SCC112 - Risk Assessment

RISK MANAGEMENT REPORT
TYPE Excavator - Large (20 Tonne +)
MAKE Case
MODEL CX380C
ENGINE NUMBER 6HK1981993
CHASSIS / VIN DCH380D6NNEFR1170
Report Number PAES 20240312-1608
Date 12-Mar-2024
Created By Alana Minter
Assessor Alana Minter
Assist. Assessor(s)
Completed By Alana Minter
Owner Earthmoving Equipment Australia
Customer Name Nesna Pty Limited
Assessment Purpose Sale
State NSW
TABLE OF CONTENTS
IMPORTANT INFORMATION
SECTION 1 Contains information outlining the scope and any limitations applicable to this Risk Management Report
MACHINE DETAILS
SECTION 2 Contains standard machine specifications and details of any extras fitted
RISK ANALYSIS, RISK EVALUATION & RISK TREATMENT

SECTION 3 Contains details of the technique used to calculate risk ratings, time frame and risk treatments. Please
refer to this information when reviewing and interpreting the information in section 4 & 5
RISK TREATMENTS REQUIRED
SECTION 4 Contains detailed information regarding the risk treatments to be implemented including hazard, risk
rating, time frame, relevant standards & legislative references
RISK TREATMENTS IN PLACE
SECTION 5 Contains detailed information regarding the risk treatments in place including hazard, risk rating, relevant
standards & legislative references
IMAGES AND NOTES

SECTION 6 Contains images & any relevant information entered by the assessor
Make Case Engine Number 6HK1981993

Model CX380C Assessed By Alana Minter Page 1 of 16
Type Excavator - Large (20 Tonne +) Date 12-Mar-2024
SECTION 1 IMPORTANT INFORMATION
This report generated by Plant Assessor™ © Online Safety Systems on Tuesday, 12 Mar 2024 4:17 PM
This Risk Management Report has been prepared for -
__________________________________________________________________
(insert recipient name/company name)
This document has been prepared to cover the sale or transfer of this item of plant between the Company identified on the
front cover and their named recipient. This report must not be used for any subsequent sale or transfer.
This document is provided to meet duty of care obligations as set out in relevant state and territory health and safety
regulations for the supply of plant and the sale and transfer of plant.
The safety hazards associated with the operating and maintaining of this item of plant have been identified as far as practical
by visual inspection. This item of plant is being sold in an "as-is" condition with known and unknown safety hazards. No
physical testing has been conducted (eg. Wire rope tests, stress tests, structural/non-destructive tests, noise tests, vibration
tests, brake tests, insulation tests etc.) unless stated otherwise in the notes.
This document is not intended to provide information on, nor warrant the mechanical, electrical or structural condition of this
item of plant. Any information on standard features have been supplied through the manufacturer and should be used as a
guide only until otherwise verified.
This item of plant should be further assessed, tested and inspected or dismantled as necessary to gauge any further hazards
and /or risks relating to SPECIFIC WORKPLACE USE, which are currently unknown, in accordance with relevant standards,
regulations and acts.
Under common law and relevant state and territory health and safety acts, regulations and codes of practice, there is a
requirement for the plant owner, employer and operator to exercise a duty of care in the safe operation and maintenance of
plant. Accordingly before this item of plant is supplied to, or used at any workplace it must be inspected to ensure it is in a
fully operational , safe and serviceable condition and that operators and maintenance personnel are appropriately trained in
the use & maintenance of this item of plant.
For further information regarding this report contact Online Safety Systems on 1300 72 88 52
SECTION 2 MACHINE DETAILS
1. Manufacturers specified noise level dBA

MACHINE DETAILS
2. Ambient noise level dBA

3. Noise level - Operator position (high idle) dBA
4. Noise level - Operator position (low idle) dBA
- NOISE TEST RESULTS 5. Noise level LHS dBA @ m (high idle)
6. Noise level Front dBA @ m (high idle)
7. Noise level RHS dBA @ m (high idle)
8. Noise level Rear dBA @ m (high idle)
Standard bucket capacity, SAE rated (m3)
BUCKET Standard bucket width (mm)
CAPACITIES Fuel Tank Capacity (Litres) 580

Dig depth to cut 2.44 m level bottom (mm)
Digging depth (mm) 7,340
Dump height (mm) 7,230
DIMENSIONS/WEIGHTS Ground clearance (mm) 470
Max depth of vertical wall (mm)
Maximum Reach Height (mm) 10,370
Operating weight (kg) 36,700

Tailswing radius (mm)
Transport Height (mm) 3,420
Transport Length (mm) 11,140
Width (mm) 3,200
Engine Displacement (Litres) 7.79
Engine Hours
Engine Make & Model Isuzu GH-6HK1X
ENGINE Engine Number
Engine Power (kW@rpm) 212 @ 2,000
Number of Cylinders 6
EXTRAS Spare spool for attachments? Yes/No

