Lockout-Tagout Program

Title:	Lockout-Tagout Program
Publication date:	8/1/2020
Effective date:	8/1/2020

BRIEF

Policy Summary

All personnel who work on or near equipment in which the unexpected energization or start-up of the equipment or the release of stored energy could cause injury shall personally lock out the equipment for the duration of the work.

Who Should Read This Policy

All persons, including but not limited to Laboratory employees, affiliates, and subcontractors, who could be performing work requiring Lockout/Tagout (LOTO) at Berkeley Lab

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

To Read the ES&H Program Details, Go To:

ES&H Manual Chapter 18

Contact Information

EHS Subject Matter Expert for Lockout/Tagout
EHS Division

Title:	Lockout-Tagout Program
Publication date:	8/1/2020
Effective date:	8/1/2020

Policy

A. Purpose

This policy establishes requirements at Lawrence Berkeley National Laboratory (Berkeley Lab) for controlling hazardous-energy sources, in any form, that could cause personal injury by locking out and tagging out those sources.

B. Persons Affected

This program is required for all Berkeley Lab employees, affiliates, students, visitors, and subcontractors who may be exposed to hazardous energy while performing any construction, service, maintenance, modification, or demolition activity.

C. Exceptions

Persons performing work on projects or sites that do not fall under DOE jurisdiction are not required to follow the requirements of this Lockout/Tagout (LOTO) Program. However, an equivalent LOTO Program meeting applicable regulatory requirements will apply.

D. Policy Statement

All personnel who perform work on or near equipment in which the unexpected energization or start-up of the equipment, or the release of stored energy, could cause injury shall personally lock out the equipment for the duration of their work.

D.1 LOTO Program Quick Reference Map

A reference to the full program intended to guide the reader to the appropriate work process is provided in Work Process A.

D.2 Basic LOTO Rules

A list of basic rules including but not limited to situations when LOTO is required, authorization of workers, qualifications, and establishing safe zones is provided in Work Process B.

D.3 Cord-and-Plug Equipment

A detailed explanation of the cord-and-plug exemption from LOTO, including but not limited to requirements for qualifications, conditions allowing for exemption, examples, and restrictions, is provided in Work Process C.

D.4 Simple LOTO by a LOTO Authorized Person

A detailed explanation of the requirements and restrictions for an Authorized Person to perform a simple LOTO, including but not limited to requirements for authorization, qualifications, conditions allowing for simple LOTO, and a step-by-step procedure, is provided in Work Process D.

D.5 Complex LOTO by a LOTO Authorized Person

A detailed explanation of the requirements and restrictions for an Authorized Person to perform a complex LOTO, including but not limited to requirements for authorization, qualifications, written LOTO procedures, and a step-by-step procedure, is provided in Work Process E.

D.6 Complex LOTO Requiring a Responsible Individual

A detailed explanation of the requirements and restrictions to perform a complex LOTO when a Responsible Individual (RI) is required, including but not limited to requirements for authorization, qualifications of the RI, written LOTO procedures, and a step-by-step procedure, is provided in Work Process F.

D.7 Group LOTO

A detailed explanation of the requirements and restrictions to perform a group LOTO, including but not limited to responsibilities of the RI and group LOTO participants, conditions allowing for group LOTO, and a step-by-step group LOTO procedure, is provided in Work Process G.

D.8 Tagout Only

A detailed explanation of the requirements and restrictions to perform tagout only where the physical construction of the energy isolation does not accommodate the attachment of a lock, including but not limited to conditions and limitations of a tagout-only procedure, responsibilities of the RI and group LOTO participants, and a step-by-step procedure, is provided in Work Process H.

D.9 Subcontractor LOTO Permit

A detailed explanation of the requirements and restrictions to allow subcontractors to perform LOTO, including but not limited to responsibilities of the RI, prerequisites for obtaining a subcontractor LOTO permit, Environment/Health/Safety (EHS) Division responsibilities, and requirements for subcontractors to provide their own LOTO equipment, is provided in Work Process I.

D.10 Shift Change and Transfer of Control

A detailed explanation of the requirements and restrictions for shift changes and transfer of control of locked and tagged out energy sources, including responsibilities of the RI and individuals involved in the LOTO transfer, and a step-by step procedure, is provided in Work Process J.

D.11 Temporary Partial Restoration

A detailed explanation of the requirements and restrictions for temporary partial restoration of energy to part of the system, including responsibilities of the RI and individuals involved in the restoration, applicability, and a step-by step procedure, is provided in Work Process K.

