1. LOCKOUT
TAGOUT
PROGRAM

2. What’s inside Introduction 1 Part I Scope and Application 2
Sources of Energy
Standard Does Not Apply To…
Part II
The Written Energy Control Plan
Steps in Developing an Energy Control Plan
Conditions Requiring a Written Control Plan
Part III
Step 1 – Prepare for Lockout/Tagout
Step 2 – Shutdown
Step 3 - Isolation
Step 4 – Lockout or Tagout Applications
Protective Materials and Equipment
Step 5 – Controlling Stored Energy
Step 6 – Verifying Isolation
Step 7 – Release From Lockout/Tagout
The Big Exercise
Part IV
General Requirements
Two Types of Safety Training
On-The-Job (OJT) Training Steps
If it isn’t in writing, it didn’t get done!
Part V
General Requirements
Review Quiz
Appendices
News Release
Sample Energy Control Plan
Sample Energy Control Plan Audit
Recent Press Releases
Note: This workbook is to be used only by a competent, qualified safety trainer. If the trainer has not completed a “Train-The-Trainer” course, we recommend completion of OSTN Online Course 703 to fulfill the knowledge requirement. The trainer should also be evaluated by the employer’s training director or equivalent as part of the safety trainer certification process. See ANSI/ASSE for more information on certification. Delete this note prior to printing the workbook.

3. Introduction
When it’s time for maintenance, repairs or retooling of a machine, simply turning the machine off or unplugging it while it is being worked on does not give enough protection for workers. Many serious accidents have happened when someone thought the machine or all of the energy was safely turned off.
The Occupational Safety and Health Administration (OSHA) has a standard for locking and tagging out equipment. It is known as 29 CFR , and it presents a minimum performance standard for the control of hazardous energy.
This introductory class takes us through the various required sections of an effective written lockout/tagout program from beginning to end. As we look at each section we’ll discuss related requirements, definitions, and procedures. If you’re new to lockout/tagout this class will give you the basics you need to know to get your program running. And, for those who are familiar with lockout/tagout, the class will serve as a valuable review.
If you have any questions, please feel free to ask at any time.
Objectives
1. Gain a greater awareness of the requirements detailed in 29 CFR , Control of Hazardous Energy.
2. Understand the responsibilities of the employer, authorized employee, and the affected employee.
3. Understand lockout/tagout procedures for shutting down, testing, and returning machinery and equipment to operation.
Please Note: This material, or any other material used to inform employers of compliance requirements of OSHA standards through simplification of the regulations should not be considered a substitute for any provisions of the OSHA Act or for any standards issued by OSHA. The information in this workbook is intended for classroom use only
© OSTN All Rights Reserved. .

4. The Control of Hazardous Energy (Lockout/Tagout)
Part I: Scope and Application
29 CFR ,
The Control of Hazardous Energy (Lockout/Tagout)
(c)(1) Energy Control Program. The employer shall establish a program consisting of energy control procedures, employee training and periodic inspections to ensure that before any employee performs any servicing or maintenance on a machine or equipment where the unexpected energizing, start up or release of stored energy could occur and cause injury, the machine or equipment shall be isolated from the energy source, and rendered inoperative.
What are the three key elements of an energy control program?
1. ____________________________________________________________
2. ____________________________________________________________
3. ____________________________________________________________
Scope: The lockout/tagout rule covers the following employees:
The standard details lockout/tagout responsibilities of “authorized,” “affected,” and “other” employees.
Match the employee category on the left with its correct definition
A. Person who services or performs maintenance on machines or equipment.
__Affected Employee
__Authorized Employee
__Other Employee
B. Person who operates or uses a machine or equipment which is being serviced or has maintenance being performed.
C. Person who works in an area where lockout/tagout procedures are being used.

5. Sources of energy as possible that could cause injury
Application: Procedures must be followed when...
...servicing and/or maintenance is being done when ______________________ energization, start-up or release of stored energy could cause injury.
What is servicing or maintenance?
Some workplace activities considered to be “Servicing and/or maintenance” of machinery and equipment” include:
Adjusting... inspecting... modifying... constructing... re-tooling...
lubricating... removing jams... cleaning...
Sources of Energy
Sources of energy as possible that could cause injury
Pneumatic Hydraulic Mechanical
Kinetic Thermal Radiation
Nuclear Electrical

6. The standard does not apply to:
Installations under the control of _________________.
Exposure to electrical hazards from work on, near, or with ____________ or ______________ in electric utilization installations.
___________ and _______________ drilling and servicing.
Normal ________________ operations…unless:
Guards, or other devices are removed/bypassed; or
Employees place themselves in an area where work on materials, etc., is actually being performed; or
Employees place themselves in any area considered dangerous during the normal operating cycle.
Work on ___________ and ______________ connected equipment.
When under exclusive control of authorized persons.
_________ __________ operations, under special conditions.

7. Part II: The Written Energy Control Plan
A written Energy Control Plan must include the scope, purpose, authorization, rules, and techniques used to control hazardous energy, and the means to enforce compliance, including:
1. A specific statement of intent to use the procedures;
2. Specific procedures to shut down, isolate, block and secure machines or equipment;
3. Specific procedures to place, remove and transfer lockout/tagout devices;
4. Assigning responsibility for lockout/tagout devices;
5. Requirements and procedures to test machines and machinery to determine and verify effective lockout/tagout devices, and other energy control measures. See appendix for a sample written plan.
Why is a comprehensive written plan critical to a successful lockout/tagout program?
______________________________________________________________
Must include the scope, purpose, authorization, rules techniques used to control hazardous energy, and the means to enforce compliance, including:
1. A specific statement of intent to use the procedures;
2. Specific procedures to shut down, isolate, block and secure machines or equipment;
3. Specific procedures to place, remove and transfer lockout/tagout devices;
4. Assigning responsibility for lockout/tagout devices;
5. Requirements and procedures to test machines and machinery to determine and verify effective lockout/tagout devices, and other energy control measures.
What are some reasons a lockout/tagout program may not work effectively?
______________________________________________________________
Who is responsible….who is accountable….and for what?
______________________________________________________________