Quick Hitch Make
HITCH Quick Hitch Model
Quick Hitch Serial No.
Flow of main pumps (L/Min) 300
Hydraulic Oil Reservoir Capacity (Litres) 350
HYDRAULICS Pump Types Axial Piston
Relief valve pressure, main pumps (Bar) 374
Class
PLANT CLASSIFICATIONS Year
FOPS Compliance No.
FOPS Serial No.
SAFETY STRUCTURES ROPS Compliance No.
ROPS Serial No.
Track length on ground (mm) 4,980
TRACKS Track pad width (mm) 600
TRANSMISSION Speed (km/h) 0 - 5.4

Arm breakout (kgf) 25,289
Bucket breakout (kgf) 25,697
WORK CAPABILITIES Gradeability - Degrees/(%) 70
Reach @ ground level (mm) 11,170
Air Conditioning
Bucket - 1800mm
FOPS
Hitch - Quick
EXTRAS Auto grease system, GPS,
Other
2200mm Mud Bucket
Ripper
ROPS - Cabin

SECTION 3 RISK ANALYSIS / RISK EVALUATION

SECTION 4 RISK TREATMENTS REQUIRED
This section of the report pertains to hazards created by use of this item of plant which currently do not have risk treatments in
place. The risk treatments recommended in this section have been developed based on relevant Australian Standards, health &
safety legislation, the hierarchy of risk treatment in accordance with the guidelines set forth in AS/NZS ISO 31000 – Risk
Management and various other sources. The recommended risk treatment measures must be developed, implemented and
validated as effective prior to the operation, maintenance or testing of this item of plant. Treatments applied must be dated and
initialled adjacent the recommendations. All operators must read and understand the entire contents of this section prior to operating
this item of plant.
Prelim. Risk Residual Risk Time Date

HAZARD(S) Due Date Initial
Rating Rating Frame Rectified
OPERATION
INCORRECT OPERATION CRITICAL 24 MEDIUM 15 Immediate 12-Mar-24
Risk Treatment Required: Operator Competency

Only persons who are qualified, trained and experienced and/or hold the relevant certification/license can operate this item of plant. If there is not a
competent/licensed person available for operation of this item of plant then only persons who are supervised by a competent/licensed person can
operate this item of plant.
Legislation: State Health & Safety Legislation & Regulation

References: Work Health & Safety Act & Regulations- , Occupational Health & Safety Act & Regulations
SECTION 5 RISK TREATMENTS IN PLACE

This section of the report pertains to risk treatments currently in place on this item of plant. This section must be read in conjunction
with the safety section of the manufacturers handbook. All operators must read and understand the entire contents of this section
prior to operating this item of plant. These treatments or equivalent must remain in place at all times whilst this item of plant is in
operation.
HAZARD(S) Prelim. Risk Rating Residual Risk Rating

DELIVERY
CRUSHING HIGH 22 MEDIUM 15
Risk Treatments in Place: SWMS Loading/Unloading

Ensure that all operators follow approved SWMS/SOP when loading and unloading this machine to and from a flat top truck or trailer, low loader or
tilt tray.
Risk Treatments in Place: SWMS Load Restraint

Ensure that all operators follow the approved SWMS/SOP when restraining this machine for transport.
OPERATION
CRUSHING CRITICAL 24 MEDIUM 15
Risk Treatments in Place: Manual Hitch

This item of plant is fitted with a manual hitch that meets the following requirements -
1. Has a primary retention system and a secondary safety system fitted

2. The primary retention system must be engaged and disengaged at the hitch
3. The secondary safety system must be retained on the hitch so that it cannot be removed without the use of tools.
These requirements must be met at all times whilst this item of plant is in operation.
References: AS13031
Risk Treatments in Place: Quick Hitch Movement

This item of plant is fitted with a quick hitch which will not allow unintended movement of the attachment if the primary retention system fails.
References: AS13031

INCORRECT OPERATION HIGH 22 MEDIUM 15
Risk Treatments in Place: Operation Handbook

The manufacturer's operation handbook has been supplied for this item of plant.
This handbook must be available at all times to all potential operators and supervisory staff. All potential operators must read and be familiar with
this handbook prior to operating.
A complete risk assessment/Job Safety Analysis must be undertaken covering all operating processes and environments associated with this item of
plant. SWMS should be produced for specific tasks associated with use of this item of plant.
Risk Treatments in Place: Quick Hitch Operation Handbook

