This document is no longer a CPR. This document implements the requirements of Corporate procedure ESH100.2.IS.2, Control Hazardous Energy (Lockout/Tagout)

IMPORTANT NOTICE: A printed copy of this document may not be the document currently in effect. The official version is the online version located on the Sandia Restricted Network (SRN).

LOCKOUT/TAGOUT PROGRAM MANUAL

Subject Matter Expert: Marc Williams; CA Counterpart: Herman Armijo
MN471020, Issue A
Revision Date: October 13, 2009
Administrative Changes: July 14, 2010 and October 25, 2010

Contents

Change History

• 1.0 Applicability and Scope
• 1.1 Electrical Safety Practices
• 1.2 Confined Spaces
• 1.3 Exemptions
• 2.0 Training
• 3.0 Roles and Responsibilities
• 3.1 Management
• 3.2 Members of the Workforce
• 4.0 General Requirements
• 4.1 Required Devices
• 4.2 Use of Devices
• 4.3 Procedures
• 5.0 Additional Requirements
• 5.1 Procedure for Testing or Positioning Machines, Equipment, or Components
• 5.2 Group LOTO Procedure
• 5.3 Procedure for Shift or Personnel Changes
• 5.4 Outside Contractor LOTO Requirements
• 5.5 Tagouts
• 6.0 Periodic Inspections
• 6.1 Requirements
• 6.2 Guidance
• 7.0 Related Hazards and Activities
• 8.0 References
• 8.1 Requirements Source Documents
• 8.2 Related Documents

1.0 APPLICABILITY AND SCOPE

This manual applies to all Members of the Workforce identified as authorized workers who perform service or maintenance activities on machines and equipment in which the unexpected energization or start-up of the equipment, or release of stored energy could cause injury to an individual.

Note: For control of hazardous electrical energy other than servicing and maintenance see MN471004, Electrical Safety Manual.

For the purposes of this document, the term “energy source” refers to any source of electrical, mechanical, hydraulic, pneumatic, chemical, thermal, or other type of energy. “Servicing or maintenance activities” are workplace activities which include: construction, installation, set up, adjustment, inspection, modification, maintenance, or service of machines or equipment. This pertains to the lubrication, cleaning or un-jamming of machines or equipment, and making adjustments or tool changes, where authorized workers could be exposed to the unexpected energization or startup of the equipment or release of hazardous energy.

The term "unexpected" refers to specific cases in which any of the Members of the Workforce are performing maintenance or service of machines or equipment during ongoing normal production operations if any of the following occur:

• Removal or bypass of machine guards or other safety devices.
• Placement of any part of the body into a point of operation or into an area on a machine or piece of equipment where work is performed, or into the danger zone associated with the machine's operation.

This manual establishes performance requirements for the control of such hazardous energy. See the Safety Engineering Program, LOTO Website for additional information.

For assistance in determining whether or not LOTO is required, please use the LOTO e-Tool  or contact the LOTO subject matter expert.

1.1 Electrical Safety Practices

To protect Members of the Workforce from electrical hazards during construction, installation, operation, and maintenance of electrical systems and associated equipment, additional requirements are mandatory. These requirements involve training, personal protective equipment (PPE), limited approach boundaries and specific verification steps. Details can be found in MN471004, Electrical Safety Manual. Some of these requirements will be reiterated in this manual.

1.2 Confined Spaces

To protect the Members of the Workforce from release of energy and material into the confined space during servicing and maintenance of machines, equipment or processes, the energy must be isolated. The means of isolation shall be blanking or binding; misaligning or removing sections of lines, pipes or ducts; a double block and bleed system in confined spaces; lockout of all sources of energy; or blocking or disconnecting all mechanical linkages. Appropriate lockout/tagout (LOTO) devices shall be applied at the isolation points.

1.3 Exemptions

The following activities are not covered by or subject to requirements within this manual. There are specific conditions that must be satisfied to qualify for exemptions. Consult the LOTO subject matter expert (SME) for assistance.
Exemptions include the following:

• Minor tool changes and adjustments, and other minor servicing activities that take place during normal production operations; if the activities are routine, repetitive, and integral to the use of the equipment for production, provided that the activities are performed using alternative measures that provide the same level of effective protection as LOTO.
• Work on single-energy-source, cord- and plug-connected, electrical equipment on which the exposure to hazardous energy is controlled by unplugging the equipment from the source while the plug remains in the exclusive control (within sight and reach) of the worker performing the servicing or maintenance.