8. Equipment Identification List
Steps In Developing a Successful Energy Control Plan
1. List all equipment or machines that need servicing or maintenance.
2. Identify those machines which could unexpectedly start up or release stored energy while being serviced or maintained.
3. Determine the steps in the maintenance or servicing task; and
4. Review each step for the potential of a hazard from all energy sources.
List three types of equipment/machinery and any possible energy source hazards, including magnitudes.
Equipment Identification List
Equipment / Machinery Basic Hazards
1. ________________________________ ___________________________
___________________________
2. _______________________________ ___________________________
3. _______________________________ ____________________________
____________________________
Good idea:
Post the above information on each piece of equipment.
You might also include names of the Authorized Persons

9. If any of the conditions below exist, the employer must include the machine or equipment in the written program:
1. The machine or equipment has potential for _______________ or _________________ energy, or ___________________ of stored energy after shutdown which could endanger employees; or
2. The machine or equipment has more than a ________________ energy source; or
3. The isolation and locking out of any single energy source will not _____________ de-energize and deactivate the machine or equipment; or
4. The lockout device is not under _______________ control of an authorized employee performing the servicing or maintenance; or
5. The servicing or maintenance of the machinery or equipment creates ___________for other employees; or
6. The employer has had _____________________ involving the unexpected activation or re-energizing of the machine or equipment during servicing or maintenance.

10. Part III: Lockout/Tagout Procedures
Step 1 - Prepare for Lockout.
The first step in the lockout/tagout procedure is to make preparation to shut down the equipment or machinery to be worked on. As a minimum the following information should be reviewed:
Types and magnitudes of energy;
Hazards posed by that energy; and
Methods to effectively control the energy.
Particularly close attention must be given to energies (such as gravity, electrical, high pressure) that can be stored or re-accumulated after shut-down.
Prior to shutdown all affected employees will be notified to clear their work area and/or any other area that might be hazardous.
What means or methods can be used to ensure the above review and notification is conducted prior to lockout/tagout?
______________________________________________________________

11. Step 2 - Shutdown and Isolation
Machinery and equipment that is capable of being locked out should be shut down in an orderly manner using shutdown checklist procedures.
If more than one authorized employee is involved in shutdown, the maintenance team leader should make sure all assistants have accomplished their tasks and are aware that shutdown will occur.
Why is the actual instant of shutdown or startup so hazardous in the lockout/tagout process?
______________________________________________________________
Step 3 - Isolation
All energy isolation devices should be located and operated to completely de-energize and isolate the equipment. The authorized employee, or team leader will verify operation of each energy isolation device.
An “energy isolating device” physically prevents…
...the ____________________ or _________________ of energy.
Some examples include:
What are some examples of energy isolation devices?
______________________________________________________________
T/F Pushbuttons, selector switches and other control circuit type devices are energy isolating devices.
______________________________________________________________

12. Step 4 – Lockout or Tagout Application
Lockout Devices.
Lockout devices must be used to secure energy isolating devices unless the machinery or equipment is not capable of being locked out.
Only authorized employees will affix lockout/tagout devices. Lockout devices must be able to hold energy isolation devices in a “safe” or “off” position.
Before applying and after removing lockout/tagout devices, the authorized employee…
...must notify all _______________ employees.
A “lockout device” must use a positive means such as a lock, either key or combination type, to hold an energy isolating device…
...in a _____________________ position to prevent machinery or equipment from being __________________________.
What are some examples of lockout devices?
______________________________________________________________
Tagout Devices
A “tagout device” is a prominent warning device, such as a tag and a means of attachment, which can be securely fastened to an energy isolating device in accordance with an established procedure, to indicate that the energy isolating device and the equipment being controlled...
... may not be __________________ until the tagout device is ________________.

13. Tagout devices will be used only if machinery or equipment is not capable of being locked out. Machinery or equipment is “capable of being locked out” if:
It has a ____________ or other means to attach a lock; or
It has a ___________ _____ locking mechanism
Does not have to be ___________________________________ to achieve lockout.
Tags will clearly state that moving energy isolating devices from the “safe” or “off” position is strictly prohibited.
If a tag cannot be affixed to the energy isolating device, it will be located as close as safely possible to the device so that the tag is obvious to anyone attempting to operate the device.
T/F All newly installed machines or equipment must have energy isolating devices capable of accepting a lockout device.
T/F If you replace, do a major repair, renovate, or modify a machine or piece of equipment it must have an energy isolating device capable of accepting a lockout device.

14. When can an employer use a tagout system?
1. When an energy isolating device is not capable of being ________________ __________________.
2. If employer can demonstrate (prove) that using a tagout system will provide _______________ employee protection.
What two tests must be met to demonstrate full employee protection?
1. Tags can be placed where ____________ ________________ would have been placed.
2. The employer demonstrates that_____________________ protection can be obtained with tags.
Which is the preferred method: Lockout or Tagout?
______________________________________________________________

15. Protective Materials and Hardware
Materials and hardware must be provided by the _________________.
Each lockout/tagout device must be _____________ identified as being used ________________ for lockout/tagout.
Lockout/tagout devices must be _____________ and _____________.
Lockout devices must be __________________ to prevent removal without excessive force or unusual techniques.
Tagout devices must be substantial enough to prevent inadvertent or accidental removal. They must be
Non-reusable,
Attachable by hand,
Self-locking,
Non-releasable with not less than 50 lb locking strength
Design/characteristics at least equivalent to a one-piece, all environment-tolerant nylon cable tie.
Lockout/tagout devices must __________________ the user.

