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Bureau of Mines Information Circular/1985 
 
 Rollover Protective Structures (ROPS) 
 Inspection and Maintenance Guide 
 
 By Stephen A. Swan, Dennis C. Jones, and Kazimir Niziol 
 
 UNITED STATES DEPARTMENT OF THE INTERIOR 
 
 75 
 
 ^(NES 75TH AX^ 
 

Information Circular 9009 
 
 Rollover Protective Structures (ROPS) 
 Inspection and Maintenance Guide 
 
 By Stephen A. Swan, Dennis C. Jones, and Kazimir Niziol 
 
 $ 
 
 UNITED STATES DEPARTMENT OF THE INTERIOR 
 
 Donald Paul Hodel, Secretary 
 
 BUREAU OF MINES 
 Robert C. Horton, Director 
 

 1W. 
 
 .q O 0<l 
 
 Library of Congress Cataloging in Publication Data: 
 
 Swan, Stephen A 
 
 Rollover protective structures (ROPS) inspection and maintenance 
 guide. 
 
 (Information circular ; 9009) 
 
 Supt. of Docs, no.: I 28.27:9009. 
 
 1. Mining machinery— Safety measures. I. Jones, Dennis C. II. 
 Niziol, Kazimir. III. Title. IV. Title: Rollover protective structures 
 (ROPS) inspection and maintenance guide. V. Series: Information cir- 
 cular (United States. Bureau of Mines) ; 9009. 
 
 XN^5rtWn:TN345] 622s [622'. 8] 
 
 84-600304 
 
CONTENTS 
 
 Page 
 
 ^ 
 
 Abstract 1 
 
 Introduction 2 
 
 Types of machines required to have ROPS and seat belts 3 
 
 ROPS inspection items 3 
 
 Identification or certification label 3 
 
 Mounting parts 4 
 
 Bolts and nuts 4 
 
 Rubber pads and bushings 4 
 
 Overall check for visible damage 6 
 
 Seat belts 7 
 
 Check, for improper repairs and/or modifications 10 
 
 Welds 10 
 
 Unauthorized field modifications 10 
 
 Instructions for using ROPS inspection and maintenance checklist 12 
 
 Summary 12 
 
 ROPS inspection and maintenance checklist 14 
 
 ILLUSTRATIONS 
 
 1 . Combination ROPS and FOPS 2 
 
 2. ROPS over cab 2 
 
 3. Integral ROPS exterior 3 
 
 4. Integral ROPS interior 3 
 
 5. Bolt head markings 4 
 
 6. Nut markings 4 
 
 7. Rubber pad 5 
 
 8. Rubber bushing 6 
 
 9. Weld separation (crack) 7 
 
 10. Crack in ROPS mount 8 
 
 1 1 . Crack in weldment 8 
 
 12. Frayed and dirty seat belt 9 
 
 13. Seat belt anchors 9 
 
 14. Seat belt buckle 10 
 
 15. Unauthorized spot weld 11 
 
 16. Unauthorized mount 12 
 
 17. Unauthorized alteration of tube 12 
 
 18. Unauthorized mount and tube 13 
 
ROLLOVER PROTECTIVE STRUCTURES (ROPS) INSPECTION 
 AND MAINTENANCE GUIDE 
 
 By Stephen A. Swan, Dennis C. Jones, and Kazimir Niziol 
 
 ABSTRACT 
 
 Bureau of Mines researchers have collected and evaluated rollover pro- 
 tective structures (ROPS) for more than 10 yr. ROPS and falling object 
 protective structures (FOPS) are required on specified mining machines 
 under regulations of the Mine Health and Safety Administration (MSHA). 
 Both ROPS and FOPS are required on mining machines used in surface coal 
 mines and surface areas of underground coal mines (30 CFR 77.403 and 
 77.413a), and ROPS are required on mining machines used in metal and 
 nonmetal mining operations (30 CFR 55, 56, and 57.9-88). 
 
 This illustrated manual provides mine safety personnel, MSHA inspec- 
 tors, and original-equipment manufacturers with guidelines and a check- 
 list for inspecting ROPS being used in the field. The manual discusses 
 specific requirements of the MSHA regulations and minimum inspection and 
 maintenance checks for ensuring compliance with those regulations. An 
 easily reproducible checklist is provided as an aid to the inspection of 
 ROPS. 
 
