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Accident Analysis and Prevention xxx (2015) xxxxxx

Contents lists available at ScienceDirect

Accident Analysis and Prevention

journal homepage: www.elsevier.com/locate/aap

A case study of machinery maintenance protocols and procedures

within the UK utilities sector
David J. Edwards a, , Peter E.D. Love b
a
Faculty of Computing, Engineering and Built Environment, Birmingham City University, 15 Bartholomew Row, Birmingham B5 5JU, UK
b
School of Civil and Mechanical Engineering, Curtin University, GPO Box U1987, Perth, WA 6845, Australia

a r t i c l e i n f o a b s t r a c t

Article history:
Received 27 July 2015
Received in revised form 23 October 2015
Accepted 25 October 2015
Available online xxx
Dedicated to Mrs. June Edwards, a lady of
great distinction who preserved the health
and dignity of others for many years. A
loving mother and grandmother, without
whose help, this work and many
achievements would not have been
possible.
Failure to conduct periodic xed-time-to (or scheduled) maintenance on off-highway plant and equip-
ment represents a signicant health and safety hazard and major litigation risk for utility contractors
completing service excavation and reinstatement works on public highways. Mini-excavators are a ubiq-
uitous mobile plant item used for such tasks and have recently been responsible for several major injuries
and fatalities involving workers and members of the public in the United Kingdom (UK). The research
utilises the method of triangulation to examine the maintenance practices of utility contractors in the
UK. Findings from the research reveal that a combination of prevailing market forces and internal com-
pany pressures have inadvertently removed knowledgeable and trained operators, site foremen and
managerial supervisors from hands-on maintenance inspections. Rather, virtual maintenance protocols
and procedures are adopted by head ofce but rarely fully implemented on-site. The research concludes
with pragmatic recommendations and direction for future research.
2015 Published by Elsevier Ltd.

Keywords:
Mini-excavators
Maintenance
Accident prevention
Safety

1. Introduction and litigation risk and often machine maintenance is a contributory

A typical machine used for the excavation and reinstatement of
utility services is the mini- (or compact) excavator (Edwards and
Holt, 2011), which has often been referred to as the industrys Swiss
Army Knife, given its inherent versatility in design and application.
These machines can be used for materials handling, concrete crus-
hing, demolition and compaction, in addition to excavation works
(Salcudean et al., 1997; BSI, 2006). Unfortunately, in recent years,
an increasing number of incidents have occurred involving mini-
excavators, including: inadvertent activation of machinery controls
(Fox, 2014); instability (Edwards and Holt, 2011); hitch detachment
(OPERC, 2008a); inadequate visibility leading to struck-by and/or
crushing (Edwards et al., 2004; HSE, 2009); load detachment or
struck-by during lifting operations (HSE, 2014a); and service strikes
(HSE, 2014b). These incidents present a signicant health, safety
Corresponding author.
E-mail address: drdavidedwards@aol.com (D.J. Edwards).
factor.
Despite their popularity, research into mini-excavator safe oper-
ation and maintenance in practice remains scant (Edwards and
Holt, 2014). Rather, most research that has been conducted tends to
focus upon engineering design, operation simulation or ergonomic
design and operator comfort. For example, Budny et al. (2003)
investigated the control of excavation processes by applying load-
independent hydraulic valves. Karlinski et al. (2008) examined the
passive safety of operators and the protective structures inherent
with machinery design. Wallace and Cheung (2013) evaluated a
dust suppression system tted onto the machine for controlling
environmental pollution in demolition and construction opera-
tions. Ha et al. (2000) developed a robotic application for bucket
digging trajectory whilst Smith (1999) and Smith et al. (1999)
developed models for productivity and earth moving performance
measurement.
Given the paucity of practice-based research conducted hith-
erto, and the aforementioned rise in incidents, this research aims to
investigate the machinery maintenance protocols and procedures

