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SAFE TRACTOR ASSESSMENT

RATING SYSTEM

Technical Reference Document

Developed by:

Mark Scott

Richard Williams

Lesley Day

George Rechnitzer

Peter Walsh

Scott Boyle

Funded by:National Health and Medical Research Council and the Victorian WorkCover Authority


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Safe Tractor Assessment Rating System Project Team

Lesley Day, Monash University Accident Research Centre

Peter Walsh, Kondinin Group

Mark Scott, Kondinin Group

Richard Williams, Kondinin GroupGeorge Rechnitzer, Monash University Accident Research Centre

Scott Boyle, Kondinin Group

Safe Tractor Assessment Rating System Project Advisory Committee

Tom Triggs, Advisory Committee Chair, Monash University Accident Research Centre

Warren Boyle, NSW WorkCover Authority

Richard Calver, National Farmers Federation (to March 2002)

Max Cameron, Monash University Accident Research Centre

Vin Delahunty, Tractor and Machinery Association of Australia (to March 2002)

Matthew Durack, National Centre for Engineering in AgricultureNeil Gunningham, Australian Centre for Environmental Law, Australian National University

Denita Harris, National Farmers Federation (from June 2002)

James Houlahan, Australian Centre for Agricultural Health and Safety

Scott James, Case Corporation

Geoff McDonald, Geoff McDonald and Associates

Grant Odgers, Victorian WorkCover Authority

Margarete White, Victorian WorkCover Authority

John Nettlefeld, Royal Australasian College of Surgeons was unable to participate in meetings

due to clinical commitments.

Acknowledgements

The project team greatly appreciated input from the Project Advisory Committee members,

whose expertise contributed to the technical aspects of the rating system and the dissemination

strategy. We are grateful to the tractor owners, farm workers, agricultural college instructors,

occupational health and safety professionals, Kondinin Group members, and farm machinery

dealers and distributors who participated in focus groups, informal consultation, pilot tests,

and in making tractors available for testing. A number of experts in Australia and overseas

participated in a modified Delphi process to develop the scoring system, and we thank them

for their contribution. This project was funded by the National Health and Medical ResearchCouncil (Translational Grant in Injury Program) and the Victorian WorkCover Authority.

Additional copies are available on the following websites:

www.general.monash.edu.au/muarc www.kondinin.com.au

Monash University Accident Research Centre and Kondinin Group.

All rights reserved. Published August, 2002

For further information, contact

Dr Lesley Day Mr Peter Walsh

Phone: 03 9905 1811

Email: [email protected]

Phone: 08 9478 3343

Email: [email protected]


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STARS: a life saving toolTractors remain the leading cause of injury deaths on Australian farms (15 per cent),with 84 tractor-associated deaths on farms between 1989 and 1992, a rate of almosttwo a month (Franklin et al, 2000).

To counter health and safety problems on farms, a strategy targeting specific issuesthrough education and training, improved risk management and appropriatelegislation has been developed (Fragar and Franklin, 1999).

The STAR rating system fits into this broad strategy by providing a means ofcomparing the inherent safety features of individual tractors by giving tractormanufacturers, dealers and users information critical in managing tractor risk.

Design features and engineering controlsInitiatives in tractor safety have either focused on safe work practices, such as

courses in safe tractor operation and provision of tractor operation safety checklists,or a limited range of engineering controls such as roll over protective structures(ROPS) and power take off (PTO) guards.

In the hierarchy of controls for managing risks (National Standard for Plant),engineering controls which design out the hazard are considered more effectivecontrol measures than training courses which seek to change human behaviour(NCIPC, 1989).

For example, the Nordic success in the almost total elimination of tractor roll overdeaths was achieved through an incremental programme of design change which ledto ROPS protection on all tractors. Contrasting this is the United States experience of

very little change in roll over fatalities since the 1980s (Myers et al, 1998; Thelin,1998).

The STAR rating system considers a range of engineering controls. The underlyingassumption is that a tractor designed with safety in mind will deliver more effectiverisk control than a tractor operator trained in safety. This does not dismiss the needfor operator training, as education and training are important support to engineeringcontrols in prevention programmes.

How the rating system worksSafety has been defined as controlling the most common risks associated with tractoroperation by including appropriate design features.

The most common risks leading to serious injury and death were determined fromthe literature and databases of tractor accidents. Listed against each of the 17principal risk categories are design features that control the risks identified in thedeath and injury data.

The appropriate design features were selected from regulations, codes of practice,standards and best contemporary designs. The 17 risk categories have been groupedinto six main sections or fields.

Each risk category has an optimum suite of design features to protect the operator.


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Some control measures are primary and either eliminate or reduce the likelihood ofthe hazardous event occurring. For example, interlocked neutral start prevents thetractor from being started in gear by an operator standing on the ground. Thiseliminates the possibility of the operator being run over while attempting to start thetractor in this manner.

Other control measures are secondary in nature as they do not eliminate or reducethe likelihood of the hazardous event occurring, but instead reduce the risk ofsubsequent injury or minimise harm. The best example of this is the ROPS withseatbelt, which does not eliminate or reduce the likelihood of roll over but protectsthe operator in the event of an overturn.

Each risk category has been allocated 20 points. Not all features within a categoryare scored equally, some being weighted depending on their estimated relativeeffectiveness as risk control measures within that category and others in terms of themagnitude and/or frequency of the risk they are designed to control.

Notes explaining how to rate individual design features in each risk category aregiven first, followed by a summary table of the criteria then the source of the criteriawhich may be death and injury data, regulations, codes or standards. Finally, thereis an explanation or rationale for the inclusion and weighting of the design controlsin each risk category.

The rating is specific to the individual tractor at the time it is rated. The relativesafety of different tractors of the same model will vary depending on maintenanceand modifications done.

The rating system focuses on operator safety, although hazards to pedestrians areincluded. The rating system was designed with farm operations in mind, but the

system is also applicable to other operating environments.

Uses of the rating systemThe rating system can be used to rate existing tractors as part of a workplace riskassessment as required by occupational health and safety (OHS) legislation (State

jurisdiction adoption of National Standard for Plant), or may be used to assessintroduced tractors, both new or second-hand, for compliance with safety standardsas required by OHS legislation or to select the safest tractor from a range ofalternatives.

The rating system includes all the necessary criteria for OHS compliance. But thereare significant differences between the States in relation to the details of the criteria.Examples include age of tractors requiring ROPS, ROPS exemptions, weights oftractors requiring ROPS, what is and is not included in tractor weights, carriage ofpassengers, securing of guards and calling up and referencing standards.

Importers, suppliers and manufacturers should check with the Tractor andMachinery Association of Australia and State regulatory authorities. Farmers andother users should check with their State regulatory authority.


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Risk assessment: plant and the operating environmentThe purpose of the STAR rating system is to evaluate individual tractors in a waythat allows safety comparisons to be made between machines.

The safety rating system should not be confused with a full risk assessment. The

rating system is a generic approach to the risk posed by design features of a tractor,while a full risk assessment is both plant- and workplace-specific.

Although nearly all the risks identified are high risk, not all the risks will be the samefor all workplaces or operating environments. Nor can all the risks be satisfactorilycontrolled by design measures alone. For example, while the combination of ROPSand seatbelt gives a high degree of risk control, it depends on the work practice ofthe operator putting on the seatbelt.

A risk assessment needs to be specific to the tractors operational environment. Forexample, tractors used in roadwork and construction are likely to present anincreased risk to pedestrians, as these operational environments require tractors to

work alongside people. Similarly, tractors used in forestry work present anincreased risk to the operator of being struck by a falling object.

After the safety rating has been done, the tractor can then be considered in thecontext of its operating environment and the full risk assessment completed. Someoperating environments may require specialised design features, for example, fallingobject protective structure (FOPS) or front-end loader (FEL). Those design featuresthat are required for specialised operational needs are grouped together in theoptions section of the rating system. Other operating environments will require astrong dependence on work practices, such as non-carriage of passengers on tractorswithout suitable seats.

With older tractors, there may be many design failings, which are either impossibleor not cost-effective to remedy. Controlling risks in the operational environmentconsequently falls on work practices. This has implications for operator training andsupervision.

Since work practices alone rarely achieve a satisfactory level of risk control, the bestcontrol measure for tractors scored as inherently high-risk by the rating system maybe to dispose of the tractor altogether or to restrict it to low-risk tasks.

