Lockout/Tagout Ch 7 SP# 1910.147

SAFETY POLICY

Lockout/Tagout SP# 1910.147

Quick Reference

1.0 Purpose
2.0 Scope and Applicability
3.0 References
4.0 Policy
5.0 General Responsibilities
6.0 Procedure
6.1 Definitions
6.2 General Provisions
6.2.1 General Training Requirements
6.2.2 Authorized Employee Training
6.2.3 Affected Employee Training
6.2.4 Supervisor Training
6.2.5 Equipment Survey
6.3 Specific Responsibilities
6.3.1 Managers
6.3.2 Supervisors
6.3.3 Authorized Employees
6.3.4 Affected Employees
6.3.5 Safety Risk Management
6.3.6 Additional Resources

Lockout/Tagout Flowchart
APPENDIX A: Certification Training Form for Authorized Employees
APPENDIX B: Certification Training Form for Affected Employees
APPENDIX C: Lockout/Tagout Procedure
APPENDIX D: Lockout/Tagout Equipment and Energy Source Survey Form
APPENDIX E: Tagout System Justification

1.0 Purpose

The purpose of this safety policy is to establish methods for isolating machines or equipment from energy sources to permit routine maintenance and servicing of those machines and equipment by North Carolina Department of Environment and Natural Resources (NCDENR) employees.

2.0 Scope and Applicability

Uncontrolled energy is a hazard to operators and other employees in the area of the machinery, equipment, or processes. Those who service and maintain machinery or equipment are especially vulnerable because the machinery or equipment might become energized while being serviced or stored energy might be unexpectedly released.
A lockout is a method of keeping equipment from being set in motion and endangering employees. This safety policy provides guidelines for isolating machines or equipment from energy sources. It emphasizes the two major components of the lockout/tagout requirements of training and equipment surveys. The training component is organized into:

General training requirements
Authorized employee training
Affected employee training
Supervisor training

The training component addresses all the procedural details of an effective lockout/tagout program. The equipment survey component addresses the identifications of energy sources and the assignment of lockout/tagout devices for those energy sources.

This document also details the areas of responsibility for managers, supervisors, employees, and Safety Risk Management.

This safety policy affects employees who service, maintain, and operate stationery equipment and machines.

3.0 Reference

This safety policy is established in accordance with Occupational Safety and Health Standards for General Industry (29 CFR 1910.147).

4.0 Policy

It is the policy of the North Carolina Department of Environmental and Natural Resources (NCDENR) to provide a place of employment free from recognized hazards that cause or are likely to cause death or serious physical harm to employees or the public. Therefore, all energized machines and equipment must be locked out and/or tagged out before any maintenance or servicing is performed.
When hazards exist that cannot be eliminated, then engineering practices, administrative practices, safe work practices, Personal Protective Equipment (PPE), and proper training regarding Lockout/Tagout will be implemented. These measures will be implemented to minimize those hazards to ensure the safety of employees and the public.

5.0 General Responsibilities

It is the responsibility of each manager, supervisor and employee to ensure implementation of NCDENR's safety policy on Lockout/Tagout. It is also the responsibility of each NCDENR employee to report immediately any unsafe act or condition to his or her supervisor. Specific responsibilities are found in Section 6.3.

6.0 Procedure

This section provides applicable definitions, establishes general provisions, and identifies specific responsibilities required by NCDENR's Lockout/Tagout Program.

6.1 Definitions

Affected Employee
An employee whose job duties require operation or use of a machine or piece of equipment in a location in which servicing or maintenance is being performed under Lockout/Tagout Procedures.

Authorized Employee
An employee who lockouts or tagouts a machine or piece of equipment in order to perform servicing or maintenance on that machine or piece of equipment. An affected employee becomes the authorized employee when that employee's duties require him or her to perform the service or maintenance covered under this policy.

Capable of Being Locked Out
An energy isolating device capable of being locked out if it has a hasp or other means of attachment through which a lock can be affixed to the equipment or machine.

Energy Isolating Device
A mechanical device that physically prevents the transmission or release of energy, including but not limited to the following: A manually operated electrical circuit breaker; a disconnect switch; a manually operated switch by which the conductors of a circuit can be disconnected from all ungrounded supply conductors, and additionally by which no pole can be operated independently; a line valve; a blind; or any similar device used to block or isolate energy. Push buttons, selector switches, and other control circuit-type devices are not energy isolating devices.

Energy Source
Any source of electrical, mechanical, hydraulic, pneumatic, chemical, thermal, or other energy.

Hasp
Multiple lockout or tagout device. (See Figure 1.)