 'Mining engineer, Twin Cities Research Center, Bureau of Mines, Minneapolis, MN. 
 2 Mine safety and health specialist, MSHA, Denver, CO. 
 ^Mining engineer, MSHA, Denver CO. 
 
INTRODUCTION 
 
 A ROPS is a structure designed to les- 
 sen the possibility of a properly belted- 
 in operator being injured in the event of 
 a rollover. ROPS may also offer some 
 protection to the operator if the machine 
 is involved in a collision. A FOPS is a 
 structure designed to protect a machine 
 operator from a falling object or other 
 falling material. ROPS and FOPS are of- 
 ten found in combination, as when a ROPS 
 has a steel plate or a heavy wire mesh as 
 part of its roof (fig. 1). ROPS are de- 
 signed specifically for each machine mod- 
 el and normally have two, four, or six 
 supporting structural members. A ROPS 
 may be made to fit over the cab (fig. 2), 
 
 or may be made an integral part of the 
 cab (figs. 3-4). It is not always appar- 
 ent by looking at the outside of a cab 
 whether or not it is also a ROPS. An in- 
 spection must be made ■inside the eab 
 to determine if there are structural 
 members. 
 
 In most cases, the machine operator or 
 mine owner is not aware that the protec- 
 tion capability of a ROPS may have been 
 reduced because of a failure to properly 
 correct a deficiency. This manual was 
 prepared to help remedy this situation. 
 It provides a systematic means for iden- 
 tifying deficiencies in ROPS so they can 
 be corrected. 
 
 FIGURE 1. - Combination ROPS and FOPS. 
 
 FIGURE 2. - ROPS over cab. 
 
Mm — 
 
 FIGURE 3. - Integral ROPS exterior. 
 
 FIGURE 4. - Integral ROPS interior 
 
 TYPES OF MACHINES REQUIRED TO HAVE ROPS AND SEAT BELTS 
 
 MSHA regulations require that all 
 rubber-tired or crawler-mounted self- 
 propelled scrapers, loaders, dozers, 
 graders, tractors, and powered industrial 
 trucks must be provided with ROPS and 
 seat belts when used at surface coal 
 
 mines; surface areas of underground coal 
 mines; metal and nonmetal open pit mines; 
 sand, gravel, and crushed-stone opera- 
 tions; and metal and nonmetal underground 
 mines. 
 
 ROPS INSPECTION ITEMS 
 
 IDENTIFICATION OR CERTIFICATION LABEL 
 
 A ROPS should have an identification or 
 certification label attached to it or a 
 certificate on file at the mine from the 
 ROPS manufacturer or a registered profes- 
 sional engineer with knowledge and 
 
 experience on ROPS design stating that 
 ROPS meets the performance standards and 
 is appropriate for the machine upon which 
 is is installed. The identification 
 label or certificate, should be examined 
 to ensure that the ROPS meets the applic- 
 able MSHA requirements. 
 
MOUNTING PARTS 
 
 Bolts and Nuts 
 
 Many different grades of bolts and nuts 
 may be used to mount ROPS. However, SAE 
 grades 5 and 8 are the most common. If 
 there is any question concerning the 
 grade of bolts and nuts that should be on 
 the ROPS, the ROPS manufacturer must be 
 consulted. The most common methods of 
 marking grades 5 and 8 bolts and nuts are 
 shown in figures 5 and 6, respectively. 
 As shown in figure 5, bolts may be desig- 
 nated by equivalent International Stan- 
 dards Organization (ISO) grades. 
 
 In addition to ensuring that bolts and 
 nuts of the correct SAE grade are used, 
 the following should be checked: 
 
 • Are bolts and nuts missing? 
 
 • Are bolts and nuts loose? 
 
 • Are bolt heads and nuts properly 
 
 seated in complete contact with ROPS 
 assembly? 
 
 • Are nuts fully threaded onto bolts? 
 
 • Are bolts and nuts rusted? 
 
 • Are bolts and nuts damaged? 
 