Note: Work on cord and plug connected equipment that is over 50 amps or over 250 volts, or equipment that is energized by means other than inserting a standard plug with prongs into a standard wall outlet, does not qualify for exemption. Pin-and-sleeve type connectors do not qualify as standard plugs or wall outlets and must be locked out, regardless of voltage or current.

2.0 TRAINING

3.0 ROLES AND RESPONSIBILITIES

3.1 Management

Requirements

Management (or their designated representative) shall:

• Evaluate their work areas to identify machines and equipment that use energy sources to determine the applicability of LOTO General Requirements.
• Provide LOTO devices that meet the “General Requirements.”
• Ensure that procedures are written that implement LOTO requirements, as appropriate (see “Written LOTO Procedure” and “Shift or Personnel Changes Procedure”).
• Track both active and stored written LOTO procedures to facilitate periodic inspection.
• Ensure that Members of the Workforce follow established energy control procedures.
• Ensure that Members of the Workforce receive proper LOTO training before being assigned to perform service or maintenance tasks.
• Ensure that Members of the Workforce performing activities requiring LOTO are qualified and designated as authorized workers.
• Ensure that each authorized worker involved in servicing and maintenance activities that require LOTO applies his or her own lock(s) to each energy control device or, in the case of a group lockout, applies his or her own lock on a multiple lockout device (i.e., group lockbox).
• Assign an authorized worker the primary responsibility for a set number of authorized workers working under the protection of Group LOTO device(s) (See the Group LOTO Procedure section for specific information on primary responsibility”).
• Comply with self-assessment requirements in accordance with ESH100.4.FI.1, Perform ES&H Self-Assessment Activities.
  Note: See the LOTO website for additional information.
• Ensure that periodic inspections (as appropriate) are performed (see the LOTO website for the “Inspection of Energy Control Procedures”).
• Ensure the following records are retained by the appropriate organization in accordance with the Sandia Records Retention and Disposition Schedule.
• List(s) of authorized workers.
• Periodic inspection records.
• Training records.
• Ensure that, whenever outside service contractor personnel are to be engaged in activities that meet the requirements of LOTO, management and outside service contractors do the following:
• Inform each other of their respective LOTO procedures.
• Ensure that all individuals involved in the activity understand and comply with the restrictions and prohibitions of the hazardous-energy-control procedures applicable to the activities being performed.

Note: Contractors must also comply with ESH100.1.GP.1, Manage Safety for Contracted Activities, when performing LOTO operations on DOE-controlled premises.

• Ensure that any designated representative appointed to perform the above requirements is an authorized worker and is knowledgeable of the equipment within the Manager’s scope of authority.

• Managers may have more than one designated representative.

Guidance

Managers, and/or their designated representatives should complete LOTO training in accordance with requirements identified in this manual to help conduct periodic inspections.

3.2 Members of the Workforce

Authorized Workers

• Follow the requirements found in "General Requirements."
• Follow the procedures that have been developed for LOTO.
• Apply or remove only their personal locks and tags when performing LOTO.
• Ensure that keys to LOTO locks are under personal control at all times.
• Ensure that a LOTO lock is applied at the energy isolation device or multiple lockout device (i.e., group lockbox) prior to commencing work, when working under a group lockout procedure.
• Report any lost or damaged LOTO equipment to management.
• Participate in the development of equipment-specific, energy control procedures and perform periodic inspections when assigned.
• Attend assigned training courses.
• Do NOT work at any time under the protection of someone else’s lock.

Note: Workers shall NOT perform service and maintenance activities under another worker’s lock. Each worker involved in a maintenance activity shall apply the appropriate lock(s) and tag(s) specified in the relevant lockout/tagout procedure for protection from the unexpected energization of start-up of equipment or the release of hazardous energy.

Affected Workers

• Be aware of lockout/tagout procedures used in your operations.
• Do NOT attempt to operate any machine, equipment or process which is locked and tagged out.
• Do NOT attempt remove any locks and tags from energy control devices.

4.0 GENERAL REQUIREMENTS

4.1 Required Devices

Obtain and use the following standardized locks and tags:

• Red-banded Master® locks.
• SNL-specific lock labels.
• SNL-specified "DANGER" tags.
• Single key.

