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Record Type: Instruction
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Directive Number: STD 1-7.3
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Standard Number: 1910.147
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Subject: 29 CFR 1910.147, the Control of Hazardous (Lockout/Tagout)
- Inspection Procedures and Interpretive Guidance
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Information Date: 09/11/1990
U.S. Department of Labor Assistant Secretary for
Occupational Safety and Health
Washington, D.C. 20210
OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
SUBJECT: 29 CFR 1910.147, the Control of Hazardous Energy (Lockout/Tagout)--Inspection
Procedures and Interpretive Guidance
A. Purpose. This instruction establishes policies and provides clarification
to ensure uniform enforcement of the Lockout/Tagout Standards.
B. Scope. This instruction applies OSHA-wide.
C. References.
1. General Industry Standards, 29 CFR 1910, Subpart O, Subpart S, and
other specific subparts.
2. OSHA Instruction CPL 2.45B, June 15, 1989, the Revised Field Operations
Manual (FOM).
D. Effective Date of Requirements. All requirements of 29 CFR 1910.147
have an effective date of January 2, 1990. The information collection requirements
contained in this section have been approved by the Office of Management
and Budget (OMB) and listed under OMB control number 1218-0150, as announced
at Federal Register, Volume 54, No. 199, October 17, 1989.
E. Action. Regional Administrators and Area Directors shall ensure that
the guidelines and interpretive guidance in this instruction are followed
and that compliance officers are familiar with the contents of the standard.
F. Federal Program Change. This instruction describes a Federal program
change which affects State programs. Each Regional Administrator shall:
1. Ensure that this change is forwarded to each State designee.
OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
2. Explain the technical content of this change to the State designee
as requested.
3. Ensure that State designees acknowledge receipt of this Federal program
change in writing, within 30 days of notification, to the Regional Administrator.
This acknowledgment should include the State's intention to follow the
inspection guidelines described in this instruction, or a description of
the State's alternative guidelines which are "at least as effective" as
the Federal guidelines.
a. If a State intends to follow the revised inspection guidelines described
in this instruction, the State must submit either a revised version of
this instruction, adapted as appropriate to reference State law, regulations
and administrative structure, or a cover sheet describing how references
in this instruction correspond to the State's structure. The State's acknowledgment
letter may fulfill the plan supplement requirement if the appropriate documentation
is provided.
b. Any alternative State inspection guidelines must be submitted as
a State plan supplement within 6 months. If the State adopts an alternative
to Federal guidelines, the State's submission must identify and provide
a rationale for all substantial differences from Federal guidelines in
order for OSHA to judge whether a different State guideline is as effective
as a comparable Federal guideline.
4. After Regional review of the State plan supplement and resolution
of any comments thereon, forward the State submission to the National Office
in accordance with established procedures. The Regional Administrator shall
provide a judgment on the relative effectiveness of each substantial difference
in the State plan change and an overall assessment thereof with a recommendation
for approval or disapproval by the Assistant Secretary.
5. Review policies, instructions and guidelines issued by the State
to determine that this change has been communicated to State personnel.
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
G. Background. The Standard for Control of Hazardous Energy (Lockout/Tagout),
29 CFR 1910.147, was promulgated on September 1, 1989, at Federal Register,
Volume 54, No. 169 (pages 36644-36696), and was effective on January 2,
1990, as announced at Federal Register, Volume 54, No. 213, November 6,
1989 (page 46610). Previously existing section 29 CFR 1910.147 was redesignated
as 29 CFR 1910.150, Sources of Standards.
1. Since the inception of its enforcement program, OSHA has relied on
the "General Duty Clause" (Section 5(a)(1) of the OSH Act) to ensure that
employers safeguarded their maintenance and service employees through the
use of lockout/tagout from the hazards involving the unintentional release
of hazardous energy. Such violations reached a level so significant that
the development and promulgation of a lockout/tagout standard was required.
2. The new rule addresses practices and procedures that are necessary
to disable machinery or equipment and to prevent the release of potentially
hazardous energy while maintenance and servicing activities are being performed.
3. The lockout/tagout provisions of this standard are for the protection
of general industry workers while performing servicing and maintenance
functions and augment the safeguards specified at Subparts O, S, and other
applicable portions of 29 CFR 1910.
H. Inspection Guidelines. The standard incorporates performance requirements
which allow employers flexibility in developing lockout/tagout programs
suitable for their particular facilities.
1. The compliance officer shall determine whether servicing and maintenance
operations are performed by the employees. If so, the compliance officer
shall further determine whether the servicing and maintenance operations
are covered by 29 CFR 1910.147 or by the requirements or employee safeguarding
specified by other standards as discussed in I.1.
2. Evaluations of compliance with 29 CFR 1910.147 shall be conducted
during all general industry inspections
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
within the scope of the standard in accordance with the FOM, Chapter
III, D.7. and 8., Additional Information to Supplement Records Review.
The review of records shall include special attention to injuries related
to maintenance and servicing operations.
