University of Rochester
EMERGENCY INFORMATIONCALENDARDIRECTORYA TO Z INDEXCONTACTGIVINGTEXT ONLY

Lockout / Tagout
Control of Hazardous Energy



Printable file is available with Adobe Acrobat Reader:
Lockout/Tagout - Control of Hazardous Energy

  1. PURPOSE

    To establish requirements for the lockout or tagout of energy isolating devices.  This policy shall be used to ensure that equipment is de-energized, isolated from all potentially hazardous energy sources, and locked or tagged out before employees perform any servicing or maintenance where unexpected energization, start-up, or release of stored energy could cause injury.


  2. PERSONNEL AFFECTED

    All employees, students, visitors, and contractors performing work at any University of Rochester (UofR) facility, including, but not limited to Strong Memorial Hospital, School of Medicine and Dentistry, Memorial Art Gallery, River Campus, Eastman Theater, LLE, etc.  must comply with these procedures. Any employee or student that is involved in the use, installation, repair, removal, or maintenance of potentially hazardous equipment must read and understand this document before beginning work. Any person issued a safety lock must read this document and satisfy himself or herself that they fully understand these procedures. All visitors and contractors working with equipment connected to energy sources must either read and understand this document or rely on a designated supervisor to comply with these procedures.

    All types of energy sources, including, but not limited to, electrical, mechanical, hydraulic, pneumatic, chemical, or thermal, are subject to these procedures. Electrical energy sources of less than 24 Volts AC or DC and less than 5 Amps maximum rated current do not require lockout, unless they operate other energy control or equipment start-up equipment. Equipment that can be disconnected from energy sources by standard plugs, fittings, or other connections does not require lockout if the disconnected plug is controlled as specified below in this section. This policy does not cover the following:
    • Installations under the exclusive control of electric utility companies for the purpose of power generation, transmission, and distribution, including related equipment for communication or metering; or exposure to electrical hazards from work on, near, or with conductors or equipment in electric utilization installations.
    • Normal production, servicing, or maintenance activities (i.e., minor adjustments or lubrication), where the adjustment device is made for that purpose and the employee performing the task is not exposed to hazardous energy.
      • (Note:  This procedure must be followed if an employee must remove or bypass a guard or other safety device, or is required to place any part of his/her body into an area on a machine or piece of equipment where there are moving parts)
    • Work on cord and plug connected electric equipment for which exposure to the hazards of unexpected energization or start up of the equipment is controlled by the unplugging of the equipment from the energy source and the plug is under the exclusive control of the employee performing the servicing or maintenance. If the person servicing the equipment must leave the area before the task is complete, the equipment is no longer under that person’s exclusive control.
    • Hot tap operations providing the supervisor ensures that continuity of service is essential, shutdown of the system is impractical, and documented special procedures are followed which provide specialized equipment and protection for employees.


  3. DEFINITIONS

    Authorized employee - one who implements a lockout/tagout system procedure on machines or equipment to perform the servicing or maintenance on that machine or equipment.  An authorized employee and an affected employee may be the same person when the affected employee's duties also include performing maintenance or service on a machine or equipment that must be locked or a tagout system implemented.

    Affected employee - one whose job requires him/her to operate or use a machine or equipment on which servicing or maintenance is being performed under lockout or tagout, or whose job requires him/her to work in an area in which such servicing or maintenance is being performed.

    EIN – Equipment Identification Number

    Energy isolating device - a mechanical device that physically prevents the transmission or release of energy including but not limited to:  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 no pole 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.

    Energy source - any source of electrical, mechanical, hydraulic, pneumatic, chemical, thermal, water, gas, steam, gravity, or other energy.

    Hot Tap - A procedure used in repair, maintenance, and service activities that involve welding a piece of equipment (pipelines, vessels or tanks) under pressure to install connections or appurtenances.

    Lockout - 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 while the lockout device is in place. 

    Lockout devices - devices that utilize a positive means such as a lock to hold an energy isolating device in the safe position and prevent the energizing of a machine or equipment.

      Note:  If an energy-isolating device is not capable of being locked out, then only a tagout procedure should be followed.  However, any time a lock is placed, a tag must also be attached.


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

    Tagout - 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 while the tagout device is in place.


  4. RESPONSIBILITIES

    Direct any general questions about this policy to your department’s administrative office. If you have questions about specific issues, call Environmental, Health and Safety at 275-3241.

    1. Directors and Managers
      1. Support the general regulatory compliance programs, and assure that Facility/Departmental Policies are followed.
      2. Provide resources and personnel necessary to develop, maintain, and annually verify and update this program as a whole, including a database system to maintain written procedures.
      3. Provide for resources and personnel to assure all of their employees have received necessary training and instruction regarding their assigned roles and responsibilities to comply with this program.

    2. Operations and Area Managers
      1. Determine the applicability of the lockout/tagout program to activities conducted within their respective areas of jurisdiction.
      2. Designate individuals responsible for the implementation of the LO/TO program within their areas.
      3. Actively support this program as part of the University of Rochester’s overall safety effort.

    3. Trades Supervisors/Lab Managers/PIs shall be the principle lockout/tagout authority within their respective areas and have the following duties:
      1. Follow this policy to meet the specific requirements of each trade area and equipment or systems.
      2. Analyze each situation to determine the appropriate safety procedures for that job.  Develop equipment-specific lockout procedures.
      3. Conduct employee training in coordination with Environmental Health and Safety (EH&S).  Maintain a list of employees authorized to perform lockout/tagout.  Provide the individual department Training Coordinator with the names of employees trained to perform lockout/tagout and dates of training.
      4. Evaluate the particular needs of each trade laboratory or other area of authority, and purchase locks, tags, and lockout devices to be issued to assigned employees in coordination with the Lock Shop.  Maintain a sufficient quantity of locks, tags, and lockout devices.
      5. Request that when available, all new and replacement energy isolating devices (e.g., valves, breakers, and switches) that are purchased and installed are capable of accepting a lockout device.
      6. Coordinate complex system shutdowns and group lockouts as required/requested.
      7. Review work performed and lockout procedures to ensure compliance with policy.
      8. Conduct annual evaluation and audits of lockout procedures.

    4. University Supervisors (PIs, Faculty, etc.) are responsible for ensuring that students working with energy isolating devices follow these procedures. Only trained students are authorized to perform lockout/tagout on machines and equipment.

    5. Employees
      1. Employees shall have primary responsibility for properly controlling those hazardous energies that they may be exposed to.
      2. All authorized employees must properly identify and lockout those hazardous energies that they or a co-worker may be exposed to in accordance with this policy.
      3. Employees must never attempt to operate or energize any energy isolating devices that are locked or tagged out.
      4. Employees must not remove or tamper with any lockout or tagout devices or tags.  Notify supervision if and when this becomes an issue.
      5. Tags and devices purchased for lockout/tagout use shall not be used for any purpose other than lockout/tagout applications.  Locks are individually issued and color-coded per trade.

    6. Contractors
      Prior to work performed by an outside contractor, the contractor will be provided with a copy of the University of Rochester Lockout/Tagout Program.   Contractors shall be responsible for ensuring that their employees fully comply with these policies and procedures.  Before beginning work, the contractor must notify their contact person.

    7. Environmental Health and Safety
      1. Evaluate work being performed to determine compliance with this program.
      2. Provide or assist or support task specific training for LO/TO Authorized work qualifications.
      3. Audit of LO/TO  work permits.
      4. Periodically review and update this written program.
      5. Provide general awareness training for work units on the content of this program.
      6. Assist university facility work units in implementing the provisions of this program.

  5. PROCEDURES

    1. Training

      Any affected employee whose job requires him/her to operate or use a machine or equipment on which servicing or maintenance will be performed, or any other employee who works in an area where such servicing or maintenance will be performed will be trained in the purpose and use of the applicable energy control procedures.  Employees must be informed about the prohibition of restarting and re-energizing machines or equipment that are locked or tagged out.

      Each authorized crew's existing, new, and transferred employees shall receive training on the recognition of applicable hazardous energy sources, the type and magnitude of the energy in their work place, and the methods and means necessary for isolation and control.  The training will include:
      1. The identification of hazards, purpose and use of energy control procedures
      2. Attendance at the annual refresher training provided by EH&S
      3. Explanation of the UofR specific lockout/tagout policies and procedures
      4. Demonstration of, and hands-on use of lockout devices and tags

      Retraining shall be provided on an annual basis and when:
      1. New hazards are presented by the use of new equipment or machines
      2. There is a change in policy or procedure
      3. An affected or authorized employee's job duties or assignments change
      4. A review or evaluation reveals a program deficiency

    2. Records

      Permanent training records will be maintained by the employee’s department, with copies to the individual department Training Coordinator. These records will include the employee's name, the name of the trainer, and the dates of training. All records pertaining to this lockout/tagout program shall be maintained on file for the length of employment.