D.12 LOTO Hardware

A detailed description of the requirements and restrictions for LOTO hardware, including but not limited to locks, tags, boxes, and devices permitted at Berkeley Lab, is provided in Work Process L.

D.13 Training and Authorization

Only persons who have the appropriate level of LOTO training can be authorized to perform LOTO functions. Specific training requirements, including EHS courses, prerequisites, refresher training, and authorizations, are listed in Work Process M, Table M.1. Once LOTO training is complete, specific line-management authorization is required to perform LOTO functions (Work Process M).

D.14 Developing LOTO Procedures

A LOTO procedure is a formal document detailing all steps required to establish the lockout. It is specific both to the equipment or system and to the scope of work. A LOTO procedure is required for all complex LOTOs. The LOTO procedure fulfills the following purposes:

It documents the scope of work permitted under the LOTO.
It documents the specific isolations established by the LOTO.
It serves as the primary communication document for all parties involved in the LOTO.

A step-by step procedure for developing and approving LOTO procedures is provided in Work Process N.

D.15 Special Condition LOTO Lock Removal

LOTO lock removal by someone other than the person who applied the lock is prohibited except under special conditions such as a lost key or unavailable personnel. A step-by-step procedure for removing locks under such special conditions is provided in Work Process O.

D.16 Periodic Inspections of LOTO Procedures

All LOTO procedures at Berkeley Lab are subject to periodic quality-assurance (QA) inspection. The EHS Division will coordinate the Laboratory-wide LOTO procedure and QA inspection program, and will certify that inspections have been completed. To meet this requirement, each division must conduct QA inspections of its LOTO procedures and submit the results to the Electrical Safety Group for recordkeeping. (Work Process P)

D.17 Air Gapping

Air gapping is the process whereby the sources of hazardous energy are physically removed from the work area to such an extent that LOTO is not feasible and not necessary. The air-gapping process requires that:

All energy sources must be physically and visibly separated from the work area.
This separation must be visible without opening any cabinets, manhole covers, etc.
The minimum separation distance is five feet, except when approved by the EHS Electrical Safety Group.

Additional requirements and restrictions are provided in Work Process Q.

D.18 Interlocked Systems

Interlocks consist of one or more devices engineered to detect an undesired condition and shut down the equipment or otherwise remove the immediate hazard. Interlocks are not a substitute for LOTO controls and shall not be used or otherwise relied upon for the purpose of protecting persons who are servicing or maintaining equipment. Additionally, an interlock cannot serve as a LOTO energy isolation point, since it does not constitute a positive energy isolation except when permitted by 10 CFR 835, Occupational Radiation Protection. A trapped key interlock system may be used in conjunction with the LOTO Program, but by itself does not meet the requirement for personal LOTO (Work Process R).

D.19 Administrative Control

Administrative locks. Administrative locks are used when there is the need to provide "operational control" (control of a system, utility, or facility). Any lock used for a purpose other than LOTO is an administrative lock. Administrative locking does not provide individual personal protection for workers and is not a substitute for personal LOTO (Work Process S.1).
Tag On. This is used for equipment that must be shut down in a controlled manner and not accidentally de-energized. When a circuit breaker, disconnect switch, or energy-securing device is readily accessible to any employee, the circuit breaker or disconnect switch may be tagged to indicate that it is not to be turned off (Work Process S.2).

D.20 LOTO Coordination

Some large projects or events require the coordination of multiple LOTO procedures. These events include major maintenance outages, emergency outages, initial building energization, or other large projects. The increased complexity may require the assignment of an overall LOTO Coordinator to ensure that conflicts in schedule, outage planning, and required energized events do not lead to confusion. The LOTO Coordinator must ensure the various RIs are properly informed of any changes that will affect their respective LOTO procedures. (Work Process T)