3. The compliance officer shall evaluate the employer's compliance with
the specific requirements of the standard. The following guidance provides
a general framework to assist the compliance officer during inspections:
a. Ask the employer for any hazard analysis or other basis on which
the program related to the standard was developed. Although this is not
a specific requirement of the standard, such information, when provided,
will aid in determining the adequacy of the program. It should be noted
that the absence of a hazard analysis does not indicate non-compliance
with the standard.
b. Ask the employer for the documentation including: procedures for
the control of hazardous energy including shutdown, equipment isolation,
lockout/tagout application, release of stored energy, verification of isolation;
certification of periodic inspections; and certification of training. The
documented procedure must identify the specific types of energy to be controlled
and, in instances where a common procedure is to be used, the specific
equipment covered by the common procedure must be identified at least by
type and location. The identification of the energy to be controlled may
be by magnitude and type of energy. Note the exception to documentation
requirements at paragraph 1910.147(c)(4)(i), "Note". The employer need
not document the required procedure for a particular machine or equipment
when all eight(8) elements listed in the "Note" exist.
c. Evaluate the employer's training programs for "authorized", "affected",
and "other" employees. Interview a representative sampling of selected
employees as a part of this evaluation (29 CFR 1910.147 (c)(7)(i)).
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
(1) Verify that the training of authorized employees includes:
(a) Recognition of hazardous energy;
(b) Type and magnitude of energy found in the workplace;
(c) The means and methods of isolating and/or controlling energy; and
(d) The means of verification of effective energy control, and the purpose
of the procedures to be used.
(2) Verify that affected employees have been instructed in the purpose
and use of the energy control procedures.
(3) Verify that all other employees who may be affected by the energy
control procedures are instructed about the procedure and the prohibition
relating to attempts to restart or reenergize such machines or equipment.
(4) When the employer's procedures permit the use of tagout, the training
of authorized, affected, and other employees shall include the provisions
of 29 CFR 1910.147(c)(7)(ii) and (d)(4)(iii).
d. Evaluate the employer's manner of enforcing the program (29 CFR 1910.147
(c)(4)(ii)).
4. In the event that deficiencies are identified by following the guidelines
in H.3. of this instruction, the compliance officer shall evaluate the
employer's compliance with specific requirements of the standard, with
particular attention to the interpretive guidance provided in section I.
and to the following:
a. Evaluate compliance with the requirements for periodic inspection
of procedures.
b. Ensure that the person performing the periodic inspection is an authorized
employee other than
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
the one(s) utilizing the procedure being inspected.
c. Evaluate compliance with retraining requirements which result from
the periodic inspection of procedures and practices, or from changes in
equipment/processes.
d. Evaluate the employer's procedures for assessment, and correction
of deviations of inadequacies identified during periodic inspections of
the energy control procedure.
e. Identify the procedures for release from lockout/tagout, including:
(1) Replacement of safeguards, machine or equipment inspection, and
removal of non-essential tools and equipment;
(2) Safe positioning of employees;
(3) Removal of lockout/tagout device(s); and
(4) Notification of affected employees that servicing and maintenance
is completed.
f. Ensure that when group lockout or tagout is used, it affords a level
of protection equivalent to individual lockout or tagout as amplified in
I.7. through I.9. of this instruction.
5. The lockout/tagout standard is a performance standard; therefore,
additional guidance is provided in Appendix C of this instruction to assist
in effective implementation by employers and for uniform enforcement by
OSHA field staff.
I. Interpretive Guidance. The following guidance relative to specific
provisions of 29 CFR 1910.147 is provided to assist compliance officers
in conducting inspections where the standard may be applicable:
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
1. Scope of the Standard.
a. The standard as specified in 29 CFR 1910.147(b), applies to any source
of mechanical, hydraulic, pneumatic, chemical, thermal, or other energy.
(1) The standard applies to piping systems, and requires, at 29 CFR
1910.147(d)(5), that all potentially hazardous stored or residual energy
be relieved, disconnected, restrained, and otherwise rendered safe. If
there is a possibility of reaccumulation of stored energy to a hazardous
level, continued monitoring shall be performed while a potential hazard
exists.
(2) The standard also applies to high intensity electromagnetic fields
regulated at 29 CFR 1910.97, nonionizing radiation. Such electromagnetic
devices shall be deenergized and held off whenever workers are present
within a high intensity ambient field.
(3) Servicing/maintenance of fire alarm and extinguishing systems and
their components, upon which other employees are dependent for fire safety,
are not required to meet the requirements of this standard if the workers
performing servicing/maintenance upon fire extinguishing systems are protected
from hazards related to the unexpected release of hazardous energy by appropriate
alternative measures. (See 29 CFR 1910, Subpart L.)
b. The standard does not apply to servicing and maintenance when employees
are not exposed to the unexpected released of hazardous energy.
c. Safeguarding workers from the hazards of contacting electrically
live parts (exposure to electric current) continues to be regulated at
Subpart S.
d. Servicing and maintenance functions conducted during normal production
operations are not regulated at 29 CFR 1910.147 if the safeguarding
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
provisions of Subpart O or other applicable portions of 29 CFR 1910
prevent worker exposure to hazards created by the unexpected energization
or start-up of the machine or equipment. However, lockout/tagout procedures
are required if the production safeguards are rendered ineffective while
an employee is exposed to hazardous portions of the machines or equipment.
e. Generally, activities such as lubrication, cleaning or unjamming,
servicing of machines or equipment, and making adjustments or tool changes,
where the employee may be exposed to the UNEXPECTED energization or start-up
of the equipment or release of hazardous energy, are covered by this standard.