The manufacturer's operation handbook has been supplied for this quick hitch.
This handbook must be available at all times to all potential operators and supervisory staff. All potential operators must read and be familiar with
this handbook prior to operating.
A complete risk assessment/Job Safety Analysis must be undertaken covering all operating processes and environments associated with this quick
hitch. SWMS should be produced for specific tasks associated with use of this quick hitch.
References: AS13031
Risk Treatments in Place: Pre-op Checklist Excavator

A pre-operation checklist is available for this Excavator. This checklist must be completed by all operators prior to operating this Excavator.
Risk Treatments in Place: SOP Excavator

Safe Operation Procedures are available for this Excavator. The information in the Safe Operation Procedures must be followed at all times whilst
operating this Excavator.
Risk Treatments in Place: Control Labels

All controls including all levers, buttons, pedals, switches etc. are clearly labelled as to their purpose and method of operation. These labels must be
maintained in a clean and serviceable condition at all times.
References: AS/NZS4024.1905
Risk Treatments in Place: ROPS Label

The warning label stating that the ROPS must not be damaged at any time (including cuts, drill holes and welds) must be present, clean and legible
at all times.
References: ISO3471
Risk Treatments in Place: ROPS seat belt label

This item of plant is fitted with a ROPS and has an advisory label stating that "seatbelts must be worn".
This label must be present, clean and legible at all times.
All operators and passengers must wear seatbelts whilst on this item of plant.
References: AS2294, ISO3471

ELECTROCUTION HIGH 22 MEDIUM 15
Risk Treatments in Place: Electrical Approach Distances

This item of plant has a hazard warning label re: overhead electrical hazards and minimum approach distances fitted. These distances must be
adhered to strictly. These labels and tables must be present, clear and legible at all times.
Spotters are required when working within 5 metres of the minimum approach distance of any live electrical apparatus.
Any encroach within the minimum approach distances must only occur if the following provisions have been met -
1. The machine is designed to work within the minimum approach distances
2. Permission has been granted by the electricity company and
3. Safe systems of work have been documented and approved.
References: ISO31000
ELECTROCUTION, EXPLOSION HIGH 22 MEDIUM 15
Risk Treatments in Place: Before You Dig (AUS)

This item of plant is fitted with a clear hazard warning label re: underground services and advice "Before You Dig, visit www.byda.com.au" to the
operator work area. This advice must be adhered to strictly. Digging into an electricity cable or gas pipe can cause serious injury or death. Damaging
a pipe or cable may also lead to isolating a community from emergency services such as fire, police or ambulance. This label must be present, clear
and legible at all times.
COLLISION HIGH 22 MEDIUM 15
Risk Treatments in Place: Phone Use label

This item of plant is fitted with an instruction label advising that mobile phones must not be used whilst operating this machine. Accordingly all
operators must not use a mobile phone at any time whilst operating machine. If phone use is necessary then operator must place machine in park
configuration in a safe position prior to phone use. Operators MUST adhere to this advice at all times.
This label must be clear and legible at all times whilst this item of plant is in operation.
References: AS1319- , ISO31000
POISONING, EXPLOSION, BURNS HIGH 22 MEDIUM 15
Risk Treatments in Place: Tank ID Label

The tank(s) on this item of plant have clear, legible label(s) identifying their contents, and if appropriate any necessary controls re: the contents.
These must be present, clear and legible at all times. (this includes radiator, hydraulic and petrol/diesel tanks)
Risk Treatments in Place: Left Hand Drive Label

This item of plant has a hazard warning label re: left hand drive, at the rear. It must be present, clear and legible at all times.
FIRE HIGH 21 MEDIUM 15
Risk Treatments in Place: Fire Extinguisher

This item of plant is fitted with an approved and maintained fire extinguisher. Fire extinguisher(s) must be present and fully functional at all times.
They must be readily accessible to the operator. Regular inspections must also be carried out in accordance with the manufacturer’s requirements
and AS 1851 – 1995
References: AS10896.1, AS1851
INSTABILITY, CRUSHING HIGH 21 MEDIUM 15
Risk Treatments in Place: Boom Rated Capacity Label

This item of plant has a rated capacity label fitted to each side of the boom. Ensure that these labels are clear and legible at all times whilst this item
of plant is in operation. Operators must not exceed this rated capacity at any time during operation.
References: AS1418.8

INSTABILITY, CRUSHING HIGH 21 MEDIUM 15
Risk Treatments in Place: Boom Lifting Point Table

This item of plant has a lifting point fitted to the boom, accordingly a load/distance table is present at the operator work area. This must be clear and
legible at all times. This item of plant must comply with the relevant parts of AS 1418 at all times. All operators must be appropriately trained to use
this item of plant and licenced where necessary.
CRUSHING, INCORRECT OPERATION HIGH 21 MEDIUM 15
Risk Treatments in Place: Quick Hitch Information