http://dx.doi.org/10.1016/j.aap.2015.10.031
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2 D.J. Edwards, P.E.D. Love / Accident Analysis and Prevention xxx (2015) xxxxxx
being used by utility contractors for their mini-excavators on site.
Specic objectives include to:
determine current deciencies in on-site maintenance practice
and procedure;
provide recommendations for mitigating risks that could result
in injuries or accidents; and
recommend future research that is required to ensure safe
working practices when operating and maintaining plant and
equipment.
As there has been limited research to examine risk mitigation
for machinery within construction, a research approach that is able
to systemically accrue multiple viewpoints is required to obtain a
balanced understanding of their occurrence.
2. The UK utilities sector
The utilities sector (electricity, gas, telecommunications and
water) provides vital services that facilitate economic and social
development, and are a prerequisite for eradicating poverty (ILO,
2009). Within the United Kingdom (UK), various statutory instru-
ments ensure a continuance of reliable, universal access to utilities
within a competitive market; these include: the Energy Act,
2013 (HMSO, 2013); the Fuel Poverty (England) Regulations, 2014
(HMSO, 2014); and the Utilities Act, 2000 (HMSO, 2000). However,
a report by the regulator The Ofce of Gas and Electricity Mar-
kets (Ofgem) and the Ofce of Fair Trading (Ofgem, 2014) found
that amidst the publics growing distrust of the six largest utility
companies, suppliers prots were increasing despite no evidence
of them attempting to reduce their own costs or improve customer
experience. As competition was not working as it should, Ofgem
applied for a referral to the Competition and Markets Authority
(CMA) (CMA, 2014). Some utility companies have already begun to
respond to, for example, Ofwats PR14 business plan (Ofwat, 2014),
by reducing wholesale and retail expenditure through measures
such as voluntary redundancies (Welsh Water, 2014).
The prevailing governments National Infrastructure Plan sets
out an ambitious 100 billion (UK sterling) investment in infra-
structure to ensure a continuance of economic growth (UK Trade
and Investment, 2014). Such investment has created signicant
opportunities for both the maintenance of existing services and
additional improvements, which include new services, and stimu-
lated employment opportunities (despite efciency gains sought).
Works are undertaken either by the utility company directly, by
a contractor(s) or a partnership between them and other mem-
bers of their supply chain (including plant hirers). Automation is a
predominant feature of utility works because it can augment pro-
ductivity performance (Edwards et al., 2003) and meet efciency
gains sought by government. However, despite the abundance of
forthcoming contract work, there is a growing perception amongst
professional contractors and hirers within industry that machinery
is being used irresponsibly and maintained inadequately in order to
drive down productivity costs and meet insatiable utility company
demands for prots. This economic-political backdrop, combined
with anecdotal practitioner evidence, affords further justication
for this research.
3. Research method
Triangulation is an approach that accommodates both qualita-
tive and quantitative methods of inquiry, thus enabling a stronger
research design to be accrued, together with more comprehen-
sive research ndings. The triangulated approach adopted for this
research relied upon the use of interviews, documented sources,
Please cite this article in press as: Edwards, D.J., Love, P.E.D., A case study of machinery maintenance protocols and procedures within
the UK utilities sector. Accid. Anal. Prev. (2015), http://dx.doi.org/10.1016/j.aap.2015.10.031
focus groups and on-site observations. The four collaborating
utility contractors sought research via an independent academic
institution that would suitably isolate the investigation from inter-
organisational and inter-departmental inuences (i.e. health and
safety, production and so on). Anticipated benets included the
generation of an impartial account of current practices and the
development of guidance to improve practice, thus yielding maxi-
mum impact.
3.1. Data collection
Data was collected predominantly through interviews, video
footage and images taken using a Canon EOS550D camera; addi-
tional hand written notes were also taken to record impromptu
meetings or telephone calls. Previous research (Edwards and
Holt, 2014) has shown that audio-visual records of maintenance
experiences on-site provide an elaborate account of contempo-
rary practices through the exploration of worker experiences and
additional interrogation of the images recorded. They also afford
sponsoring organisations the opportunity to learn from everyday
experiences of workers and site managers.
3.2. Operational approach
The operational approach adopted for this research encom-
passed three core stages: (1) pilot work; (2) a stakeholder focus
group; and (3) on-site machinery inspections (Fig. 1).
Pilot work was sub-divided into three activities. First, formal
meetings held with sponsoring utility contractors sought to clearly
dene the research scope and agree formal contractual terms
and conditions. Second, a random sample of workshop based
xed-time-to (or scheduled) maintenance (typically 250, 500 and
1000 h service) and daily maintenance records were inspected.
Scrutinising these records allowed a clear understanding of
maintenance procedures and practice to be developed. Third,
unstructured interviews with stakeholders sought to ascertain the
validity and reliability of the research tools, and also to identify
any practical problems faced by the research team (Cholasuke
et al., 2004). Typical questions posed sought to elicit information
on the types of faults found and common reasons for these. Key
stakeholders included self-nominated representatives from the
utility contractors (4 no.) and members of their supply chain, e.g.
plant hirers (4 no.), sub-contractors with owned plant (30 no.) and
original equipment manufacturers (OEMs) (5 no.). A stakeholder
focus group held at circa twelve monthly intervals, presented
members of the group with an opportunity to review progress
and inspection reports, and provided invaluable feedback and
additional research direction. The on-site machinery inspections
extended over a three-year period (20132015), during which
machinery inspections and accompanying site visits were com-
pleted in 10 major UK cities and their surrounding suburbs. In
total, 289 (no.) machines were inspected during this period.
4. Pilot study
Initial meetings with utility contractors revealed that they had
recorded a number of major incidents involving mini-excavators
(weighing 3 ton) in recent years. These incidents had led to con-
cerns about corporate reputational damage, an elevated risk of
litigation and importantly, the prevention of fatality involving
workers and/or members of the public. The research scope there-
fore focused upon 3 ton mini-excavator machines working on
utility excavation and road/pavement reinstatement activities on
public highways. These machines use a variety of attachments,
including buckets and impact hammers, supplied by high-pressure
hydraulic lines connected to the implementation circuit and
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STAGE 1 Preparatory work Pilot Study

Informal meetings with Inspection of maintenance Unstructured interviews

utility contractors records with all stakeholders
- Establish. research scope; - Fixed-time-to (scheduled); and - Validate research tools and
- Establish terms and conditions - Daily maintenance. methods.