However, minor tool changes and adjustments, and other minor servicing
activities, which take place during normal production operations, are not
covered by this standard if they are routine, repetitive, and integral
to the use of equipment for production, and if work is performed using
alternative protective measures which provide effective employee protection.
Thus, lockout or tagout is not required by this standard if the alternative
protective measures enable the servicing employee to clean or unjam, or
otherwise service the machine without being exposed to unexpected energization
or activation of the equipment, or the release of stored energy.
NOTE: Appendix C, section A, provides further guidance in this area.
f. The exclusion of plug and cord connected electric equipment, at 29
CFR 1910.147(a)(2)(iii)(A), applies only when the equipment is unplugged
and the plug is under the exclusive control of the employee performing
the servicing and/or maintenance.
(1) The plug is under the exclusive control of the employee if it is
physically in the possession of the employee, or in arm's reach and in
line of sight of the employee, or if the employee has affixed a lockout/tagout
device on the plug.
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
(2) The company lockout/tagout procedures required by the standard at
29 CFR 1910.147(c)(4) shall specify the acceptable procedure for handling
cord and plug connected equipment.
2. Procedures.
a. The employer must develop and document procedures and techniques
to be used for the control of hazardous energy. The standard, at 29 CFR
1910.147(c)(4)(i) "Note," identifies eight (8) conditions that must exist
in order to excuse the employer's obligation to maintain a written procedure
for a specific machine or piece of equipment.
b. 29 CFR 1910.147(d)(3) and (d)(5) provide that energy isolation be
a mandatory part of employer's control procedure where either a lockout
system or a tagout system is used.
c. Similar machines and/or equipment (such as those using the same type
and magnitude of energy and the same or similar types of controls) can
be covered with a single written procedure.
3. Lockout vs. Tagout.
a. OSHA has determined that lockout is a surer means of ensuring deenergization
of equipment than tagout, and that it is the preferred method.
b. 29 CFR 1910.147(c)(3)(ii) provides that: When using a tagout program
in those instances where the equipment is capable of being locked out,
the employer shall demonstrate that the tagout program will provide a level
of safety equivalent to the obtained when using a lockout program. Additional
means beyond those necessary for lockout are required. (Additional means
include: additional safety measures such as the removal of an isolating
circuit element, blocking of a controlling switch, opening of an extra
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
disconnecting device, or the removal of a valve handle to reduce the
likelihood of inadvertent energization.)
c. 29 CFR 1910.147(c)(4)(ii) provides that: Where lockout/tagout programs
are used, the employer is required to implement an effective means of enforcing
the program.
d. 29 CFR 1910.147(c)(7)(ii)(A-F) provide that: Additional training
of authorized, affected and other employees is required when tagout programs
are used.
e. 29 CFR 1910.147(c)(5)(ii)(A) requires that lockout and tagout devices
be capable of withstanding the environment to which they are exposed. Devices
which are not exposed to harsh environments need not be capable of withstanding
such exposure.
f. 29 CFR 1910.147(c)(5)(ii)(C)(2) requires that tagout devices having
reusable, non-locking, easily detachable means of attachment (such as string,
cord, or adhesive) are not permitted.
4. Employees and Training.
a. The standard recognized three types of employees: (1)"authorized"
and (2)"affected", defined in 1910.147 (b), and (3)"other", defined in
1910.147(c)(7)(ii)(C). Different levels of training are required based
upon the respective roles of employees in the control of energy and the
knowledge which they must possess to accomplish their tasks safely and
to ensure the safety of fellow workers as related to the lockout/tagout
procedures (1910.147(c)(7)(i)).
b. Employees who exclusively perform functions related to normal production
operations, and who perform servicing and/or maintenance under the protection
of normal machine safeguarding, need only be trained as "affected" (rather
than "authorized") employees even if tagout procedures are used. (See,
I.1.d. and I.1.e. of this instruction.)
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
c. The employer's training program must cover, at a minimum, the following
three areas: energy control program, elements of energy control procedures
relevant to employee duties, and the pertinent requirements of the standard
(1910.147(c)(7) and (d) through (f)).
d. The employer must provide:
(1) Effective initial training;
(2) Effective retraining as needed; and
(3) Certification of training. The certification shall contain each
employee's name and dates of training (1910.147(c)(7)iv)).
e. Retraining of authorized and affected employees is required:
(1) Whenever there is a change in employee job assignments;
(2) Whenever a new hazard is introduced due to a change in machines,
equipment or process;
(3) Whenever there is a change in the energy control procedures; or
(4) Whenever a periodic inspection by the employer reveals inadequacies
in the company procedures or in the knowledge of the employees.
5. Periodic Inspection by the Employer
a. At least annually, the employer shall ensure that an authorized employee
other than the one(s) utilizing the energy control procedure being inspected,
is required to inspect and verify the effectiveness of the company energy
control procedures. These inspections shall at least provide for a demonstration
of the procedures and may be implemented through random audits and planned
visual observations. These inspections are intended to ensure that the
energy control
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
procedures are being properly implemented and to provide an essential
check on the continued utilization of the procedures (29 CFR 1910.147(c)(6)(i)).
(1) When lockout is used, the employer's inspection shall include a
review of the responsibilities of each authorized employee implementing
the procedure with that employee. Group meetings between the authorized
employee who is performing the inspection and all authorized employees
who implement the procedure would constitute compliance with this requirement.
(2) When tagout is used, the employer shall conduct this review with
each affected and authorized employee.
(3) Energy control procedures used less frequently than once a year
need be inspected only when used.
b. The periodic inspection must provide for and ensure effective correction
of identified deficiencies (29 CFR 1910.147(c)(6)(i)(B)).
c. The employer is required to certify that the prescribed periodic
inspections have been performed (29 CFR 1910.147(c)(6)(ii)).
6. Equipment Testing or Positioning. Under 29 CFR 1910.147(f)(1), OSHA
allows the temporary removal of lockout or tagout devices and the reenergization
of the machine or equipment ONLY during the limited time necessary for
the testing or positioning of machines, equipment or components. After
the completion of the temporary reenergization, the authorized employees
shall again deenergize the equipment and resume lockout/tagout procedures.
7. Group Lockout/Tagout. Group lockout/tagout procedures shall be tailored
to the specific industrial operation and may be unique in the manner that
employee protection from the release of hazardous energy is
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
achieved. Irrespective of the situation, the requirements of this generic
standard specify that each employee performing maintenance or servicing
activities shall be in control of hazardous energy during his/her period
of exposure.
a. Group operations normally require that a lockout/tagout program be
implemented which ensures that each authorized employee is protected from
the unexpected release of hazardous energy by his/her personal lockout/tagout
device(s). No employee may affix the personal lockout/tagout device of
another employee. Various group lockout/tagout procedures discussed in
Appendix C provide for each authorized employee's use of his/her personal
lockout/tagout device(s).
b. One of the most difficult problems addressed by the standard involves
the servicing and maintenance of complex equipment. Such equipment is frequently
used in the petrochemical and chemical industries. Acceptable group lockout/tagout
procedures for complex equipment are discussed further at Appendix C.
8. Compliance with Group Lockout/Tagout. These operations shall, at
a minimum, provide for the following:
a. Before the machine or equipment is shut down, each authorized employee
who is to be involved during the servicing/maintenance operation shall
be made aware by the employer of the type, magnitude, and hazards related
to the energy to be controlled and of the method or means to control the
energy. In the event that the machine or equipment is already shut down,
the authorized employee shall be made aware of these elements before beginning
his/her work (29 CFR 1910.147(d)(1)). Verification shall be performed as
noted at I.8.f. of this instruction.
b. An orderly shutdown of the machine or equipment shall be conducted
which conforms to the documented company procedure and which will not create
hazards (29 CFR 1910.147(d)(2)).
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
c. All energy isolating devices needed to isolate the machine or equipment
shall be effectively positioned and/or installed (29 CFR 1910.147 (d)(3)).
d. The authorized employee(s) performing the servicing or maintenance
(following the company procedure) shall personally affix a lock or tag
upon each energy isolating device (29 CFR 1910.147(d)(4)(i). The company
procedure must ensure that no employee affixes a personal lockout/tagout
device for another employee.
(1) A single lock upon each energy isolating device, together with the
use of a lockbox for retention of the keys and to which each authorized
employee affixes his/her personal lock or tag, also satisfies the requirement
(29 CFR 1910.147(f)(3)(i)).
(2) Locks shall be affixed in a manner that will hold the energy isolating
device in a safe (off) position (29 CFR 1910.147(d)(4)(ii)).
(3) Tagout devices, where used, shall be affixed at the same location
as would a lock if such fittings are provided, or shall be affixed in a
manner that will clearly indicate that movement of the isolating device
is prohibited (29 CFR 1910.147(d)(4)(iii)).
e. Following the application of locks or tags, all potentially hazardous
stored energy or residual energy shall be relieved, disconnected, restrained,
and otherwise rendered safe (29 CFR 1910.147(d)(5)(i)).
(1) Verification of energy isolation shall be monitored as frequently
as necessary if there is a possibility of reaccumulation of stored energy
(29 CFR 1910.147(d)(5)(ii)).
(2) Monitoring may be accomplished, for example, by observation or with
the aid of a monitoring device which will sound an alarm if a hazardous
energy level is being approached.
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
f. Authorized employees shall verify that isolation and deenergization
have been effectively accomplished before starting servicing/maintenance
work. Verification is also necessary by each group of workers before starting
work at shift changes.
g. Release from lockout/tagout shall be accomplished in compliance with
the requirements at 29 CFR 1910.147(e).
(1) The machine or equipment area shall be cleared of nonessential items
to prevent malfunctions which could result in employee injuries 29 CFR
1910.147(e)(1)).
(2) The authorized employees shall remove their respective locks or
tags from the energy isolating devices or from the group lock-box(s) following
the procedure established by the company (29 CFR 1910.147(e)(3)).
(3) In all instances, the company procedure must provide a system which
identifies each authorized employee involved in the servicing/maintenance
operation.
(4) Before reenergization, all employees in the machine or equipment
area shall be safely positioned or moved from the area, and the affected
employees shall be notified that the lockout/tagout devices have been removed
(29 CFR 1910.147(e)(2)).
h. During all group lockout/tagout operations where the release of hazardous
energy is possible, each authorized employee performing servicing or maintenance
shall be protected by his/her personal lockout or tagout device and by
the company procedure. As described at Appendix C, B.1.g., a master tag
is a personal tagout device if each employee personally signs on and signs
off on it and if the tag clearly identifies each authorized employee who
is being protected by it.