How to use the rating systemThe ability to use this rating system assumes a familiarity with tractors and theiroperation. Competent persons include experienced tractor operators, machinerydealers, tractor instructors at agricultural colleges and WorkCover plant inspectors.

There are two documents relating to the system: STARS Reference which includesthe system, rationale and technical references; and STARS Worksheet which is usedto conduct a rating, and includes summary and feedback sheets.

To use the system:

Enter the identifying details of the tractor to be rated on the summary sheet.

The tractor should be scored as found. Adjustments must not be made forfactors such as guards missing, lights damaged or attachments fitted.


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Defects must be scored as found. Missing or damaged items should belisted for replacement or repair. If loaders or other attachments obscureservice points, score them as they are.

Options need to be scored. While only necessary for specific operatingenvironments, a score is essential when doing a full risk assessment. Three-point linkages are the most common option, being offered as standard onsmall tractors. While a tractor without a three-point linkage may not besuitable for a particular task, it should not be marked down from a safetyperspective. The same applies to other options take care to mark safetynot task suitability.

Work through each risk category, identifying the specified controlmeasures and scoring them appropriately. All control measures should bescored as either full or zero points unless otherwise indicated. Total thescore for each risk category.

Transfer the individual totals to the summary sheet, and determine theSTARS rating using the grouped scores table.

In the comments column of the summary sheet, note such things as:

Guards or decals to be replaced.

Repairs and/or modifications necessary.

Tractor unsafe for use (see below).

Keep a copy of the rating results for your records. You may wish toconsider forwarding a copy to your local dealer, the relevant manufacturer,or the Tractor and Machinery Association of Australia.

Complete the feedback form and return to the Kondinin Group at theaddress indicated.

What to do about a tractor with defects or poor ratings Defects rendering a tractor unsafe for use include but are not limited to:

1. A cabin that is not ROPS or FOPS compliant, including absence of complianceplate.

2. A ROPS frame, including cabin ROPS elements, that has been modified by

welding or drilling.3. A collapsible ROPS that cannot be erected and latched erect.

4. Absence of a seatbelt or a seatbelt that is not suitable or cannot be fastened orreleased.

5. The drawbar is not below the axle.

6. A handbrake unable to hold the rated load.

7. Footbrakes unable to hold the rated load and/or unevenly adjusted.

8. A neutral start either bypassed or inoperative.

9. A FEL fitted to a tractor with the rear wheel fraction less than 50%.

Detail on how to identify and evaluate these defects is given in the relevant sectionsof the rating system.


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If a tractor is identified as unsafe for use, it should be identified as such on thesummary report, taken out of service and made inoperative until the necessaryrepairs or modifications are made.

To make the tractor inoperative, the key can be removed, the battery removed, thefuel tank drained, the tyres deflated, or a padlocked chain attached to the steeringwheel. This is to prevent the tractor being used inadvertently, which may result ininjury or death, with liability falling upon the person who rated the tractor as unsafebut failed to act upon the unsafe rating.

Tractors may rate poorly in a particular category, without having a major defect thatrenders them unsafe, for example poor access increasing the risk of slips, trips andfalls. What to do about such increased risk is up to the individual.

In the case of poor access on an older tractor, the decision might be taken to retrofit asafe tractor access platform. Alternatively, if the tractor was used in an operatingenvironment where mounting and dismounting was infrequent, such as broadacre,

the risk associated with poor access may be considered acceptable.Information to assist with controlling risks is available from the organisations listedat the end of this document under Sources of risk control in

Limits of the systemThis rating system was developed based on Australian death and injury data,regulations, codes of practice, standards and best contemporary design. It wasdesigned with conventional tractors in mind but some acknowledgment has beenmade of risks intrinsic to articulated tractors.

Many different operating environments were considered during the development ofthe rating system but there may be tractor uses that were not examined.Maintenance, including tyres, engine servicing and repairs, will also influence safetyperformance, and this has not been included in the rating system. You may wish toconsider these factors separately.

This rating system is a tool to assist in determining the relative safety of tractordesign. It is not an absolute measure of risk. This means the highest safety rating isnot a guarantee that a particular tractor will never be associated with an injury-causing event. It does not replace the need for full workplace risk assessments orsafe work practices.

A rating produced at any one point in time applies to that tractor only in itscondition at that time. Ratings produced on show room tractors, may not apply tothe same machine after it has been in use for some time.

AbbreviationsROPS: Roll over protective structure.

FOPS: Falling object protectivestructure.

PTO: Power take off.

SMV: Slow moving vehicle.

TMA: Tractor and MachineryAssociation of Australia

COP: Code of practice.

FEL: Front-end loader.

PTS: Power transfer system.


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Roll overMore than half (55%) of tractor related deaths on farms are due to roll over events(Franklin et al, 2000). In most of these incidents, the tractors were not fitted with rollover protective structures. In those incidents where a ROPS was fitted, a seatbelt was

either not fitted or not worn.About 60% of roll overs are sideways, with the remainder being rearwards (NOHSC,2000). In sideways rollovers, sloping terrain, sometimes inappropriate for tractoruse, typically plays a role.

A relatively experienced farmhand was ploughing a paddock, attempted to turn a cornerand was blinded by the sun with the result that the tractor slid down a steep, slipperyembankment and overturned into a creek. (Source: NOHSC, 2000).

Poor or inadequate brakes have been identified as contributing factors in about 15%of sideways roll overs (NOHSC, 2000). In fatal rearwards roll overs, the mostfrequent scenario is one in which the tractor is being used to strain against a resisting

object, such as a tree stump or vehicle, and the hitching point is too high.

A middle-aged man was using a tractor to pull a large dead shrub out of the ground,and attached a chain around the base of the shrub and attached the other end to a high

point on the back of the tractor. When he tried to pull out the shrub, it was too strong for the tractor, causing it to flip backwards on top of the driver. (Source: NOHSC,2000).

1. Roll over: ROPS

The tractor should be immobilised and tagged as unsafe until the problem is fixed if:

A ROPS frame or ROPS compliant cabin is not present. The ROPS has been modified by welding or drilling.

A collapsible ROPS cannot be erected and latched in the erect position.

No compliance plate nor certificate of compliance can be found, compliance isnot to one of the listed standards or there is no serial number.

There is no seatbelt, the seatbelt is unsuitable, or the seatbelt cant be fastenedor released.

The compliance plate may be attached to theROPS posts, in the cabin or on the outside of

the cabin. The plate or certificate ofcompliance must identify compliance withAustralian standard AS1636 or one of theoverseas equivalents: ISO 3463, ISO 3471-1,ISO 5700, SAE J1040, SAE J1194, SAE J2194OECD Codes 3 or 4. Note the serialnumber. A torch is useful for readingnumbers.

The horizontal bar on the two- or four-post ROPS behind the operator must be at seatlevel and designed to prevent large objects from entering the zone of protection or nopoints are given. If this is a retrofit, the bar needs to be attached with U-bolts, orequivalent, and approved for use with the tractor ROPS.

Tractors must be given a zero score if theROPS compliance plate cannot be found.(Photo: George Rechnitzer).

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The seatbelt must be anchored to the seat and able to be fastened and released,otherwise no points are given.

Insecure doors are those which do not latcheffectively. Unacceptable handles are levertypes which operate with downwards oroutwards pressure to open and unlock thedoor. These are easily bumped ormanipulated by children. Acceptablehandles are those which operate counter-intuitively (opposite to what you mightexpect), for example where the handle has tobe pulled upwards or pulled inwards to open the door.

Check for an emergency exit, usually the rear window that can be pushed out.

Points Tally Comment

ROPS/FOPS compliant cabin 9 M

If cabin on tractor go to

Two- or four-post ROPS - notmodified

7M

Two- or four-post ROPS only:horizontal ROPS element behindoperator

2

Seatbelt - fitted to seat and not frame

or chassis, can be fastened 6 M

Tractor with cabin: secure doors andhandles, and cabin emergency exitadditional to doors. If no cabin, score 0

5

Total score

Rationale and comments

The requirement for roll over protection and operator restraint is taken from theNational Standard for Plant, which has been variously adopted in State OHS

legislation. ROPS compliance is in terms of AS1636 and FOPS compliance withAS2294 (or their international equivalents). Seatbelt compliance is in terms ofAS/NZS2596.

Among the various States, differences exist in ROPS requirements depending ontractor mass and tractor age. There are also different formulae for calculating tractormass. The requirement for an emergency exit is compliant with ASAE S318.14.

The requirement for secure doors and handles is a design requirement in response todeath and injury data, as is the requirement for a horizontal ROPS element behindthe operator.

