SOP 2.

9: Lock-Out/Tag-Out
Household
Hazardous
Waste

Contents
1. Introduction…...................................................................................................1
2. Regulatory and contractual requirements...........................................................1
3. Implementing the Lock out/tag out (LOTO) LOTO program.................................1
Attachment A: LOTO definitions................................................................................4
Attachment B: LOTO annual inspection form..............................................................6
Attachment C: LOTO compliance checklist.................................................................7
Attachment D: LOTO process....................................................................................9

1. Introduction
This document establishes minimum performance requirements for the control of unexpected start-up or
energization (release of stored energy) of equipment during routine adjustment or maintenance. Lock-Out/
Tag-Out (LOTO) requirements include mandatory staff training for any equipment that has the potential
for unexpected start-up.

2. Regulatory and contractual requirements

LOTO requirements are established in the HHW program and state agency contract (Exhibit A, part B) and
in OSHA General Industry Standard 29 CFR 1910.147-150. To review LOTO definitions, see Attachment
A of this SOP.

3. Implementing the LOTO program

Required steps
1. Perform risk assessment to determine which equipment requires a LOTO program.
2. Formulate necessary LOTO steps and procedures.
3. Provide staff training on proper LOTO procedures.
4. Perform LOTO inspections and audits.
5. Document the completion of the above steps to ensure procedures are followed correctly.

3.1 Perform risk assessment

SOP 2.9Lock-Out/Tag-Out 1
 1. A designated staff person shall be responsible for LOTO program implementation. For this
Program, the authorized and designated LOTO person is the Facility Manager.
2. Determine if hazardous energy sources are present in the Facility
3. Evaluate Facility equipment to determine if it requires a LOTO program
4. Determine if staff will require LOTO training

3.2 Formulate necessary LOTO steps and procedures

1. Recognize the means and methods of isolating energy.
2. Verify effective energy control.
3. Manage energy by the magnitude and type.
4. Implement a flexible program specific to this Facility.
5. Provide provisions for staff safety when specific work situations arise (e.g., troubleshooting).

3.3 Provide staff training on proper LOTO procedures

3.3.1 Training content. LOTO training includes both initial and refresher. The designated LOTO

person shall authorize appropriate staff to receive mandatory training, which shall include:
 Understanding the energy controls purpose, scope, and procedures used.
 Reviewing changes in equipment practices or processes.
 Encouraging individual responsibility during the LOTO process.
 Instructing staff to ask questions when in doubt.
 Ensuring Facility staff affected by the energy control procedures are
instructed about prohibition relating to attempts to restart or reenergize equipment.
 Ensuring training is not performed by staff utilizing the energy control
procedure being inspected.

3.3.2 Affected staff types. Facility staff whose occupation requires equipment operations is

subject to the LOTO requirements. LOTO training is based on the relationship of the
equipment being de-energized and the degree of knowledge that staff possess with regards
to hazardous energy. There are three types of affected staff:
 “Authorized” staff perform the actual energy control procedure. They know

the details, how the hazards shall be controlled and isolated, and have the proper
knowledge and skills required (e.g., electricians, maintenance engineers, staff with
expertise).
 “Affected” staff are those who normally use the equipment that is

undergoing repair. They may be in the area during equipment LOTO and repair.
 “All” staff refers to any person near LOTO equipment as they need to

understand the importance of these procedures.

SOP 2.9Lock-Out/Tag-Out 2
 3.3.3 Refresher training. Authorized or affected staff shall receive additional training when:

 Their job assignments change.

 New hazards are introduced into the work environment
 Energy control procedures change.
 Inspections reveal deviations from or inadequacies in the energy control
procedures.
 Inspections reveal deficiencies in the program or staff knowledge.

3.4 Perform LOTO inspections and audits

1. Assessing procedures and correcting deviations of inadequacies identified during the inspection

2. Enforcing compliance and immediately ceasing equipment operations if violations are noted

3. Specific equipment testing procedures are in place to determine the effectiveness of LOTO and
other energy control devices; see Attachment B of this SOP

3.5 Documentation
The designated LOTO person shall provide and maintain documentation of hazard analysis. This
shall be developed to aid in determining program adequacy and to ensure procedures are followed
correctly, including:

 Verify and document that all qualified persons have had appropriate LOTO training.

 Review of the LOTO program for compliance on an annual basis.

 Review of injuries related to equipment operations.

 Provide common procedures used for specific equipment, identified by type and location used
to control hazardous energy (including shutdown).