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
9. Compliance of Outside Personnel. Outside servicing and maintenance
personnel (contractors, etc.) engaged in activities regulated under 29
CFR 1910.147 are subject to the requirements of that standard.
a. The CSHO shall verify that the outside employer and the on-site employer
have exchanged information regarding the lockout/tagout energy control
procedures used by each employer's workers (29 CFR 1910.147(f)(2)(i)).
b. The CSHO shall verify that the on-site employer has effectively informed
his/her personnel of the restrictions and prohibitions associated with
the outside employer's energy control procedures (29 CFR 1910.147(f)(2)(ii)).
c. When an outside employer is engaged in servicing and maintenance
activities within an on-site employer's facility and if that contractor's
activities are subject to the requirements of 29 CFR 1910.147, the CSHO
shall coordinate with the Area Director to obtain permission to initiate
an independent inspection of the outside contractor's activities.
10. Appendix B contains an example of a functional flow diagram to implement
safe lockout/tagout procedures. This flow diagram is presented solely as
an aid and does not constitute the exclusive or definitive means of complying
with the standard in any particular situation.
J. Classification of Violations.
1. A deficiency in the employer's energy control program and/or procedure
that could contribute to a potential exposure capable of producing serious
physical harm or death shall be cited as a serious violation.
2. The failure to train "authorized", "affected", and "other" employees
as required for their respective classifications should normally be cited
as a serious violation. 3. Paperwork deficiencies in lockout/tagout programs
where effective lockout/tagout work procedures are in place shall be cited
as other-than-serious.
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
K. Evaluation. In keeping with agency policy, each Region shall evaluate
the effectiveness of the guidance in this instruction annually. Each Regional
Administrator shall submit a written evaluation report to the Directorate
of Compliance Programs within 30 days of the close of the fiscal year.
Gerard F. Scannell Assistant Secretary
DISTRIBUTION: National, Regional, and Area Offices All Compliance Officers
State Designees NIOSH Regional Program Directors 7(c)(1) Consultation Project
Managers OSHA Training Institute
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
Appendix A
The following listing indicates a number of OSHA standards which currently
impose lockout/tagout related requirements. The list does not necessarily
include all lockout/tagout related OSHA 29 CFR 1910 standards.
Powered Industrial Trucks
1910.178(q)(4)
Overhead and Gantry Cranes
1910.179(g)(5)(i), (ii), (iii) 1910.179(1)(2)(i)(c), (d)
Derricks
1910.181(f)(2)(i)(c), (d)
Woodworking Machinery
1910.213(a)(10) 1910.213(b)(5)
Mechanical Power Presses
1910.217(b)(8)(i) 1910.217(d)(9)(iv)
Forging Machines
1910.218(a)(3)(iii), (iv) 1910.218(d)(2) 1910.218(e)(1)(ii), (iii) 1910.218(f)(1)(i),
(ii), (iii) 1910.218(f)(2)(i), (ii) 1910.218(h)(2), (5) 1910.218(i)(1),
(2) 1910.218(j)(1)
Welding, Cutting and Brazing
1910.252(c)(1)(i)
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OSHA Instruction STD 1-7.3 SEP 11 1990 Directorate of Compliance Programs
Pulp, Paper and Paperboard Mills
1910.261(b)(4) 1910.261(f)(6)(i) 1910.261(g)(15)(i) 1910.261(g)(19)(iii)
1910.261(j)(4)(iii) 1910.261(j)(5)(iii) 1910.261(k)(2)(ii)
Textiles
1910.262(c)(1) 1910.262(n)(2) 1910.262(p)(1) 1910.262(q)(2)
Bakery Equipment
1910.263(l)(3)(iii)(b), 1910.263(l)(8)(iii)
Sawmills
1910.265(c)(12)(v), 1910.265(c)(13), 1910.265(c)(26)(v)
Grain Handling
1910.272(e)(1)(ii) 1910.272(g)(1)(ii) 1910.272(l)(4)
Electrical
1910.305(j)(4)(ii)(A), 1910.305(j)(4)(ii)(c)(1)
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
Appendix B
This flow diagram does not constitute the exclusive or definitive means
of complying with the standard in any particular situation and is presented
solely as an aid.