16. Step 5 – Controlling Stored Energy
Stored Energy. Immediately after applying lockout or tagout devices, the authorized employee will ensure all potentially hazardous stored or residual energy is relieved, disconnected, restrained, and otherwise rendered safe.
Remember! If stored energy can be re-accumulated to a hazardous level, authorized employees must continually verify that the machinery or equipment is safely isolated until the possibility of re-accumulated energy no longer exists.
What are some examples of stored or residual energy?
______________________________________________________________
Step 6 – Verifying Isolation
Verification of Isolation. Before starting work on a machine or equipment that is locked or tagged out, the authorized employee will verify that the machinery or equipment is actually isolated and de-energized.
How do you verify that a machine or equipment is actually isolated or deenergized?
______________________________________________________________

17. Step 7. Release from Lockout/Tagout.
The authorized employee should follow the procedures below prior to removing lockout/tagout devices and restoring energy
Equipment.
Make sure machinery or equipment is properly reassembled.
Inspect machinery or equipment to make sure nonessential items have been removed.
Employees.
Make sure all employees are safely positioned outside danger zones.
Notify affected employees that lockout/tagout devices have been removed and that energy is going to be reapplied.
Removing lockout/tagout devices.
Only the authorized employee who applied the lockout/tagout device may remove that device.
Exception - When the authorized employee is not at the facility and all reasonable efforts have been taken to inform him/her that the lockout/tagout device has been removed written procedures must be in place to remove lockout/tagout devices.
Who does the authorized employee notify prior to removing any lockout/tagout devices?
______________________________________________________________
T/F The authorized employee also notifies the affected employee after lockout/Tagout devices have been removed and before equipment has been started.
If the authorized employee is not available, who is authorized to remove the lockout or tagout device?

18. Additional Requirements
Testing/Positioning Machines or Equipment. Whenever lockout/tagout devices are removed to test or position machines and equipment, or their components, the authorized employee must complete full shutdown, isolation, and release from shutdown procedures.
T/F Modified/shortened procedures may be used to isolate and startup equipment when testing?
Why are employees injured so frequently while testing the machinery or equipment during maintenance?
Outside Personnel
Outside servicing personnel, contracted to perform maintenance or other services requiring lockout/tagout procedures, must not begin work until the maintenance supervisor is satisfied that their lockout/tagout procedures are at least equivalent to company procedures.
The employer must also ensure company employees understand and comply with contracted personnel lockout/tagout procedures, is used.
Who is responsible if an employee is injured because an outside contractor did not follow proper lockout/tagout procedures?
______________________________________________________________
Shift/Personnel Changes
Written procedures must be developed to address lockout/tagout procedures during a shift change.
What is the intent or purpose of the procedures above?
______________________________________________________________

19. XYZ Coffee The BIG exercise!
Design a quality lockout-tagout procedure for a giant 500 gallon coffee pot (the company’s employees drink a lot of coffee!).
Water in
500 gallon capacity
Shut off valve
XYZ Coffee
Spring loaded lever
CB Panel
2.5 KW heater under tank
Coffee out
220 vac
List types/magnitudes of energy sources
_________________________________________________________________________
Methods to isolate

20. Part IV: Lockout/Tagout Training
General requirements
Training in lockout/tagout must be provided to all employees who may be in an area where energy control procedures are used.
This training will make sure that the purpose and function of the energy control program are understood and that employees gain the needed knowledge and skills to safely apply, use, and remove energy controls.
Minimum training will include:
Authorized employees must be able to recognize hazardous energy sources, types and magnitudes of energy in the workplace, and methods and means necessary to isolate and control the energy.
Affected employees must be able to recognize the purpose and use of energy control procedures.
Other employees must be able to recognize procedures and prohibitions of the energy control program.
What are effective training strategies for each level of training?
______________________________________________________________

21. Two Types of Safety Training
Type One: Safety Instruction
Presents "nice to know" education and training
Knowledge and skills are not measured at the end of training in the learning environment
Write goals for students. Instructional objectives are not required
All you have to do is attend to get a certificate
Measurement focuses on student's reaction to the training session rather than learning
Measurement tools include - "smile sheet" evaluation forms
___________________________________________________________________________
Type Two: Technical Safety Training
Describes "must know" general/specific policies, procedures, practices
Write goals and operational learning objectives for students
Knowledge and skills are measured immediately after training in the learning environment
You must "pass a test" in class to get a certificate
Measurement tools - oral/written exam, skill demonstration
This level is required for most safety training!

22. On-the-Job Training
Step 1. Introduction. Tell the learner what you’re going to train. Emphasize the importance of the procedure to the success of the production/service goals. Invite questions. Emphasize natural and system consequences.
Step 2. Trainer show and tell. The trainer demonstrates the process. The trainer first explains and demonstrates safe work procedures associated with the task. In this step the learner becomes familiar with each work practice and why it is important.
Trainer: EXPLAINS a step and then PERFORMS a step.
Learner: OBSERVES each step and QUESTIONS the trainer.
Step 3. Trainer ask and show. The learner explains the procedure to the trainer, while the trainer does it. This gives the trainer an opportunity to discover whether there were any misunderstandings in the previous step. This step also protects the learner because the trainer still performs the procedure. The learner also responds to trainer questions.
Learner: EXPLAINS each step and RESPONDS to questions.
Trainer: PERFORMS each step and QUESTIONS the trainee.
Step 4. Trainee tell and show. The trainer has the trainee do it. The learner carries out the procedure but remains protected because the learner explains the process before proceeding to do it
Learner: EXPLAINS, gets PERMISSION and then PERFORMS each step.
Trainer: Gives PERMISSION, OBSERVES each step and QUESTIONS the trainee.
Step 5. Conclusion. Recognize accomplishment. Re-emphasize consequences.
Step 6. Document. Effective documentation is more than an attendance sheet. Make sure you “certify” adequate knowledge and skills have been achieved. (see example)
Step 7. Validate. Supervisors validate they have observed employee effectively applying knowledge and skills on the job at some time after training.
Students use this process later while presenting their OJT. What’s neat about this procedure is that education and training is occurring, and measurement of knowledge and skills is occurring in steps Emphasize step four to protect the worker. In OJT that does not involve hazards, step four could be eliminated.
Step 6. Strong documentation is critical. If it isn’t in writing it didn’t get done. An attendance roster, by itself, merely certifies attendance...not adequate..

23. Training on Tagout Devices
If tagout devices are used, further training on tagout systems need to emphasize that:
Tags are warning devices only and do not provide a physical restraint that lockout devices provide.
Tags must not be removed without the authorized employee’s approval, and should never be bypassed, ignored, or otherwise defeated.
Tags must be legible, and understandable by all employees.
Tags must be able to withstand environmental conditions in the workplace.
Tags may give employees a false sense of security.
Tags must be securely attached to prevent being accidentally detached during use.
Retraining
When should employees be retrained?
______________________________________________________________

24. If it isn't in writing…it didn't get done!
Make sure documentation is sufficient. Most safety training teaches employees how to perform a procedure or practice. As a result, employees must demonstrate adequate knowledge and skills in the learning environment before exposure to hazards. Test should be a written exam and skills demonstration. It’s also a good idea to evaluate performance in the actual work environment some time after training has been completed.
(Sample)
Training Subject ______________________ Date _________ Location _______________
Trainee certification. I have received on-the-job training on those subjects listed (see other side of this sheet):  
This training has provided me adequate opportunity to ask questions and practice procedures to determine and correct skill deficiencies. I understand that performing these procedures/practices safely is a condition of employment. I fully intend to comply with all safety and operational requirements discussed. I understand that failure to comply with these requirements may result in progressive discipline (or corrective actions) up to and including termination.
Employee Name Signature Date
________________________ ____________________________ _________
Trainer certification. I have conducted orientation/on-the-job training to the employees(s) listed above. I have explained related procedures, practices and policies. Employees were each given opportunity to ask questions and practice procedures taught under my supervision. Based on each student's performance, I have determined that each employee trained has adequate knowledge and skills to safely perform these procedures/practices.  
Trainer Name Signature Date 
Training Validation. On ___________________ (date) I have observed the above employee(s) successfully applying the knowledge and skills learned during the training.
Supervisor Name Signature Date 

25. (Page 2 of certification) Sample Lockout/Tagout Training Outline
The following information was discussed with students:  
Overview of the lockout/tagout program - purpose of the program 
Authorized employees. Recognition of hazardous energy sources, types and magnitudes of energy in the workplace, and methods and means necessary to isolate and control the energy.
Affected employees. Recognition of the purpose and use of energy control procedures.
Other employees. Recognition of procedures and prohibitions of the energy control program
The following procedures were practiced: 
¾  Applying lockout/tagout devices
¾  Mock/Simulated lockout/tagout procedure on equipment/machine
¾  Use of personal protective equipment required
The following (oral/written) test was administered.
(You may want to keep these tests as attachments to the safety training plan and merely reference it here to keep this document on one sheet of paper. OSHA recommends at least 25 questions for technically complex training. Some lockout/tagout procedures are "complex," and should include a comprehensive written exam.). Note these are only sample questions. You should develop a set of questions that best meet your needs.
1. What are the various types of energy and their magnitudes of this machine or equipment?
2. What are the lockout/tagout devices used in this procedure for this machine or equipment?
3. Who do you need to contact prior to initiating lockout/tagout procedures?
4. Where are lockout/tagout devices located and what is the procedure for checkout?
5. How will you document lockout/tagout procedures have been completed?

26. Part V: Lockout/Tagout Annual Inspections
Annual inspection on lockout/tagout procedures must be conducted by an authorized employee other than the one(s) using the energy control procedure being inspected.
The purpose of the inspection is to correct any deviations or inadequacies in the procedures.
The inspector and authorized employee will review responsibilities under the energy control procedure.
The employer must certify that the inspection was conducted. Elements of the certification should include:
a. Identification of equipment or machinery
b. Date of inspection
c. Employees included in the inspection
d. Person performing inspection
How often must lockout/tagout inspections occur?
______________________________________________________________
Who must conduct the inspection?

27. Let's review
1. Lockout/tagout is used for service and maintenance when energization, start-up or release of stored energy is expected:
a. True
b. False
2. According to the text, lockout/tagout training is required for all of the following, except:
a. OSHA inspectors
b. Other employees
c. Affected employees
d. Authorized employees
3. Circuit breakers, valves, fuses, and blocks are all examples of:
a. Tagout devices
b. Lockout devices
c. Energy isolation devices
d. Lockout controls
4. This term is used to describe the procedure to indicate that the energy isolating device may not be operated:
a. Lockout
b. Tagout
c. Energy isolation
d. Tryout
5. According to the text, employees should be retrained in all of the following situations, except:
a. Change in job assignment
b. Change in machinery or equipment
c. Evidence of deficiency in knowledge or skills
d. Evidence of non-compliance

28. 6. Authorized employees must know the types of energy sources and their __________________:
a. ratings
b. magnitudes
c. frequency
d. locations
7. Servicing or maintenance includes all of the following, except:
a. adjusting
b. installing
c. lubricating
d. evaluating
8. The purpose of a lockout/tagout plan is to:
a. Comply with OSHA
b. Clarify duties and responsibilities
c. Create more paperwork
d. Cover Your Assets (CYA)
9. According to the lockout/tagout rule, which of the following is not one of the three things the authorized employee must know before shutting down?
a. Types and magnitudes of energy
b. Identity of affected employees
c. Hazards posed by that energy
d. Methods to effectively control energy
10. An energy isolation device physically prevents the:
a. transmission or re-accumulation of energy
b. defeat logout/tagout devices
c. modification of energy accumulation
d. involvement of unauthorized individuals