Lockout/tagout devices shall not be used for administrative control (see Administrative Control Procedure on the LOTO website).

Note: Refer to the online LOTO catalog for information about various LOTO devices, vendors, and associated part numbers. Specific manufacturers are identified to inform the reader about sources believed to have equipment available as of the date of this document. The listings here are not intended, nor should they be interpreted, to reflect Sandia endorsement of any product or manufacturer.

4.2 Use of Devices

The minimum requirements for LOTO locks and tags are:

• Red-banded Master® locks shall have SNL-specific lock labels applied.
• Lock labels shall, at a minimum, include the lock owner’s name and contact information (e.g., phone number, pager number).
• SNL-specific “DANGER” tags shall be used whenever a red-banded lock is applied. Information on the tag shall, at a minimum, include the lock owner’s name and contact information (e.g., phone number, pager number). More information is allowed and encouraged but not required.

Locking devices that are constructed to allow the attachment of locks and tags to energy isolation devices shall:

• Prevent operation of the isolation device under all expected environmental conditions.
• Be constructed to accept a standard SNL red-banded Master® Lock.
• Prevent inadvertent operation of the isolation device when a lock is applied to the device.

Note: The locking device shall be substantial enough to prevent its removal without the use of excessive force or unusual techniques.

4.3 Procedures

General Requirements

Procedures shall be prepared and approved prior to commencement of any servicing and maintenance activity and used whenever LOTO operations are performed, unless equipment has been evaluated and meets the criteria of Equipment Evaluation section. Procedures shall be approved by the appropriate authority, as determined by division policy.

Equipment Hazard Analysis

A record of the equipment hazard analysis shall be maintained by the affected manager, and promulgated to employees as part of the appropriate work package or other work controls document. The equipment owner or other management designee who has appropriate knowledge of the hazards and sources associated with the equipment should perform this evaluation. The formal evaluation of the affected machine or equipment shall include:

• The task(s) that may be performed.
• An evaluation of the hazards and energy sources associated with the tasks.
• An acknowledgement by the user(s) that they will follow all applicable steps of the LOTO General Procedure, including, but not limited to, shutdown, energy isolation and application of locks and tags, zero energy verification, and startup.

A formal written procedure is NOT required if the equipment meets the criteria described below in “Unwritten Procedure Criteria.”

Note: An equipment evaluation job aid is available to assist in performing and documenting equipment evaluations.

Unwritten Procedure Criteria

In order to be exempt from having a written LOTO procedure, each task / equipment shall meet ALL of the criteria below. If all criteria are not met, a written LOTO procedure is required.

• The equipment or machine has no potential for stored or residual energy after shutdown that could endanger employees.
• The machine or equipment has a single energy source that can be readily identified and isolated.
• The isolation and locking of that energy source will completely de-energize and de-activate the machine or equipment.
• The machine or equipment is isolated from that energy source and is locked out during servicing or maintenance.
• A single lockout device will achieve a locked out condition.
• The lockout device is under the exclusive control of the authorized worker who is conducting the service or maintenance.
• The servicing or maintenance does not create hazards for other employees.
• There have been no accidents involving the unexpected activation or re energization of the machine or equipment during servicing or maintenance.
• There is no transfer of responsibility for the maintenance task.
• An evaluation of the equipment has been completed and documented in accordance with the requirements in “Equipment Evaluation,“ above.

Note: Two workers performing work on the same machine or equipment may use the unwritten procedure; however, each authorized worker shall place his or her personal lock and tag on the energy isolation device and remove it upon completion of the assignment. Each authorized worker shall verify or observe the de-energization and verification of zero-energy on the equipment. Servicing or maintenance activities on the same piece of equipment by more than two authorized workers shall require a group LOTO procedure.

Workers performing LOTO operations without written procedures shall follow the requirements of Table 1 as applicable. A LOTO checklist is provided as a job aid on the LOTO website to assist workers in performing unwritten procedures.

Written LOTO Procedures

Requirements

Each servicing and maintenance activity performed under the scope of this manual, (see Applicability and Scope), shall have a written LOTO procedure developed prior to conducting work unless noted in an equipment evaluation. The procedure shall be approved or reviewed based on the organization’s process. The same procedure can be used for future work if the scope and hazards of the activity do not change.