Figure 1

Lockout Device A device that utilizes a positive means such as a lock, either key or combination type, to hold an energy isolating device in a safe position to prevent the energizing of a machine or piece of equipment. (See Figure 2.)

loto examples.gif
Figure 2

Servicing and/or Maintenance
Workplace activities such as constructing, installing, setting up, adjusting, inspecting, modifying, and maintaining and/or servicing machines or equipment. These activities include lubricating, cleaning, or unjamming of machines or equipment and making adjustments or tool changes, where the employee may be exposed to unexpected energization or startup of the equipment or release of hazardous energy.

Setting Up
Any work performed to prepare a machine or equipment to perform its normal production operation.

Tagout
The placement of a tagout device or an energy isolating device, in accordance with an established procedure, to indicate that the energy isolating device and the equipment being controlled may not be operated until the tagout device is removed.

Tagout Device
A prominent warning device, such as a tag and a means of attachment, which can be securely fastened to an energy isolating device in accordance with an established procedure, to indicate that the energy isolating device and the equipment being controlled may not be operated until the tagout device is removed.

6.2 General Provisions

This section details the provisions of this safety policy with each provision discussed in a separate subsection. These provisions are:

General Training Requirements
Authorized Employee Training
Affected Employee Training
Supervisor Training
Equipment Survey

6.2.1 General Training Requirements

General training requirements for the Lockout/Tagout program shall consist of:

Basic lockout/tagout training
Training on the limitations of tags
Authorized and affected employee retraining
Certification of lockout/tagout training

Basic lockout/tagout training shall communicate a basic awareness of the procedures and skills that employees are required to possess. This training shall ensure that:

Each authorized employee receives training in the recognition of applicable hazardous energy sources, the type and magnitude of the energy available in the workplace, and the methods and means necessary for energy isolation and control
Each affected employee be instructed in the purpose and use of the energy control procedure
All other employees be instructed when work operations are in an area where energy control procedures are used

Training on the limitations of tags must be provided to the identified employees. Tagout systems are not completely foolproof. Instructions should include, among others, the following examples of tag limitations:

Tags are essentially warning devices affixed to energy isolating devices and do not provide the physical restraint on those devices that is provided by a lock
When a tag is attached to an energy isolating means, it is not to be removed without authorization and it is never to be bypassed, ignored, or otherwise defeated
In order to be effective, tags must be legible and understandable by all authorized employees, affected employees, and all other employees whose work operations are or may be in the area
Tags and their means of attachment must be made of materials which will withstand the environmental conditions encountered in the workplace
Tags may evoke a false sense of security and their meaning needs to be understood as parts of the overall energy control program
Tags must be securely attached to energy isolating devices so that they cannot be inadvertently or accidentally detached during use

Authorized and affected employee retraining is required when:

There is a change in their job assignments, a change in machines, equipment, or processes that creates a new hazard, or when there is a change in the energy control procedure,
A NCDENR supervisor has reason to believe that there are deviations from or inadequacies in the employee's knowledge or use of the energy control procedures

This retraining shall establish employee proficiency and introduce new or revised control, methods and procedures, as necessary.

Certification of lockout/tagout training must be accomplished and updated when such training has taken place. The certification shall contain each employee's name, job title, division/unit, and dates of training.
Appendices A and B provide Lockout/Tagout training certification forms for authorized and affected employees, respectively.

A standard DENR sign-in sheet may be used to document training.

6.2.2 Authorized Employee Training

Authorized employees are those who use lockout/tagout devices. This training will be the responsibility of the supervisor.

Training requirements for authorized employees will include the following:

Purpose of the standard and hazards controlled
When the standard applies
Definitions of terms used
Equipment used for lockout/tagout:

standardized appearance
personal identification procedures

Procedures, including:

preparation for shutdown
shutdown, isolation, blocking, and securing
placement, removal, and transfer of devices
release of stored energy
testing to verify effectiveness of energy control

Release from lockout/tagout:

procedural requirements
release if employee who applied device is no longer at facility

Special procedures and rules for tagout systems
Special procedures for changes of shifts and personnel changes
Special procedures and practices for group lockout/tagout:

procedure
authority for lockout/tagout in group situations

Inspection program
Communication and reporting of problems

Appendix C lists NCDENR's lockout/tagout procedure for authorized employees.

6.2.3 Affected Employee Training

Affected employees are those who operate, but do not service or maintain equipment subject to being locked or tagged out, or employees who work in the area where the devices are in use. Affected employee training should cover:

Introduction to procedures outlined above for authorized employees
Prohibition against energizing any machine or piece of equipment that is locked or tagged out

6.2.4 Supervisor Training

In addition to the employee training mentioned above, supervisors will receive additional training to include the following elements:

Determination of machinery and equipment to be included in the Lockout/Tagout Program
Energy isolation points of each piece or class of machinery and equipment
Training requirements, scheduling, responsibility
Annual retraining circumstances and requirements for employees
Inspection requirements and responsibilities
Outside contractor personnel requirements

6.2.5 Equipment Survey

A survey is required to identify all isolating devices prior to a lockout/tagout event. The purpose of the survey is to determine which switch(es), valve(s), or other energy isolating devices applies to the equipment to be locked out or tagged out.
Appendix D contains forms for performing an equipment survey for a facility.