E. Roles and Responsibilities

Role	Responsibilities
Environment/Health/Safety (EHS) Division	Maintains, administers, and revises the LOTO Program as needed. Ensures that LOTO equipment is available and consistent with Berkeley Lab standards. Develops and implements the Lockout/Tagout training courses. Periodically audits LOTO compliance.
Qualified Persons	Wear all required personal protective equipment (PPE) and follow all required safe work practices while performing the necessary operations and verifying the zero-energy state of equipment to support the LOTO process.
LOTO Affected Persons	Follow all LOTO and safety requirements. Recognize when LOTO is being used, the general reasons for LOTO, and the importance of not tampering with or removing a lock and tag.
Limited LOTO Authorized Persons	Follow the directions of the LOTO Responsible Individual. Attend the LOTO Briefing prior to joining a LOTO. Maintain control over the keys to their personal LOTO locks. Apply his or her own personal LOTO lock and tag when performing servicing, maintenance, or modification work. Must NEVER apply or remove a LOTO lock for anyone else.
LOTO Authorized Persons	Recognize the conditions of work that require LOTO, assess all hazardous energy sources, and use correct procedures and materials to implement LOTO. Maintain control over the keys to their personal LOTO locks. Apply his or her own personal LOTO lock and tag when performing servicing, maintenance, or modification work. Must NEVER apply or remove a LOTO lock for anyone else.
LOTO Responsible Individuals (RIs)	Accountable for the safe execution of a complex or group LOTO. Conduct the LOTO briefing. Supervise the Qualified Person(s) in the execution of the LOTO procedure. Manage all changes to the scope of work. Ensure all personnel performing work under the LOTO are LOTO Authorized Persons and are personally locked out for their tasks.
LOTO Procedure Evaluators	Observe the performance of LOTO procedures for the purpose of periodic inspection. Verify that the LOTO procedures are adequate, are understood, and are being followed by persons participating in the LOTO. Document the completion of the LOTO procedure inspections in the EHS database.
LOTO Approvers	Review submitted LOTO procedures for completeness and accuracy. Verify that the scope of work is clearly defined, is described in the LOTO procedure, and that the LOTO Safe Zone established in the LOTO procedure fully encompasses the scope of work. Approve LOTO procedures that meet all requirements in Work Process N.
LOTO Coordinators	Maintain overall control of a set of LOTOs established during a large project. Provide overall coordination with the project schedule. Resolve scheduling conflicts between different LOTOs and other scheduled work. Ensure that the various Responsible Individuals are properly informed of any changes that will impact their respective LOTO procedures.
Line management (including supervisors, managers, and work leads)	Prohibits employees from working on equipment requiring LOTO until the worker is trained and authorized to perform LOTO. Generates and maintains written LOTO procedures where required and audits these LOTO procedures at least annually. Assigns and documents employee LOTO authorization, including: Designating specific equipment or categories of equipment to be controlled. Verifying that workers are qualified to perform the necessary LOTO procedures. Determines the appropriate levels of training required for each employee. Ensures consistent policy implementation and reinforcing of LOTO rules. Removes LOTO devices in case of a person's absence (Work Process O). Ensures that necessary LOTO hardware is available. Ensures that all outside contractors operating under the supervision of the division are informed of and adhere to the Berkeley Lab LOTO Program (Work Process I). Ensures that periodic inspections of LOTO procedures are conducted (Work Process P).

