Two opposite diagonal slings must be

capable of supporting the load.

85.

Reduces the SWL/WLL by 25% or to

75% of SWL/WLL

Performance criteria 2.1.3

97.

The machine could overturn.

98.

No. The driver of the truck may be in

the cabin and in the event of an accident
the bucket could strike the cabin, or load
could be dropped on the cabin.

Rule of thumb formula

86.

Diameter in mm squared x 8 = SWL in

kg.

99.
!

87.

Square root of load in kg/8 = Diameter

in mm

88.

Diameter in mm squared x 32 = SWL in

kg or Diameter in mm squared x 0.4 x
grade = SWL in kg

89.

Diameter in mm squared x 0.3 x grade

of chain = SWL in kg

!
!

The truck must be correctly

positioned.
No load must pass over the cabin of
the truck
A layer of soil must be laid first to
take the impact if large rocks are to be
loaded
The loaded bucket must be within the
SWL of the machine.

100. The rock should be removed.

SWL of slings
101. The operating radius of the machine.
90.

12 x 12 x 8 = 1152kg.

91.

Square root of (2048/8) = 16mm.

92.

16 x 16 x 8 =2048 kg.

93.

Reduces SWL/WLL by 50%

94.

8 x 8 x 8 = 512 kg.

102. Shoring, battering, benching or trench

shields.
103. Observe the spoil, the appearance of the
following foreign materials is an
indication that the area has been
previously excavated:
Crushed blue metal
Plastic tape
! Clean sand
! Sand bags
! Broken tiles
! Moisture
Any other unusual material
!

Options

242kg
800kg
2592kg
95.
96.

12 x 12 x 30 x 0.3 = 1296kg.
7.1 x 7.1 x 32 = 1613.12 kg.

104. Stop operating immediately and hand

dig to investigate further and check
relevant statutory authority maps and
plans.
105. Only high enough to provide ground
clearance at all times.

Excavator Oral/Written - Answers

August 2000

32

122. Carefully lower the load to the ground

and have the slings re-positioned and
secured.

106. Attach tag lines to the load.

107. Look back over both shoulders to
ensure the path of travel is clear.
Sound horn twice before moving
unless there is a reversing/motion
alarm fitted.

123. Supervisor who would contact the

electrical supply authority.

108. All persons must be in view of the

operator and at a safe distance from the
loading operation.

124. Allow the machine to cool down, use a

cloth to protect from hot water burns
and remove the radiator cap slowly.
125.

109. Not less then 16mm diameter

110. By using barricades and warning

signs.
111. The excavation could collapse causing
the excavator to over turn or to fall
into the excavation.

Performance criteria 2.1.5

112. Stop.
113. Boom down.

114. Boom up.

115. Slew right.

Stay calm, remain in seat, warn

others to keep away, try to break
contact by lowering bucket (if
possible), try and get someone to
switch off the power
If it is unsafe to remain on the
machine jump well clear of the
machine, dont make contact with
the ground and the machine at the
same time. If you have made
contact with underground power
cables, be aware the area around
the machine could be electrified.
Remain a safe distance from the
machine and warn others to keep
clear. Have someone notify the site
manager/supervisor who should
report immediately to the
appropriate authority.

116. Slew left.

UNIT 3: SHUT DOWN EQUIPMENT:
117. Retract boom.
Performance criteria 3.1.1
118. Extend boom
126.

Access ways, near overhangs,

refuelling sites, tidal or flood areas,
adjacent to an excavation.

127.

Attachments should be lowered with

the cutting edge flat on ground and
pressure removed from hydraulic
lines.

Performance criteria 2.1.7

128.

A firm level surface.

121. Jump well clear of machine ensuring

contact with the ground and machine
is not at the same time.

129.

The weight of the excavator could

cause the excavation to cave in,
particularly if the ground is effected
by rain.

119. Travel and Traverse

Performance criteria 2.1.6
120. Not closer than 1 metre with material
coming to rest no closer than 0.5
metres from the excavation.

Excavator Oral/Written - Answers

August 2000

33

130.

Park on level ground, apply park brake

or place in park, lower bucket to
ground with cutting blade resting on
the ground, turn off machine.

Performance criteria 3.1.3

131.

Check the machine and equipment for

defects and wear. Check the oil, fuel
and water levels.

SECURE SITE:
Performance criteria 3.2.1
132.

Barricades, lights and signs.

133.

To prevent unauthorised movement.

134.

Barricades or fences.

135.
! Parked away from access ways
! overhangs
! fuelling site
! Parked away from excavations and
trenches
! Parked clear of fire hazard
! Parked clear of entrances, exits
! Parked away from firefighting and
electrical equipment
! Parked on firm level ground or if on an
incline facing up the slope
! Lower bucket with cutting edge on ground
! Engine stopped in accordance with
manufacturers operation manual (idle
engine before turning off)
! Secure parking brake or leave in park
position
! Remove keys

Excavator Oral/Written - Answers

August 2000

34

EXCAVATOR ASSESSMENT SUMMARY

ORAL/WRITTEN ASSESSMENT
Operatio
nal Area
UNIT

Number of
critical criteria
required

Number of
critical
criteria
achieved

Number of
non-critical
criteria
required

16

21

12

18

Assessment start time:

am/pm

Number of noncritical criteria

achieved

Finish time:

Competent?
(tick)
YES
NO

am/pm

Oral/Written Assessment completed within time allowed approx 2 hours

PERFORMANCE ASSESSMENT
Operatio
nal Area
UNIT

Number of
criteria
required

Number of criteria achieved

Assessment start time:

am/pm

Assessment finish time:

am/pm

Competent?
(tick)
YES
NO

Performance Assessment completed within time allowed approx 1 hour

Applicant is:

COMPETENT

(tick or circle the result obtained)

NOT YET COMPETENT

Name of Assessor:

Name of Applicant:..

Signature:....

Signature

Date/. /.
Comments/Feedback (Assessor to make additional comments which clarify the assessment results)
---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

Excavator Assessment Summary

August 2000

35