Though a ROPS with seatbelt is not a primary control measure, in that the two do noteliminate the hazard, they do reduce the risk to the operator involved.

A seat belt anchored to the seat allows fullseat travel (A). A seat belt anchored to thetractor body will restrict seat movement andcause operator discomfort (B).


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While an operator is confined within the zone of protection, the risk of injury will bereduced. In terms of restraint within the zone of protection, standards andlegislation do not discriminate between a two-post ROPS, a four-post ROPS, or aROPS or FOPS compliant cabin.

For roll over protection only, a FOPS should be regarded as equivalent to a ROPS,given it affords the same degree of risk control for the roll over hazard.

A ROPS compliant cabin without a seatbelt offers a high level of protection, providedthe tractor is not involved in a 3600 or multiple overturn (Edwards and Neale, 2000).While the operator may be tumbled around the cabin, only minor injuries are likelyto ensue provided the operator is not ejected from the cabin. Multiple overturns arelikely to result in doors being popped and glass broken, causing the operator to beejected. Thus the need for secure doors and handles. This control measure alsoreduces the risk of run over if passengers are carried in cabs, especially children.

Just as a 3600 or multiple overturn can pop doors open, it can also damage doors to

such an extent that an operator cannot get out or rescuers cannot get in to release thetrapped driver. This is one reason for having an emergency exit in addition to thedoors.

Welding and drilling weaken the ROPS and render it non-compliant. Clamp-onbrackets should be used to make attachments to a ROPS frame.

A seatbelt attached to the tractor frame rather than the seat itself is not satisfactory.Movement of the seat caused by the tractor bouncing on rough terrain will cause thebelt to press uncomfortably on the operator. Such belts are unlikely to be worn andare not acceptable. A better solution is to fit a new seat with mounts capable ofwithstanding the additional stresses from a person being strapped to it during an

overturn.


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2. Roll over: prevention of high hitch

Total score equals 20 if:

There is no three-point linkage or otherhigh hitch point (typically large tractors).

For tractors with no three-point linkage or otherhigh attachment point, that is with drawbar andlatched pin only, there is no high hitch point andthe other criteria are not relevant.

The tractor should be immobilised and taggedas unsafe if:

The regular drawbar is above the level ofthe axle.

The drawbar length must be such that either thedistance from the end of the PTO shaft to thehitch pin is at least 400mm, or the hitch pin is atleast 50mm behind the rear wheel. If thedrawbar can be retracted and extended, fullyextend it to make the measurement.

When trailed PTO driven equipment is being used, the distance from the end of thePTO shaft to the hitch pin should match the measurements in the table for PTO shaftswith universal joints. For PTO shafts with CV joints, the drawbar and PTO shaftmust be matched, neither too short nor too long.

A drawbar that is too short can damage the

PTO shaft. A drawbar that is too long cancause the PTO to come apart, damaging thetractor or injuring bystanders.

The drawbar hitch-pin must be in the drawbarand positively retained with a latch or similardevice or stored elsewhere on the tractor,preferably in an easily located toolbox. If thepin is stored in a toolbox check it fits thedrawbar hole and protrudes a short distancethrough the drawbar.

Some tractors may also have an implementsafety-chain attachment point .

Typically, these fixed points are a formed loop,eye or ring that is an integral part of thedrawbar. These safety-chain rings should begiven two points if a suitable drawbar pin isnot present.

Seven points are given for a three-point linkage, which has the top link in place, wellsecured and with a pin that is not easy to remove. Removal of the top link shouldonly be possible with the aid of a common hand tool, given that a secure top link is a

To be a convenient hitch point thedrawbar must be equipped with asuitable pin at all times. This pin maybe latched within the drawbar or storedin a toolbox on the tractor (Photo:George Rechnitzer).

Clearance

Below

axle

T

PTO speed

(rpm)

Shaft dia.

(mm)T (mm)

540 35 35010

1000 35 40010

1000 45 65010Regular drawbars must be below the axleand maintain distance T, the criticaldrawbar length for PTO driven machinerywhere universal joints are used.


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de facto guard. This is consistent with the requirements of AS4024.1 section 8.2.1.1and AS/NZS2153.1 section 6.

If the pin can be easily removed but the top link is designed to stay in place, givethree points and note pin easily removed in the comments column.

The top link needs to be held by a clip or bracket when in the storage position.The decal warning against a high hitch must be intact and readable.


No three-point linkage or otherhigh hitch point (large tractor)

20

If no 3PL or high hitch point go to next category

Drawbar:

-

Drawbar below axle

3M

-End of PTO shaft to hitch pin

at least 400mm , OR hitch pinat least 50mm behind rearwheel

3

-Drawbar with suitable pin3

If tractor has suitable pin go to

Safety-chain ring on drawbar 2

Top attachment point of three-point linkage unsuited to

attaching chains or rope checkclip

3 or 7

Decal warning against highhitch

4

Total score


The drawbar compliance, including latched pin and safety chain ring, is in terms ofAS/NZS2153.1. The requirement for the top attachment point and warning decal is adesign requirement in response to death and injury data.

Critical drawbar lengths for PTO-operated machinery are from ASAE S482.

Tractors have specific hitch points for particular implements, typically three-pointlinkages and drawbars. But tractors are also used as general purpose towingvehicles, and are often used to pull stumps, drag vehicles out of bogs and similartasks. In these circumstances a chain or rope is used and secured to a convenienthitch point. If the hitch is high and the object proves immovable by the tractor beingused, the tractor will rotate about the rear axle and overturn backwards.


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The essential control measureis a drawbar lower than theaxle with a suitable pin as thisoffers a safe and convenienthitch point. The hitch point

also needs to extend rearwardsfrom the rear axle, to increasethe force-resisting roll overwhen the tractor front wheelslift off the ground.

A drawbar which is not belowthe level of the axle is a highhitch-point.

Ideally, the drawbar should be

capable of extension orretraction: extension to reducethe risk of rearwards over turn;and retraction to facilitatecoupling of heavy trailers, suchas forage wagons, to reducethe risk of jack knifing and toavoid unweighting the frontwheels with consequent loss of steering and stability. Most modern tractors havedrawbars which can be retracted and extended. On older tractors, drawbar length

may be fixed.While most tractors have a drawbar, not all tractors with a drawbar will have asuitable hitch-pin. Unfortunately, a latched pin is often found in the top three-pointlinkage, which is one reason why it is used. The rationale for the drawbar with hitchpin is that there needs to be a convenient safe hitching point as well as restrictedaccess to the hazardous alternative.

While drawbar rings are designed for the purpose of attaching safety-chains they area safer hitching point than the top link.

The complementary control measure to the drawbar with pin or fixed hitching pointis a top attachment point on the three-point linkage unsuited to attaching chains or

ropes. This is not the only possible high hitch point, but it is the most convenient andthe one commonly implicated in fatal and non-fatal injury events.

As a D shackle could be used to bypass most restrictive attachment points, a moresatisfactory control measure is a top link mounting point, designed to have the toplink in place at all times. With the top attachment point thus blocked off, a high hitchis much less likely. This is found on many current models.

The only other possible control measures are either a warning decal or prohibition inthe operators manual or both. Neither, nor both together, are likely to be as effectiveas the two design control measures. But this does not address the issue of oldertractors with high hitch points that have easy access for securing ropes and chains.As operators manuals for old tractors are often lost and, if available rarely read, awarning decal is given some weight.

23 1

Drawbar location has a big impact on the chance of rollback.1. Best general attachment location. Chains or ropes should

only be attached to a drawbar at this point. Restoringmoment, the action opposing rear-up, increases as thetractor rears up when connection is to this point.

2. Trailed implements with a heavy loading on the hitchrequire a shorter drawbar. This reduces the tendency of

the down loading to lift the front wheels. Restoringmoment decreases as the tractor rears up whenconnection is to this point.

3. Specialist application trailed implements may requireattachment in front of the rear axle. An example of this isfront-heavy cane haul-out trailers. The down loading of thetrailer acts to hold the front wheels down. Rear-up isunlikely while a trailer is attached to this point.


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3. Stability and control: service brakes

The tractor should be immobilised and tagged as unsafe if:

Service brakes are unable to stop the tractor within the specified stoppingdistance.

Service brakes are unevenly adjusted.Test brakes with the tractor on alevel area, preferably a clean, dry,concrete apron. Any other similarlyhard, level surface is acceptable asan alternative but a commentshould be made to describe the testsurface.