EXAMPLE - FUNCTIONAL FLOW DIAGRAM FOR IMPLEMENTATION OF LOCKOUT/TAGOUT
REQUIREMENTS ___________________________________________________________________
CONDUCT MACHINE/PROCESS DEVELOP DOCUMENTED HAZARD ANALYSIS _________
LOCKOUT/TAGOUT PROCEDURE ^ | | V ____________________| DEVELOP TRAINING
PROGRAM | __________________________ |_________________________ | V V V
|PROVIDE TRAINING TO PROVIDE DETAILED TRAINING PROVIDE TRAINING TO | AFFECTED
EMPLOYEES TO AUTHORIZED EMPLOYEES ALL OTHER EMPLOYEES | | | V | ASSIGN
MAINT./SERVICE | TASK TO | AUTHORIZED EMPLOYEES | | | V | ___________________________
AND | | | | V V | CONSULT COMPANY NOTIFY AFFECTED | PROCEDURES DOCUMENT
EMPLOYEE(S) OF | | MAINT./SERVICE OPS | | | | IDENTIFY | | ENERGY ISOLATING
DEVICES | | | | IDENTIFY & OBTAIN | |_______________ LOCKOUT/TAGOUT
| DEVICES | | | V __________________________ | ___________AND/OR__________
| | | | | | V V | | DEACTIVATE & DEACTIVATE & | | TAGOUT LOCKOUT
| | |_________________________| | | | | | V | | VERIFY HAZARDOUS | | ENERGY
CONTROLLED | | | | |__ HAZARDOUS ENERGY __________ OR | NOT CONTROLLED
| | V | PERFORM TASK | | | V | RETRIEVE TOOLS & EQUIPMENT | | | V |
VERIFY PERSONNEL | CLEAR AND ACCOUNTED FOR | | | V | REMOVE LOCKOUT/TAGOUT
| DEVICES | | | V | NOTIFY AFFECTED | EMPLOYEES | | | V | RETURN CUSTODY
OF RESTORE POWER & PROBLEM IDENTIFIED EQUIPMENT __________ VERIFY OPS
___________
TO AFFECTED EMPLOYEE(S)
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
Appendix C
This appendix provide guidelines to assist the compliance officer during
evaluations of employer operations.
A. Normal Production Operations. The lockout/tagout standard, 29 CFR
1910.147, addresses the safety of employees engaged in servicing and maintenance
activities in general industry workplaces. The standard complements the
requirements for machine and process operator safety prescribed by the
various general industry standards in 29 CFR Part 1910. Subpart O of 29
CFR 1910 provides the principal, though not exclusive, machine guarding
requirements.
1. Safeguarding of servicing and maintenance workers can be ensured
either by:
a. Effective machine safeguarding in compliance with Subpart O, or
b. Compliance with 29 CFR 1910.147 in situations where the normal production
operations safeguards are rendered ineffective or do not protect the servicing/maintenance
worker.
2. Activities which are routine, repetitive, and integral to the use
of equipment for production are not covered by this standard if alternative
measures provide effective worker protection from hazards associated with
unexpected energization. Compliance with the machine guarding requirements
of Subpart O is an example of such alternative measures. In addition, supplemental
personal protective equipment may be necessary during a servicing or maintenance
operation when a toxic substance is to be isolated. Under such circumstances,
the requirements of applicable standards, such as 29 CFR 1910.134 and Subpart
Z, also must be met.
3. An employer who requires employees to perform routine maintenance
and/or servicing while a machine or process is operating in the production
mode, must provide employee safeguarding under the applicable requirements
of Subpart O. (Ref. 29 CFR 1910.212(a)(1)). Operations such as lubricating,
draining sumps, servicing of filters, and inspection for leaks and/or mechanical
malfunction are examples of routine
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
operations which can be accomplished with effective production-mode
safeguards. However, the replacement of machine or process equipment components
such as valves, gauges, linkages, support structure, etc. , is not considered
to be normal routine maintenance function which can safely be accomplished
during machine or process equipment operation. Such maintenance requires
energy isolation and should be evaluated by OSHA field staff. They also
may be an appropriate subject of a variance request.
4. Several alternative means of safeguarding the hazardous portions
of machines and equipment are presented by the national consensus standard,
ANSI B11.19-1990. Although that standard is not all inclusive, it describes
effective safeguarding alternatives for the protection of employees. The
safeguards describe include: interlocked barrier guards, presence sensing
devices and various devices under the exclusive control of the employee.
Such devices or guards, properly applied, may be used in clearing minor
jams and performing other minor servicing functions which occur during
normal production operations and which meet the criteria described in paragraph
A.2. of this appendix.
B. Group Lockout/Tagout. The group lockout/tagout procedures described
in this instruction at paragraph I.8. require each authorized employee
to be in control of potentially hazardous energy release during their servicing/maintenance
work assignments. Under most circumstances, where servicing/maintenance
is to be conducted during only one shift by an individual or a small number
of persons working together, the installation of each individual's lockout/tagout
device upon each energy isolating device would not be a burdensome procedure.
However, when many energy sources or many persons are involved, and/or
the procedure is to extend over more than one shift, (possibly several
days, or weeks) consideration must be given to the implementation of a
lockout/tagout procedure that will ensure the safety of the employees involved
and will provide for each individual's control of the energy hazards. The
following procedures are presented as examples to illustrate the implementation
of a group lockout/tagout procedure involving many energy isolating devices
and/or many servicing/maintenance personnel. They illustrate several alternatives
for having authorized employees affix personal lockout/
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
tagout devices in a group lockout/tagout setting. These examples are
not intended to represent the only acceptable procedures for conducting
group operations.
1. Definitions. Various terms used in the examples are defined below.
a. PRIMARY AUTHORIZED EMPLOYEE is the authorized employee who exercises
overall responsibility for adherence to the company lockout/tagout procedure.
(See 29 CFR 1910.147(f)(3)(ii)(A).)
b. PRINCIPAL AUTHORIZED EMPLOYEE is an authorized employee who oversees
or leads a group of servicing/maintenance workers (e.g. , plumbers, carpenters,
electricians, metal workers, mechanics).
c. JOB-LOCK is a device used to ensure the continuity of energy isolation
during a multi-shift operation. It is placed upon a lock-box. A key to
the job-lock is controlled by each assigned primary authorized employee
from each shift.
d. JOB-TAG with TAB is a special tag for tagout of energy isolating
devices during group lockout/tagout procedures. The tab of the tag is removed
for insertion into the lock-box. The company procedure would require that
the tagout job-tag cannot be removed until the tab is rejoined to it.
e. MASTER LOCKBOX is the lockbox into which all keys and tabs from the
lockout or tagout devices securing the machine or equipment are inserted
and which would be secured by a "job-lock" during multi-shift operations.
f. SATELLITE LOCKBOX is a secondary lockbox or lock-boxes to which each
authorized employee affixes his/her personal lock or tag.
g. MASTER TAG is a document used as an administrative control and accountability
device. This device is normally controlled by the operations department
personnel and is a personal tagout device if each employee personally signs
on and signs off on it and if the tag clearly identifies each authorized
employee who is being protected by it.
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
h. WORK PERMIT is a control document which authorizes specific tasks
and procedures to be accomplished.
2. Organization. A group lockout/tagout procedure might provide the
following basic organizational structure:
a. A primary authorized employee would be designated. This employee
would exercise primary responsibility for implementation and coordination
of the lockout/tagout of hazardous energy sources, for the equipment to
be serviced.
b. The primary authorized employee would coordinate with equipment operators
before and after completion of servicing and maintenance operations which
require lockout/tagout.
c. A verification system would be implemented to ensure the continued
isolation and deenergization of hazardous energy sources during maintenance
and servicing operations.
d. Each authorized employee would be assured of his/her right to verify
individually that the hazardous energy has been isolated and/or deenergized.
e. When more than one crew, craft, department, etc., is involved, each
separate group of servicing/ maintenance personnel would be accounted for
by a principal authorized employee from each group. Each principal employee
is responsible to the primary authorized employee for maintaining accountability
of each worker in that specific group in conformance with the company procedure.
No person may sign on or sign off for another person, or attach or remove
another person's lockout/tagout device, unless the provisions of the exception
to 29 CFR 1910.147(e)(3) are met.
3. Examples of Procedures for Group Lockout/Tagout. Examples are presented
for the various methods of lockout/tagout using lockbox procedures. An
example of an applicable method for complex process equipment is also presented.
a. The following procedures address circumstances ranging from a small
group of servicing/
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
maintenance employees during a one-shift operation to a comprehensive
operation involving many over a longer period.
(1) Type A. Each authorized employee places his/her personal lock or
tag upon each energy isolating device and removes it upon departure from
that assignment. Each authorized employee verifies or observes the deenergization
of the equipment.
(2) Type B. Under a lockbox procedure, a lock or job-tag with tab is
placed upon each energy isolation device after deenergization. The key(s)
and removed tab(s) are then placed into a lockbox. Each authorized employee
assigned to the job then affixes his/her personal lock or tag to the lockbox.
As a member of a group, each assigned authorized employee verifies that
all hazardous energy has been rendered safe. The lockout/tagout devices
cannot be removed or the energy isolating device turned on until the appropriate
key or tab is matched to its lock or tag.
(3) Type C. After each energy isolating device is locked/tagged out
and the keys/tabs placed into a master lockbox, each servicing/maintenance
group "principal" authorized employee places his/her personal lock or tag
upon the master lockbox. Then each principal authorized employee inserts
his/her key into a satellite lockbox to which each authorized employee
in that specific group affixes his/her personal lock or tag. As a member
of a group, each assigned authorized employee verifies that all hazardous
energy has been rendered safe. Only after the servicing/maintenance functions
of the specific subgroup have been concluded and the personal locks or
tags of the respective employees have been removed from the satellite lockbox
can the principal authorized employee remove his/her lock from the master
lockbox.
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
(4) Type D. During operations to be conducted over more than one shift
(or even many days or weeks) a system such as described here might be used.
Single locks/tags are affixed upon a lockbox by each authorized employee
as described at Type B or Type C above. The master lockbox is first secured
with a job-lock before subsequent locks by the principal authorized employees
are put in place on the master lockbox. The job-lock may have multiple
keys if they are in the sole possession of the various primary authorized
employees (one on each shift). As a member of a group, each assigned authorized
employee verifies that all hazardous energy has been rendered safe. In
this manner, the security provisions of the energy control system are maintained
across shift changes while permitting reenergization of the equipment at
any appropriate time or shift.
b. Normal group lockout/tagout procedures require the affixing of individual
lockout/tagout devices by each authorized employee to a group lockout device,
as discussed in paragraph B.3.a. of this appendix. However, in the servicing
and maintenance of sophisticated and complex equipment, such as process
equipment in petroleum refining, petroleum production, and chemical production,
there may be a need for adaptation and modification of normal group lockout/tagout
procedures in order to ensure the safety of the employees performing the
servicing and maintenance. To provide greater worker safety through implementation
of a more feasible system, and to accommodate the special constraints of
the standard's requirement for ensuring employees a level of protection
equivalent to that provided by the use of a personal lockout or tagout
device, an alternative procedure may be implemented if the company documentation
justifies it. Lockout/ tagout, blanking, blocking, etc., is often supplemented
in these situations by the use of work permits and a system of continuous
worker accountability. In evaluating whether the equipment being serviced
or maintained is so complex as to necessitate a departure from the normal
group lockout/tagout procedures (discussed
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
in paragraph B.3.a.), to the use of an alternative procedure as set
forth below, the following (often occurring simultaneously) are some of
those which must be evaluated: physical size and extent of the equipment
being serviced/maintained; the relative inaccessibility of the energy isolating
devices; the number of employees performing the servicing/maintenance;
the number of energy isolating devices to be locked/tagged out; and the
interdependence and interrelationship of the components in the system or
between different systems.