STAGE 2 Field research Stakeholder focus groups

- Recurrent participation at
twelve month intervals. Industrial
Three recurrent
feedback on
meetings held
emergent issues
over a three year
and refinement
period plus
On-site machinery of research
informal
inspections instruments
discussions
- Recurrent participation at
twelve month intervals.

STAGE 3 Analysis Results, analysis and

recommendations

STAGE n Future work Implementation of

recommendations and
measurement of changes
implemented.

Fig. 1. Methodological approach adopted.

attached to the boom and dipper/stick arm. Breaking using impact

hammers negates the use of hand-held air or hydraulic breakers and
prevents hand-arm vibration (Rimell et al., 2008), but it is noto-
riously detrimental to the machines bushes and pins, which are
effectively rattled to destruction (Liu and Zhi, 2013). Considering
the commercially sensitive nature of this research, condentiality
was assured for all sponsoring companies and other stakeholders
within the supply chain.
A random sample of 50 xed-time-to maintenance, and accom-
panying daily maintenance records, were selected for analysis over
a one-week period. Vehicle Identication Number (VIN) plates
(OPERC, 2008b) for all machines were recorded to ensure that the
same machine was not observed more than once. Results revealed
that OEMs, independent tters and in-house tters implement a
comprehensive xed-time-to maintenance regime consisting of
repair, rebuild and replacement of both compartments and com-
ponents within. Notably, no signicant differences in practice were
apparent between hired or contractor owned machines. Typi- Fig. 2. Daily maintenance sheet.
cal items repaired or maintained included pencil beam mirrors,
hydraulic hoses, safety pins on buckets, machinery lights and conducted, but in 15 (no.) instances, the supervisor failed to sign. A
ground engagement gear (i.e. tracks, idlers and bucket teeth). primary reason given for this was that management felt inundated
Daily operator maintenance recorded used maintenance check- with operations work and overlooked this health and safety task.
list forms that were not heterogeneous between utility contractors This led to concerns that company protocols and procedures are
in terms of design but were homogenous in terms of inspec- not being adhered to.
tion/maintenance coverage. Fig. 2 provides a typical sample daily Two sets of unstructured interviews (eight interviews in total)
check sheet and covers items such as hydraulic pipes, lights and were conducted on an individual basis, with safety, production and
greasing. The operator and supervisor should both sign the sheet to plant managers employed by each utility contractor. From these,
conrm that daily maintenance and inspection has been accurately an observational checklist was produced consisting of eight key

Please cite this article in press as: Edwards, D.J., Love, P.E.D., A case study of machinery maintenance protocols and procedures within
the UK utilities sector. Accid. Anal. Prev. (2015), http://dx.doi.org/10.1016/j.aap.2015.10.031
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Table 1
Faults recorded and frequency.

Mini-excavatora faults recorded

Fault category Sub-category Frequency (sample Accident risk Risk

size 289) category L, H or PFb

Bucket hitch and pins Missing or damaged 57 PF Attachment detachment elevated risk of fatality
safety pins via contact with pedestrians, workers or
buildings/other physical assets.
Unspecied safety pins 25 PF Ditto previous
used

Cab Cleanliness e.g. debris
under foot pedals
Broken or damaged
controls
Missing or damaged
decals/safety signage
inc. safe loads
Broken or damaged
seat suspension
130 H Inadvertent operation of controls elevated risk of
contact with pedestrians, workers or
buildings/other physical assets
32 PF Inability to operate correctly elevated risk of
fatality via contact with pedestrians, workers or
buildings/other physical assets
58 H Absent information and instruction reduced
machinery performance and elevated risk of
incipient failure
18 L Whole body vibration elevated risk of lower back
pain

Engine, hydraulics and Low uid levels 143 L Excessive wear of internal components within
brakes compartments elevated risk of incipient
breakdown

Greasing Lack of/no greasing 193 L Excessive wear of bushes and pins elevated risk of
incipient breakdown

Ground engagement Missing bucket teeth 3 L Reduced excavation performance

gear Excessive 32 M Reduced traction and mobility elevated risk of
damage/wear to tracks slips and skids and contact with workers/members
of the public

Hydraulic hoses Burst hoses 5 H High hydraulic pressure release elevated risk of
skin puncture or blinding
Detached hoses 25 H Ditto previous

Lights, mirrors and No pencil beam mirrors
visibility
No convex mirrors
Broken
mirrors/cracked glass
No rear view camera
Broken windscreen
10 H Visibility reduction elevated risk of contact with
pedestrians, workers or buildings/other physical
assets
242 L Ditto previous
118 H Ditto previous
266 L Ditto previous
15 L Ditto previous

Operator guidance Missing or 156 H Absent information and instruction reduced

unintelligible machinery performance and elevated risk of
incipient failure
Damaged 32 H Ditto previous
a
During inspections 55 zero tail-swing machines were inspected (where the cab slews within the connes of the cab).
b
Risk ratings for L, H and PF = low risk (L); high risk (H); and potentially fatal (PF) respectively.