 Document periodic inspections.

 Provide evaluation. See Attachment C of this SOP.

 Revise the written LOTO program as required. See Attachment D of this SOP.

3.6 Facility exemption. Electrical equipment (with a cord and plug) that is being serviced is exempt
from LOTO requirements if the plug is under direct control of the person providing the maintenance
service. Ensure equipment is unplugged prior to servicing.

SOP 2.9Lock-Out/Tag-Out 3
Attachment A
LOTO Definitions
Authorized service staff: The person who is responsible for LOTO of machines or equipment in order to
perform servicing or maintenance. This staff person shall be appointed by the designated LOTO person.

Designated LOTO person: Specific and designated Facility staff who is responsible for implementing the
LOTO Program and meeting all requirements therein.

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

Energy control program: LOTO or energy control procedures that are designed to prevent unexpected start
up or energization of equipment.

Energy isolating device: Energy isolating devices include any mechanical mechanism that physically
prevents, blocks, or isolates energy transmission release. These may include an on/off switch or:

 disconnect switch  Ball valve releases

 line valve  Wheel valve covers
 block  Blank or blind flanges
 Chains  Circuit breaker covers
 manually operated electrical circuit breaker
 manually operated switch by which the conductors of a circuit can be disconnected from all ungrounded
supply conductors (no pole can be operated independently)

Push buttons, selector switches, and other control circuit type devices are not energy isolating devices.

Energy source: Any source capable of emitting energy, including:

electrical thermal vapors/gas

mechanical gravity water pressure/steam
hydraulic vacuum nuclear
pneumatic/air solar thermal
chemical wind

Live-dead-live rule: A test for zero energy state where the operator tries to start the equipment, then shuts it
down, then tries to start it again.

Lock-out: The placement of a LOTO device on an energy isolating device (in accordance with established
procedures) to ensure that the energy isolating device and the equipment being controlled cannot be operated
until the LOTO device is removed.

LOTO: The lock-out/tag-out procedure.

SOP 2.9Lock-Out/Tag-Out 4
LOTO devices: A device that utilizes a secure means, such as a lock (either key or combination type), to hold
an energy isolating device in the safe position and prevent the energizing of machines or equipment. LOTO
devices shall be:
 durable
 standardized by color, shape, or size
 substantial
 identifiable
 secured to prevent accidental removal (e.g., they have to be removed by force)

Qualified person: Staff familiar with construction or the operation of equipment and the hazards involved.
This qualified person has the skills and the techniques to distinguish live parts from other parts of electric
equipment. This person can also determine the nominal voltage of exposed live parts and can maintain the
clearance distances specific for the voltages on which they shall be working.

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

Tag-out: The placement of a tag on an energy isolating device in accordance with an established procedure, to
indicate that the equipment being tagged out shall not be operated until the tag is removed.

Tags: Energy isolating devices includes items which can be locked out and those which cannot be locked.
When the device cannot be locked out, Facility staff may use tags (not bypass tags), providing they are:
 legible and understandable by all staff
 able to withstand the work environment
 securely attached to the equipment
 only used when the employer can guarantee full staff protection by using the tag-out system
 only used as warning devices and do not evoke a false sense of security

SOP 2.9Lock-Out/Tag-Out 5
Attachment B
Lock-Out/Tag-Out Annual Inspection Form

Ensure Facility staff is able to perform the following functions to ensure energy control procedures are
correctly being followed:

 How to perform a shutdown.

 How to isolate equipment.

 How to apply and remove LOTO devices.

 How to safely release stored energy to ensure a zero-energy state exists.

 Authorized staff performing the LOTO inspection certifying it has been performed:
_____________________________________________________

 Date of inspection: _____________________

 Specific machine or equipment: _____________________________________

 List all applicable Facility staff included in the inspection:

_______________________________________________

_______________________________________________

_______________________________________________

_______________________________________________

_______________________________________________

_______________________________________________

_______________________________________________

_______________________________________________

SOP 2.9Lock-Out/Tag-Out 6
Attachment C
Lock-Out/Tag-Out Procedure Compliance Checklist
1. Is all machinery or equipment capable of movement required to be de-energized or disengaged,
blocked, and locked-out during cleaning, servicing, adjusting or set-up operations?

2. If disconnecting the power does not also isolate the electrical control circuit
 Are the appropriate electrical enclosures identified?
 Are means provided to assure control of the circuit?