 Rubber Pads and Bushings 
 
 Most ROPS mounts include rubber pads or 
 bushings to reduce vibration of the ROPS 
 (figs. 7-8). The rubber parts should be 
 checked for deterioration, which may be 
 caused by various environmental factors. 
 The most practical way of determining the 
 condition of the rubber pads or bushings 
 is to observe the ROPS mounts for noise 
 or vibration while the machine is in 
 operation. 
 
 Bolt grade 
 
 Bolt head markings 
 
 SAE 5 
 (ISO R898, 
 class 8.8) 
 
 SAE 
 
 ISO 
 
 Q 
 
 ( 
 
 
 
 8.8 
 or 
 
 ) 
 
 •"^ 
 
 8.8 
 
 
 
 
 
 SAE 8 
 (ISO R898, 
 class 10.9) 
 
 © 
 
 < 
 
 
 
 10.9 
 or 
 
 ) 
 
 •""*>, 
 
 10.9 
 
 
 
 
 
 Nut grade 
 
 SAE 5 
 
 SAE 8 
 
 Nut markings 
 
 or 
 
 or 
 
 MM 
 MM 
 
 I notch 
 
 at each hex 
 
 corner 
 
 or 
 
 or 
 
 2 notches 
 at each hex 
 corner 
 
 FIGURE 5. - Bolt head markings. 
 
 FIGURE 6. - Nut markings. 
 
FIGURE 7. - Rubber pad. 
 
FIGURE 8. - Rubber bushing. 
 
 OVERALL CHECK FOR VISIBLE DAMAGE 
 
 An overall inspection of the ROPS is 
 necessary in order to locate possible 
 damage that could reduce the integrity of 
 the structure. Examples of such damage 
 are rust, corrosion, overall shape dam- 
 age, bent members, and cracks in the ROPS 
 structure. 
 
 The overall inspection should include 
 the following: 
 
 • Inspect the ROPS for any overall 
 shape distortion: 
 
 Door may not close to fit properly. 
 
 Entire ROPS may lean to one side. 
 
 Gaps may be present around windows. 
 
 • Inspect individual ROPS structural 
 
 members to see if they are bent. 
 
 • Inspect structural members for visi- 
 
 ble cracks, bulges, kinks, or dents. 
 
 • Inspect ROPS for visible cracks, cor- 
 
 rosion, and rust. 
 
 As noted above, the overall inspection 
 includes inspection of the entire ROPS 
 structure for visible cracks. Cracks are 
 usually indicated by the presence of cor- 
 rosion or a rust track on the paint. The 
 most critical areas are around the ROPS 
 mounts and welded areas of the ROPS 
 
structure. Cracks can be caused by acci- 
 dent, vibration (fatigue), by water 
 freezing inside the ROPS tubes, etc. 
 (figs. 9-11). Since freezing water in- 
 side the ROPS tubing can cause the tubes 
 to crack, some ROPS are manufactured with 
 drain holes at the bottom of the vertical 
 members. 
 
 Visible damage to the ROPS may result 
 when a machine is involved in an 
 accident — rollover, exposure to intense 
 heat, highwall caving, collision, etc. 
 In the event of an accident resulting in 
 visible damage to the ROPS, the ROPS man- 
 ufacturer should be consulted to deter- 
 mine if the ROPS can be put back into 
 service. Most manufacturers require re- 
 placement of the ROPS if it has been 
 damaged. 
 
 SEAT BELTS 
 
 Mine regulations for coal and for metal 
 and nonmetal mines require a seat belt in 
 addition to ROPS on the specified mach- 
 ines. Therefore, the following should be 
 checked: 
 
 • The belt must not be frayed, and it 
 
 should not be so dirty that its use 
 is discouraged (fig. 12). 
 
 • The belt must be attached to the 
 
 anchors, and the anchors must be in 
 
 good condition (fig. 13). 
 
 • The buckle device must work easily, 
 
 and the belt length must be quickly 
 and easily adjustable for comfort 
 and safety (fig. 14). 
 
 FIGURE 9. - Weld separation (crack). 
 
FIGURE 10. - Crack in ROPS mount. 
 
 FIGURE 11. - Crack in weldment. 
 
FIGURE 12. - Frayed and dirty seat belt. 
 
 FIGURE 13. - Seat belt anchors. 
 
10 
 
 FIGURE 14.= Seat belt buckle. 
 