6.3 Specific Responsibilities

6.3.1 Managers

Managers shall ensure that completion of a survey of machinery and equipment by supervisors is conducted within their area to determine which machinery and equipment should be included in the Lockout/Tagout Equipment Inventory Program.

Managers shall be responsible for identifying all affected and authorized employees. Managers shall ensure that the necessary funding is available for the purchase of any required lockout/tagout safety equipment. Managers will also ensure annual compliance with this safety policy through their inspection and auditing processes.

Managers are responsible for ensuring that supervisors obtain any required training for their direct reports.

6.3.2 Supervisors

Supervisors shall be responsible for ensuring that this safety policy is implemented in their areas.
They shall complete a survey of machinery and equipment within their area to determine which machinery and equipment shall be included in the Lockout/Tagout Equipment Inventory Program. (See appendix D)

Supervisors will ensure that all newly purchased Locks and Tags comply with this safety policy

Supervisors shall be responsible for ensuring that an adequate supply of locks, tags, and other safety equipment is available and is utilized in accordance with this safety policy.

Supervisors will ensure that monitoring of the Lockout/Tagout Program and any changes in the machinery and equipment that may require modification of the Program takes place for their work area.

Supervisors shall be responsible for obtaining or providing training of the employees and for ensuring that the training meets the requirements of this safety policy.

Supervisors shall be responsible for maintaining training needs in accordance with this safety policy.

6.3.3 Authorized Employees

Authorized employees shall be responsible for following NCDENR's lockout/tagout procedures before any maintenance or servicing activities are begun.

Authorized employees will be responsible for notifying affected employees before beginning a lockout/tagout procedure on a piece of equipment or machinery.

Authorized employees shall report to their supervisors any changes in the machinery or equipment that would require a change in the lockout/tagout procedure.

6.3.4 Affected Employees

Affected employees shall attend the required training. This training will be given at least annually or when new employees or equipment are introduced into the work environment. Records for training will be maintained by the office in which the equipment and employees are located. This training will include electrical, hydraulic, chemical, thermal, and any other energy sources that have the ability to release without warning. Affected employees shall ensure that all precautions required by this safety policy be observed.

Affected employees shall report to their supervisors any changes in the machinery or equipment that would require a change in the lockout/tagout procedure.

6.3.5 Safety Risk Management

Safety Risk Management will provide prompt assistance to managers, supervisors, or others as necessary on any matter concerning this safety policy. Safety Risk Management will assist in developing or securing required training.

To ensure effective implementation of this safety policy, Division/Office/Program Safety Consultants and Safety Officers shall be responsible to provide consultative, training and audit assistance on this safety policy for their Division/Office/Program. This includes monitoring the Lockout/Tagout Program and any changes in the machinery and equipment that may require modification of the Program.

6.3.6 Additional Resources

The NC Department of Labor produces an industry guide that also has lockout/tagout information for your use. Click here to see the guide.

Lockout/Tagout Flowchart

Lockout Tagout flow

APPENDIX A: Certification Training Form for Authorized Employees

Facility:

Location:

AUTHORIZED EMPLOYEE TRAINING

Lockout/tagout for Authorized employees includes special instructions concerning scope, purpose, rules, and techniques for lockout/tagout of hazard energy sources including, but not limited to:

Intended use of the procedure
Steps for shutting down, isolating, holding, and securing
Steps for placement, removal, and transfer of lockout/tagout devices
Requirements for testing to determine and verify effectiveness of lockout/tagout devices
Other measures__________________________________________________________

Click here to print a sign-in roster for use.

Employee's Name	Job Title	Division	Comments	AUTHORIZED
Employee's Name	Job Title	Division	Comments	Date	Supervisor













Training Conducted by:			Date:		Reviewed by:	Date:

APPENDIX B: Certification Training Form for Affected Employees
Click here to print a sign-in roster for use.

Facility:

Location:

AFFECTED and OTHER EMPLOYEE TRAINING

Lockout/tagout for AFFECTED and OTHER employees includes special instructions concerning scope, purpose, rules, and techniques for lockout/tagout of hazard energy sources including, but not limited to:

Employee's Name	Job Title	Division	Comments	AUTHORIZED
Employee's Name	Job Title	Division	Comments	Date	Supervisor






















Training Conducted by:			Date:		Reviewed by:	Date:

APPENDIX C: Lockout/Tagout Procedure

Sequence of Lockout or Tagout

Complete survey and identify all isolating devices to determine which switch(s), valve(s), or other energy isolating devices applies to the equipment to be locked out or tagged out.(See Appendix D for sample survey forms.)

