Lockout/Tagout (LOTO) Procedure

The purpose of this policy is to establish a program and utilize procedures for affixing appropriate lockout and tagout devices to machines and equipment to prevent unexpected energization, start-up, or release of stored energy to prevent injury or fatality.

This policy applies to all University Facilities employees, Residential Facilities employees, SFE employees, and outside contractors performing operations requiring the control of hazardous energy. These energy sources include but are not limited to electrical, mechanical, hydraulic, chemical, and thermal. This policy establishes minimum performance requirements for the control of hazardous energy.

3.1 OSHA Standard 29 CFR 1910.174, The Control of Hazardous Energy Sources (Lockout/Tagout)

• Ensure compliance with program requirements.
• Provide support to supervisors and employees.
• Approve removal of abandoned locks.

• Ensure all Affected Employees are trained in the safety components, purpose, and use of Lockout/Tagout procedures.
• Ensure all Authorized Employees receive the appropriate level of training, and these employees are provided with the proper equipment to perform Lockout/Tagout correctly.
• Assure that all applicable personnel protective equipment (PPE) is available and utilized appropriately.
• Identify all machinery and equipment that falls under Lockout/Tagout program requirements.
• Develop, document, and follow energy control procedures to control hazardous energy when employees are servicing machines or equipment (see Appendix A: Hazardous Energies Control Procedure Form).
• Coordinate with the Facilities Lock Shop to supply Authorized Employees with an adequate supply of personal locks.
•  Ensure that only trained and authorized personnel perform Lockout/Tagout.
• Ensure that Lockout/Tagout is performed when necessary.
• Ensure that Lockout/Tagout procedures are followed.
• Investigate any occurrence or variation from this procedure and assure that corrective actions, including retraining and/or procurement of proper equipment and supplies, are taken.
• Remove a lock from service and notify the Facilities Lock Shop when an employee no longer works for Facilities or has moved to another shop within Facilities, or if a key for a lock is reported lost.
• Remove an employee’s personal lock, if necessary (see section 7.8).
• Conduct periodic (annual) inspections and review of Authorized Employees (see Appendix C: Periodic Inspection – Checklist and Certification).

• Perform Lockout/Tagout only if authorized to do so.
• Implement Lockout/Tagout any time work is performed on equipment that has a potentially hazardous energy source.
• Remove locks or tags promptly when work has been completed or when turning over work to the next shift.
• Report the loss of a lock, key, or tag immediately to your supervisor.
• Attend required trainings.

• Develop, implement, and administer the Control of Hazardous Energy Sources (Lockout/Tagout) program.
• Provide training to all Authorized Employees about Lockout/Tagout program requirements and general safe work practices.
• Provide guidance on rules, regulations, policies, and procedures regarding Lockout/Tagout.
• Assist Facilities and other departments in writing equipment-specific Lockout/Tagout procedures.
• Maintain training records, including annual inspections of Authorized Employees performed by supervisors.

An employee whose job requirements include operating or using a machine or equipment on which servicing or maintenance is being performed under Lockout/Tagout, or whose job requires work in an area in which such servicing or maintenance is being performed.

A person who locks out or tags out machines or equipment in order to perform servicing or maintenance on that machine or equipment. An Affected Employee becomes an Authorized Employee when that employee’s duties include performing servicing or maintenance covered under this section.

An energy isolating device is capable of being locked out if it has a hasp or other means of attachment to which, or through which, a lock can be affixed, or if it has a locking mechanism built into it. Other energy isolating devices are capable of being locked out if lockout can be achieved without the need to dismantle, rebuild, or replace the energy isolating device or permanently alter its energy control capability.

Connected to an energy source or containing residual or stored energy.

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, in addition, no plie can be operated independently; a line valve; a block: and any similar device used to block or isolate energy. Push buttons, selector switches, and other control circuit-type devices are not energy-isolating devices.

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

A procedure used in repair, maintenance, and service activities that involves welding on a piece of equipment (e.g. pipelines, vessels, or tanks) under pressure in order to install connections or appurtenances. It is commonly used to replace or add sections of pipeline without the interruption of service for air, gas, water, steam, and petrochemical distribution systems.

The placement of a lockout device on an energy isolating device, in accordance with an established procedure, ensuring that the energy isolating device and the equipment being controlled cannot be operated until the lockout device is removed.

A device that utilizes a positive means such as a lock, key, or combination type to hold an energy isolating device in the safe position and prevent the energizing of a machine or equipment. Included are blank flanges and bolted slip blinds.

The utilization of a machine or equipment to perform its intended production function.

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

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

The placement of a tagout device on 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.

A prominent warning device, such as a tag and a means of attachment, that 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.

All equipment with the potential to release stored energy shall be locked out and tagged out to protect against accidental or inadvertent operation during servicing or maintenance. All stored hazardous energy must be bled down, dissipated, or blocked off, and the machinery locked out. No one shall attempt to operate any switch, valve, or other energy isolating device that is locked out or tagged out.