F. Definitions/Acronyms

Term	Definition
Absent Person lock removal	A procedure for the removal of a lock and tag by someone other than the person who applied the lock and tag when that person is not present or available to remove the lock
Administrative lock	Any lock used for a purpose other than LOTO. The lock may serve a safety function other than LOTO, a configuration-control function, or other purpose. Can be any color except red.
Blocked	A condition where a mechanical device is inserted into the energy path to physically prevent movement. Most commonly used with moving parts.
Capable of being locked out	An energy isolation is capable of being locked out if it has a means of attachment to which, or through which, a lock can be affixed with the device in the "off" or de-energized position, or it has a locking mechanism built into it
Complex LOTO	Any LOTO that does not meet the requirements for a simple LOTO is called a complex LOTO. Requires an assigned Person In Charge and a LOTO procedure.
Cord-and-plug-powered equipment	Portable electric equipment, such as power tools, computers, printers, appliances, etc., 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 by the plug being under the continuous control of the employee performing the servicing or maintenance
Credited control radiation safety system	Specific definitions and requirements for radiation-generating devices, radiation safety systems, and credited controls are found in the ES&H Manual Radiation Safety program; EHS Procedure 730, Radiation Generating Device Program; and EHS Procedure 731, RGD Interlock Program.
Dissipated	A condition where all stored energy has been reduced to a nonhazardous level. Pertains to energy-storing devices such as capacitors, pressure receivers, accumulators, reservoirs, or springs
EHS Division	Environment/Health/Safety Division
Energized	Connected to an energy source or containing residual or stored energy
Energy isolation	A mechanical device that physically prevents the transmission or release of energy, including but not limited to the following: Manually operated electrical circuit breaker. Manually operated disconnect switch. 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. Manually operated valve. Flange blank. Pin or block. Any similar device used to block or isolate energy. Energy isolations shall be capable of being locked out. Push buttons, selector switches, software interlocks, and control circuit type devices are not energy isolations and cannot be used to isolate hazardous energy.
Exclusive control	"Under the exclusive control of the employee" means that the Authorized Person has the authority to and is continuously in a position to prevent (exclude) other individuals from re-energizing or starting the machine or equipment while performing the servicing or maintenance activity
Exposure	The condition of being subjected to a source of risk presented by hazardous energy sources
Group LOTO	A process to coordinate a complex LOTO so that LOTO Authorized Persons have to apply personal LOTO locks to a lockbox only instead of at each energy isolation
Group LOTO lock	A LOTO lock used for the purpose of group LOTO. It is identified by a group LOTO lock tag. The keys to group LOTO locks are controlled in a LOTO lockbox.
Hazard zone	The space near a source of hazardous energy where a person could be harmed if the hazardous energy was suddenly or unexpectedly released, such as the unexpected release of stored pressure, the unexpected movement of a machine, the unexpected energization of an electrical conductor, or the spray from a hazardous chemical that was unexpectedly released
Hazardous energy	Energy that is of such a magnitude that it is capable of causing harm to a person
Hazardous energy control	The process of systematically implementing mechanical means to prevent hazardous energy from flowing to a person
Isolated	A condition where a source of hazardous energy has been controlled by physically stopping the energy path so that the energy cannot flow to workers or equipment. The term "isolated" is commonly used with electrical circuits and fluid lines.
Lockout/Tagout (LOTO)	The method of applying a mechanical lockout device and a tag on an energy isolation by a LOTO Authorized Person in accordance with established procedures to control hazardous energies and prevent the equipment from being operated until the lockout device is removed
Look-alike equipment	Equipment that is similar in shape, size, and function that could lead a person to lock out Item A, but start working on Item B instead. Common examples are: "North/middle/south" pumps installed side by side High-voltage switching stations with rows of switchgear Sets of laboratory furnaces installed in a row
LOTO Affected Person	A person whose job requires him/her to be near or around the hazard zone (but not within the hazard zone) when equipment or an apparatus is being maintained or serviced under a locked-out or tagged-out condition
LOTO Approver	The LOTO Approver is a person designated by the division to approve LOTO procedures. A LOTO Approver must be authorized as a LOTO Responsible Individual and have technical competence and familiarity with the equipment or systems for which the LOTO procedure is written. LOTO Approvers must obtain additional technical assistance as required from qualified persons who are more familiar with the systems involved.
LOTO Authorized Person	A person who has completed the required LOTO training (general and procedure specific) and is authorized by the supervisor or work lead to perform LOTO on energy isolation points to perform service or maintenance. Only LOTO Authorized Persons shall apply locks and tags to control hazardous energy.
LOTO Coordinator	The LOTO Coordinator is a LOTO Approver who has been assigned by line management to oversee and coordinate multiple LOTOs for a large project, such as a maintenance outage or building energization
LOTO device	A device or combination of devices that, when applied to an energy isolation and fitted with a LOTO lock or a LOTO hasp: Mechanically prevents the actuation of the energy isolation and Holds fast to the energy isolation until the LOTO lock or LOTO hasp has been removed
LOTO lock	A keyed red padlock used only for the purpose of LOTO
LOTO lockbox	A lockable box used to contain the key(s) of group LOTO locks during a group LOTO procedure
LOTO procedure	A formal written document, approved by a LOTO Approver, that details the scope of work performed under the LOTO, the energy isolations to be established, and all steps required to execute the LOTO
LOTO Procedure Evaluator	A person trained as a LOTO Responsible Individual and assigned to inspect LOTO procedures (Work Process P)
LOTO Responsible Individual (RI)	The LOTO Responsible Individual (RI) is a Person in Charge of a LOTO who has been trained to properly execute and manage LOTO procedures of a more complex nature than those allowed by a LOTO Authorized Person. The following instances of complex LOTO require an RI: Group LOTO (Work Process G) Tagout only (Work Process H) Multiple employers (Work Process I) Shift changes (Work Process J) Temporary partial restoration (Work Process K)
LOTO Responsible Individual (RI) lock	A LOTO lock applied by the LOTO RI for the purpose of controlling a complex or group LOTO. It is identified by an RI LOTO lock tag. The keys to LOTO RI locks are controlled by the RI. LOTO RI locks also function as personal LOTO locks for the RI.
LOTO Safe Zone	The portion of a system that has been placed in a safe work condition by executing the LOTO procedure
LOTO tag	A distinctive, durable tag approved by Berkeley Lab to identify a lockout device and the purpose of the lock. The LOTO tag is attached to the LOTO lock shackle. Different types of LOTO tags include: Personal LOTO tag RI LOTO tag Group LOTO tag Tagout-Only tag
Normal production operations	The utilization of a machine or equipment to perform its intended production function
Person in Charge	The designated person accountable for the safe execution of the lockout
Personal LOTO lock	A LOTO lock issued to a LOTO Authorized Person for the purpose of individual control. No other person has the key or means of opening it.
Qualified Person	A person who, by reason of experience and instruction, has demonstrated familiarity with the construction, installation, maintenance, and operation of the equipment, installations, and the hazards involved, and has been designated by the supervisor or work lead to perform work on equipment. This employee is also required to be current with all required qualification training.
Qualified Electrical Person	A Qualified Person specifically authorized to work on electrical systems. For specific requirements, see the ES&H Manual Electrical Safety program.
Safe work condition	A condition whereby the equipment has been placed in a zero-energy state and controlled to prevent re-energization through the process of lockout. Equipment is not safe to work on until it is in a safe work condition.
Servicing and/or maintenance	Workplace activities such as constructing, installing, setting up, adjusting, inspecting, modifying, maintaining, and/or servicing machines or equipment. These activities include lubricating, cleaning, or unjamming 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.
Setting up	Any work performed to prepare a machine or equipment to perform its normal production operation
Simple LOTO	A process to establish a LOTO on equipment without a written LOTO procedure, provided that the conditions of Work Process D are met.
Stored energy source	Any device capable of holding hazardous energy after equipment shutdown. This includes, but is not limited to, capacitors, tanks, pipes, springs, and flywheels.
Subcontractor LOTO permit	The subcontractor LOTO permit is a LOTO procedure designed for subcontractors. It incorporates the standard Berkeley Lab LOTO procedure format with a process to verify that subcontractors have received the appropriate training and supervision prior to participating in a LOTO.
Tagout only	The placement of a LOTO tag directly on an energy isolation because the energy isolation cannot accommodate a LOTO lock
Trapped key interlock system	An access control system where a key is held captive until a certain condition is satisfied. When the key is released, it is carried to unlock another enclosure or set of keys. The key is again held captive in the new enclosure while the enclosure is unlocked.
Zero-energy state	A condition reached when all hazardous energy sources to or within equipment are isolated, dissipated with no possibility of re-accumulation, and verified as absent through proper testing
Zero-Energy Verification	A process to verify a zero-energy state. For electrical energy, this is called Zero Voltage Verification (ZVV).