This hydraulic quick hitch has the following information marked upon it -
1. The manufacturer’s name and address

2. Model
3. Serial number
4. The year of manufacture
5. The mass of the hitch in kilograms
6. The lift point capacity (if fitted) in kilograms
This information must be considered by all operators when assessing the suitability of the hitch for any task. Failure to consider and or comply with
this information could lead to serious injury or death.
References: AS13031
HEARING LOSS HIGH 19 MEDIUM 14
Risk Treatments in Place: Hearing Protection Label - Bystanders

The hazard warning labels re: wearing of hearing protection for bystanders attached to this item of plant refer to the level of noise produced.
Permanent hearing damage will result if hearing protection is not worn. These labels must be present, clear and legible at all times whilst this item of
plant is in operation.
References: AS3781- , AS/NZS1269
HEARING LOSS HIGH 19 MEDIUM 14
Risk Treatments in Place: Hearing Protection Label - Operator

The hazard warning label(s) re: wearing of hearing protection attached to this item of plant refer to the level of noise produced. Permanent hearing
damage will result if hearing protection is not worn. These labels must be present, clear and legible at all times whilst this item of plant is in operation.
References: AS3781- , AS/NZS1269
CRUSHING, STRIKING, COLLISION HIGH 19 MEDIUM 14
Risk Treatments in Place: Tail Swing Label

The rear of this item of plant has a hazard warning label re: general plant movement, tail swing, keep clear. It must be present and fully functional
and serviceable at all times.
References: ISO20474-
ENTANGLEMENT, SHEARING, BURNS MEDIUM 14 MEDIUM 13
Risk Treatments in Place: Engine Guard Label

The engine fan and alternator belts, pulleys and gears are guarded. These guards have clear legible hazard warning labels re do not open or
remove guards while engine is running. These labels must be present, legible and easily seen at all times whilst this item of plant is in operation.
References: AS/NZS4024.1201, AS1319-
CRUSHING, COLLISION MEDIUM 12 LOW 6
Risk Treatments in Place: Warning Device (horn)

This item of plant is fitted with a fully functional audible warning device such as a horn. This must be easily accessed by the operator, and easily
identifiable by nearby pedestrians.
All operators should ensure the warning devices are functional at the start of each shift, by completing
pre-start checklists. Warning devices should operate automatically where appropriate (eg reversing)
References: ISO7731, ISO9533

COLLISION MEDIUM 9 LOW 5
Risk Treatments in Place: Recovery Point Label

This item of plant is fitted with a hazard warning label adjacent the recovery tow point which states “Recovery tow point – Read manufacturer’s
towing instructions before towing". Failure to do so could result in DEATH or SERIOUS INJURY.
DESIGN COMPLIANCE
Risk Treatments in Place: Fully Automatic Quick Hitch

This item of plant is fitted with a fully automatic quick hitch.
References: AS13031
Risk Treatments in Place: Automatic(Quick) Hitch

This item of plant is fitted with a quick hitch that is fitted with a primary retention device and safety system that meet the following requirements -
1. Must be intentionally disengaged to remove attachments

2. The safety system is automatically activated as part of the engagement process
3. Has means of verifying engagement of both the primary retention device and the safety system from the operator position.
These requirements must be met at all times whilst this item of plant is in operation.
References: AS13031
CRUSHING CRITICAL 24 LOW 1
Risk Treatments in Place: Closed Eye Lifting Point

The lifting point fitted to this item of plant is the closed eye type. Hooks with out latching devices must not be used as a lifting point at any time.
References: AS13031
STRIKING, BURNS HIGH 22 MEDIUM 15
Risk Treatments in Place: Hydraulic Hoses

This item of plant has hydraulic hoses. These hoses must be inspected each day or before each use for wear and tear. If there are visible signs of
wear immediate action must be taken to control the risk arising from this wear. These inspections must be documented.
Hydraulic fluid at high pressure can penetrate the skin, never use any part of your body to check for leaks. If oil penetrates the skin seek medical
advice immediately. Always use a piece of cardboard or similar to check for suspected leaks.
Hydraulic pressure can be stored and is a hazard. Before disconnection or connection of hydraulic hoses complete the following steps -
1. Stop engine
2. Keep all bystanders clear of the work area
3. Refer to operators manual as to methods to release pressure
4. Wait 5 minutes
References: AS4024, AS2671
CRUSHING, COLLISION HIGH 22 MEDIUM 15
Risk Treatments in Place: Loose Items - Operator Work Area

All items that could cause harm to the operator in the event of a collision or rollover are securely restrained.