3. Are all equipment control handles provided with a means for LOTO?

4. Does the LOTO procedure require that stored energy (mechanical, hydraulic, air, etc.) be released or
blocked before equipment is locked-out for repairs?

5. Is authorized staff required to keep personal control of their key(s) while safety locks are in use?

6. Is it required that only authorized staff exposed to the hazard place or remove the LOTO device?

7. Is it required that authorized staff check the safety of the lock-out by attempting a start-up after
making sure no one is exposed?

8. Is authorized staff instructed to always push the control circuit stop button prior to re-energizing the
main power switch?

9. Is there a means provided to identify authorized staff working on LOTO equipment by their locks or
accompanying tags?

10. Are a sufficient number of accident preventive signs or tags and safety padlocks provided for any
reasonably foreseeable repair emergency?

11. When machine operations require staff to leave the control station, and part of the machine could
move, is the machine required to be locked or blocked out?

12. In the event equipment cannot be shut down with LOTO, is a safe job procedure established and
rigidly followed?

SOP 2.9Lock-Out/Tag-Out 7
Attachment D
The LOTO process
1. Preliminary steps

Only authorized staff responsible for controlling hazardous energy shall ensure that procedures are
followed for the safe operation of equipment. Unauthorized staff shall never attempt to start up a piece of
equipment that has been properly LOTO. LOTO shall occur when servicing takes place during Facility
operations or when any of the following conditions exist:

 If staff must bypass guards or interlocks to perform the repair at the point of operation.

 If staff must place part of their body in contact with the point of operation source or into a danger
zone.

2. Prepare for shutdown

 Staff shall obtain assistance when necessary to properly repair or service a piece of equipment

 Notify appropriate staff that equipment needs repair or adjustment

 Ensure only authorized staff are performing service or maintenance operations

 Ensure only authorized staff use appropriate testing devices on the circuits according to the voltage
level

 Notify appropriate staff that “STOP” buttons, interlocks, or other devices on equipment are not
acceptable LOTO devices

3. Application of locks and tags

 Equipment not designed to accept locks shall be tagged out of service. (This can only be done when it
can be demonstrated that tagging shall provide an equivalent means of safety.)

 Place locks and tags on the equipment used to de-energize circuits on which the work is to be
performed

 Attach a lock to ensure that unauthorized personnel cannot re-open the circuit

 Place a “Danger—Do Not Operate” tag on the energy source and/or control panel prior to working on
the equipment. The tag shall state that unauthorized use is forbidden and that the tag cannot be
removed.

 Only the person who applied the lock(s) and tag(s) may remove LOTO devices. The only instance in
which a LOTO device may be removed is when staff is not at work to remove it and the “qualified
person” contacts the staff to receive permission that it is acceptable to remove their LOTO device.

SOP 2.9Lock-Out/Tag-Out 8
4. Isolating circuits

 Shut down of the equipment or circuitry ensures de-energization prior to servicing, or when the
potential for unexpected release of energy exists.

 When LOTO is implemented, shut down, isolate, block, and secure equipment.

 Equivalent means of safety may include removal of an isolating circuit element, opening of an extra
disconnecting device, or blocking a controlling switch.

 All LOTO devices shall be left in place while equipment is being repaired or adjusted.

 Stored non-electrical energy that could re-energize the electrical circuits shall be blocked or relieved
to the extent possible.

 Verify isolation by testing the equipment.

 Ensure safe positioning of Facility staff and make them aware of equipment or areas requiring LOTO.

 Perform test procedures to verify that equipment that is back fed or has induced voltages has indeed
been de-energized.

 Verify alternate sources of power that could be introduced into the electrical circuit.

 Shut down the equipment or circuitry equipment.

 Prior to working on the equipment, ensure all energy sources are locked out and verify that no residual
energy exists following LOTO (e.g., live-dead-live rule).

5. Repair, reenergization, and LOTO removal

 Review equipment safety manuals.

 Repair, adjust, replace, or inspect the equipment.

 Do not attempt to restart equipment until it is verified that it is safe to do so following repair.

 Following the servicing, verify all staff are clear of the circuits and equipment when it is re-energized.

 only authorized staff shall perform tests and visual inspections to ensure re-energization can take
place.

 staff who are present at the re-energization shall be informed of any hazards and warned again to stay
clear of the process.

 remove all electrical jumpers, grounds, shorts, and other devices prior to re-energization.

 remove locks and/or tags.

 reenergize the equipment.

 notify affected staff that equipment servicing and/or maintenance has been completed.

SOP 2.9Lock-Out/Tag-Out 9