compartments and nineteen components of the machine (Table 1).
This level of detail surprisingly exceeds existing maintenance
inspection coverage; a utility contractor commented: We suspect
that the way that we conduct daily maintenance and inspection on-
site may be inadequate and we would rather collect more data during
this study and rule in or out what is important at a later date.
From a practical perspective, geographical distance and the tran-
sient nature of operations on-site posed the greatest challenges.
Many of the sites were located in remote suburbs and works could
be completed at any time during an eight-twelve hour working shift
(labour and resources permitting). This meant that site-foreman
and works managers assisted in the co-ordination of site activities
as they closely monitor works in progress.
5. Case study
5.1. Focus group meetings
Individual membership of the focus group was uid1 but gen-
erally it consisted of at least one representative from each utility
contractor, one representative each from two plant hirers, one rep-
resentative each from two OEMs and representatives from ve
subcontractors. Having previously identied fault categories and
sub-categories during the pilot study (Table 1), the group next
established three appropriate accident risk categories, namely:
(1) low risk (L); (2) high risk (H); and (3) potentially fatal (PF). Each
sub-category of fault was then allocated to one of the three risk
categories, along with some further description of the associated
risk.
During the rst meeting, discussions revealed differences in
opinion between, most notably, plant hire companies and utility
contractors on issues relating to the categories of fault and also

The case study encapsulated the stakeholder focus group meet-

ings and on-site machinery inspections, where the focus group 1
Due to work commitments, regular attendance by the same individuals could
provided advice, guidance and support to facilitate the on-site not always be guaranteed; alternative company representatives would attend on
machinery inspections. such occasions.