CRUSHING, NON COMPLIANCE HIGH 22 MEDIUM 15
Risk Treatments in Place: Control Lock out

The primary operator controls are fitted with an isolation device which meets the following requirements -
a) Must be engaged to allow entry & exit of the machine
b) Is not easily bypassed.
This device deactivates the primary operator controls. This must be employed during entry, exit and while performing maintenance on this item of
plant.
This device must be fully functional at all times whilst this item of plant is in operation.
CRUSHING, ENTANGLEMENT, STRIKING, COLLISION HIGH 22 MEDIUM 15
Risk Treatments in Place: Neutral Start

This item of plant has neutral start control in place. It must be fully functional and serviceable at all times whilst this item of plant is in operation.
Risk Treatments in Place: Seat Belt

This item of plant is fitted with an operator seat belt. This seat belt must be free from damage, and permanently and sturdily attached at all times
whilst this item of plant is in operation. Operators must use this seat belt at all times during operation.
References: ISO6683
POOR VISIBILITY, COLLISION HIGH 22 MEDIUM 15
Risk Treatments in Place: Operator Mirrors

The operator rear view mirrors fitted to this item of plant must be fully functional and kept clean at all times. There must always be at least one mirror
on each side to provide rear vision to the operator to avoid striking bystanders and objects.
References: AS/NZS4024.1201, ISO14401.1
Risk Treatments in Place: Movement Awareness Alarm

An automatic movement awareness alarm is fitted to this item of plant. This alarm is automatically activated when travel in any direction occurs. It
must be fully functional and serviceable at all times whilst this item of plant is in operation.
References: ISO7731, ISO9533
Risk Treatments in Place: Quick Hitch Controls

The quick hitch operation control is fitted with a device/method to prevent accidental operation. This device must be fully functional at all times whilst
this item of plant is in operation.
References: AS13031
Risk Treatments in Place: Hydraulic Hose Failure Shield

This item of plant is fitted with a sturdy, permanent shield(s) between the hydraulic hoses and any body parts of the operator to provide protection
during a hose or component failure. This shield(s) must be present and fully functional at all times whilst this item of plant is in operation.
References: AS4024, ISO4413, AS2671
Risk Treatments in Place: Quick Hitch Operation Alarm

This item of plant is fitted with a quick hitch with a fully functional audible alarm fitted to the operator work area to alert the operator that the host
machine is in the mode that allows for the controls to be operated to engage or disengage attachments.
This alarm must be fully functional at all times whilst this item of plant is in operation.
References: AS13031

Risk Treatments in Place: Machine Lights

This item of plant is fitted with self contained lighting. All of these lights must be fully functional and serviceable whilst this item of plant is in
operation in areas of reduced light. If any of these lights stop working the operation must cease immediately and the faulty light be repaired before
operation can continue in the areas of reduced light.
STRIKING HIGH 22 MEDIUM 15
Risk Treatments in Place: Forestry OPG

This item of plant is fitted with an Operator Protective Guard (OPG = Devices intended to provide object protection to the front, side and top of the
operator station e.g heavy duty mesh). This guard must be present and fully functional at all times whilst his item of plant is in operation. If the OPG
is damaged all forestry operations must cease until the guard is either repaired or certified safe for use by a competent person.
References: AS2294, ISO3449, ISO3471
ENTANGLEMENT HIGH 22 MEDIUM 15
Risk Treatments in Place: Engine Guards

The engine fan and alternator belts, pulleys and gears are guarded. These guards must be present and fully functional and serviceable at all times
whilst this item of plant is in operation.
INSTABILITY, CRUSHING, TIP OVER HIGH 22 MEDIUM 15
Risk Treatments in Place: Levelness Device

This item of plant is fitted with a level indicator. This device indicates the "levelness" of the machine chassis.
During operation operators must ensure the machine is within the manufacturers guidelines for levelness.
The rated capacity chart fitted for lifting operations has a maximum level angle which must never be exceeded during lifting operations.
This level indicator must be present and fully functional at all times whilst this item of plant is in operation.
FALLING HIGH 22 MEDIUM 15
Risk Treatments in Place: Handrails

All operator work platforms are either -
a) above 0.5m and below 2.0m from the ground or nearest platform and have three points of contact which can be constantly maintained by any
person on the platform performing expected tasks or
b) are above 2.0m from the ground or nearest platform and have an approved guardrail which meets the following requirements:
1. All guardrails are at least 1.1m high
2. All guardrails have a mid rail
3. All sides and ends have a kick plate which is at least 100mm high.
These work platforms and/or access points must have guardrails present that are fully functional and serviceable at all times whilst this item of plant
is in operation.
References: AS5327
Risk Treatments in Place: Beacon

This item of plant is fitted with a safety beacon. This beacon must meet the following criteria at all times whilst this item of plant fitted is in operation -
- Is visible up to 200m in all directions (allowing for intermittent obstruction from the plant structure whilst the plant is in operation)
- Is fitted in the most appropriate location on machine to maximise visibility without risking continual damage
NOTE: more than one beacon may be fitted to meet these criteria.