Lockout is required of all service and maintenance procedures that could involve employee exposure to energized electrical parts, to machinery that could start unexpectedly, or to a stored energy source on equipment or machinery.

Supervisors are to inform Environment, Health, and Safety (EH&S) of new employees in need of Lockout/Tagout training. After an employee attends Lockout/Tagout training provided by EH&S, the employee’s supervisor will submit a work order to the Facilities Lock Shop to issue a uniquely keyed personal lock(s). The employee will receive a key for their lock. A duplicate key for all Authorized Employees will be given to the shop supervisor to be used only in certain situations (see section 7.8.) Duplicate keys must be stored by the supervisor in a designated key cabinet.

Each person assigned to work on machines or equipment requiring Lockout/Tagout shall place their personal lock and tag on the energy isolating device. 

• Equipment, machines, or systems that have no potential energy.
• Normal procedures, including repetitive, routine, minor adjustments and maintenance, that do not involve removal of safety equipment and/or guards or expose personnel to potentially hazardous energy.
• Work or cord and plug connected electrical equipment when it is unplugged and the worker has control over the plug.
• Hot tap operations, including gas, steam, water, or petroleum products, when continuity of service is essential, shutdown is impractical, and documented procedures are followed to provide proven effective protection for employees.

6.1 Procedures shall be developed, documented, and utilized for the control of potentially hazardous energy. The procedures shall outline the scope, purpose, authorization, rules, and techniques. Procedures should include:

• A specific statement for the intended use of the procedure.
• Specific procedural steps for shutting down, isolating, blocking, and securing machines/equipment to control hazardous energy.
• Procedural steps for the placement, removal, and transfer of lockout devices, including the responsibility for them.
• Requirements for testing the effectiveness of lockout devices.

 6.1.1 Specific procedures do NOT need to be documented when all of the following exists:

• The equipment has no potential for stored or residual energy or re-accumulation of stored energy after shutdown.
• The equipment has a single energy source that can be readily identified and isolated.
• Isolation and locking out of the energy source will completely de-energize and deactivate the equipment.
• The equipment is isolated from that energy source and locked out during servicing.
• A single lockout device will achieve a locked-out condition.
• The lockout device is under exclusive control of the Authorized Employee performing the service or maintenance.
• The servicing or maintenance does not create hazards for other employees.
• The employer has had no accidents involving the unexpected activation or re-energization of the equipment during servicing or maintenance.

6.2 Sequence of Lockout/Tagout System Procedure – the person or persons performing a Lockout/Tagout shall:

6.2.1 Preparation for Shutdown Notify all Affected Employees that a Lockout/Tagout is going to be performed, the equipment to be involved, and the reason. Affected Employees must be informed not to disturb the lockout device or attempt to re-start the equipment until they are informed that the lockout has been cleared and it is safe to resume normal operations. Authorized Employees shall know the type and magnitude of energy that the machine or equipment utilizes and shall understand the hazards.

6.2.2 Machine or Equipment Shutdown If the machine or equipment is operating, shut it down by normal stopping procedure (depress stop button, open toggle switch, etc.)

6.2.3 Machine or Equipment Isolation Isolate all the equipment’s energy sources (primary and secondary sources).

6.2.4 Stored Energy Release or restrain any stored energy as appropriate:

• Install ground wires.
• Relieve trapped pressure.
• Block or brace moving parts.

*When a tagout device is used with energy isolating devices designed with the capability of being locked, the tag attachment shall be fastened at the same point at which the lock would have been attached.

*Objects (e.g. 2x4s, poles, tools, etc.) used for blocking or bracing without a means of applying a lock should be clearly marked with Tagout Device.

• Bleed lines and leave vent valves open.
• Drain process piping systems and close valves to prevent flow of hazardous materials.
• If a line must be blocked where there is no valve, use a blank flange.
• Purge tanks and process lines.
• Dissipate extreme cold or heat (wear protective clothing).
• If stored energy can re-accumulate, monitor to make sure it stays below hazardous levels.

Any parts that could inadvertently move during the process must be blocked. Blocking must be secured in place so that it cannot inadvertently be moved or fall out of place.

6.2.5 Lockout/Tagout device application The Authorized Employee will Lockout/Tagout the energy isolating device with their assigned personal lock(s).

*Tags alone are not sufficient. If you do not know how to apply a lockout device or it is not possible to use a lock, you must stop work and contact your supervisor and EH&S. The use of a tagout device without a lock must be approved by your supervisor and EH&S prior to use.

Lockout devices shall be affixed in a manner that will hold the energy isolation devices in a “safe” or “off” position.

6.2.6 Verification of Isolation Verification of lockout must be conducted. Test the Lockout/Tagout by operating the push button(s) or other normal operating controls to make certain the equipment will not operate. Other forms of energy require verification of zero potential. Examples include observing gauges for pressure or vacuum, using a multimeter to show no voltage, or observing flywheels are not free spinning. If the equipment is verified in an isolated condition, then work can proceed.