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the maintenance services rendered within the supply chain. One
contractor was adamant that all-round visibility posed a major
risk of struck by or contact with [the machine]. Others within
the groups vehemently disagreed and stated that for both cab
and canopy variations of mini-excavator, visibility met the recom-
mended international standards guidance (BSI, 2007, 2013) and
were conformant to the Supply of Machinery Regulations (SMR)
(HMSO, 2011). The premise for this dispute centred on ambiguity
between SMR and the Provision and Use of Work Equipment Regu-
lations 1998 (HMSO, 1998). The former permits factory tted pencil
beam mirrors, yet non-CE (Communaut Europenne) marked con-
vex mirrors and/or rear view cameras, affording greater visibility,
are not tted as standard. All group members except one felt that
the inclusion of convex mirrors and rear view cameras was exces-
sive nonetheless, the decision was made to collect information on
this sub-category of fault in the best interest of preserving collegiate
working relationships.
Tension between the plant hire companies and utility con-
tractors regards maintenance procedures was observed. Utility
contractors believed that hirers should undertake a far more
robust maintenance and servicing regime. This assumption was not
challenged during the stakeholder focus group meetings but sub-
sequent informal discussions gave an alternative perspective. One
utility contractor stated: Our clients are squeezing every inch of our
prots. One mistake or error in a contract could cause us to lose that
prot things are so tight that we have become overly stretched. We
have great in-house maintenance policies but our high standards of
procedures and practice are not being enforced by our hire companies
on the ground and they need to step up to the mark and work more in
partnership with us.
This apportionment of blame was strongly refuted by hirers who
viewed this situation from a very different perspective; one hirer
stated:
Its an aggressive market but the problem we face is that oper-
ators and contractors do not maintain the equipment on-site as
they should. Instead its almost as though they use and abuse the
machine until it breaks down and then expect us to carry the cost.
We want close partnership arrangements with our customers but
this should not mean that our costs are trimmed any further than
they already have been we have to make a living too!
The uneasy mistrust, if not semi-adversarial discourse, between
the contractor and hirer illustrates how the clients efciency drive
can transcend the supply chain and be cascaded through the com-
panies within it; this despite supply chain companies berating the
cascading-cuts approach. The concept of cascading-cuts, developed
as part of this research, encapsulates the domino-effect of forc-
ing cost efciencies down through the supply chain. Future work
is required to: measure the validity of this assertion; quantify the
nancial impact it has upon individual suppliers; and develop alter-
native measures to counter its occurrence.
6. On-site machinery inspections
Within the UK, mini-excavators typically weigh between one
to three metric tonnes, albeit lighter models are increasingly
available for the small-to-medium, self-employed contractors and
builders. The machines anatomy consists of the undercarriage
and the upper-body superstructure (JCB, 2015). The undercar-
riage is equipped with a dozer blade, track frame and tracks,
idlers and nal drives powered by hydraulic motors and gears;
the undercarriage may offer a variable width conguration for
excavation over service trenches (Volvo, 2015). The upper-body
Please cite this article in press as: Edwards, D.J., Love, P.E.D., A case study of machinery maintenance protocols and procedures within
the UK utilities sector. Accid. Anal. Prev. (2015), http://dx.doi.org/10.1016/j.aap.2015.10.031
5
superstructure consists of the operators cab or canopy,2 engine
compartment, fuel and hydraulic tanks and a counter weight on the
engine compartments tailgate.3 Congurations between manufac-
turers may differ but typically, a mini-excavator has three hydraulic
pumps: two that provide high hydraulic pressure (<5000 psi) for
operating the machines arm, tracks, slewing gear and imple-
mentation drives, and a third low pressure pump (<1000 psi) for
pilot controls that assist in machine operation. The boom, dip-
per arm and attachment for ancillary equipment are tted to
the upper-body and powered by hydraulic lines; movement is
restricted to straight up and down although attachments may
have swivel operation for grading operations on embankments. The
undercarriage and upper-body superstructure are connected by a
slewing ring and centre pin that enable the upper-body to slew
360 .
Each of the 289 machines inspected represented one site visit
and included an interview with the operator of that machine. Often,
a manager, supervisor or ganger-man would be responsible for one
or more machines in their area (so-called patch) as a result, 65
supervisors were also interviewed. Machine selection was based
upon opportunity sampling because of logistical difculties previ-
ously described. A preliminary induction to each individual site was
held to: ensure that job specic risks were explained; that appropri-
ate site policies and procedures were clearly explained and adhered
to; and that appropriate personal protection equipment was worn.
These preliminary sessions also afforded an ideal opportunity to
speak informally to site management about machinery operations
and maintenance. In all cases, the researchers were assured that
operators were trained and competent and that regular machin-
ery inspections were conducted. Post inspection debriengs later
revealed that these initially guarded views obscured concerns and
insecurities of site management (highlighted in the ensuing narra-
tive). Inspections for each of the machines main components are
now discussed and summarised refer to Fig. 3 for the frequencies
quoted.
6.1. Bucket pins and hitches
The accidental release of attachments from their hitches, due
to the retaining pins which secure the attachment to the machine
being missing, has caused several major crushing injuries and fatal-
ities (OPERC, 2008a,b). Such incidents have generated a urry of
industry activity and best practice guidance, which are in addition
to the established legal requirement for thorough inspection, as
stipulated in the Lifting Operations and Lifting Equipment Regu-
lations 1998 (HSE, 2014a). Against this now well established and
documented risk, it was surprising to nd that a signicant num-
ber of machines had either a missing/damaged pin or bolt or utilised
a non-specic pin of unknown shear strength characteristics (fre-
quency (f) = 57 and 25 respectively). Two fundamental reasons for
this emerged from interviews with operators; namely: (1) lack of
training and awareness; and (2) systemic failure to enforce safety
protocols and procedures. One operator said: One of the issues we
have [on this site] is the have a go hero predominantly young lads
who think that they can do any of the jobs on site including operating
2
An operator cab provides a sealed environment for the operator using doors
and windows and windscreen; such components are not used for the open canopy
variant. The canopy variant is often a lighter machine but both variants in design are
tted with an integral roll over protection structure (ROPS) and often falling object
protective structure (FOPS).
3
The counterweight tted to a machines tailgate assists with resisting the forces
of inertia and associated lateral or horizontal instability when slewing. It also offers
protection for the tailgate of the upper-body superstructure, which may slew inad-
vertently into material stock piles. Such contact would invariably cause signicant
damage and repair costs.
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Fig. 3. Missing or non-specic pins on attachments.
the machine. These guys are hell bent on winning medals and impress-
ing management but they dont realise the danger they put themselves
in. It seems that if they do a job quickly they win favour too [with
management] regardless of how reckless they are.
6.2. Cab
Operator cabs are ergonomically designed to provide a safe,
comfortable and productive environment. During inspections some
fellow ground workers complained that operators: were hermet-
ically sealed within a machine that was treated as living quarters
and rarely got of the cab to help ground workers. The on-site evi-
dence gathered reinforced this perception as inspections revealed
that in nearly half of the machines inspected, the operators had
accrued a menagerie of items randomly scattered or piled into cor-
ners of the cabs oor (f = 130). Fig. 4 provides an example where
a roll of gaffer tape, left over lunch remains (wrapped in method
statements for the works) and a D-shackle lifting apparatus, were
amassed perilously close to the operators foot pedals. There was
also evidence in machine cabs of damaged/broken controls, miss-
ing or damaged decals and damaged/broken seat suspension (f = 32,
58 and 18 respectively). One site manager commented: Well the
operator needs to be able to put their gear somewhere especially
this weather [during severe inclement conditions]. When shown the
storage compartment and educated about the dangers posed by
machine control obstruction and the inadvertent operation of con-
trols, the site manager admitted that: Ive used these machines all
my life but Ive never been trained on them and youve taught me
something new today. This apparent lack of knowledge was surpris-
ing, considering that his employer had recently distributed several
Please cite this article in press as: Edwards, D.J., Love, P.E.D., A case study of machinery maintenance protocols and procedures within
the UK utilities sector. Accid. Anal. Prev. (2015), http://dx.doi.org/10.1016/j.aap.2015.10.031
Fig. 4. Cab cleanliness.
safety alerts on these issues and made attendance at relevant tool
box talks mandatory.
6.3. Engine, hydraulics and brakes
Low uid levels within the engine compartment space were
commonplace with a large proportion of machines inspected
clearly in need of daily operator maintenance (f = 143). When asked
the leading question: When do you conduct daily maintenance?
one operator replied: Weekly. Further questioning revealed that
the said operator felt that daily maintenance was completed by
the regional compound foreman once a week and that it was not
his responsibility. Another operator summarised the feelings of his
colleagues when he said: Its a hire machine so its up to the hirer
to do maintenance. Whilst these operators appeared to have abdi-
cated responsibility for maintenance, such would not resonate well
within a court of law which would hold the operator culpable [in
the event of an accident] under section 2(1) of the Health & Safety
at Work etc. Act 1974.
6.4. Greasing
Daily greasing was not adequately applied in the majority
of cases (f = 193). A total failure to grease bushes and pins was
observed in several severe cases where grease nipple points were
irreparably damaged (Fig. 5). The operator of one such machine
at rst claimed to have greased the machine regularly, then later
blamed the site compound for not providing grease guns. Inspec-
tion of the compound revealed that grease guns (and grease) were
plentiful and in full working order. In such instances, clear signs of
abrasion/friction damage and consequential excessive wear rates
were apparent and one hire company tter stated: Ive worked on
larger machines in quarries that use automated greasing systems and
now with smaller machines in utilities. Theres an enormous differ-
ence between the two sectors in quarries, machines are subject to
rigorous daily maintenance and inspection regimes and its part of the
company culture to do this. These small mini-excavators [hired to util-
ity companies] are treated more like washing machines used, abused
and thrown away. Utilities is a very cut throat business right now and
everyone is trying to screw down on price [to increase prots or avoid
insolvency].
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Fig. 5. Irreparable damage to grease nipple points.
6.5. Ground engagement gear
Instances of missing bucket teeth were of low frequency (f = 3)
but excessive wear of predominantly rubber tracks4 were more
commonplace (f = 32). In the majority of these observed cases, tread
depth had eroded to within millimetres of the track itself, reduc-
ing the machines manoeuvrability, particularly when tracking off
road. In turn, this created an elevated risk of contact with workers
or pedestrians. A total of 15 machines with low tread depth were
owned by sub-contractors and when questioned about this issue
one sub-contractor replied: Id like to give you a good excuse and
we know that this is a problem. The truth is that were having trouble
securing regular payment off the main contractor who is holding onto
our money. They will pay eventually but in the meantime, we have to
cut corners to keep the business aoat. Ive got to pay the men rst and
theres no fat [liquidity] in the system.
6.6. Hydraulic hoses
Burst hoses were rare (f = 5) but hose detachment was more fre-
quent (f = 25). A site manager gave a reason for these instances and
offered a potential solution: When excavating, the boom and dipper
arm are constantly in contact with the side walls of the excavation and
this can lead to hoses becoming detached or broken. I suppose greater
operator care is needed but this is a long standing issue and would it be
better for manufacturers to place hoses in the centre of the machines
arm so that they are protected from an aggressive and abrasive
4
Rubber tracks are used predominantly by utility contractors as they cause less
damage to the road or pavement construction. Damage prevention is critical in order
to avoid excessive repair nes from the governing local authority or city council.
Please cite this article in press as: Edwards, D.J., Love, P.E.D., A case study of machinery maintenance protocols and procedures within
the UK utilities sector. Accid. Anal. Prev. (2015), http://dx.doi.org/10.1016/j.aap.2015.10.031
7
Fig. 6. Hydraulic hose detachment.
environment? The operator of the machine in Fig. 6 had a total dis-
regard to machinery maintenance and was only concerned about
production; he said: Its not my machine and Im here to dig holes
thats what I get paid for. Ensuing discussions revealed that this
fault had been present for over a week, yet the operator had signed
off the daily maintenance checklist to conrm that the machine
was in full working order. In turn, checklists were countersigned
by site management who had visited the machine that same day
of inspection and had not noted the hydraulic hose detachment.
It became apparent that site management was also predominantly
interested in production only as reward was linked to site progress.
6.7. Lights, mirrors and visibility
During the inspections it was observed that the majority of
machines were not tted with convex mirrors and/or rear view
cameras (f = 242 and 266 respectively). A visibility assessment
made in both the cab and canopy variants of mini-excavator
machine conrmed the prior contentions of the majority of focus
group participants that visibility was not an issue for this machine
type. One focus group participant added: Senior managers with
limited knowledge of machines, their maintenance and operation
presents an enormous problem for the industry. Decisions are taken
based upon partial knowledge and often the misguided views of sup-
plementary parts providers such as Company A [name withheld]. Ive
seen machines banned, components banned and decisions taken that
have no rationale or basis other than the persons own presupposi-
tion. Unlike the military, we just dont train site managers [on how to
manage machinery] in construction or civil engineering.
Ten instances of missing pencil beam mirrors and 15 cases of
broken windscreens were recorded and visibility was reduced in
these. Vandalism was blamed for these instances and reected a
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8 D.J. Edwards, P.E.D. Love / Accident Analysis and Prevention xxx (2015) xxxxxx
Fig. 7. Broken pencil beam mirrors.
need to securely store machines overnight. A greater issue related
to cracked or broken pencil beam mirrors (f = 118) (Fig. 7) one
site manager stated: Two things here rst, the operator should let
us know and we would replace that part asap and second, would it be
possible in this day and age to t plastic or composite mirrors that dont
break as standard? Whilst the recommendation for innovation has
merit, this comment represents an admission by management that
daily maintenance inspections are not validated on site.
6.8. Operator guidance
A machines operations and maintenance manual is pivotal in
ensuring that it is operated safely and maintained in full working
order. Each machine model is bespoke; operators cannot simply
transfer from one machine to another without familiarisation train-
ing on the new machine. Inspections revealed that many manuals
were damaged, or missing/unintelligible (f = 32 and 156 respec-
tively). Those that were damaged resembled papier-mch (refer
to Fig. 8) and 198 operators openly admitted that they had never
referred to the manual since gaining a competence certicate. One
operator typied the views of the majority of operators inter-
viewed: I wouldnt know where to nd the manual and I dont need
it Ive worked in this industry for years.
7. Summary of on-site inspections
The on-site inspections revealed the occurrence of a number
of breaches to current UK health and safety legislation, including
failure to:
ensure safety at work under Health and Safety at Work etc. Act
1974 (HMSO, 1974);
Please cite this article in press as: Edwards, D.J., Love, P.E.D., A case study of machinery maintenance protocols and procedures within
the UK utilities sector. Accid. Anal. Prev. (2015), http://dx.doi.org/10.1016/j.aap.2015.10.031
Fig. 8. Illegible maintenance and service manual.
conduct adequate risk assessments and precautions under Man-
agement of Health and Safety at Work Regulations 1999 (Regs 3
and 5) (HMSO, 1999);
undertake machine safety maintenance and issue appropriate
training and instruction under Provision and Use of Work Equip-
ment Regulations 1998 (Regs 5, 6, 8 and 9) (HMSO, 1998); and
plan and manage work activities under the Construction (Design
and Management) Regulations 2007 (Regs 4 and 13) (HMSO,
2015).
A reasonable argument to defend maintenance costs incurred
could be developed from this research, when compared to the direct
and indirect costs associated with breakdowns, lost production, lit-
igation, damaged corporate reputation and enforcement notices
issued by the Health and Safety Executive (the UKs governing
body).
The maintenance model presented in Fig. 9 demonstrates
how operator, machine and site work in unison to ensure that
safety risks are mitigated and production enhanced. However, the
external market environment and supply chain invariably impact
upon performance within this theoretical model. For example, the
euphemism efciency drive often translates into direct operations
and prot cuts for members of the supply chain. A clear lack of pro-
cedure and protocol enforcement within contractor organisations
was also apparent within this research. Daily maintenance check
sheets were used to conrm that the machine was t for work even
though on most machines (f = 193), one or more faults were found.
Often site managers would not sign off the daily inspections as
being accurate (Fig. 2) and in other cases, signatures would be pro-
vided from behind a desk without actually checking the machine
itself. One site manager said: I am inundated with emails, faxes and
paperwork these days fail to reply to one and you get the blame if
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D.J. Edwards, P.E.D. Love / Accident Analysis and Prevention xxx (2015) xxxxxx 9