OPERATIONAL MALFUNCTION HIGH 22 LOW 2
Risk Treatments in Place: Plant Modification

The plant is in original condition.
ENTRAPMENT HIGH 21 MEDIUM 15
Risk Treatments in Place: Two Operator Exits

The operator cabin/work area on this item of plant has a minimum of two (2) possible exits. These must be functional and accessible at all times
whenever the item of plant is manned, whether during operation or maintenance activities.
References: AS5327
ENTRAPMENT HIGH 21 MEDIUM 15
Risk Treatments in Place: Emergency Exits

The emergency exits for this item of plant meet the following requirements -
1. Clearly and legibly labelled

2. Instructions for use are clear and legible and located adjacent the exit
3. Any required tools required for use are available e.g. Emergency hammers
These exits must be legibly labelled and fully functional at all times whenever the item of plant is manned, whether during operation or maintenance
activities.
Risk Treatments in Place: Windscreen Wipers

The windscreen wipers and washers fitted to this item of plant must be fully functional at all times.
Risk Treatments in Place: ROPS

A Roll Over Protective Structure (ROPS) to ISO 3471, ISO 12117.1 or 2, AS 2294 or AS 4987 is fitted to this item of plant. A permanent label stating
this standard must be attached to the structure at all times. This structure provides a safety envelope during a rollover. A warning label re: wearing of
seat belts at all times whilst this item of plant is in operation and accordingly seat belts must be worn at all times during operation.
CRUSHING HIGH 21 LOW 5
Risk Treatments in Place: FOPS General

This item of plant is fitted with a Level I Falling Objects Protective Structure (FOPS). This structure is designed to protect the operator from small
falling objects (e.g. bricks, small concrete blocks, hand tools)
Before operating this item of plant a task based risk assessment must be conducted to determine the level of FOPS required.
Level I - withstands 1,365 joules (e.g. 20kgs @ 7m drop, 70kgs @ 2m drop)
- operations such as highway maintenance, landscaping and other construction site services
Level II - withstands 11,600 joules (e.g. 200kgs @ 6m drop, 394kgs @ 3m drop)
- operations such as site clearing, overhead demolition or forestry
This task risk assessment must be undertaken before each operation, in particular when the item of plant is moved to a new location, even if it is
within the same site.
CRUSHING HIGH 21 LOW 5
Risk Treatments in Place: FOPS Level II

This item of plant is fitted with a level II Falling Objects Protective Structure (FOPS). This structure is designed to protect the operator from heavy
falling objects (e.g. trees, rocks). Care should still be exercised when operating in an area with a risk of falling objects.
References: AS2294, ISO3449, ISO10262

Risk Treatments in Place: 1T Controlled Lowering Device

This item of plant is fitted with a controlled lowering device which is activated in the event of hydraulic failure. If this device is not fully functional then
lifting of freely suspended loads in excess of 1T must not occur until this controlled lowering device is repaired. The requirements of AS 1418.8 must
also be met prior to lifting freely suspended loads in excess of 1T.
Freely suspended loads regardless of weight must never be lifted over any personnel.
References: ISO8643, AS1418.8
Risk Treatments in Place: Intuitive Controls

The controls fitted to this item of plant are orientated so that the movement of the control is consistent with the action of the machine e.g. moving a
control lever to the left results in the machine turning to the left. This design feature must be maintained at all times whilst this item of plant is in
operation.
STRAINS HIGH 19 LOW 5
Risk Treatments in Place: Controls Ergonomics

All controls including all levers, buttons, pedals, switches etc, are placed near the operator work position and are easy to reach and operate during
the execution of the operator's normal duties. This applies for all persons within the 95th percentile of the normal population distribution.
INCORRECT OPERATION, SLIPPING HIGH 17 LOW 6
Risk Treatments in Place: Control Levers/Pedals/Buttons

All controls including all levers, buttons, pedals, switches etc. must be kept non-slip and free from damage at all times.
SLIPPING MEDIUM 12 LOW 6
Risk Treatments in Place: Operator Work Area Access/Egress

Safe access and egress to the cabin/work area(s) must be maintained at all times whilst this item of plant is in operation. It must be non slip, free
from damage, located at a height so as to not cause undue body stresses and strains with three points of contact available to personnel at all times.
All personnel must -

1. Always face the item of plant during access and egress.
2. Always maintain three points of contact during access and egress.
3. Never carry an object(s) in his/her hand(s) during access and egress.
4. Never jump off machine.
References: AS5327
FALLING, SLIPPING MEDIUM 12 LOW 6
Risk Treatments in Place: Access/Egress Instruction Label

An instruction label is fitted adjacent access/egress areas to advise all personnel of the following -

3. Ensure the steps are clean.

FALLING, SLIPPING, TRIPPING MEDIUM 12 LOW 6
Risk Treatments in Place: Engine Bay Access

Safe access and egress to the engine bay/work area(s) must be maintained at all times whilst this item of plant is in operation. It must be non slip,
free from damage, located at a height so as to not cause undue body stresses and strains with three points of contact available to personnel at all
times.
All personnel must -

3. Never carry an object(s) in his/her hand(s) during access and egress.
References: AS5327
ELECTRIC SHOCK, BURNS MEDIUM 12 LOW 6
Risk Treatments in Place: Battery Cover

All batteries fitted to this item of plant are constrained to prevent displacement & fitted with a permanent sturdy cover which allows for ventilation.
The constraint and cover must be present and fully functional and serviceable at all times whilst this item of plant is in operation.
INCORRECT OPERATION, SLIPPING MEDIUM 9 LOW 4
Risk Treatments in Place: Work Area Floors

All work area floors are non-slip and free from damage & debris.
Floor area must remain non-slip and free from damage & debris, including rubbish, tools and other items, at all times whilst this item of plant is in
use.
References: AS/NZS4024.1201, ISO20474-
NON COMPLIANCE, STRAINS MEDIUM 9 LOW 1
Risk Treatments in Place: Operator Seat

The operator seat fitted to this item of plant must remain free from damage and tears, and be permanently and securely fitted at all times.
References: AS/NZS4024.1401 , ISO20474-
HEAT STROKE, DEHYDRATION MEDIUM 9 LOW 4
Risk Treatments in Place: Air Conditioning

This item of plant is fitted with an air conditioned cabin. This air conditioned cabin helps control the air quality and temperature for the operator and
also provides shade from the sun. The air conditioner must be fully functional and serviceable at all times whilst this item of plant is in operation.
BURNS MEDIUM 9 LOW 5
Risk Treatments in Place: Exhaust

The engine exhaust on this item of plant is fitted with a guard to prevent injury to any person and control the risk of initiating a fire. It must be present
and fully functional and serviceable at all times whilst this item of plant is in operation.
MAINTENANCE
CURRENT OR PREVIOUS STRUCTURAL DAMAGE CRITICAL 25 MEDIUM 15
Risk Treatments in Place: Structural Integrity

Regular checks for structural damage must be undertaken. Look for cracks in frames/chassis (current or repaired), bends or damage to structural
components, etc.

Risk Treatments in Place: Maintenance Manual

The manufacturer's maintenance manual(s) has been supplied for this item of plant
These manual(s) must be available at all times to all users and maintenance staff of this item of plant. All users and maintenance staff must read and
be familiar with these handbook(s) prior to maintaining or repairing this item of plant.
A complete risk assessment/JSEA must be undertaken covering all inspection, maintenance, servicing and transportation requirements of this piece
of plant prior to use.
A full assessment of the competence of people using the book(s) must also be undertaken
Risk Treatments in Place: Hydraulic Damage

The hydraulic hoses to this item of plant are free from damage and protected against damage arising from contact with the plant structure. Ensure
that hoses are free from damage and that protection is in place at all times whilst this item of plant is in operation. Inspection of the hydraulic hoses
and protection system should be conducted regularly and documented as part of your plant safety programme.
References: AS4024, ISO4413, AS2671
Risk Treatments in Place: ROPS Damage

The Roll Over Protective Structure (ROPS) fitted to this item of plant must remain free from damage at all times whilst this item of plant is in
operation.
OPERATIONAL MALFUNCTION HIGH 22 LOW 2
Risk Treatments in Place: Major Fluid Leaks

This item of plant must remain free from leaks at all times whilst in operation (this includes engine, transmission, cooling system, air, fuel, drive line,
wheel hubs, steering and hydraulics). Development of a major leak will require this item of plant to be stood-down until repaired. Minor leaks
detected must be repaired within 1-14 days.
OPERATIONAL MALFUNCTION HIGH 21 MEDIUM 15
Risk Treatments in Place: Service Records

Service and maintenance records are available for this item of plant.
These records must continue to be managed and available at all times as part of your service and maintenance programme. (This programme
includes the undertaking of regular inspections of the item of plant with specific reference to all OEM prescribed, scheduled and non scheduled
service and maintenance requirements).
Risk Treatments in Place: Windows & Screens

Ensure the cabin/work area safety glass windows and screens are kept clean and free from cracks and other damage at all times whilst this item of
plant is in use.
References: AS/NZS4024.1201, ISO20474-
INSTABILITY MEDIUM 9 LOW 4
Risk Treatments in Place: Tracks

The tracks and track components must be inspected as part of a "pre start" checklist. These inspections must be documented as part of your plant
safety programme.