(1) Once the equipment is shut down and the hazardous energy has been
controlled, maintenance/servicing personnel, together with operations personnel,
must verify that the isolation of the equipment is effective. The workers
may walk through the affected work area to verify isolation. If there is
a potential for the release or reaccumulation of hazardous energy, verification
ofisolation must be continued. The servicing/maintenance workers may further
verify the effectiveness of the isolation by the procedures that are used
in doing the work (e.g., using a bleeder valve to verify depressurization,
flange-breaking techniques, etc.). Throughout the maintenance and/or servicing
activity, operations personnel normally maintain control of the equipment.
The use of the work permit or "master tag" system (with each employee personally
signing on and signing off the job to ensure continual employee accountability
and control), combined with verification of hazardous energy control, work
procedures, and walk-through, is an acceptable approach to compliance with
the group lockout/tagout and shift transfer provisions of the standard.
(Note, B.1.g. of this appendix.)
(2) Specific issues related to the control of hazardous energy in complex
process equipment are described below in a typical situation which could
be found at any facility. This
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
discussion is intended only as an example and is not anticipated to
reflect operations at any specific facility.
(a) Complex process equipment which is scheduled for servicing/maintenance
operations is generally identified by plant supervision. Plant supervision
would issue specific work orders regarding the operations to be performed.
(b) In most instances where complex process equipment is to be serviced
or maintained, the process equipment operators can be expected to conduct
the shutdown procedure. This is generally due to their in-depth knowledge
of the equipment and the need to conduct the shut-down procedure in a safe,
economic and specific sequence.
(c) The operations personnel will normally prepare the equipment for
lockout/tagout as they proceed and will identify the locations for blanks,
blocks, etc., by placing "operations locks and/or tags" on the equipment.
The operations personnel can be expected to isolate the hazardous energy,
and drain and flush fluids from the process equipment following a standard
procedure or a specific work permit procedure.
(d) Upon completion of shutdown, the operations personnel would review
the intended job with the servicing and maintenance crew(s) and would ensure
their full comprehension of the energy controls necessary to conduct the
servicing or maintenance safely. During or immediately after the review
of the job, the servicing and maintenance crews would install locks, tags
and/or special isolating devices at previously identified equipment locations
following the specified work permit procedure.
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
(e) Line openings necessary for the isolation of the equipment would
normally be permitted only by special work permits issued by operations
personnel. (Such line openings should be monitored by operations personnel
as an added safety measure.)
(f) All of the previous steps should have been documented by a master
system of accountability and retained at the primary equipment control
station for the duration of the job. The master system of accountability
may manifest itself as a Master Tag which is subsequently signed by all
of the maintenance/servicing workers if they fully comprehend the details
of the job and the energy isolation devices actuated or put in place. This
signing by the respective workers further verifies that energy isolation
training relative to this operation has been conducted.
(g) After the system has been rendered safe, the authorized employees
verify energy controls as described in B.3.b.(1) of this appendix.
(h) Specific work functions are controlled by work permits which are
issued for each shift. Each day each authorized employee assigned must
sign in on the work permit at the time of arrival to the job and sign out
at departure. Signature, date, and time for sign-in and sign-out would
be recorded and retained by the applicable crew supervisor who upon completion
of the permit requirements would return the permit to the operations supervisor.
Work permits could extend beyond a single shift and may subsequently be
the responsibility of several supervisors.
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
(i) Upon completion of the tasks required by the work permit, the authorized
employees' names can be signed off the Master Tag by their supervisor once
all employees have signed off the work permit. The work permit is then
attached to the Master Tag. (Accountability of exposed workers is maintained.)
(j) As the work is completed by the various crews, the work permits
and the accountability of personnel are reconciled jointly by the primary
authorized employee and the operations supervisor.
(k) During the progress of the work, inspection audits are conducted.
(l) Upon completion of all work, the equipment is returned to the operations
personnel after the maintenance and servicing crews have removed their
locks, tags, and/or special isolating devices following the company procedure.
(m) At this time all authorized employees who were assigned to the tasks
are again accounted for and verified to be clear from the equipment area.
(n) After the completion of the servicing/ maintenance work, operations
personnel remove the tags originally placed to identify energy isolation.
(o) Operations personnel then begin check-out, verification and testing
of the equipment prior to being returned to production service.
C. It should be noted that the purpose of the lockout/tagout standard
is to reduce the likelihood of worker injuries and fatalities during servicing/maintenance
operations. Therefore, when compliance officers inspect workplaces, they
should evaluate the potential for employee exposure to the
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OSHA Instruction STD 1-7.3 SEP 11, 1990 Directorate of Compliance Programs
unexpected release of hazardous energy during servicing/maintenance
operations. When a hazard is noted, the various requirements of the standard
should be applied in a manner which will result in abatement of the hazardous
circumstance.
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