The tractor should be fully laden tothe manufacturers maximum

permissible tractor mass, includingany ballast, equipment and materialload.

The tractor must be driven at a steady speed (10km/h suggested) then the drivedisengaged and the brakes applied. The tractor must stop within the distancespecified by:

Speed (km/h) 8.0 8.5 9.0 9.5 10.0 10.5 11.0 11.5 12.0

Max stop distance (m),

less than 2.5tonne0.65 0.73 0.82 0.92 1.02 1.12 1.23 1.34 1.46

Max stop distance (m),at least 2.5tonne

0.88 1.00 1.12 1.24 1.38 1.52 1.67 1.82 1.98

Carry out this test under safe operating conditions. Consider the consequences ofbrake failure. Latch together service brake pedals and carry out some slow pre-testruns to gauge the braking ability and the length of test track required to bring thetractor to a stop. Be sure to wear a seatbelt. Bystanders must be well clear of thetractor test zone.

Score ease of application from 1, for difficult, to 3, for easy.

The evenness of the adjustment may be noticed in this test by whether or not thetractor slews. Evenness of adjustment should be assessed during the braking test,while the tractor is being driven. The brakes should be locked for the test.

If brake adjustment is required, make a note on the summary form.

Non-slip pedals are given 1 point. The foot should stay securely on the pedal as it isdepressed. Consider how grippy the pedal surface would be with muddy boots.

Concrete apron or other suitably hard surface

Brakes

applied

Stopping

distance

Steady

speed

For vehicle combinations of at least 2.5 tonnes withinitial speed of 10km/h, stopping distance must beless than 1.38m.

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Tractor stops within distancespecified in table when fullyladen

6

M

Brakes easily applied (checkwhen tractor driven)1-3

Interlocked for travel (easy tolock but hard to unlock)

5

Evenly adjusted (check whentractor driven)

5M

Brake pedal is non-slip 1

Total score

Rationale and commentsThe service brake test stopping distance is taken from the draft recommendation forNational Lighting, Reflectors and Braking Standards for Special Purpose VehiclesType Plant. The standard initial speed of 35km/h has been lessened to reduce boththe length of concrete apron required and the risk associated with testing at a hightractor speed.

The requirements for easy application and adjustment are performance criteria inresponse to death and injury data. Interlocking is a standard design practice.

Pure braking ability is the critical control measure. Ease of application, ability to

interlock for travel, and evenness of adjustment are considered integral toeffectiveness and make up the complete braking system.


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Run overAbout 38% of tractor related deaths on farms are due to run over events (NOHSC,2000).

There are four typical scenarios for tractor operators being run over. The most

common involves an operator or passenger falling from the tractor and being runover by the tractor or an attachment.

In close to half of these events, the person killed was a passenger without properseating or restraint. Cabin doors accidentally coming open and faulty brakes havebeen noted in these events.

The second most common scenario involves operators being run over by a tractorthought to be parked. In these incidents, operators are typically engaged inmaintenance or handling attachments to the tractor while the engine is running.Accidentally knocking the tractor into gear, and a failed or inadequately securedhand brake also feature.

An illustrative example is given by the farmer who, while doing maintenance on aparked tractor with the motor running, knocked the gearshift when he removed theoil plug from the gearbox, causing the tractor to jump forward and crush him.

Other scenarios include operators being run over while starting the tractor from theground, mostly with the tractor in gear, and operators being run over whilemounting a moving tractor mostly in an attempt to catch a tractor which hadstarted to roll (NOHSC, 2000).

4. Operator run over: secure parking

The tractor should be immobilised and tagged as unsafe if:

The park brake is unable to hold the rated load.

Park brake holding capacity can be assessed by testing ifthe tractor is braked on a slope of one-in-five (about 11or 20%). Holding capacity should be measured in bothforward and reverse directions. The park brake shouldbe capable of holding the tractor when fully laden to themanufacturers maximum permissible tractor weight,including any ballast, equipment and material load.

The test slope should be in a safe environment withbystanders well clear. Dam banks are to be avoided.Using the base of a slope with a level run-out will allowa safe recovery should the park brake not hold.

A suggested test slope consists of four small ramps,each with a slope of one-in-five, placed under eachwheel. Keep ramp height to a minimum whilemaintaining sufficient length to ensure all of each wheelis on the ramp.

Score ease of application from 1, for difficult, to 4, for

easy.

A good park brake requires adeliberate action to disengage

and does not obstructoperator access (Photo:George Rechnitzer).


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Check how difficult it is to accidentally disengage the brake by bumping or withminimal effort. Better brakes will have a two-stage action to disengage, for example,depress a button in the end of the brake lever, and then move the lever. Such designsresist unintentional disengagement.

In the case of a brake which is in a position where it is likely to be bumped, test theforce necessary for accidental disengagement. If it resists, give four points; if not, 0points. Poor location is to be assessed in Section 6: Operator run over: reducing slips,trips and falls.

The nature of the mechanism used to stop tractor motion if the operator gets off isnot critical. Providing the tractor parks itself in the event of the operator getting offthen six points are given. More than disengaging the gear is required to satisfy thiscriterion. In some current designs, getting off the seat will automatically disengagethe gear. The tractor must actually be parked.

Points Tally CommentPark brake holds tractor fullyladen on one-in-five slope

6M

Easily applied 1-4

Resistant to disengagement bychildren or animals (requiresadult effort or manipulation)

4

Mechanism to detect operatorgetting on or off tractor which

then immobilises tractor (seetractor manual for process)

6

Total score


Park brake holding capacity is to the requirements ofASAE S365.5. The requirements for easy applicationand resistance to disengagement are performancecriteria in response to death and injury data.

While there is yet no widely available mechanism forsecurely arresting a tractor if the operator gets off,such a feature is technically feasible and would berelatively failsafe. Electronic gearboxes lendthemselves to automatic gear disengagement whileautomatic application of brakes already occurs intrucks when air pressure drops below a critical level.

1 in 5 (11.3)

The handbrake must hold the fullyladen tractor on a slope in bothforward and reverse directions.


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5. Operator run over: interlocked neutral start

The tractor should be immobilised and tagged unsafe if:

The neutral start is bypassed or inoperative.

Start the tractor using the appropriate sequence and check which features are present

and still operational, particularly that the interlocking has not been disabled.With all transmissions in neutral, check if clutch depression for start is required byturning the key or pulling out the start knob without depressing the clutch.

To check if clutch depression is required for gear engagement, turn the engine off,take your foot off the clutch, and try to put the levers into gear.

Gear engagement is not gear selection. In some transmissions, it is possible to selecta gear with the gear lever but another operation (such as depressing the clutch) isrequired to actually engage the gear. Gear engagement means application of powerin that gear.

A compound movement means a control that requires two separate movements, egslide lever along track and then move into slot which is at a different orientation tothe track such as at right angles.

A lockout mechanism on a power shuttle requires an action additional to justselecting the gear, eg select gear with lever and engage gear by depressing clutch orreleasing park brake. Without this, a power shuttle can be accidentally engaged.


Neutral gear to start:

either neutral gearOR

locked park position, dependingon transmission

6

M

Clutch depression for start or toinitiate tractor movement

4

Clutch depression for gearengagement,OR

power shuttle with compoundmovement and lockoutmechanism (see Notes)

5

Operator on seat for start 5

Total score


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ASAE S318.14 requires an engine start interlockto be provided. It also stipulates the clutch

depression interlock must be designed such thatit cannot be operated from the ground. Therequirement for seat depression is a designfeature that extends the risk control principleembodied in the standard.

Most tractors have a neutral start, commonly inthe range selection between high and low (H-N-L) or forward and reverse (F-N-R). Clutchdepression is less common, while seatdepression is found on some contemporary designs.

The integrated control measures are designed to make it difficult to start the tractoraccidentally or in gear while standing on the ground.

The principle behind the control measures is that starting should be at least a two-stage action. First, the selection of neutral; second, the clutch depression. This meansthe operator has to be in the cabin or on the operator platform to start the tractor.

Starting sequences using a deliberate series of steps reduce the chance of accidentallystarting the tractor and are more child resistant. The requirement for seat depressionadds a further stage to the sequence, re-enforcing the deliberate series of steps.

Interlocked start controls -- clutchdepression, gear in neutral andoperator on seat -- reduce the chance ofthe operator being run over.