      Each Trades area will maintain a file of lockout/tagout equipment specific procedures developed by each supervisor for their specific jobs and equipment. Procedures should be retained and reviewed annually. These procedures can be disposed of when the equipment is disposed of, unless relative to or associated with to an injury or illness.

      NOTE:
      The supervisor in charge of the shutdown may add or delete to/from the procedure to ensure the safety of all involved.  Transfer of responsibilities and safe removal of lockout/tagout devices by someone other than the employee who applied the devices must be authorized in writing.  A copy of this authorization will be given to the employee whose lock and/or tag was removed by someone else and the situation will be discussed.  See Appendix C.

      All tags will include:  PERSON'S NAME, DATE, TRADE (or CONTRACTOR'S NAME), and ESTIMATED LENGTH OF SHUTDOWN (if possible).

    3. Standard Lockout/Tagout Procedure
      1. Obtain proper permission for shutdown, as required.
      2. Properly plan the job.
      3. Inform all affected areas and employees that a lockout/tagout system is going to be utilized and the reason.
      4. Lockout/Tagout will be performed only by the authorized employees who are servicing or maintaining the equipment.
      5. Shut down the equipment at the operating controls, by its normal stop procedure. Disconnect all energy sources (pulling the plug, breaking the circuit, closing valves, removing fuse, etc.)
      6. De-energize the equipment and isolate all energy sources to the equipment both at the machine or equipment and at the main disconnect switch, breaker, valve, etc.  (Equipment having any source of electrical, mechanical, hydraulic, pneumatic, chemical, thermal, water, gas, steam, wind, gravity, spring tension, head pressure, compressed air or other gas or other energy)
      7. Apply lockout/tagout to all isolating devices. All authorized parties involved shall install a lock and tag as required. Each person who works on a locked out piece of equipment shall place his/her own lock on it. No individual shall work under another person’s lock. No locks or tags shall be removed by others except supervisors following the procedure outlined in Appendix C.
      8. Lockout is the preferred method of isolation and all attempts shall be made to install a lock and tag.  If it is not possible to lock out equipment due to age, design or function, document the reasoning, and implement at least one of the following:
        1. A tagged securing device (e.g. blocking or clamping a fan blade to prevent “freewheeling” of the unit, propping an overhead door against falling, a spring tension holding device)
        2. Physically disconnect and place tags in strategic locations to alert people the equipment is being worked on
        3. A person knowledgeable in the equipment lockout/tagout will ensure the equipment is not inadvertently energized
      9. Release or dissipate all stored or residual energy sources so that they are at zero energy state.
      10. The key to successful Lockout/Tagout is verification. Verify the equipment is de-energized and all controls are properly isolated. Verify all residual energy has been released or dissipated. After locking/tagging out the equipment the person(s) performing the work shall attempt to operate the equipment before beginning work on it. Verification methods may include the following:
        1. Try to start the equipment through the normal method (buttons, switches, PC controls, etc.)
        2. Slowly open drain valves, unions, flanges, etc to bleed off pressure
        3. Testing of circuits by a qualified individual
        4. Other method pertinent to the equipment being worked on
      11. Re-verify the isolation.
      12. Perform work.
      13. Upon the completion of the work, ensure that the equipment is clear of all tools and that the work area is secure. All personnel shall be in a safe position or removed from the area and no one is exposed to hazard or energy.
        1. All guards are reinstalled
        2. Affected employees are notified
        3. Remove locks and tags; remove only your own lock and tag
        4. Disengage energy isolating devices
      14. Restore energy.
      15. Check equipment for proper operation.
      16. Notify all concerned of the completion of work.

  6. APPENDICES/FORMS

    Appendix A: LO/TO Tags and Locks
    Appendix B: Equipment Specific LOTO Procedure Development Form
    Appendix C: Lock Removal Form by person other than owner
    Appendix D: Contractor Notification Form
    Appendix E: Lockout/Tagout Evaluation Checklist

QUESTIONS? Contact EH&S at (585) 275-3241 or e-mail EH&S Questions.

This page last updated 4/29/2009. Disclaimer.