 CHECK FOR IMPROPER REPAIRS AND/OR 
 MODIFICATIONS 
 
 All ROPS manufacturer's void the certi- 
 fication if the ROPS has been altered, 
 modified, or repaired without their writ- 
 ten consent. If the certification is 
 voided by the manufacturer, the ROPS no 
 longer meets the MSHA requirements. 
 
 The regulations for coal mines state 
 that all field welding must be performed 
 by welders who are certified by the coal 
 mine operator or equipment distributor in 
 accordance with the American Welding So- 
 ciety Structural Welding Code. 
 
 The metal and nonmetal mine regulations 
 state that any alteration, repair, or 
 welding on the ROPS or on the ROPS- 
 to-vehicle frame mounts shall be perform- 
 ed only with prior approval and with in- 
 structions from the ROPS manufacturer or 
 a registered professional engineer with 
 knowledge and experience in ROPS design. 
 In addition, the manufacturer or engineer 
 is required to decide what qualifications 
 the welders performing such alterations 
 or repairs must have. 
 
 Welds 
 
 Welds are one of the most critical 
 areas in determining the overall struc- 
 tural integrity of ROPS. Poor weld ap- 
 pearance is the most obvious indication 
 of a potential weld defect. The most 
 frequent cause of weld defects are care- 
 lessness on the part of the welder and 
 poor welding techniques such as using the 
 incorrect welding rod, welding with the 
 improper amount of current, applying an 
 inconsistent amount of weld material to 
 the damaged area, and improper prepara- 
 tion of the damaged area prior to apply- 
 ing the weld. 
 
 Welding is a commercial method for 
 joining two metals together and preserv- 
 ing their individual strength character- 
 istics, provided the weld is properly 
 applied. However, if improperly applied, 
 the welding process may cause metallurg- 
 ical changes in the internal structure of 
 the weld and/or surrounding metals, 
 thereby weakening the respective ROPS 
 members. Environmental conditions are 
 other critical factors to be considered 
 in the welding process. 
 
 Unauthorized Field Modifications 
 
 Some ROPS are equipped with light fix- 
 tures, mirrors, handrails, and fire ex- 
 tinguisher brackets by the manufacturer. 
 Examples of unauthorized field modifica- 
 tions made after a ROPS is placed in ser- 
 vice include — 
 
 • Welding or bolting accessories to the 
 
 ROPS. 
 
 • Drilling holes in the ROPS. 
 
 • Additional welding to change ROPS 
 
 structure. 
 
 Unauthorized field modifications are 
 illustrated in figures 15 through 18. 
 
11 
 
 FIGURE 15. - Unauthorized spot weld. 
 
12 
 
 FIGURE 16„ = Unauthorized mount. 
 
 FIGURE 17„ = Unauthorized alteration of tube. 
 (Note weld.) 
 
 INSTRUCTIONS FOR USING ROPS INSPECTION AND MAINTENANCE CHECKLIST 
 
 A rule of thumb is to conduct a ROPS 
 inspection every 1,000 h of equipment op- 
 eration, or sooner if the structure has 
 been subjected to any unusual loads which 
 could cause damage (i.e., rollover, high- 
 wall caving, collision, etc.). 
 
 An easily reproducible copy of the ROPS 
 inspection and maintenance checklist, 
 which is based on Bureau research find- 
 ings, follows the "Summary" section of 
 this manual. Using the checklist as a 
 guide, the ROPS should be inspected item 
 
 by item. Each inspection item should be 
 checked either yes or no. If a check 
 does not appear in any of the boxes on 
 the checklist, this indicates an unac- 
 ceptable condition on the ROPS which must 
 be corrected. 
 
 Refer to this manual if any questions 
 arise in completing the checklist. Addi- 
 tional information pertaining to a spe- 
 cific ROPS (or FOPS machine) make or mod- 
 el can be obtained from the manufacturer. 
 
 SUMMARY 
 
 It is not uncommon to find the follow- 
 ing deficiencies in ROPS, all of which 
 affect the service life of a ROPS: 
 
 • Missing, loose, or inadequate mount- 
 
 ing bolts and nuts. 
 
 • Deterioration of rubber vibration in- 
 
 sulators (pads and bushings). 
 
 • Cracks in major structural areas and 
 
 other structural damage. 
 
 • Improper repairs and modifications. 
 
 The checklist on pages 14 and 15 details 
 deficiencies in the above-listed cat- 
 egories. This checklist, when used as 
 instructed in this manual, provides a 
 means for the systematic inspection of 
 ROPS to ensure maximum protective capa- 
 bility and conformance with applicable 
 Federal regulations. 
 
13 
 
 FIGURE 18. - Unauthorized mount an 
 
 (Note welds on tube.) 
 
14 
 
 ROPS INSPECTION AND MAINTENANCE CHECKLIST 
 
 Date inspected: 
 Inspected by: 
 
 Machine type and model number: 
 Serial number: 
 
 Mine machine identification number: 
 Company and mine name: 
 
 Mine identification number: 
 
 NOTE. — The ROPS may have an identification or certification label, but a satisfac- 
 tory substitute is a certificate from the ROPS manufacturer or a registered profes- 
 sional engineer stating that the ROPS meets the performance standards and is appro- 
 priate for the machine upon which it is installed. The following organizations may 
 be referenced on the label or on the professional engineer's certificate: 
 
 SAE - Society of Automotive Engineers 
 
 MSHA - Mine Safety and Health Administration 
 
 OSHA - Occupational Safety and Health Administration 
 
 COE - U.S. Army Corps of Engineers 
 
 BOR - Bureau of Reclamation 
 
 ISO - International Standards Organization 
 
 State of California 
 
 Inspection item Yes No 
 — 
 
 1. Identification of ROPS 
 
 a. Does the machine have a ROPS? I I 
 
 b. Is there an identification label on the [ | 
 
 ROPS or a certificate on file at the mine? 
 
 2. Visible damage 
 
 a. Is the frame twisted, bent, or cracked in i — i 
 
 the area of the ROPS mount? 
 
 b. Is the frame and/or ROPS rusted? □ 
 
 c. Is there any overall shape damage to the i — i 
 
 Rops? 
 
 d. Are there any localized bulges, kinks, i — i 
 
 dents, or bent parts in the ROPS? 
 
 e. Are there any hairline or open cracks i — i 
 
 anywhere on the ROPS structure? 
 
 f. Are there any signs of corrosion? I I 
 
 3. Rubber pads and bushings, if any 
 
 a. Is the rubber damaged or missing? I I 
 
 b. Does the ROPS rattle when the machine is 
 
 operated? 
 
 □ 
 
ROPS INSPECTION AND MAINTENANCE CHECKLIST— Continued 
 
 15 
 
 4. Bolts and nuts 
 
 a. Are there any missing bolts or nuts? 
 
 b. Are bolts the proper grade? 
 
 c. Are nuts the proper grade? 
 
 d. Are the bolts and nuts loose? 
 
 e. Are the bolt heads and nuts property seated 
 
 and in complete contact with ROPS 
 assembly? 
 
 f. Are nuts fully threaded onto bolts? 
 
 g. Are the bolt threads stripped? 
 h. Are the bolts or nuts rusted? 
 
 i. Are the bolts or nuts bent or deformed? 
 
 Yes 
 
 □ 
 □ 
 
 □ 
 □ 
 
 No 
 □ 
 
 □ 
 
 □ 
 □ 
 □ 
 
 5. Seat belt 
 
 a. Is the seat belt missing? 
 
 b. Is the belt too dirty to use? 
 
 c. Is the belt frayed? 
 
 d. Is the belt hard to adjust? 
 
 e. Is the buckle hard to work? 
 
 f. Are the anchors loose or damaged? 
 
 □ 
 □ 
 □ 
 □ 
 □ 
 □ 
 
 6. Modifications and repairs 
 
 a. Are there accessories welded or bolted to 
 
 the ROPS that were not provided by the 
 manufacturer? 
 
 b. Are there additional holes drilled in the 
 
 ROPS? 
 
 c. Have any additional welds changed the ROPS 
 
 structure? 
 
 □ 
 □ 
 
 <.-U.S. CPO: 1985-503-019/20.019 
 
 INT.-BU.OF MINES.PGH..PA. 27894 
 

 
 
 
 
 
 
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