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6. Operator run over: reducing slips, trips and falls

For operator platforms or cabins with access from two directions, each directionshould be scored separately (Access 1 and Access 2 columns in table) and thesummed score divided by two to give a total out of 20. For operator platforms orcabins with access from one direction, only the access direction should be scored.Access may be from the side or the rear.

The width of most cabins and operator platforms is wellwithin the wheel track, except on specialised tractors usedfor working narrow spacings common in tree and vinecrops. But the steps can be considered part of the cabin oroperator platform, provided they extend to within 50mm orbeyond the outside line of the wheel track and have anadditional feature such as a grab rail or door hinged on theside nearest a wheel to direct falling persons away from the

wheel and clear of the wheel track.Contact between the operator and the rear tyre should beminimised by extending the mudguard to the level of thebottom step on non-cabin tractors and by having rearwardopening doors on cabin tractors.

If the mudguard combined with the door and stepsprovide full protection from the front face of thenearest wheel during access, award three points.

If the top of the wheel is covered full width by the

mudguard, add one point. If the rear portion of the mudguard reduces the

chance of entrapment, add one point.

Pay particular attention to controls between:

The operators seat and the steering wheel or column.

The operators seat and cabin doors or on the operators platform where theyare likely to get in the way of the operator climbing on or off.

A guide to assessing the suitability of step and handhold combinations is to ensurean operator mounting or dismounting always has three contact points either two

handholds and one foothold or two footholds and one handhold.

Less than 45 45 to 60 60 to 90A B C

Tractor access configuration requirements depend on the slope. For slopes 45 or less (A) stairsshould be used and may be descended facing forwards. Slopes 45 to 60 (B) are unsafe and must not

be used. Slopes 60 to 90 (C) require a ladder which must be designed such that it can only bedescended backwards.

Steps, mudguard, door,operator platform andhandrails should allcombine to reduce thechance of being run over

by the rear wheel (Photo:Scott Boyle).


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The surface of the step should be sufficiently open to prevent any build-up of mud ordirt but not so open as to risk trapping the heel or toe of people with small feet. Agap of 50mm is sufficiently wide to allow dirt to fall through without trapping smallfeet. Lips of 50mm on the sides of the steps also create a more secure foothold.Unless the surface and lip criteria are met, no points are given.

Safe access configurations include stairs with slopes of 45 or less and ladders thatthat can only be descended backwards. Step ladder access is only considered safe ifthe slope is between 60 and 75 and it is not possible for the operator to descend theladder forwards. If step ladders are used and they can be descended forwards givezero points for safe configuration.

For stair access: tread depth, the distance from the front to the back of each step,must be 300mm or more.

For ladder access tread depth must provide a minimum of 150mm toe clearance.

For all access types step width must be 200mm or more, the bottom step must be less

than or equal to 400mm from the ground, and step rise must be in the range 150-200mm.

To allow a secure handhold, the handrail should be 30-40mm diameter. Thehandhold or grab bar should be on both sides of the steps. Both handrails should bein reach from the ground and extend to the cabin or operator platform on at least oneside of each access.


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Points

Access1

tally

Access2

tally

Comment

Cabin or operator platform

extending within 50mm of wheeltrack on the current setting(measure with a tape)

6

Mudguards:

- Wheel front face guarded(mudguard & steps & cabindoor)

3

- Full width at top of wheel 1

- Rear extension (down far

enough to reduce entrapment) 1Absence of obstructive controlson operator platform or in cabin,particularly between seat andsteering wheel, and at edges ofoperator platform or near doors

3

Steps:

- Non slip 1

- Safe configuration: slope &

height of 1st step off ground(measure with angle meter andtape)

1

- Adequate size: depth, width,rise (measure with tape)

1

Handholds:

- Diameter 30-40mm (measurewith tape) 1

- Each side of access 1

- Reach, length, slope (check bygetting on & off tractor) 1

Sub-totals20 20

Score out of 20


The one control measure which offers most risk reduction is the cabin or operatorplatform that extends to or beyond the wheel track. The reason for this is a personwho falls will be thrown clear of the rear wheels. Like a ROPS, it does not prevent


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the incident occurring, but it minimises the harm. These measures do not reduce thehazard posed by a trailing implement wider than the tractor wheel track.

Non-slip steps and handholds are best considered as a single, integrated controlmeasure (part of the cabin or operator platform) and not an add-on or after-thought.

It is not practical to design a mudguard as a wheel guard which completelyeliminates the risk of run over. The most that can be achieved is a design reducingthe extent of injury if someone falls onto the wheel.

The mudguard requirements are designed to addressthree aspects:

If contact is made with the front of the rear wheelthen the person is likely to be run over.

Contact with the top of the wheel often leads to theperson being carried to the front of the wheelwhere they are run over.

Falling onto the upper rear section of the wheelcan lead to entrapment by clothing on a tread lugor between the tyre and the mudguard. Either ofthese may lead to carriage to the front of the tyrewhere the person is run over.

On conventional tractors fitted with cabins, doors thatopen to the rear so the door swings back against the rearwheels offer increased protection. This design is commonon most contemporary tractors but some older cabin

tractors have doors which are hinged on the front of thecabin and consequently open to the front, actually forcinganyone who fell onto the rear wheel.

For articulated tractors, the door should hinge on the side nearest a wheel. Thisreduces the chance of falling onto the nearest wheel, usually the front, when enteringor leaving the cabin.

Obstructive controls on the operators platform create a lower fall hazard thaninadequate steps and handholds, but the hazard is greater on tractors without cabins.

These control measures are likely to be more critical on older tractors. They are alsolikely to be more critical on small and general purpose models, which are more

commonly used to perform tasks involving the operator frequently getting off andon the tractor.

Compliance for steps and handholds is in terms of AS/NZS2153.1, AS1657 and thecriteria for the safe access platform retrofit of Davidson et al (year unknown);compliance for non-obstructive controls is with AS/NZS2153.1 and AS/NZS2153.1.3.The requirement for three support points during access is per the designrecommendations in AS3868.

To comply with AS2153.1 steps must be 200mm wide, with a tread that extends atleast 150mm from the tractor, a minimum 120mm and a maximum 300mm equal rise

between steps (with 350mm being allowed a single step), and the bottom step nomore than 550mm from the ground.

Mudguards should cover thefull width of the wheel andthe rear portion shouldreduce the chance ofentrapment (Photo: George

Rechnitzer).


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The standard establishes a minimum. While it does not specify the depth of the tread(only the clearance from the tractor), a step with a depth in excess of 300mm allowsthe foot to fit fully on the step, and creates a more secure foothold, especially whendescending stairs facing forwards rather than backwards.

A bottom step no more than 400mm from the ground, and a rise no more than200mm, render the steps easier to use for a wider range of operators, particularlysmaller people.

The access should also comply with AS1657. This means the slope should be lessthan 45 if stairs are used. Between 45 and 60 is an unsafe zone and neither laddersnor stairs should be used. For angles between 60 and 70 a step ladder is suitable.Rung ladders are needed from 70 to 75 and greater than 75 requires a verticalladder with safety cage. But, step-type ladders must have a structure at the top ofthe ladder to prevent a person descending the ladder forwards.


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User protectionWhile roll overs and run overs are high profile, obvious hazards tractor operators arealso at risk of injury when guards are missing, service access is difficult and fromsimply working outdoors.

A relatively small proportion of tractor-related deaths on farms is associated with thelack of guarding on the tractor itself. Although difficult to quantify in the availabledatabases, lack of guarding plays a significant role in non-fatal traumatic injuries.Among those requiring hospital treatment following a crushing-type injury, the morecommon scenarios include being caught in hydraulics, linkages, PTO shafts and fanbelts (Ashby and Day, 1995; Day and McGrath, 1999).

Guarding of moving parts is a fundamental principle of occupational riskmanagement. A small number of tractor-related deaths are associated withinadequate jacking during maintenance, and non-fatal traumatic injuries may beassociated with various service and maintenance activities.

Chronic health effects are also difficult to quantify.

Noise-induced hearing loss (NIHL) is widely experienced among farmers. Among asample of some 5000 farmers screened in NSW, hearing loss across the higherfrequencies, typical of NIHL, was common among farmers aged 45 years or more(Fragar and Franklin, 2000).

7. Guarding

Note all the missing guards in the comments column.

All hot (for example, exhaust) and moving (such as shafts, pulleys, flywheels, gears,

cables, sprockets, belts, chains, couplings, fan blades) parts should be guarded.

For tractors with no PTO (power take off), PTO guards are not required since there isno rotating shaft to guard so sixteen points are scored.