Any deviations from this requirement shall be approved and documented by a senior manager with the concurrence of the LOTO Program SME.

The written LOTO procedure shall clearly and specifically contain the following information:

Scope, purpose, and authorization:

• A statement of intended use of the procedure.
• Identification of the equipment or systems to which the procedure applies.
• Provision for the appropriate authorization for the procedure.

Specific instructions shall be provided in the procedure for each item below:

• Shutting down
• Isolating
• Blocking and securing techniques and devices
• Applying LOTO devices
• Verifying the zero-energy state
• Removing LOTO devices
• Returning to service or maintenance after testing
• Transferring LOTO devices and responsibilities during shift changes, as appropriate
• Start-up

The procedure shall contain enough detail for authorized workers to have a clear understanding of the energy control measures associated with the LOTO for a particular piece of equipment or machine to effectively control all hazards. The amount of detail in the procedure will also depend on the complexity of the machine, equipment or process and the information that the authorized worker must know to safely control the hazardous energy for the machine, equipment or process throughout the course of the servicing and maintenance activity. Additional information from the table for Application and Removal of Locks and Tags may need to be included to help the worker perform LOTO safely.

Note: Any format may be used to document a written LOTO procedure (e.g., a Technical Work Document [TWD] or Electrical Work Permit). See the LOTO website to access the “Equipment-Specific LOTO Procedure Template” for developing written procedures. It includes instructions and is suitable for use any time LOTO is applied. In most cases, completing the “Equipment-Specific LOTO Procedure Template” will satisfy the requirements of this section. Also see the LOTO website to access the “LOTO Checklist.” Consult the LOTO Program SME for assistance.

Grouping of Similar Equipment

Similar equipment may be grouped under a single lockout/tagout procedure if they have similar energy sources, similar shutdown and startup procedures, and similar zero-energy verification requirements. For example, a series of machine tools could be grouped under a single LOTO procedure if they all were shutdown by pushing a “stop” button, if they could be locked out by opening a disconnect near the machine and isolating a local air supply (and locking with an appropriate locking device), and if the zero-energy verification included reading a pressure gauge and attempting to start the equipment by pushing the “start” button, and start up simply required pushing the start button. Note that if one piece of equipment had an air valve, and another one did not, they could not be grouped in a single procedure if locking the air was required. For additional information on grouping of similar equipment contact the LOTO program SME.

Application and Removal of Locks and Tags

Requirements

Authorized or affected workers, as appropriate, shall perform activities associated with LOTO, detailed in Table 1, Application and Removal of Locks and Tags.

Table 1. Application and Removal of Locks and Tags

5.0 ADDITIONAL REQUIREMENTS

Additional requirements are provided below for LOTO situations or activities that include: interim testing, group lockout, shift or personnel changes, outside contractors, and tagout. In these situations, specific procedures or a sequence of actions are required to maintain integrity, continuity and coordination of the LOTO tasks. These actions shall be included as part of the Equipment Specific LOTO Procedure or in the technical work document.

5.1 Procedure for Testing or Positioning Machines, Equipment, or Components

Requirements

If a LOTO device is temporarily removed from the energy-isolating device and the machine or equipment must be energized for testing or positioning, then the authorized workers shall complete the following steps before returning it to service.

Table 2. Procedure for Testing or Positioning Machines, Equipment, or Components

5.2 Group LOTO Procedure

Requirements

When two or more authorized workers are performing servicing or maintenance activities on a single piece of equipment or system, then the authorized workers shall follow a group LOTO procedure. The group LOTO procedure shall afford each worker a level of protection equivalent to that provided by the implementation of a personal LOTO. The group LOTO procedure shall include the requirements of the equipment specific LOTO procedure. The group LOTO procedure shall also include the following to address group-related requirements:

• Designate primary authorized workers:
• A primary authorized worker shall always be designated for any group procedure. The primary authorized worker shall be responsible for the safety of all authorized workers working under the group LOTO procedure. The primary authorized worker is responsible for overall LOTO control; coordinating the affected workers, and ensuring protection during the work task. The continuity of protection shall include the use of a JOB LOCK by the primary authorized worker

Note: When two authorized workers are performing servicing and maintenance activities on a piece of equipment, no primary authorized worker is required if each worker applies his or her own lock and tag and verifies or observes the de-energization and verification of zero-energy on the equipment.