EXTERNAL MARKET ENVIRONMENT

Supply greater than demand Low profit margins High competition

INTERNAL COMPANY ENVIRONMENT

Safe operator Safe machine Safe site

- Trained and competent; - Fit for purpose; - Hard measures e.g. traffic
- Conscientious; and - Regularly maintained; management; and
- Reliable. - In full working order. - Soft measures e.g. safe systems
of working.

Daily maintenance Records

and inspection management
and inspection
Hire company supplier - Daily maintenance;
- Fit for purpose; and
- Regularly maintained; Repairs needed Checked by site - Fixed-time-to
and supervisors (scheduled).
- In full working order.

Continue to use the

equipment Charges and
administration to the
contractor
- Productivity reduced; and
- Cost increase.

Fig. 9. The maintenance model.

something goes wrong so I feel pinned to the desk and unable to get
out onto site as often as I would like. This lack of enforcement created
learned behaviour where trained and competent operators placed
other priorities, that were perceived to be more important (such as
production pressure), ahead of safety. As one operator stated: The
focus is mostly on production digging or lling that hole there are no
consequences for guys who do not conduct maintenance on machinery
so I guess the guys just let that one [daily maintenance] slip to the back
of priorities. Another operator added: Its the companys responsi-
bility Ill just operate what they give me. At the end of the day, its
just a job and I can always work for someone else. Such views were
examples of the cultural apathy and resistance to implementing
company policies at the sharp end of production.
For untrained and/or incompetent operators, mistakes and
omissions derived from ignorance. These acts or omissions were
rarely corrected as many managers themselves were not trained
and competent in hazard spotting or machinery operations and
maintenance. In the UK, higher education degrees in civil engineer-
ing and construction management do not adequately cater for plant
management safety and so for the foreseeable future, this observed
situation may continue unabated. An additional perspective was
expressed by a senior Health, Safety and Environment Director of
one contractor who stated: The problem is that the guys we have
at the sharp end managing site activities have risen through the ranks
from ganger-man to site manager. I feel that they are overly concerned
with preserving that friendly working relationship to avoid confronta-
tion with former colleagues rather than working towards a professional
relationship. Im now seriously considering bringing in external man-
agers to replace the site manager Im currently disciplining.
8. Recommendations and future research
With consideration to the ndings presented, several recom-
mendations and suggestions for future improvements to company
maintenance protocols and procedures have emerged which
include:
training and operator competence;
training of on-site management;
greater regulation of utility companies; and
records of maintenance conducted.
8.1. Training and competence of operators
There are two broad classes of operator who failed to adhere
to maintenance protocols and procedures, namely (1) those who
are trained and competent but have become lapse in fullling their
duties to maintain and inspect the machinery; and (2) those who
are not trained and/or competent. Competence and training cards
owned by the operator are not de-facto evidence that an opera-
tor is actually competent or knowledgeable about safe machine
operation. Therefore, upon employment, a formal test of operator
knowledge and assessment of competence should be undertaken
by a trained and competent assessor. All other operators should
undertake periodic refreshment training and be closely supervised
on site to ensure that errors and omissions are corrected to address
learned behaviour (i.e. that failing to conduct daily maintenance
has no immediate consequence).
8.2. Training of on-site management
On-site managers, with a designated role to manage machinery,
should be trained and competent in the basic operation, mainte-
nance and inspection of the machines operated on that site. All
inspection paperwork should be cross referenced against a physical
check of the machinery to conrm that adequate daily maintenance
has been conducted prior to work commencing on site. Additional
tuition in hazard spotting should also be provided to enable on-site