29. Appendices News release Sample Lockout/Tagout Plan
Sample Lockout/Tagout Audit
OAR 437-2/J

30. Local cannery hit with $210,625 fine
Friday, March 18, 1994 The Columbian
Local cannery hit with $210,625 fine
by Bruce Westfall
A Vancouver cannery has been fined $210,625 for a variety of safety violations, including the sale of safety gear to workers instead of providing it free, as the law requires.
The fine against Northwest Packing Co. was made public Thursday by the Washington state Department of Labor and Industries. It is among the largest fines ever issued by the state agency, an official said.
The size of the penalties is affected by a recent increase in state and federal fine schedules for workplace violations. But even so, “It’s a huge penalty, and it reflects an unsafe workplace,” said Labor and Industries spokeswoman Suzanne Taylor.
Northwest Packing plans to appeal the penalties, an executive said this morning.
“It’s an incredible fine,” said company controller Bill Scott. “We have an excellent safety record.”
The privately owned company employees about 80 full-time workers, and between 500 and 700 seasonal workers.
The fine is based on 15 safety violations found during inspections last fall. Northwest Packing has 15 days to appeal. Scott said the company will appeal “once we find out what we’re appealing.” He said the state so far has failed to provide a specific list of violations.
In the most serious, the state alleges Northwest Packing failed to adequately shut down and block the electricity supply to machinery that was either undergoing maintenance or being repaired. Manufacturers must follow strict rules to prevent machinery from being turned on while such work is under way, Taylor said.
Those steps were not followed for nine cookers, three juice presses, 43 pear-peeling machines and two boilers at the cannery, Labor and Industries said. If power was accidentally restored, it could result in serious injury.
Among other violations, Taylor said Northwest Packing sold to seasonal employees safety glasses for $3 a pair, gloves for 45 cents a pair, protective aprons for $1.25 and protective headgear for $2.50 apiece. They also sold earplugs for 15 cents a pair.
Northwest Packing’s Scott said there were some one-time charges for sanitation items including the gloves and aprons. He said the earplugs were sold to some employees “so people would take care not to lose them.” He said the practice of selling the items “has been acceptable to unions for a considerable amount of time.”
Other violations cited by the stated included:
l Failing to enforce the use of hearing protectors.
l Failing to maintain the results of annual hearing tests.
l And not providing “proper training.”

31. Sample Lockout/Tagout Plan
I. General
A. Purpose. XYZ Incorporated has established this lockout/tagout procedure to provide maximum safety protection to our employees whenever they must service or perform maintenance on machinery and equipment.
B. Scope. These procedures must be used by all employees authorized to service or maintain our equipment to ensure that machines or equipment is completely isolated from all potentially hazardous energy sources. All employees affected in any way by servicing and maintenance activities must also be knowledgeable of lockout/tagout procedures.
C. Application. These procedures must be followed whenever unexpected energizing, start-up or release of stored energy could cause injury. These procedures do not apply when servicing or maintenance of equipment during normal production operations unless:
1. guards, or other safety devices, must be removed or bypassed; or
2. an employee places him/herself in an area where work on materials, etc., is actually being performed; or
3. an employee places him/herself in any area considered dangerous during the normal operating cycle.
D. Compliance. All supervisors are responsible and accountable for the use of safe lockout/tagout procedures by all employees under their supervision. Compliance with lockout/tagout procedures is mandatory. Non-compliance with these procedures is considered a violation of an employee’s condition of employment and will result in the initiation of progressive disciplinary procedures including termination.
E. Authorization. Employees who are properly trained and certified on equipment maintenance and lockout/tagout procedures, and approved by the facility manager, are authorized to implement lockout/tagout procedures as appropriate. Attachment A lists authorized employees and associated equipment/machinery.
II. Lockout/Tagout Procedures
A. Preparation for Lockout.
1. Review. Prior to lockout, the authorized employee(s) will review the lockout/tagout card posted at each machine/piece of equipment. As a minimum the following information will be reviewed:
a. types and magnitudes of energy;
b. hazards posed by that energy; and
c. methods to effectively control the energy.
Particularly close attention must be given to energies (such as gravity, electrical, high pressure) that can be stored or reaccumulated after shut-down.
2. Notification. Prior to shutdown all affected employees will be notified to clear their work area and/or any other area that might be hazardous.

32. B. Lockout/Tagout
1. Shutdown. Machinery and equipment will be shut down in an orderly manner using the shutdown checklist procedures on the associated lockout/tagout card. If more than one authorized employee is involved in shutdown, the maintenance team leader will make sure all assistants have accomplished their tasks and are aware that shutdown will occur.
2. Isolation. All energy isolation devices will be located and operated to completely deenergize and isolate the equipment. The authorized employee, or team leader will verify operation of each energy isolation device.
3. Applying Lockout/Tagout Devices
a. Lockout Devices. Lockout devices will be used to secure energy isolating devices unless the machinery or equipment is not capable of being locked out. Only authorized employees will affix lockout/tagout devices. Lockout devices must be able to hold energy isolation devices in a “safe” or “off” position.
b. Tagout Devices. Tagout devices will be used only if If machinery or equipment is not capable of being locked out. Tags will clearly state that moving energy isolating devices from the “safe” or “off” position is strictly prohibited. If a tag cannot be affixed to the energy isolating device, it will be located as close as safely possible to the device so that the tag is obvious to anyone attempting to operate the device.
c. Lockout/Tagout Materials and hardware. Lockout/Tagout devices will be provided by the employer. Each lockout/tagout device will be used only for lockout/tagout.
1. Lockout devices will have the following characteristics:
(a) Capable of withstanding harsh environments,
(b) Standardized within the facility. Same color, shape, size, etc.,
(c) Prevent removal without excessive force,
(d) Singularly identify the user,
(e) Uniquely keyed.
2. In addition, tagout devices will also have the following characteristics:
(a) Non-reusable,
(b) Attachable by hand,
(c) Self-locking,
(d) Non-releasable with not less than 50 lb locking strength
(e) Design/characteristics at least equivalent to a one-piece, all environment-tolerant nylon cable tie.
d. Stored Energy.
1. Immediately after applying lockout or tagout devices, the authorized employee will ensure all potentially hazardous stored or residual energy is relieved, disconnected, restrained, and otherwise rendered safe.
2. If stored energy can be reaccumulated, the authorized employee will verify that the energy is isolated until maintenance is complete or the energy no longer exists.

33. e. Verification of Isolation
e. Verification of Isolation. Before starting work on a machine or equipment that’s locked or tagged out, the authorized employee will verify that the machinery or equipment is actually isolated and deenergized.
4. Release from Lockout or tagout. The authorized employee will follow the procedures below prior to removing lockout or tagout devices and restoring energy:
a. Equipment. Make sure machinery or equipment is properly reassembled. Inspect machinery or equipment to make sure nonessential items have been removed.
b. Employees. Make sure all employees are safely positioned outside danger zones. Notify affected employees that lockout/tagout devices have been removed and that energy is going to reapplied.
c. Removing lockout/tagout devices. Only the authorized employee who applied the lockout/tagout device may remove that device. Exception: When the authorized employee is not at the facility and all reasonable efforts have been made to inform the employee that their lockout/tagout device has been removed:
(1) Their supervisor is authorized and will remove the device following procedures in this section.
(2) Each maintenance supervisor will be trained in proper lockout/tagout procedures.
(3) The supervisor will ensure the authorized employee has this knowledge before he/she resumes work.
5. Testing/Positioning Machines or Equipment. Whenever lockout/tagout devices are removed to test or position machines and equipment, or their components, the authorized employee will complete the following procedures in the sequence presented:
a. Clear the machine or equipment of tools and materials;
b. Remove employees from safely away from danger zones;
c. Remove lockout/tagout devices;
d. Energize and proceed testing or positioning; and,
e. Deenergize all systems and reapply lockout/tagout devices using procedures in section 3.
6. Outside Personnel (Contractors, etc.)
a. Outside servicing personnel contracted to perform maintenance or other services covered by these lockout/tagout procedures will not begin work until the maintenance supervisor is satisfied that their lockout/tagout procedures are at least equivalent to company procedures.
b. The maintenance supervisor will also ensure company employees understand and comply with contracted personnel lockout/tagout procedures.

34. 7. Shift/Personnel Changes
7. Shift/Personnel Changes. When a shift change occurs during a lockout/tagout procedure, the following procedures will be followed:
a. The off-going maintenance supervisor will attach a lockout/tagout device at each required location;
b. The off-going authorized employee(s) will detach lockout/tagout devices;
c. The on-coming authorized employees(s) will receive a comprehensive briefing on the maintenance being performed;
d. The on-coming authorized employee(s) will attach lockout/tagout devices and verify complete isolation; and
e. The off-going supervisor will detach his/her lockout/tagout devices.
8. Training.
a. Training in lockout/tagout will be provided to all employees who may be in an area where energy control procedures are used. This training will make sure that the purpose and function of the energy control program are understood and that employees gain the needed knowledge and skills to safely apply, use, and remove energy controls. As a minimum training will include:
(1) Authorized employees must be able to recognize: Hazardous energy sources, type and magnitude of energy in the workplace, and methods and means necessary to isolate and control the energy.
(2) Affected employees must be able to recognize: purpose and use of the energy control procedures.
(3) Other employees must be able to recognize: procedures and prohibitions of the energy control program.
b. Training Tagout Devices. Further training on tagout systems need to emphasize that:
(1) Tags are warning devices only and do not provide a physical restraint that lockout devices provide.
(2) Tags must not be removed without the authorized employee’s approval, and should never be bypassed, ignored, or otherwise defeated.
(3) Tags must be legible, and understandable by all employees.
(4) Tags must be able to withstand environmental conditions in the workplace.
(5) Tags may give employees a false sense of security.
(6) Tags must be securely attached to prevent being accidentally detached during use.
c. Retraining. Employees will be retrained at the following times:
(1) Initial Assignment.
(2) Change in job assignment.
(3) Change in machinery or equipment, or
(4) Change in operating procedures.

35. Lockout/Tagout Program Inspection Certification
F. Inspections.
a. Annual inspection on lockout/tagout procedures will be conducted by an authorized employee other than the one(s) using the energy control procedure being inspected.
b. The purpose of the inspection is to correct any deviations or inadequacies in the procedures.
c. The inspector and authorized employee must review responsibilities under the energy control procedure.
d. The maintenance supervisor will certify that the inspection was conducted. Elements of the certification include:
(1) Identification of equipment or machinery
(2) Date of inspection
(3) Employees included in the inspection
(4) Person performing inspection
Reviewed by: _______________________________________________ Date: ___________________________
Approved by: _______________________________________________ Date: ___________________________
Attachments:
CC:
Lockout/Tagout Program Inspection Certification
Equipment Inspector Date Authorized Comments
Inspected Signature Employee(s)

36. Sample Lockout/Tagout Audit
This audit covers the servicing and maintenance of machines and equipment in which the unexpected start up of the machines or equipment, or release of stored energy could cause injury to employees.
Energy control program
____ 1. Has the employer established an energy control program consisting of energy control procedures, employee training and to periodic inspections?
____ 2. Is a responsible person appointed to monitor the effectiveness of the energy control program?
Lockout/tagout
____ 1. Is a tagout system used only if an energy isolating device is not capable of being locked out?
____ 2. Can the employer prove that the utilization of a tagout system will provide full employee protection?
____ 3. Whenever replacement or major repair, renovation or modification of a machine or equipment is performed, and whenever new machines or equipment are installed, are energy isolating devices for such machine or equipment designed to accept a lockout device?
Energy control procedure
____ 1. Are written procedures in place, documented and used for the control of potentially hazardous energy?
Note: Exception: The employer need not document the required procedure for a particular machine or equipment, when all of the following elements exist: (1) The machine or equipment has no potential for stored or residual energy or reaccumulation of stored energy after shut down which could endanger employees: (2) the machine or equipment has a single energy source which can be readily identified and isolated: (3) the isolation and locking out of that energy source will completely de-energize and deactivate the machine or equipment: (4) the machine or equipment is isolated from that energy source and locked out during servicing or maintenance: (5) a single lockout device will achieve a locked-out condition: (6) the lockout device is under the exclusive control of the authorized employee performing the servicing or maintenance: (7) the servicing or maintenance does not create hazards for other employees: and (8) the employer, in utilizing this exception, has had no accidents involving the unexpected activation or re-energizing of the machine or equipment during servicing or maintenance.
____ 2. Do procedures clearly and specifically outline the scope, purpose, authorization, rules, and techniques to be utilized for the control of hazardous energy, and the means to enforce compliance? Do procedures include:
____ A. A specific statement of the intended use of the procedure;
____ B. Specific procedural steps for shutting down, isolating, blocking and securing machines or equipment to control hazardous energy;
____ C. Specific procedural steps to place, remove and transfer lockout devices or tagout devices and the responsibility for them; and
____ D. Specific requirements for testing a machine or equipment to determine and verify the effectiveness of lockout devices, tagout devices, and other energy control measures.

37. Protective materials and hardware
____ 1. Are locks, tags, chains, wedges, key blocks, adapter pins, self-locking fasteners, or other hardware provided by the employer for isolating, securing or blocking of machines or equipment from energy sources?
____ 2. Are lockout devices and tagout devices singularly identified; the only device(s) used for controlling energy, and not used for other purposes?
____ 3. Are lockout and tagout devices capable of withstanding the environment to which they are exposed for the maximum period of time that exposure is expected?
____ 4. Are tagout devices constructed and printed so that exposure to weather conditions or wet and damp locations will not cause the tag to deteriorate or the message on the tag to become illegible.
____ 5. Are tags made so that they will not deteriorate when used in corrosive environments such as areas where acid and alkali chemicals are handled and stored?
____ 6. Are lockout and tagout devices standardized within the facility in at least one of the following criteria: color; shape; or size; and additionally, in the case of tagout devices, print and format?
____ 7. Are lockout devices substantial enough to prevent removal without the use of excessive force or unusual techniques, such as the use of bolt cutters or other metal cutting tools?
____ 8. Are tagout devices, including their means of attachment, substantial enough to prevent inadvertent or accidental removal?
____ 9. Are the means of attaching tagout devices of a non-reusable type, attachable by hand, self-locking, and non-releasable with a minimum unlocking strength of no less than 50 pounds?
____ 10. Is the general design and basic characteristics of the means of attachment at least equivalent to a one-piece, all environment-tolerant nylon cable tie?
____ 11. Do lockout devices and tagout devices indicate the identify of the employee applying the device(s)?
____ 12. Do tagout devices warn against hazardous conditions if the machine or equipment is energized and include a legend such as the following: Do Not Start. Do Not Open. Do Not Close. Do Not Energize. Do Not Operate?
____ 13. Does each person's lock have either a key or combination which is unique to that device?
Periodic inspection
____ 1. Does the employer conduct a periodic inspection of the energy control procedure at least annually?
____ 2. Is the periodic inspection performed by an authorized employee other than the one(s) utilizing the energy control procedure being inspected?
____ 3. Is the periodic inspection conducted to correct any deviations or inadequacies identified?
____ 4. Does the periodic inspection include a review, between the inspector and each authorized employee, of that employee's responsibilities under the energy control procedure being inspected?
____ 5. Does the employer certify in writing that the periodic inspections have been performed?
Note: The certification must identify the machine or equipment on which the energy control procedure was being utilized, the date of the inspection, the employees included in the inspection, and the person performing the inspection.

38. Training and communication
____ 1. Does the employer provide training to make sure that the purpose and function of the energy control program is understood by employees, and that the knowledge and skills required for the safe application, use, and removal of the energy controls are acquired by employees?
____ 2. Does the training include the following:
____ A. Authorized employees. The recognition of applicable hazardous energy sources, the type and magnitude of the energy available in the workplace, and the methods and means necessary for energy isolation and control.
____ B. Affected employees. The purpose and use of the energy control procedure.
____ C. All other employees. General lockout/tagout program and procedures, and the prohibition relating to attempts to restart or re-energize machines or equipment which are locked out or tagged out.
____ 3. When a tagout system is used, employees should be trained that:
____ A. Tags are essentially warning devices affixed to energy isolating devices, and do not provide the physical restraint on those devices that is provided by a lock.
____ B. When a tag is attached to an energy isolating means, it is not to be removed without authorization of the authorized person responsible for it, and it is never to be bypassed, ignored, or otherwise defeated.
____ C. Tags must be legible and understandable by all authorized employees, affected employees, and all other employees whose work operations are or may be in the area, in order to be effective.
____ D. Tags and their means of attachment must be made of materials which will withstand the environmental conditions encountered in the workplace.
____ E. Tags may evoke a false sense of security, and their meaning needs to be understood as part of the overall energy control program.
____ F. Tags must be securely attached to energy isolating devices so that they cannot be inadvertently or accidentally detached during use.
Employee retraining.
____ 1. Is retraining provided for all authorized and affected employees whenever there is a change in their job assignments, a change in machines, equipment or processes that present a new hazard, or when there is a change in the energy control procedures?
____ 2. Is additional retraining conducted whenever a periodic inspection reveals, or whenever the employer has reason to believe that there are deviations from or inadequacies in the employee's knowledge or use of the energy control procedures?
____ 3. Does retraining re-establish employee proficiency and introduce new or revised control methods and procedures, as necessary?
____ 4. Does the employer certify that employee training has been accomplished and is being kept up-to-date, and does the certification shall contain each employee's name and dates of training.

39. Notification of employees
Energy isolation
____ 1. Is lockout or tagout performed only by the authorized employees who are performing the servicing or maintenance?
Notification of employees
____ 2. Are affected employees notified by the employer or authorized employee of the application and removal of lockout devices or tagout devices?.
____ 3. Is notification given before the controls are applied, and after they are removed from the machine or equipment?
Application of controls
____ 1. Are established procedures for the application of energy control (the lockout or tagout procedures) being accomplished in proper sequence?
Step One: Preparation for shutdown
____ 1. Does the authorized employee have knowledge of the type and magnitude of the energy, the hazards of the energy to be controlled, and the method or means to control the energy before turning of a machine or equipment?
Step Two: Machine or equipment shutdown
____ 1. Are machines or equipment turned off or shut down using orderly, established procedures?
Step Three: Machine or equipment isolation
____ 1. Are all energy isolating devices needed to control the energy to the machine or equipment physically located and operated in such a manner as to isolate the machine or equipment?
Step Four: Lockout or tagout device application.
____ 1. Are lockout or tagout devices affixed to each energy isolating device by authorized employees?
____ 2. Are lockout devices affixed in a manner to that will hold the energy isolating devices in a "safe" or "off" position?
____ 3. Are tagout devices, where used, affixed in such a manner as will clearly indicate that the operation or movement of energy isolating devices from the "safe" or "off" position is prohibited?
____ 4. Where tagout devices are used with energy isolating devices designed with the capability of being locked, is the tag fastened at the same point at which the lock would have been attached? (Remember using tags is not allowed unless full employee protection can be proved.)
____ 5. Where a tag cannot be affixed directly to the energy isolating device, is the tag located as close as safely possible to the device, and in a position that will be immediately obvious to anyone attempting to operate the device?
____ 6. Following the application of logout or tagout devices to energy isolating devices, is all potentially hazardous stored or residual energy relieved, disconnected, restrained, and otherwise rendered safe?
____ 7. If there is a possibility of reaccumulation of stored energy to a hazardous level, is isolation verification continued until the servicing or maintenance is completed, or until the possibility of such accumulation no longer exists?
____ 8. Prior to starting work on machines or equipment that have been locked out or tagged out, does the authorized employee verify that isolation and deenergizing of the machine or equipment have been accomplished?