SECTION 6 IMAGES AND NOTES
IMAGES
- No Images Available -
NOTES
- No Notes Available -

RISK MANAGEMENT REPORT
TYPE Excavator - Large (20 Tonne Report Number PAES 20240312-1608
+)
MAKE Case Date 12-Mar-2024
MODEL CX380C Created By Alana Minter
ENGINE NUMBER 6HK1981993 Assessor Alana Minter
CHASSIS / VIN DCH380D6NNEFR1170 Assist. Assessor(s)
Owner Earthmoving Equipment

Australia
Customer Name Nesna Pty Limited
Assessment Purpose Sale
State NSW
PURCHASER ACKNOWLEDGEMENT
I the undersigned acknowledge that I have read and understand the risk management report described above. I
also acknowledge that I have recieved a copy of this risk management report. I also acknowledge that I am
authorised to sign on behalf of the purchaser.
Name
Company Name
Position
Signature
Date
The manufacturer's operational & maintenance handbooks have been supplied,

(circle one) YES NO (initial) ______________________
Please transfer this assessment to my Plant Assessor membership as a (circle one) HIRE / PLANT IN USE
assessment.
My Plant Assessor email is _______________________

PAES 20240312-1608 Model CX380C Assessed By Alana Minter
Tuesday, 12 Mar 2024 4:17 PM Type Excavator - Large (20 Tonne +) Date 12-Mar-2024

SCC112 - Risk Assessment

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RISK MANAGEMENT REPORT

TYPE Excavator - Large (20 Tonne +)

ENGINE NUMBER 6HK1981993

CHASSIS / VIN DCH380D6NNEFR1170

Report Number PAES 20240312-1608

Created By Alana Minter

Assessor Alana Minter

Completed By Alana Minter

Owner Earthmoving Equipment Australia

Customer Name Nesna Pty Limited

Assessment Purpose Sale

RISK ANALYSIS, RISK EVALUATION & RISK TREATMENT

IMAGES AND NOTES

Make Case Engine Number 6HK1981993

This Risk Management Report has been prepared for -

SECTION 2 MACHINE DETAILS

1. Manufacturers specified noise level dBA

2. Ambient noise level dBA

CAPACITIES Fuel Tank Capacity (Litres) 580

Make Case Engine Number 6HK1981993

EXTRAS Spare spool for attachments? Yes/No

TRANSMISSION Speed (km/h) 0 - 5.4

Make Case Engine Number 6HK1981993

Make Case Engine Number 6HK1981993

Prelim. Risk Residual Risk Time Date

INCORRECT OPERATION CRITICAL 24 MEDIUM 15 Immediate 12-Mar-24

Risk Treatment Required: Operator Competency

Legislation: State Health & Safety Legislation & Regulation

SECTION 5 RISK TREATMENTS IN PLACE

HAZARD(S) Prelim. Risk Rating Residual Risk Rating

CRUSHING HIGH 22 MEDIUM 15

Risk Treatments in Place: SWMS Loading/Unloading

CRUSHING HIGH 22 MEDIUM 15

Risk Treatments in Place: SWMS Load Restraint

CRUSHING CRITICAL 24 MEDIUM 15

Risk Treatments in Place: Manual Hitch

1. Has a primary retention system and a secondary safety system fitted

CRUSHING CRITICAL 24 MEDIUM 15

Risk Treatments in Place: Quick Hitch Movement

Make Case Engine Number 6HK1981993

INCORRECT OPERATION HIGH 22 MEDIUM 15

Risk Treatments in Place: Operation Handbook

INCORRECT OPERATION HIGH 22 MEDIUM 15

Risk Treatments in Place: Quick Hitch Operation Handbook

INCORRECT OPERATION HIGH 22 MEDIUM 15

Risk Treatments in Place: Pre-op Checklist Excavator

INCORRECT OPERATION HIGH 22 MEDIUM 15

Risk Treatments in Place: SOP Excavator

INCORRECT OPERATION HIGH 22 MEDIUM 15

Risk Treatments in Place: Control Labels

CRUSHING HIGH 22 MEDIUM 15

Risk Treatments in Place: ROPS Label

CRUSHING HIGH 22 MEDIUM 15

Risk Treatments in Place: ROPS seat belt label

Make Case Engine Number 6HK1981993

ELECTROCUTION HIGH 22 MEDIUM 15

Risk Treatments in Place: Electrical Approach Distances

ELECTROCUTION, EXPLOSION HIGH 22 MEDIUM 15

Risk Treatments in Place: Before You Dig (AUS)