6.2.7 The equipment is now locked out and tagged out. Proceed with work.

6.3.1 After servicing and/or maintenance is complete, remove all non-essential items and reinstall any safety components (e.g. guards) that had been removed. Verify that equipment controls are in the neutral position.

6.3.2 Check the area around the equipment to make sure all employees are in the clear.

6.3.3 Remove all Lockout/Tagout devices.

• Reverse the shutdown process to ensure a safe start-up.

6.3.4 Notify Affected Employees that servicing is complete, and the equipment is ready for use.

Due to unique maintenance situations, some Facilities shops will utilize group locks in place of personal locks. The intent of group locks is for long-term Lockout/Tagout (e.g. boiler or chiller shutdown). Group locks used by a shop will have one key that will be under the control of the shop supervisor or designee. A written procedure is required for group lock use. Written procedures must include all necessary steps and safeguards. All written procedures must be utilized and maintained (i.e. filled out each time Lockout/Tagout is performed on equipment being serviced) and kept on file in each shop by the shop supervisor. Written procedures may be audited at any time by EH&S.

*It is recommended to have procedures posted at the location where equipment is being serviced.

When more than one employee is servicing equipment, a multi-lock hasp should be utilized to allow each worker to apply their personal lock, ensuring the machine remains locked out until all individuals have completed their tasks.

If a lockout condition is to continue through the following work shift, the oncoming workers must place their locks and tags on the energy isolation devices before the departing worker removes their locks and tags. Before work begins on the subsequent work shift, the oncoming workers must re-verify that all safety devices are in place, ensure there is still zero energy in the system, and attempt to restart or reenergize the system before beginning any work. 

During a lockout condition, it may be necessary to temporarily remove an energy control device to test, adjust, or position the equipment before it is fully restored to service. In those situations, the machine or equipment must be cleared of tools and materials and employees should be kept clear of any hazards. The energy control device(s) is/are removed, the equipment can be energized for testing, adjustment, or positioning. Once the adjustment(s) have been made, the equipment is shut down and a locked-out condition must be reestablished. 

Only the employee who applies their lock to an energy control device can remove it under normal circumstances. However, the lock can be removed under certain circumstances, such as if the employee is out sick, on leave, or is no longer employed at the University. The supervisor or designee must attempt to contact the employee to determine if they will be able to return to work to remove the lock. If the equipment is ready to be returned to service and the employee is unavailable or cannot return, the supervisor must complete Appendix B: Abandoned Lock Removal Authorization Form. Assistant Director (or designee) approval is needed. When the form is completed, the supervisor or designee can utilize the duplicate key to remove the lock from the energy isolation device. This form is to be kept on file by the shop supervisor. 

Locks and tags of all employees working on the equipment must be left in place when work is temporarily suspended (overnight or over a weekend).

When work is left unfinished for extended periods, the equipment should be tagged as out of service, disconnected from all energy sources, and reinstalled with its cover and access panels. All locks and tags must then be removed.

Whenever non-university personnel are engaged in activities covered by the scope and application of this policy, the outside employer and University employees shall inform each other of their respective Lockout/Tagout procedures.

University employees shall ensure that procedures and equipment used by outside employers do not violate UB requirements.

The Lockout/Tagout training program consists of awareness-level training for Affected Employees and specific training for Authorized Employees. All employees assigned Lockout/Tagout duties are to receive general training every year.

• Employees who work in areas where Lockout/Tagout is being conducted must attend an awareness level training, as these employees are classified as Affected Employees. Affected Employees will be trained to understand program requirements and that energy control devices are not to be tampered with, removed, or bypassed in any way. This training is to be conducted every year. 

• Each employee who will be covered by this program as an Authorized Employees must attend training provided by EH&S. In addition, they must receive specific training on equipment that utilizes hazardous sources of energy, provided by either the employee’s supervisor or by a coworker who is designated as an Authorized Employee under the direction of the supervisor. This training will be documented using Appendix C: Periodic Inspection – Checklist and Certification.
• The training program requires employees to demonstrate proficiency in their required duties. A periodic (annual) inspection shall be conducted by the supervisor or designee utilizing Lockout/Tagout procedures. The inspection shall include deviations or inadequacies identified by the energy control procedure being inspected (see Appendix C: Periodic Inspection – Checklist and Certification).
• Submission of Appendix C to EH&S designates Authorized Employee status. Completed inspections need to be kept on file with the shop supervisor, with a copy sent to EH&S.

This policy shall be reviewed annually, or as changes require.

9.1 Campus Commitment to Safety, University at Buffalo, Office of the Provost, Office of the Senior Vice President, April 3, 2001.

9.2 OSHA Standard 29 CFR 1910.147, The Control of Hazardous Energy Sources, Appendix.

9.3 Specific procedures for specific equipment and/or operations requiring Lockout/Tagout (see Appendix B).

9.4 University Facilities Safety Policy “Confined Space Entry,” Utility Tunnel Entry Procedure.

9.5 High-Pressure Steam Lockout/Tagout, Document No: MacKay ST-02.

• Nate Shaw