40. Release from lockout or tagout
____ 1. Before lockout or tagout devices are removed and energy is restored to the machine or equipment, are the following actions taken?
____ A. The work area is inspected to ensure that nonessential items have been removed and that machine or equipment components are operationally intact.
____ B. The work area is checked to make sure all employees have been safely positioned or removed.
____ C. Before lockout or tagout devices are removed and before machines or equipment are energized, affected employees are notified that the lockout or tagout devices have been removed.
____ D. After lockout or tagout devices have been removed and before a machine or equipment is started, affected employees are notified that the lockout or tagout device(s) have been removed.
____ 2. Is each lockout or tagout device removed from each energy isolating device by the employee who applied the device?
____ 3. When the authorized employee who applied the lockout or tagout device is not available to remove it, is the device removed under the direction of the employer using specific procedures? Do those procedures include:
____ A. Verification by the employer that the authorized employee who applied the device is not at the facility:
____ B. Making all reasonable efforts to contact the authorized employee to inform them that their lockout or tagout device has been removed; and
____ C. Ensuring that the authorized employee has this knowledge before he/she resumes work at that facility.
Testing or positioning of machines, equipment or components thereof
____ 1. When lockout or tagout devices must be temporarily removed test or position the machine, equipment or component, is the following sequence of actions followed:
____ A. Clear the machine or equipment of tools and materials;
____ B. Remove employees from the machine or equipment area;
____ C. Remove the lockout or tagout devices;
____ D. Energize and proceed with testing or positioning;
____ E. De-energize all systems and reapply energy control measures to continue the servicing and/or maintenance.
Outside personnel (contractors, etc.)
____ 1. Whenever outside servicing personnel are to be engaged in activities, does the on-site employer and the outside employer inform each other of their respective lockout or tagout procedures?
____ 2. Does the on-site employer make sure that his/her employees understand and comply with the restrictions and prohibitions of the outside employer's energy control program?
Shift or personnel changes
____ 1. Are specific procedures used during shift or personnel changes to make sure the continuity of lockout or tagout protection?
____ 2. Do shift change procedures include the orderly transfer of lockout or tagout device protection between off-going and oncoming employees

41. Recent press releases throughout the United States:
Trench collapse fatality probed (01/01/03 Michigan): William C. Amolsch, 43, was working in a 15-foot (4.6 m) hole when the trench walls collapsed. An autopsy found that Amolsch died from a blunt-force injury to his head.
Trench collapse (01/03/03 West Virginia): Robert Blevins, 44, died after being buried under several feet of dirt, mud, and rock in a trench that collapsed as he was replacing a ruptured city sewer line.
Trench collapse kills construction worker; Portland man was working on underground utility line (01/07/03 Michigan): Arthur Krass, 43, was installing plumbing in a 15-foot (4.6 m) trench when the dirt walls collapsed. Rescuers dug for three hours until they could find the body of the victim. 
Worker, 19, is injured when trench collapses around him (01/27/03 Illinois): A 19-year-old worker survived being buried for about 20 minutes in a trench which collapsed as he and others were installing sewer line.  
Work site cave-in kills two brothers (01/28/03 South Carolina): Rigobeto Xaca Sandoval, 22, and Moises Xaca Sandoval, 22, probably died instantly, their skulls crushed by the soil that buried them. They were in what appeared to be an 8-foot (2.4 m) deep, 2-foot (0.6 m) wide trench installing an electrical conduit when the trench collapsed. The brothers spoke little, if any, English. 
Cave-in kills worker in southern Overland Park (03/17/03 Kansas): A waterproofing worker died when a cave-in pinned him against the basement foundation of a home under construction. Two other workers were hurt in the collapse, but they were able to pull themselves out of the dirt.
Officials still seek trench collapse cause (04/22/03 Maryland): Antonio Loverde and Chris Milan had finished digging a 16-foot (4.9 m) long trench and were standing on its banks when the edge gave way. Both workers survived after being dug out, but one required treatment for injuries to his hip, thigh, knee, and ankle. 
Man trapped underground by cave-in (05/01/03 Oklahoma): Marvin Young, 30, was helping connect a new sewer line in a 12-foot (3.7 m) deep by 6-foot (1.8 m) wide trench which began to cave-in, trapping him beneath 9-10 feet (3 m) of dirt. Rescue workers used hand shovels and could only remove small buckets of dirt at a time or risk another collapse. It took nearly 5 hours to retrieve his body. 
Cave-in victim was deep in trench (05/28/03 California): Mark Owens, 31, died after a 14-foot (4.3 m) deep trench collapsed on him as he was trying to retrieve a pump at the bottom of the ditch. Rescuers took 10 hours to retrieve his body beneath the tons of dirt and decomposed granite that buried him. 
Worker killed in trench collapse at construction site (05/29/03 Wisconsin): Dewayne H. Spiller, 26, was extending sewer and water lines in a trench when the walls collapsed and buried him up to his chest. The pressure of the dirt caused him to suffocate within about 30 minutes, and it took another 50 minutes to remove the body.
Worker found dead after trench collapses (06/02/03 Texas): A construction crew installing water lines in a 20-foot (6.1 m) deep trench was about to quit for the day when one of the workers went back into the trench. The trench collapsed and buried him underneath 8 feet (2.4 m) of dirt. Because rescuers had to work carefully to prevent another collapse, it took nearly 10 hours to retrieve the body.