Where a PTO is fitted: if there is a master guard, score six points; if only a cup guardthat screws over the PTO shaft is fitted, score three points. A cup guard is not aseffective as a full guard when removed for operating the PTO and is not as likely tostay in place.

The PTO auto shutdown, if fitted, should activatewhen a person enters a zone defined by a margin of

two metres about the PTO shaft. Shutdown should berapid. A rapid shutdown and minimum machinedamage is assisted by the use of an overrun clutch onthe driven machine. Enter the zone cautiously,ensuring a safety margin from moving parts.

If the engine fan is fully guarded score four points.

For other guards, deduct two points for each onemissing.

Cup PTO guards are less likelyto stay in place and provide noprotection when the PTO is inuse. (Photo: GeorgeRechnitzer).

-


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No PTO 16

If no PTO go to

PTO master guard 6

If PTO master guard fitted go to

PTO cup guard 3

Automatic shutdown of PTOtriggered by human presencesensor with range close to the PTO

6

Engine fan guard 4

Any other guard missing deduct2 each

Total score


Guards should comply with AS/NZS2153.1 andAS4024.1. The PTO guard should comply withAS1121.

The assumption is that the tractor should be fullyand functionally guarded. Depending on design,different tractors will have different guards. Rather

than specify a list of options which may proveincomplete for a particular tractor, it is easier toscore negatively, deducting from an optimum total.The only guards specified for positive scoring arethe PTO master guard (or cup guard) and theengine fan guard, as these guards protect from themost hazardous features.

While nearly all tractors are fitted with a PTO this is not the only means of supplyingpower to machinery. Suitably designed hydraulic systems are one alternative whichremoves the hazard posed by a rotating PTO shaft.

The area in proximity to the rotating PTO shaft is high risk. The optimum controlmeasure is an automatic shutdown device triggered by an electronic sensor. Suchsensors are common in fixed plant and have been trialled experimentally on tractorsin the US.

The optimum PTO guard(Photo: Scott Boyle).


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8. Traumatic injuries: serviceability and maintenance

To receive full points each item must:

Be accessible while standing on the ground or, if mounting the tractor isnecessary, there needs to be a non-slip platform with handholds.

Have satisfactory manual handling criteria for heavyitems, such as no hazardous stretching, lifting ortwisting.

Not be likely to cause cuts or bruises while performingservice or maintenance.

Items where routine servicing is satisfactory, but majorservicing or replacement requirements are unsatisfactory,may be awarded reduced points. For example, remotebattery jump start connectors that can be reached from theground on a battery that cannot be replaced from the ground

without hazardous stretching and lifting might be scored oneout of a possible two.

Check filling ports are clearly marked, especially fuel andtransmission fluid. Award reduced points if filling ports arenot clearly identified.

Also check the effort needed to unscrew caps, undo or lift covers, and the like.Where this is hard, award reduced points.

If the bonnet has to be raised to gain access to service items, check the security of thestruts that lift or hold up the bonnet. If these are not secure, award reduced points

for the service item(s) being rated.Racked weights are those mounted on a rack, usually on the front of the tractor.


Satisfactory access andhandling:

1. filters(air cond., fuel, oil) 1-3

2. grease nipples 1-2

3. radiator filling 1-2

4. diff/transmission dipsticks 1-2

5. fuel filler 1-3

6. battery 1-2

7. racked weights (if no rackedweights, give three points)

1-3

8. jacking points, and clearlyidentified on tractor frame

1-3

Total score

If it is necessary to climbonto the tractor to accessa service point then non-slip steps and handholdsmust be present (Photo:Scott Boyle).


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While this risk category does not result in as many fatalities as other categorieswithin the rating system, it is responsible for many injuries. Some injuries arepermanently debilitating, imposing a burden upon the affected individual, the familyand the community equal to or more than a fatality.

Access for service and maintenance should comply with AS/NZS2153.1 andAS/NZS2153.3.

On big tractors, access to some service points may require climbing on the tractor.For example, it may be necessary to climb onto the front tyre or axle to get access tothe radiator.

Similarly, with heavy items such as racked weights and batteries, hazardousstretching, lifting, twisting and the weight of individual items should be considered.Fitting of wheel weights is considered a specialist operation and is not part of thisassessment.

Some items, such as batteries and radiators, may have difficultor high access points for major servicing or replacement, buthave much easier routine service points. An example of a goodroutine service point is an expansion tank for a radiator foradding small amounts of coolant or pH testing.

It is preferable to have access from the ground to maintenancepoints, rather than having to climb onto the tractor, as thisreduces the risk of falls. Where tractors are being compared,the tractor with accessibility from the ground should be ratedhigher than one requiring climbing onto the tractor unless

satisfactory foot and hand holds are provided.Adequate access toservice pointsreduces injury riskswhen servicing(Photo:George Rechnitzer).


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9. Chronic health effects: sound and sun protection

Sound can be measured with a basic sound levelmeter. Otherwise, if engine noise is too loud to hold anormal conversation with the tractor operator, thesound level is too high. Check the noise level whilethe engine is idling, and then at the engine speed thatgives rated PTO speed.

If a cabin is fitted and the air conditioning is notworking then give zero points out of eight.

The glass in the cabin should have UV protection. Thisshould be marked on the glass or indicated in themanual. If there is no evidence the glass offers UVprotection, score zero out of two.


Sound at operators ear less than85dBA

10

If no cabin on tractor go to

Sun protection for tractor withcabin:

- cabin with working airconditioning

8

- cabin with UV glass 2

Total score then go to next category

Sun shade on ROPS 8

Total score


Noise measurement should be compliant with AS/NZS1269. The design criteria forsun protection and ventilation are in response to known health risks associated withthe operating environment.

Although the rating system focuses on acute injury rather than chronic health effects,these criteria have been included because noise induced hearing loss, heat stress andskin cancer are all well documented outcomes of unprotected agricultural machineryoperation. Like the traumatic injuries associated with service and maintenance, thesechronic conditions pose a significant health risk.

As it is virtually impossible to achieve satisfactory noise levels without an insulatedcabin, the assumption is that only a cabin will meet the noise criterion. For tractorsfrequently working in and around pedestrians, environmental noise should bemeasured outside the tractor to the same standard.

A cabin without air conditioning is not satisfactory as the large glass area and typical

Australian operating conditions present a high risk of heat stress.

Sound must be measured nearthe operators ear.(Photo: George Rechnitzer).


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Information and controlsProblems with controls are not always an obvious cause of accidents.

When fatal accidents occur in the absence of witnesses, which is common on-farm(Franklin et al, 2000), it can be difficult to reconstruct the sequence of events.

The ability to start a tractor with the PTO engaged caused a fatality during servicingwhen the operator forgot the PTO was on (Source: NOHSC, 2000).

The lack of positive gear engagement, together with poor marking of gears (especiallyreverse), contributed to at least four fatalities nationwide during the period 1989-1992(Source: NOHSC, 2000).

Unsafe work practices are a contributing factor to most tractor related fatalities(NOHSC, 2000).

10. Crush, run over and entrapment: safe operating controls

A key switch is the preferred engine stop control. Where mechanical engine stopcontrols are used the direction of movement shall be pull to stop. Regardless of theoption used, the engine stop control must remain in the stop position once released.

Give stop control zero points if it does not rest in the stop position, only two if thedirection of movement is wrong.

If the mechanical stop control is located in a position where it can be bumped whilegetting on or off the tractor, record this as an obstructive control in Section 6Operator run over: reducing slips, trips and falls.

If a power take off (PTO) or other type of power transfer system (PTS) is not fittedthen give 11 points.

If a PTS generating rotary or reciprocating motion in the attached machine is fitted,controls must have two movements one to release the control from the stopposition, and a second to engage the PTS. The control should not require twomovements to disengage as this increases the reaction time to effect a shutdown in anemergency situation. A lever which simply slides up and down a track is notacceptable. An alternative is a recessed button in a shroud, that has to be held downto engage but only pressed to disengage. Such controls are given four points.

The PTO or other PTS must require disengagementbefore the tractor will start to reduce the risk of

pedestrians becoming entrapped in machinery whenthe tractor starts. Controls meeting this criteria aregiven an additional five points. If the tractor doesstart with the control selected but the PTO or otherPTS does not operate then award the full five points.

If there is an external PTO or other PTS shut downcontrol, score two. Check that it works.

Travel gears should engage distinctly: stay in when put in, in the gear required.

Gears should also be clearly marked either by decals, or raised or engraved letters inthe tractor body. Decals should be intact, readable and easily seen from theoperating position. Speed ratios in infinitely variable gearboxes should be clearlyindicated by the speed selector.

1

2

1

2

Power transfer system controlsshould have two movements: thefirst to release the control and thesecond to engage the powertransfer system.


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11. Information: safe work practices

Four points are available for each of the three main sections of the operators manualoperation, maintenance and safe systems of work including emergency procedures.

Award fewer points for sections where the manual is unclear, difficult to understandor does not fully explain the topic.

If the manual is missing or not in English, give zero points. For electronic on-boardor computerised manuals an extra point is awarded.

Check that decals are undamagedand satisfactory for all operatingcontrols, guards, three-pointlinkage where fitted, powertransfer systems and slow movingvehicle (SMV).

Power transfer systems include,but may not be limited to, PTO,remote hydraulics and belt pulleys.

Decal graphics should be easilyunderstood and specific to thehazard. General warning graphics are not acceptable. Text accompanying graphicsshould warn against hazardous work practices or recommend safe work practices.Check that there is a decal for each feature listed in the table below.

Points Tally CommentOperators manual

- Operation 1-4

- Maintenance 1-4

- Safe systems of work 1-4

- Electronic on-board manual 1

Full set of decals

- Operating controls (in cabin oron operator platform) 1

- Three-point linkage (external,crush warning)

1

- PTO (external, entanglementwarning)

2

- Guards except PTO (external) 1

- Slow moving vehicle (external) 2

Total score

Damaged decals that are difficult to read should bescored as missing. (Photo: George Rechnitzer).


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The operator's manual should comply with the National Standard for Plant, andAS/NZS2153.1 and AS/NZS2153.3.

The operators manual provides key information on safe working practices, and has

been weighted over the decals. The main problem with decals is they tend to wearoff and are rare on old tractors. At least if an adequate operators manual isavailable, the operator has some guidance. Even an older operators manual is oftensatisfactory in relation to safe operating procedures.

Provision of electronic on-board information is increasingly a feature of new tractors.The technology certainly exists to provide full on-board electronic assistance such asa manual or a computerised help function.


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PedestrianAlmost 5% of tractor related deaths on farms are due to pedestrians being run over(Franklin et al, 2000).

Most pedestrians who are run over are children under the age of five years (NOHSC,

2000). Tractor operators and other workers in the area are typically unaware of thepresence of the child. In some cases, the child was not seen despite the presence ofrear view mirrors.

12. Pedestrian run over and collision (primary controls): vision and visibility

Most tractor seats have suspensions, with the height adjustable to the operatorsweight to allow the seat suspension to work properly. Check adjustment.

Check rotation or pivoting operation of seat (if present).

Check the mirrors and their adjustment

while sitting in the operators seat. A secondperson to stand at the rear of the tractor maybe helpful in identifying any blind spots. Ifthere any blind spots either to the front orthe rear, score zero for the item.

Headlights, yellow turn indicators, clearancelights and reflectors are required.Headlights need to be able to be dimmedand clearance lights include tail lights. Ayellow warning light is also required but is scored in Section 13: Pedestrian run over:

alerts to pedestrians. Brake lights are required for all tractors.Broken lights may present a hazard if the contact points are exposed, particularlyhigh intensity discharge (HID) lights. If HID lights are broken, the exposed contactpoints present an electrocution hazard since they operate at 20,000 volts. Note thisrisk in the comments column.

HID lights can usually be identified by the ballast or transformer block that makes uppart of the light.

The human presence sensor must activate when apedestrian is within a zone defined as 3m from the

tractor and behind an imaginary line drawn acrossthe tractor 1m in front of the operators seat. Thealarm must sound while there is an operator on thetractor seat. Use another person to check.

On articulated tractors, check whether a pedestriancould be crushed at the point of articulation. Therisk of someone being crushed will be higher if thepoint of articulation is in a blind spot for the tractoroperator. If the articulation point presents a crushhazard, deduct four points from the total unless

design features reduce the risk.Several design features can be used to reduce the

Well positioned mirrors and lights canimprove pedestrian safety. (Photo: GeorgeRechnitzer).

seat

3m

1m

Pedestrian alarm

zone

When a pedestrian enters the alarmzone, the alarm must sound whilethere is an operator on the seat.

-


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risk of being crushed.

If there is a ram travel restrictor to lock out thearticulation for servicing, only deduct two points.

If there is a failsafe mechanism, deduct no points,

even if there is a blind spot.Examples of failsafe mechanisms include:

Restricted articulation, which preserves a bodyspace in the articulation zone, thus making itimpossible for someone to be crushed.

Electronic locking of articulation rams if a personis within the articulation zone.


Height adjustable driver seat 2

Pivoting/rotating driver seat 3

Forward view unobstructed 4

Adjustable rear view mirrors(both external and within cabin) -able to see past towed loads,beyond outside rear wheels anddirectly behind tractor

3

Lights:

Headlights for highway travel 1

Yellow turn indicators 1

Clearance lights (including taillights) & reflectors

1

Brake lights 1

Human presence sensor fittedon rear of tractor which soundsalarm, only when operator on

seat

4

Articulated tractors only:

- blind spot in crush zone butwith travel restrictor forservicing

deduct2

- blind spot in crush zone and notravel restrictor for servicing

deduct4

Total score

Articulation zones can be acrush hazard. Checkcarefully against the riskcriteria (Source: FarmingAhead No. 112, page 10,Figure 1).


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Compliance for seat characteristics is with AS/NZS2153.1. Compliance for lightingis with the draft recommendation for National Lighting, Reflectors and BrakingStandards for Special Purpose Vehicles Type Plant. The requirement for brakelights on all tractors is in response to road crash data. The visibility and articulationcontrols are design criteria in response to death and injury data.

A rotating drivers seat may not eliminate blind spots but it does reduce them, givingthe potential to increase the rearward field of view when moving backwards.Additionally, a fully adjustable and suspended drivers seat reduces the risk offatigue and whole body vibration.

Forward view is defined in terms of lack of obstruction, and rear view by the abilityof the rear view mirrors to eliminate blind spots. These features are complementaryand of equal weight.

The lights are an aid to visibility, given tractors are often used at night and pose a

hazard to vehicles on public roads and pedestrians, especially children, in andaround farm sheds. Both the driving lights and the taillights should be bright, andboth should be well protected against accidental damage.

Work lights are not included because they are specific to the operating environment.If present, work light should be checked, and their suitability evaluated as part of thefull risk assessment (see Risk Assessment section in introduction).

Human presence sensors are common on mobile plant used in mining andmanufacturing industries, where the mobile plant has to work alongside pedestriansthereby creating a risk to the safety of these pedestrians.


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13. Pedestrian run over (secondary controls): alerts to pedestrians

Check that the beacon comes on when theignition is switched on, and that it goes offwhen the work lights are switched on. Thebeacon operation must be independent ofheadlight operation.

If the beacon has to be activated manually or iskeyed to the ignition but doesnt go off whenthe work lights are turned on, only five pointsare awarded. Manual activation introduceshuman error and a beacon that stays on whenthe work lights are on is an operator distraction.

Check that the beeper is activated when thetractor is put in reverse and that it cuts out after

three to five seconds. Sound level should be more than 87dBA when measured 10mfrom the tractor. If a sound level meter is not available, the beeper should besufficiently loud to prevent normal conversation. Check the manual or beeper kit (ifa retrofit) for the sound level rating.

If the beeper has to be activated manually, is keyed to the ignition or is activated byreverse but not time limited, only five points are awarded. Manual activationintroduces human error and a constantly sounding beeper is an operator distraction.


Constant flashing beacon, ontop of cabin or roll frame, whenignition on, keyed to work lights

10

If the beacon is keyed to the work lights go to

Constant flashing beacon, ontop of cabin or roll frame, whentractor in motion either keyedto ignition or manual

5

Beeper for reverse, on time

limited switch, more than 87dBA

10

If there is a beeper activated by reverse and time limitedtotal score then go to next category

Beeper keyed to ignition,activated manually or not timelimited in reverse, more than87dBA

5

Total score

A reverse beeper will warn out of sightpedestrians that the tractor is about tomove.


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Rationale and comment

The beacon and beeper are design criteria in response to death and injury data, andare requirements for plant hired by the Roads and Traffic Authority in NSW.