• Designate principle authorized workers when required:
  • The designation of principle authorized workers shall be determined based on the number of authorized workers, the complexity of the procedure, and the number of trades involved in the work. Principle authorized workers may be team or trade leads with delegated responsibility for secondary group lock boxes as determined by the primary authorized worker. Consult the LOTO program manager for additional information on designating primary and principle authorized workers.
• Perform a pre-work brief:
  • The primary authorized worker shall conduct a pre-work brief that includes, at a minimum, the specific roles and responsibilities of each team member, and the method(s) used to manage the group locking.
• Apply a lock to the group lockbox or other specified location:
  • Each authorized worker working under the group LOTO procedure shall apply a lock to the group lockbox or other specified location to prevent the removal of locks from energy-isolation points while that worker is actively involved in the servicing or maintaining activity.
• Assure that the locks and tags installed on the energy isolation devices remain in place until all work has been completed and all authorized workers are protected from the hazardous energy.

Note: Zero-energy verification is required to be performed by the primary authorized worker or his designee immediately following the application of the locks installed on the energy isolating devices. This procedure allows provisions for each authorized worker to perform verification of zero-energy on the affected part of the system without retribution or fear of reprisal.

5.3 Procedure for Shift or Personnel Changes

Requirements

Specific steps for shift or personnel changes shall be included in the group LOTO procedure and implemented to ensure the continuity of LOTO protection and to minimize exposure to hazards from the unexpected energization or start-up of a machine or piece of equipment; and the release of stored energy. Provisions shall be included for the orderly transfer of LOTO device protection between authorized workers from succeeding shifts.

The following four options provide for the orderly transfer of LOTO protection:

• Option 1: All authorized worker(s) leave their personal LOTO devices in place until the job is completed. Energy cannot be restored until all the authorized workers have removed their locks.
• Option 2: During overlapping shifts, the on-coming authorized worker(s) apply their personal LOTO devices before the off-going authorized workers remove their personal LOTO devices. The on-going workers must verify energy isolation before continuing the job.
• Option 3: A “JOB LOCK” can be applied to maintain continuity during the period prior to the off-going worker removing their personal LOTO device. At a later time, the on-coming worker(s) applies their personal LOTO device and must verify the energy isolation before continuing the job and the “JOB LOCK” removed.
• Option 4: Each on-coming authorized worker starts the LOTO procedure at step one, see Table 4.3.3.1, Application and Removal of Locks and Tags. This requires the restoration of the equipment to a safe condition at the end of each shift before off-going workers can remove their locks.

If shift changes are expected during the course of servicing or maintenance tasks, the procedure shall specify the method chosen for managing the shift change. The option selected should reflect the type of maintenance and working conditions in effect. For additional assistance in determining the appropriate method of shift change, contact the LOTO program SME.

5.4 Outside Contractor LOTO Requirements

All outside contractors performing service or maintenance shall perform LOTO procedures when required in accordance with 29 CFR 1910.147 (OSHA Standards for General Industry) and shall comply with the following additional requirements:

• The outside contractor shall be briefed on SNL-specific LOTO devices and procedures applicable to the equipment under maintenance.
• The outside contractor shall inform the SNL equipment owner and other authorized or affected workers of the outside contractor’s energy-control procedure or process, including any differences between that process and SNL-specific requirements.
• The outside contractor shall comply with ESH100.1.GP.1, Manage Safety for Contracted Activities, when performing LOTO activities on SNL locations.

Note: When outside contractors perform service or maintenance on SNL-owned equipment, an administrative lock by an authorized worker who is a Sandia employee may be applied. When applicable the administrative lock(s) will be applied first and will remain in place throughout the job and will be the last removed from the energy isolation devices. The use of these locks may be specified in a local procedure or in the contractor’s procedure. Sandia Members of the Workforce shall not perform work under an administrative lock or outside contractor’s job lock.

5.5 Tagouts

Requirements

The use of tagouts for worker injury prevention (in accordance with the requirements within this manual) is not allowed unless specifically authorized by the LOTO program SME and the Safety Engineering program manager.

Note: If tagout procedures are authorized, additional training on the duties and responsibilities of authorized workers is required, and a formal tagout procedure shall be required which demonstrates protection equivalent to that provided by a lockout.

Equipment and machines that have been purchased or have undergone extensive repair, renovation or modification since January 2, 1990 shall be provided with lockout capability.

6.0 PERIODIC INSPECTION

6.1 Requirements

The purpose of conducting periodic LOTO inspections is to determine if existing procedures are adequate, understood, and followed. The inspector shall observe the authorized worker(s) conducting the LOTO activity during the inspection. The inspector performing the inspection shall be an authorized worker. The authorized worker may be a Member of the Workforce who previously has or currently implements the energy control procedure being inspected, as long as the authorized worker is not implementing any part of the procedure while it is being inspected.

Note: If an authorized worker is not available, managers, supervisors, ES&H coordinators, and safety engineers who have taken LOTO 210 can conduct the inspection.

• If the LOTO Procedure is used more often than once per year:
• An annual inspection is required.
  Periodic inspections do not need to be conducted for each procedure. Inspections can be conducted for groups of procedures as described in the above section under Written LOTO Procedures.
• If the LOTO procedure is used less often than once per year:
• An inspection is required before the procedure is used again.

Note: LOTO procedures that are not required to be documented, per ”Unwritten Procedure Criteria,” above, still need to be inspected and reviewed to ensure that they are adequate and being properly utilized.

• Each authorized worker shall be observed performing a LOTO activity as part of the periodic inspection process. Where this requirement cannot be met due to infrequent LOTO activities or large numbers of authorized workers, contact the LOTO Program SME for guidance.
• Each periodic inspection shall include the following:
• Identification of any deficiencies or deviations and methods or strategies used for corrections or updates.
• Review of the responsibilities of the authorized worker being observed by the inspector.
• Certification that the periodic inspection has been performed for all applicable LOTO procedures. Acceptable documentation of certification for this activity includes:
• A description of the machine that was inspected.
• The date of inspection.
• The name of the worker(s) included in the inspection.
• The name of the inspector.

If during a periodic inspection, a deficiency within the content of the written LOTO procedure is found, work shall be stopped and management informed. The procedure shall be corrected prior to performing any maintenance on the equipment during the inspection.

If an authorized worker is observed inadequately performing LOTO procedures during a periodic inspection then the authorized worker performing the inspection shall do the following:

• Stop work.
• Inform management.
• Resume work with a properly trained authorized worker after management is notified and with management permission.
• The authorized worker that was observed improperly performing LOTO Procedures during the periodic inspection shall, at a minimum, complete LTO 220 training before performing additional LOTO activities. The manager may specify additional retraining. Completion of retraining shall be documented. See the LOTO website for more information on “Annual Lockout/Tagout (LOTO) Roles and Responsibilities for Authorized Workers.”
• Information concerning the inadequacies found during the inspection should be reviewed and documented with the authorized workers involved in the procedure inspected.

6.2 Guidance

Additional periodic inspections should be conducted as frequently as possible to allow authorized workers to validate and evaluate the quality of LOTO procedures. See the LOTO website to access the "Tool for Performing Periodic Review of LOTO Procedures." All authorized workers do not have to be observed performing each LOTO procedure. However, the supervisor or manager should evaluate LOTO activities while monitoring routine work.

7.0 RELATED HAZARDS AND ACTIVITIES

8.0 REFERENCES

8.1 Requirements Source Documents

10 CFR 851, Worker Safety and Health Program.

29 CFR 1910.147, The Control of Hazardous Energy (Lockout/Tagout).

29 CFR 1910.333, Selection and Use of Work Practices

ANSI/NFPA 70E, Electrical Safety Requirements for Employee Work Places, 2004 Edition.

8.2 Related Documents

29 CFR 1910, Subpart O, Machinery and Machine Guarding.

29 CFR 1910.269, Electric Power Generation, Transmission, and Distribution.

29 CFR 1926.417, Lockout and Tagging of Circuits.

ANSI/ASSE Z244.1-2003, Control of Hazardous Energy.

DOE O 5480.19, Chg 2, Conduct of Operations Requirements for DOE Facilities.

DOE-STD-1030-96, Guide to Good Practices for Lockouts and Tagouts.

Safety Engineering Program, LOTO website

Marc Williams, mwilli4@sandia.gov
Al Bendure, aobendu@sandia.gov

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