Please cite this article in press as: Edwards, D.J., Love, P.E.D., A case study of machinery maintenance protocols and procedures within
the UK utilities sector. Accid. Anal. Prev. (2015), http://dx.doi.org/10.1016/j.aap.2015.10.031
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10 D.J. Edwards, P.E.D. Love / Accident Analysis and Prevention xxx (2015) xxxxxx
managers to expediently spot damaged machinery or erroneous
practices that could lead to accident and/or injury. Universities play
a quintessential role here and should provide plant and machinery
short courses, or units within under- or postgraduate qualica-
tions, to ensure that future generations of construction and civil
engineering managers are better prepared to manage machinery
on-site.
8.3. Greater regulation of utility companies
Government reports that utility companies are lowering costs,
but not increasing their own internal efciencies (Ofgem, 2014),
suggest that cost savings are being made via supply chain partners.
Corporate reputational damage arising from this approach will
have severe implications for the long-term protability of utility
companies involved, particularly where injury or fatality rates esca-
late. Future work is required to prove this speculation denitively
but perceptions of contractors interviewed suggest that production
pressures and competition are negatively impacting upon business
operations and management. In the meantime, government regula-
tion may be required to preserve sustainable efciency reductions
as one contractor stated: Achieving a 20% reduction in costs when
prots are at 4% is an extremely difcult, if not impossible task. We have
no choice at this time to accept the challenge or go out of business.
8.4. Records of maintenance conducted
Advances in fuzzy logic and specically pattern recognition
(Alshennawy and Aly, 2009), combined with commercially avail-
able mobile applications, provide opportunities for contractors to
automate daily maintenance monitoring. The research team are
already working with utility contractors on the development of an
automated application that strives to use photographic evidence
(taken from a mobile device) to conrm that the machine is in full
working order and that daily maintenance has been conducted to
an appropriate standard. Further work in this eld is required to
test usability, validity and so forth but the potential to remove (or
at least limit) human error could be signicant.
9. Conclusions
Fixed-time-to (scheduled) and daily maintenance of off-
highway plant and machinery is a prerequisite requirement for
productive and safe operations on-site. Failure to adhere to safe
systems of working (of which machinery maintenance is part) will
have serious ramications for health and safety, and consequential
costs in terms of direct nancial loss and indirect corporate repu-
tational damage. Results of the case study work suggest that the
external macro environment is having a disproportionate negative
impact upon contractors ability to adhere to their own machinery
maintenance operations, procedures and protocols. Government
involvement via regulators has commenced and the outcomes
are to be evaluated at a later date. However, it is apparent that
personnel on-site are inadequately trained, managed and/or super-
vised. Regardless of causation, daily inspections of machinery are
relatively inexpensive and straightforward to conduct, provided
operators and site managers work in harmony towards preser-
ving machines in safe working order. Knowledge acquisition and
knowledge application in the workplace is paramount because
this will ensure that operators undertake their statutory duty to
perform maintenance and inspection, and comply with employer
procedures and protocols.
Historically, the operator has been at the blunt end of prosecu-
tion and imprisonment whilst the contractor tends to be prosecuted
only; in comparison, rarely does the client receive penalty or pun-
ishment. Perhaps a more suitable procurement arrangement would
Please cite this article in press as: Edwards, D.J., Love, P.E.D., A case study of machinery maintenance protocols and procedures within
the UK utilities sector. Accid. Anal. Prev. (2015), http://dx.doi.org/10.1016/j.aap.2015.10.031
be a true partnership between the utility company and contractor
to share litigation responsibility. This could unveil the steel curtain
around corporations and place direct responsibility upon directors
(and other key decision makers within utility companies) for their
actions and/or omissions; arguably, this approach could have a far
greater consequence and impact upon safety culture than simply
ning or imprisoning the operator and contractor.
Future research is required to examine the recommendations
proposed in this paper. Iterative changes have been implemented
by the contractors who were involved in this research, but it may
take time for these to establish a fundamental change in company
culture. Additional research is also required to test the validity,
extent and impact of the cascading-cuts theory elucidated upon
within this research. Given proof and evidence, there may be an
opportunity to impact upon practice, to further augment the cul-
tural transformation within industry that is required to engender a
safer, more productive and consequently, more protable industry
for all participants within the supply chain.
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