G. Recordkeeping Requirements

Completed LOTO Audit Forms must be kept within the division and available for review by the EHS Electrical Safety Group.

H. Implementing Documents

Document Number	Document Title	Document Type
07.07.020.001	ES&H Manual Lockout/Tagout Program	Program
07.07.020.002	Work Process A, LOTO Program Quick Reference Map	Process
07.07.020.003	Work Process B, Basic LOTO Rules	Process
07.07.020.004	Work Process C, Cord-and-Plug Equipment	Process
07.07.020.005	Work Process D, Simple LOTO by a LOTO Authorized Person	Process
07.07.020.006	Work Process E, Complex LOTO by a LOTO Authorized Person	Process
07.07.020.007	Work Process F, Complex LOTO Requiring a Responsible Individual	Process
07.07.020.008	Work Process G, Group LOTO	Process
07.07.020.009	Work Process H, Tagout Only	Process
07.07.020.010	Work Process I, Subcontractor LOTO Permit	Process
07.07.020.011	Work Process J, Shift Changes and Transfer of Control	Process
07.07.020.012	Work Process K, Temporary Partial Restoration	Process
07.07.020.013	Work Process L, LOTO Hardware	Process
07.07.020.014	Work Process M, Training and Authorization	Process
07.07.020.015	Work Process N, Developing LOTO Procedures	Process
07.07.020.016	Work Process O, Special Condition LOTO Lock Removal	Process
07.07.020.017	Work Process P, Periodic Inspections of LOTO Procedures	Process
07.07.020.018	Work Process Q, Air Gapping	Process
07.07.020.019	Work Process R, Interlock Systems	Process
07.07.020.020	Work Process S, Administrative Control	Process
07.07.020.021	Work Process T, LOTO Coordination	Process
07.02.003.001	Safe Work Authorizations	Program
07.07.011.001	ES&H Manual Electrical Safety Program	Program
07.07.018.001	ES&H Manual Laser Safety	Program
07.08.001.001	ES&H Manual Radiation Protection Program	Program
07.07.021.001	ES&H Manual Machine Safeguarding – Shop and Laboratory Machine Safety	Program
07.07.006.001	ES&H Manual Confined Spaces	Program

I. Contact Information