While it is common for road and construction plant and plant used in and around

warehouses and factories to have pedestrian alerts, it has not been the practice foragricultural tractors. This is despite the high number of pedestrian run overs on-farm.

Pedestrians are at risk when working directly alongside tractors. This can occurduring picking in orchards and vineyards or around seed sheds and grain storage.

Farms also put people other than employees at risk. Because the farm workplace isnot segregated from the farm home, run overs of children, family members andvisitors are frequent.

Any risk assessment evaluating the need for pedestrian alerts has to consider the fullrange of possibilities that brings tractors together with pedestrians. OHS legislation

applies to the workplace as a whole, making those using plant such as tractorsresponsible for the health and safety of all at the workplace, whether employed ornot.

The flashing beacon may be keyed to the work lights because an illuminated tractor,using both front and rear work lights, will be just as visible at night as one with aflashing roof top beacon.

The system works by having the flashing beacon come on when the tractor is started,but going off when the work lights are turned on. Since lighting rules for road traveldo not permit work lights to be used when on roads the beacon will be active when

the tractor is on the road. This means the flashing beacon will be a daytime and roadtravel alert.

In paddocks at night a flashing beacon can be an operator distraction and it is notrequired as a control measure provided other lights are operable. This will occurwhen the working lights are turned on for nighttime, in-paddock operation.

State road laws require flashing beacons for travel on public roads.

The reverse beeper is a back-up measure. The assumption is that pedestrians aremost at risk when in blind spots behind the tractor. An audible alert will warn suchpedestrians who may not be aware the tractor is about to move and who are notvisible to the driver.

The beeper is time-limited because many tractor operations involve intensive reversecycles, especially with a front-end loader fitted (for example, when loading andstacking bales). A constant beeper is another operator distraction.

For tractors frequently working with pedestrians, road transport authority or councilplant, for example, the beeper will need to sound as long as the tractor is in reverse.


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OptionsTractors are mostly operated with implements, primarily attached to the rear but alsoto the front (NOHSC, 2000). These implements are major causes of death and injury.

One of the most popular implements is the front-end loader, which is fitted to many

new tractors as standard equipment. Five deaths on farms were attributable toloader operation during 1989-1992 (NOHSC, 2000). Front-end loaders are also asignificant cause of non-fatal accidents (VISS, 1995-1999).

In addition to falling objects from front-end loaders, tractor operators are exposed torisks associated with other falling objects such as tree limbs. A small proportion oftractor related deaths on farms is associated with the lack of protection from fallingobjects (NOHSC, 2000).

The carriage of passengers is another relatively common practice. Passengers are thefatally injured person in close to 10% of tractor related deaths on farms. Invariablyinjured passengers were not properly seated nor restrained (NOHSC, 2000).

If an option is not fitted, enter NP in the score box to indicate it is not present.

14. Crush: attaching implements to three-point linkage

Check that the three-point linkage master control (in cabin or on platform) cannot bereached when standing on the ground, drawbar or linkages at the rear of the tractor.Do not have the tractor running. Stand at rear and reach over.

An external three-point linkage control scores three points.

When these controls are placed near the outside edge of the mudguard they score anadditional two points.

If the external control near the outside edge of the mudguard is less than or equal to1.8m above the ground, it scores another one point. Measure with tape.

Check that the linkage activation via the external control is staged or slow with thehydraulics activated. The linkage must stop moving when the control is released.


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Three-point linkage mastercontrol (in cabin or on platform) notoperable when standing on theground, drawbar or linkagesbetween tractor and implement

7

External (not in cabin or onplatform) three-point linkagecontrol at tractor rear

3

External control:

- near outside edge of mudguard2

- 1.8m from the ground (measure)

1

Limited, staged (max 100mm peractuation) or slow (less than 900mmper minute) activation for externalthree-point linkage control withstop on release (operate, measure,time)

7

Total score


Compliance for the three-point linkage is with AS/NZS2153.3.

The key risk control measure is thethree-point linkage, which cannot beoperated from the ground betweentractor and implement.

If a second set of controls is provided atthe rear of the tractor, they should belocated near the outside edges of themudguards rather than towards theinside edge. This puts the operator

outside the risk zone between the rearof the tractor and the attachedimplement.

External controls are common on largertractors, but are often at the limit of anaverage persons reach, if not beyond.This defect could be remedied byextending the rear mudguard downfurther, to bring the controls withincomfortable reach of an average

person.

While this external three-point linkage control hasstaged activation it is on the inside of themudguard, forcing the operator to reach into thedanger zone. (Photo: George Rechnitzer).


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15. Rollover and rollback with FEL: stable and safe

The tractor should be immobilised and tagged as unsafe for use if:

The rear wheel fraction is less than 50% when a front-end loader is fitted andloaded to capacity.

Relief valve setting cannot be assessed withoutmeasuring rear wheel fraction and front axleloading.

Without load cells, it is not possible tomeasure rear wheel fraction, or whether thetractor specifications are exceeded.

Information should be sought from whoeversupplied the loader to determine if it complieswith the Tractor and Machinery Association(TMA) code of practice (COP). The TMA is

expected provide certification methods to thiseffect in the near future.

If certification or sufficient information is notavailable to assess any criteria, then give nopoints to that criterion.

Presence or absence of the other features can beestablished by visual inspection.


Loader relief valve adjusted sorear wheel limit and tractorspecification cannot be exceeded

10

If relief valve fitted go to

Rear wheel fraction more than50% at all times

5M

Tractor specifications notexceeded

5

Level-lift loader design 5

ROPS/FOPS compliant cabin 5

Total score


Compliance is in terms of the TMA code of practice.

Although a FEL is an attachment, and this rating system excludes attachments ingeneral, it has been included as a high proportion of new tractors are now sold withFELs.

The criteria are a cluster of control measures that make up a total design package.

Source: Farming Ahead No. 109, p13,Figure 1.

-

-


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Setting the loader relief valve appropriately will ensure the necessary rear wheelfraction will always be maintained and the tractor specifications will never beexceeded. The relief valve works by allowing oil to escape from the lift cylindercircuit if hydraulic pressure exceeds the preset level, limiting the amount of load thatcan be lifted and the effect on the tractor.

The loader relief valve must be set by the supplier of the loader-tractor combination.

Weighting is given to the rear wheel fraction, as this is the most critical primarycontrol measure in terms of preventing a tractor fitted with a front-end loader fromrollover, the most common fatal accident. With more than 50% rear wheel fraction,the loader is stable; with less than 50%, the loader-tractor combination is inherentlyunstable.

Exceeding tractor specifications, particularly the front axle load, does not leadimmediately to instability in the way unloading the rear wheels does. An excessiveload on the front axle, for

example, will result inmechanical failure, the mostlikely consequence being rollover.

Presence of level-lift is theprimary control measure forpreventing roll back of a loadonto the operator, the fatalaccident second to rollover interms of FEL operation.

A ROPS or FOPS compliantcabin is a secondary, harm minimisation control. It does not prevent roll back butreduces the risk of injury to the operator, though not to pedestrians, in the event ofroll back.

There is much less chance of the load rolling back ontothe operator when a loader of level-lift design is used.

(Source: Farming Ahead No. 109, page 18, Figure 12).


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16. Operator hit by falling object: FOPS

For tractors involved in forestry, land clearing, earthmoving, construction or miningoperations where there is a risk of injury to the operator by a falling object a FOPScompliant cabin is required. Tractors that are used extensively in front-end loaderoperations where heavy loads are elevated may also require a FOPS compliant cabin.

Check for a compliance plate, which may be either in the cabin or on the outside.The plate must identify compliance with the Australian standard AS2294,international standard ISO 3471-1 or US standards, SAE

J1040 or SAE J167. Record the standard the FOPScomplies with in the comment column. Note the serialnumber. If no compliance plate or serial number can belocated, zero points are given.

For general agricultural work where a FOPS is required,SAE J167 is satisfactory. For tractors used in earthmoving

or mining, where the falling loads are higher, compliancewith AS2294 (or the international and US equivalentslisted above) is required.

The risk has to be assessed for the specific operatingenvironment and the FOPS compliance evaluated interms of the risk assessment.


FOPS (check plate for AS2294,

ISO 3471-1, or SAE J1040 or J167) 20

Total score


The FOPS should comply with either AS2294 (earthmoving or mining operatingenvironment) or SAEJ167 (agricultural environment).

This is a stand-alone control measure either present or absent, with present giving afull score and absence no score. A FOPS is a requirement for specialised operations,

such as earthmoving and for

Documents

Machineries Selection07