Notify all affected employees that a lockout or tagout system is being implemented and the reason why.

Shut down machine or equipment by normal stopping procedure.

Position the ON switch, valve, or other energy isolating device(s) so that the equipment is isolated from its energy source(s). Stored energy (such as that in springs, elevated machine members, rotating flywheels, hydraulic systems, and air, gas, steam, or water pressure, etc.) must be dissipated or restrained by methods such as repositioning, blocking, bleeding down, etc.

Lockout and/or tagout the energy isolating devices with assigned individual lock(s) or tag(s). If tags are to be used, tag justification forms (Appendix E) must be completed.

To verify that the energy sources are disconnected:

Operate the ON switch or normal operating controls. Ensure that no personnel are exposed before operating the controls.(Return operating control to neutral or off position after test.)
The equipment is now locked out or tagged out.

Restoring Machines or Equipment to Normal Production Operations

After servicing and/or maintenance are complete and equipment is ready for normal production operations, check the area around the machines or equipment to ensure that no one is exposed.
After all tools, parts, etc. have been removed from the machine or equipment, guards have been reinstalled, and employees are in the clear, remove all lockout or tagout devices. Operate the energy isolating devices to restore energy to the machine or equipment.

Procedure Involving More Than One Person

In the preceding steps, if more than one individual is required to lockout or tagout equipment, each shall place his or her own personal lockout device or tagout device on the energy isolating device(s).

When an energy isolating device cannot accept multiple locks or tags, a multiple lockout or tagout device (hasp) may be used.

<>If lockout is used, a single lock may be used to lockout the machine or equipment with the key being placed in a lockout box or cabinet which allows the use of multiple locks to secure it. Each employee will then use his or her own lock to secure the box or cabinet. As each person no longer needs to maintain his or her lockout protection that person will remove his or her lock from the box or cabinet.

APPENDIX D: Lockout/Tagout Equipment and Energy Source Survey Form
(NOTE: You may need to adjust your printer settings to get the form on one page.)

TYPES OF HAZARDOUS ENERGY AT THIS FACILITY:
Facility Name________________________________________________________
	Yes	No	General Description and Location
Electrical:			____________________________________________________
Pneumatic:			____________________________________________________
Hydraulic:			____________________________________________________
Stored:			____________________________________________________

ELECTRICAL EQUIPMENT				PNEUMATIC EQUIPMENT
Equipment Name	Service Panel Disconnect	Identification Number	Lockout/Tagout Device Needed	Equipment Name	Service Panel Disconnect	Identification Number	Lockout/Tagout Device Needed


















Comments				Comments




HYDRAULIC EQUIPMENT				STORED ENERGY EQUIPMENT
Equipment Name	Service Panel Disconnect	Identification Number	Lockout/Tagout Device Needed	Equipment Name	Service Panel Disconnect	Identification Number	Lockout/Tagout Device Needed










Comments				Comments

APPENDIX E: Tagout System Justification

Location:

FULL EMPLOYEE PROTECTION:If you cannot indicate a "yes" answer to all of the following items, do not use the tagout system.
Yes	No		Yes	No
		Tagout system provides full employee protection			Tagout system provides equivalent safety to the lockout program.
		Tagout devices placed at the same location where the lockout device would have been placed.			Employees fully comply with all tagout-related provisions.

ADDITIONAL SAFETY MEASURES: Check measure(s) used to provide equivalent employee protection.

Isolating circuit element removal

Control switches blocked

Extra disconnecting device opened

Removal of valve handles

Other________________________

TAGOUT DEVICES:The tagout device must satisfy each of the following criterion:
Singularly identified	Exposure does not cause deterioration
Only devices used for controlling energy	Does not deteriorate in corrosive environment
Not used for other purposes	Standardized
Durable/Substantial	Color
Withstand environment	Shape and Size
Non-reusable	Print and Format
Attachable by hand	Minimum unlocking strength of no less than 50 pounds.
Self-locking	Equivalent to a one-piece, all environment-tolerant, nylon cable tie
Indicates employee identity

Warning:The tagout device must:

Warn against hazardous conditions

Include Do Not Start, Open, Close, Energize, Operate, etc.

Tag Limitations:Employees should be trained to know that:
Tags are warning devices	Tags are part of the overall security
Tags do not provide physical restraint	Tags must be securely attached
Tags must never be removed without authorization	Tags must never be bypassed, ignored,or defeated
Tags may evoke false sense of security

EMPLOYEE TRAINING ON LOCKOUT/TAGOUT
DATES:	LOCATION:
DESCRIPTION:

REASON(S) FOR USING TAGOUT SYSTEM

HOW EQUIVALENT EMPLOYEE PROTECTION IS PROVIDED

OTHER COMMENTS

Conducted by:

Date:

Authorized By:

Date: