OSHA - LOCKOUT/TAGOUT

Executive Order 12291 (46 FR 13193, February 17, 1981) requires that a regulatory analysis be conducted for any rule potentially having major economic consequences on the national economy, geographical regions, individual industries, or levels of government. Consistent with these requirements, OSHA has prepared a Regulatory Impact Analysis (RIA) for this Final Rule. The analysis includes: A profile of the potentially affected firms and employees; a description of regulatory and nonregulatory alternatives; an analysis of the technological feasibility of the rule; and a study of the potential social benefits, economic costs, and environmental impacts that may result from full compliance with the rule.

The complete analysis, as summarized in this section, is based on data and information provided by the Eastern Research Group (ERG) in a study entitled, "Industry Profile Study of a Standard for Control of Hazardous Energy Sources Including Lockout/Tagout Procedures" [Ex. 15]. Additional information was obtained from comments submitted to OSHA in response to the proposed rule and a supplemental ERG report [Ex. 21].

The Secretary has determined that this action is a "major action" as defined by section 3(b) of Executive Order 12291 as it will have an annual effect on the economy of $100 million or more. The Regulatory Impact Analysis is available for inspection and copying in the rulemaking docket.

The Final Rule will affect most employment covered by OSHA under Part 1910 except: (1) Those activities that are specifically excluded from coverage such as certain work on plug and cord type electrical equipment; and (2) employment for which OSHA has or is in the process of providing separate coverage under a different Subpart or Part, such as the oil and gas field services industry. OSHA has estimated that the rule will affect activities in some 1.7 million establishments employing approximately 39 million workers.

To analyze the differing effects of the rule, OSHA has divided the affected industries into a high impact group, a low-impact group, and a zero or negligible-impact group. The high-impact group consists of all manufacturing industries. In 1984, approximately 20 million workers were employed in 340,451 high-impact establishments.

Firms classified as low-impact include those in transportation; utilities; wholesale trade; retail food stores; and several service industries, including personal services, business services. automotive repair, miscellaneous repair, and amusement services. OSHA has estimated that approximately 19 million workers were employed in 1.4 million low-impact establishments in 1984.

The negligible-impact group consists of industries that ERG determined had little potential for a lockout or tagout related accident. Retail trade, finance insurance, real estate, service, and public administration firms not classified in the high or low-impact sectors were included in this group.

The Agency's analysis focuses on the potential regulatory effects to high- and low-impact firms.

As noted, some 39 million workers are employed in industries that may be affected by the Final Rule. All such workers have the potential for being injured due to inadequate or nonexistent use of lockout or tagout. In estimating the number of workers at risk from exposure to hazardous energy, OSHA classified "at-risk" occupations in the Final Rule as those being held by individuals who would actually perform lockout or tagout activities. Although this approach tends to underestimate the number of workers who could benefit from promulgation of a lockout or tagout rule, it does provide a good measure of the number of workers who will have to alter their work patterns to comply with the rule. Thus, it is an appropriate method for estimating the costs of the rule. Based on the ERG study [Ex. 15, p. 3-35], OSHA has determined that two million workers in high-impact industries, and one million workers in low-impact industries, are employed in occupations where the unexpected energization or startup of machines or equipment or release of stored energy could cause injury to employees. The risk appears to be the greatest for those workers employed as craft workers, machine operators, and laborers. Certain types of machinery, such as packaging and wrapping equipment, along with printing presses and conveyors, are associated with a high proportion of the accidents.

The installation, assembly, service, repair, maintenance, change over, and disassembly of machines, equipment, and systems are activities integral to most industrial processes. During these activities, however, accidents often result from the inadvertent energization or movement of machinery or equipment.

The ERG study [Ex. 15, p. 6-27, 6-48) estimated that two percent of all workplace injuries, and 7.1 percent of all fatal occupational accidents, occur as a result of inadequate or nonexistent lockout or tagout procedures in industries regulated under this Final Rule. Based on these percentages, the Agency has estimated that in 1984 there were 144 fatalities, 33,432 lost workday injuries, and 37,561 non-lost workday injuries that occurred due to inadequate lockout or tagout procedures in the affected industries. Assuming that these types of accidents grow proportionately with the average level of employment, approximately 1,530 fatalities, 352,965 lost workday injuries, and 396,560 non-lost workday injuries would occur during the next 10 years in the absence of a lockout or tagout standard.

The accidents commonly resulting from inadequate or nonexistent lockout or tagout activities tend to be significantly more severe than the average occupational injury. Injuries typically include fractures, lacerations, contusions, amputations, and puncture wounds. The ERG study [Ex. 15, p. 6-52] estimated that such injuries cause workers to lose an average of 24 workdays. By way of comparison, the 1981 Bureau of Labor Statistics' Occupational Injuries and Illnesses Study [Ex. 18] reports that the average lost time occupational injury involves 16 lost workdays.

Based upon the aforementioned evidence, OSHA has determined that the failure to control hazardous energy results in a significant risk to employees. Since the private market fails to provide an adequate level of safety for workers servicing and maintaining equipment, the Agency has examined various regulatory and nonregulatory alternatives, including tort litigation, distribution of information, workers' compensation, and industry self regulation. The Agency has concluded that the standard would reduce risk in an optimal manner.

The Final Rule is written in performance-based language that permits firms to develop lockout or tagout procedures that are most appropriate for their specific machines and equipment. Based on data gathered during ERG site visits, OSHA has determined that some firms of all sizes and types are already in full compliance with the Final Rule. As this rule would not require the development of new technologies or significant equipment modifications, OSHA has determined that all provisions of the standard are technologically feasible.

OSHA has estimated the cost of full compliance with the standard based on the most cost effective methods of implementing the Final Rule. The Agency estimates that 72.5 percent of all energy isolating devices are lockable (90 percent of the electrical disconnects and 66.7 percent of the valves) and will be locked out under the Final Rule, while the remaining 27.5 percent are not lockable and will be tagged out. Thus, the Agency has concluded that promulgation of the rule will cost 631,000 establishments a total of $214.3 million during the first year of implementation and $135.4 million in subsequent years.

The cost of complying with the standard can be briefly summarized by category. For locks, tags, and other hardware, the first-year cost is estimated to be $18.5 million, and the annual recurring costs amount to $8.9 million. For voluntary equipment modification to facilitate lockout or tagout, the first-year cost is estimated at $27.0 million, with no annual recurring costs. In terms of work practice modifications, the first-year cost and the annual recurring costs are $102.7 million each. For planning and implementing lockout or tagout procedures, the first year cost is calculated at $35.2 million, and the annual recurring costs are estimated at $21.0 million. For employee training, the first-year cost is $31.0 million, and the annual recurring costs are $3.6 million.

OSHA also has estimated the average costs per establishment for firms not currently using adequate lockout or tagout procedures. First-year compliance costs for establishments in manufacturing industries, which are classified as high-impact firms, would range from $120 per firm for very small establishments (those having less than 20 employees) to $28,172 for large establishments (those having more than 250 employees). First-year costs of the standard by SIC code for the high and low-impact industries are summarized in Table XXIV.

TABLE XXIV. FIRST YEAR COST OF THE STANDARD FOR THE CONTROL OF HAZARDOUS ENERGY SOURCES BY SIC

SIC code	Industry name	Cost
	High impact industries
20	Food and kindred products	10.8
21	Tobacco manufacturers	0.5
22	Textile mill products	7.2
23	Apparel and other finished products	2.0
24	Lumber and wood products, except furniture	3.6
25	Furniture and fixtures	2.4
26	Paper and allied products	5.9
27	Printing, publishing, and allied industries	14.1
28	Chemicals and allied products	8.2
29	Petroleum, refining, and related industries	1.4
30	Rubber and miscellaneous plastics products	6.0
31	Leather and leather products	1.1
32	Stone, clay, glass, and concrete products	4.1
33	Primary metal industries	10.1
34	Fabricated metal products, except machinery and transportation equipment	13.3
35	Machinery, except electrical	18.1
36	Electrical and electronic machinery, equipment, and supplies	13.3
37	Transportation equipment	14.9
38	Measuring, analyzing, and controlling instruments	2.9
39	Miscellaneous manufacturing industries	2.3

OSHA has estimated the total number of accidents that the Final Rule would have prevented in 1984, assuming full compliance by all affected firms and workers. As a conservative estimate, the Agency assumed that only 85 percent of those accidents identified as caused by inadequate or nonexistent lockout or tagout procedures would actually be prevented under this rule. It was assumed that 15 percent of the noted accidents may still occur even if both employees and employers are complying fully with the rule (e.g., a block used to hold the weight of a suspended machine component may fail). Based on the above assumptions, OSHA has estimated that the Final Rule would have prevented approximately 122 fatalities, 28,416 lost workday injuries, and 31,926 non-lost workday injuries in 1984.

OSHA has calculated the cost per fatality avoided by the standard as one measure of its efficacy. Overall, for both low-impact and high-impact industries the compliance costs of the standard are estimated to amount to about $1.2 million per fatality avoided. If compliance costs are further adjusted to reflect the additional economic benefits expected to accrue to employers (e.g., less lost production time, less administrative preparing insurance claims and accident reports, and less inefficiency related to replacing injured workers), the cost per fatality avoided falls to $0.19 million. However, this calculation only includes fatalities, and does not take into account the costs or benefits for the avoidance of employee injuries. If injuries were included in the calculations, cost per injury prevented would be extremely low. Thus, the Agency has concluded that the lockout or tagout rule will reduce the number of occupational fatalities and injuries in a cost-effective manner.

OSHA has determined that full compliance with the standard will have a minor negative impact on the profits of the affected firms because, on average, compliance costs will equal no more than 0.05 percent of operating costs and 2.2 percent of net income for any size establishment. Neither the gross national product [GNP], the level of international trade, the price of consumer goods, nor the level of employment will be significantly affected. Based on these estimates, the Agency has concluded that the economic effects of the rule will be negligible, and thus neither the stability nor the profitability of any particular industry or size firm will be at issue as a consequence of the promulgation of the final standard.

In accordance with the Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.), OSHA must assess the potential economic impact of its standards to determine whether they will impose significant costs upon a substantial number of small entities. "Significance" is determined by the impact upon small firms' profits, market share, and financial viability. In particular, OSHA must determine whether its rules will have a relatively greater negative effect on small entities than on large entities.

To assess the impact of this rule on small entities, the Agency has estimated the total cost of compliance per establishments for firms not currently practicing lockout or tagout. First-year costs would range from $120 for very small firms (those having fewer than 20 employees); to $1,737 for small firms (those having 20 to 99 employees) to $28,172 for large firms (those having 250 employees or more) [Ex. No 17, p. VI-43]. The cost of complying with the Final Rule will depend primarily on the number of workers employed by a firm and the number of maintenance and servicing tasks required annually -- factors that typically depend upon the scale of operation of a company. Thus, based on the above estimates, the costs of the Final Rule will be proportional to the size of the firm and no significant differential impact is expected.

OSHA also has compared the costs of compliance with small entities' total costs of production. The Agency has determined that the cost of full compliance with the rule will equal no more than 0.05 percent of an average small or very small firm's operating costs, and no more than 2.2 percent of an average small firm's net income [Ex. 17, p. VII-6].

As the costs of compliance for small and very small firms are proportional to the size of the firm, and would represent such a small component of the overall cost of the facilities, OSHA certifies that the Final Rule will not have a significant impact upon a substantial number of small entities. The Regulatory Flexibility Assessment of this rule is available for inspection and copying in the rulemaking docket.

This Final Rule has been reviewed in accordance with the requirements of the National Environmental Policy Act (NEPA) of 1969 (42 U.S.C. 4321 et seq.), the Guidelines of the Council on Environmental Quality (CEQ)(40 CFR part 1500), and Department of Labor NEPA Procedures (28 CFR part 11). As a result of this review, the Acting Assistant Secretary for OSHA has determined that the rule will have no significant environmental impact.

The Final Rule focuses on the reduction of accidents and injuries by means of the utilization of specific work practices, procedures, and training. This proposal would not have an impact on air, water, or soil quality, plant or animal life, the use of land, or any other aspects of the environment. As such, this proposal can therefore be categorized as an excluded action according to subpart B, ' 11.10, of the DOL NEPA regulations.

This section contains a collection of information requirements in paragraphs ' 1910.147(c)(4), (c)(7) and (f)(2) which pertain to the development and utilization of a written energy control procedure and the training of employees in that procedure. The paperwork requirements contained in this rule will be submitted to the Office of Management and Budget (OMB) for approval.

Increases in the price of domestically manufactured goods in general result in an increase in the demand for imports, and a decrease in the demand for exports. The magnitude of this impact depends on the relevant demand elasticities and the magnitude of the price changes. While the final standard may result in slightly higher prices of manufactured goods, the estimated magnitude of this increase is so small that the Agency has concluded that any resultant impact on foreign trade will be negligible.

This Final Rule has been reviewed in accordance with Executive Order 12612 (52 FR 41685, October 30, 1987), regarding Federalism. This Order requires that agencies, to the extent possible, refrain from limiting State policy options, consult with States prior to taking any actions which would restrict State policy options, and take such actions only when there is clear constitutional authority and the presence of a problem of national scope. The Order provides for preemption of State law only if there is a clear Congressional intent for the Agency to do so. Any such preemption is to be limited to the extent possible.

Section 18 of the Occupational Safety and Health Act (OSH Act) expresses Congress' clear intent to preempt State laws relating to issues on which Federal OSHA has promulgated occupational safety and health standards. Under the OSH Act, a State can avoid preemption only if it submits, and obtains Federal approval of, a plan for the development of such standards and their enforcement. Occupational safety and health standards developed by such Plan-States must, among other things, be at least as effective in providing safe and healthful employment and places of employment as the Federal standards. Where such standards are applicable to products distributed or used in interstate commerce, they may not unduly burden commerce and must be justified by compelling local conditions (see section 18(c)(2) of the OSH Act).

The Federal standard on control of hazardous energy sources addresses hazards which are not unique to any one State or region of the country. Nonetheless, States with occupational safety and health plans approved under Section 18 of the OSH Act will be able to develop their own State standards to deal with any special problems which might be encountered in a particular State. Moreover, because this standard is written in general, performance oriented terms, there is considerable flexibility for State plans to require, and for affected employers to use, methods of compliance which are appropriate to the working conditions covered by the standard.

In brief, this Final Rule addresses a clear national problem related to occupational safety and health in general industry. Those States which have elected to participate under Section 18 of the OSH Act are not preempted by this standard, and will be able to deal with any special conditions within the framework of the Federal Act, while ensuring that the State standards are at least as effective as that standard.

The 25 States and territories with their own OSHA-approved occupational safety and health plans must adopt a comparable standard within six months of the publication date of the final standard. These States and territories are: Alaska, Arizona, California, Connecticut (for State and local government employees only), Hawaii, Indiana, Iowa, Kentucky, Maryland, Michigan, Minnesota, Nevada, New Mexico, New York (for state and local government employees only), North Carolina, Oregon, Puerto Rico, South Carolina, Tennessee, Utah, Vermont, Virginia, Virgin Islands, Washington, and Wyoming. Until such time as a State standard is promulgated, Federal OSHA will provide interim enforcement assistance, as appropriate, in these States.

In developing the Final Rule, OSHA has considered whether a delayed effective date is necessary for any of the provisions of the standard. Since the Final Rule does not require extensive retrofitting or major modifications of existing equipment, the Agency believes that 60 days is adequate time for employers to obtain the necessary hardware (primarily lockout and tagout devices). This amount of time should also be adequate for the development of the energy control program and procedures required by the standard. The record indicates that many industries with highly complex equipment, such as the automotive, chemical, and petroleum industries, have already implemented lockout or tagout procedures which would need to be modified little, if at all, to meet the standard. For those employers who will need to develop new procedures to comply with the standard, the standard provides considerable guidance to assist in that development process. Appendix A to the Final Rule sets forth an example of a simple procedure which can be tailored to the individual workplace in situations involving a single energy source. OSHA believes that many employers, particularly small businesses, will be able to use this procedure by filling in the blanks with the necessary information. For more complex situations, a more complex procedure may be necessary. During this rulemaking, interested parties submitted a wide range of procedures and information on their implementation to the rulemaking record, and these materials are available for review and copying in OSHA's Docket Office.

Lockout; Tagout; Control of hazardous energy sources; Deenergize; Training; Occupational safety and health; Occupational Safety and Health Administration; Safety.

This document was prepared under the direction of Alan C. McMillan, Acting Assistant Secretary of Labor for Occupational Safety and Health, U.S. Department of Labor, 200 Constitution Ave., NW., Washington, DC 20210.

Accordingly, pursuant to sections 4, 6(b), 8(c) and 8(g) of the Occupational Safety and Health Act of 1970 (29 U.S.C. 653, 655, 657), Secretary of Labor's Order No. 9-83 (48 FR 35736), and 29 CFR part 1911, 29 part 1910 is hereby amended as set forth below.

1. The authority citation for Subpart J of Part 1910 is revised to read as follows:

Authority: Section 4, 6 and 8, Occupational Safety and Health Act Of 1970, 29 U.S.C. 653, 655, 657; Secretary of Labor's Order No. 12-71 (36 FR 8754) 8-76 (41 FR 25059) or 9-83 (48 FR 35736), as applicable. Sections 1910.141, 1910.142 and 1910.147 also issued under 29 CFR part 1911.

(i) This standard covers the servicing and maintenance of machines and equipment in which the unexpected energization or start up of the machines or equipment, or release of stored energy could cause injury to employees. This standard establishes minimum performance requirements for the control of such hazardous energy.

(B) Installations under the exclusive control of electric utilities for the purpose of power generation, transmission and distribution, including related equipment for communication or metering: and

(C) Exposure to electrical hazards from work on, near, or with conductors or equipment in electric utilization installations, which is covered by Subpart S of this part; and

(2) Application. (i) This standard applies to the control of energy during servicing and/or maintenance of machines and equipment.

(ii) Normal production operations are not covered by this standard (See Subpart 0 of this Part). Servicing and/or maintenance which takes place during normal production operations is covered by this standard only if:

(A) An employee is required to remove or bypass a guard or other safety device; or

(B) An employee is required to place any part of his or her body into an area on a machine or piece of equipment where work is actually performed upon the material being processed (point of operation) or where an associated danger zone exists during a machine operating cycle.

Note: Exception to paragraph (a)(2) (ii): Minor tool changes and adjustments, and other minor servicing activities, which take place during normal production operations, are not covered by this standard if they are routine, repetitive, and integral to the use of the equipment for production, provided that the work is performed using alternative measures which provide effective protection (See Subpart 0 of this Part).

(A) Work on cord and plug connected electric equipment for which exposure to the hazards of unexpected energization or start up of the equipment is controlled by the unplugging of the equipment from the energy source and by the plug being under the exclusive control of the employee performing the servicing or maintenance.

(B) Hot tap operations involving transmission and distribution systems for substances such as gas, steam, water or petroleum products when they are performed on pressurized pipelines, provided that the employer demonstrates that (1) continuity of service is essential; (2) shutdown of the system is impractical; and (3) documented procedures are followed, and special equipment is used which will provide proven effective protection for employees.

(3) Purpose. (i) This section requires employers to establish a program and utilize procedures for affixing appropriate lockout devices or tagout devices to energy isolating devices, and to otherwise disable machines or equipment to prevent unexpected energization, start-up or release of stored energy in order to prevent injury to employees.

(ii) When other standards in this part require the use of lockout or tagout, they shall be used and supplemented by the procedural and training requirements of this section.

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

Authorized employee. A person who locks out or tags out machines or equipment in order to perform servicing or maintenance on that machine or equipment. An affected employee becomes an authorized employee when that employee's duties include performing servicing or maintenance covered under this section.

Capable of being locked out. An energy isolating device is capable of being locked out if it has a hasp or other means of attachment to which, or through which, a lock can be affixed, or it has a locking mechanism built into it. Other energy isolating devices are capable of being locked out, if lockout can be achieved without the need to dismantle, rebuild, or replace the energy isolating device or permanently alter its energy control capability.

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

Energy isolating device. A mechanical device that physically prevents the transmission or release of energy, including but not limited to the following: A manually operated electrical circuit breaker; a disconnect switch; a manually operated switch by which the conductors of a circuit can be disconnected from all ungrounded supply conductors, and, in addition, no pole can be operated independently; a line valve; a block; and any similar device used to block or isolate energy. Push buttons, selector switches and other control circuit type devices are not energy isolating devices.

Energy source. Any source of electrical, mechanical, hydraulic, pneumatic, chemical, thermal, or other energy.

Hot tap. A procedure used in the repair, maintenance and services activities which involves welding on a piece of equipment (pipelines, vessels or tanks) under pressure, in order to install connections or appurtenances. It is commonly used to replace or add sections of pipeline without the interruption of service for air, gas, water, steam, and petrochemical distribution systems.

Lockout. The placement of a lockout device on an energy isolating device, in accordance with an established procedure, ensuring that the energy isolating device and the equipment being controlled cannot be operated until the lockout device is removed.

Lockout device. A device that utilizes a positive means such as a lock, either key or combination type, to hold an energy isolating device in a safe position and prevent the energizing of a machine or equipment. Included are blank flanges and bolted slip blinds.

Normal production operations. The utilization of a machine or equipment to perform its intended production function.

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

Tagout. The placement of a tagout device on an energy isolating device, in accordance with an established procedure, to indicate that the energy isolating device and the equipment being controlled may not be operated until the tagout device is removed.

Tagout device. 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 operated until the tagout device is removed.

(c) General-(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.

(2) Lockout/tagout. (i) If an energy isolating device is not capable of being locked out, the employer's energy control program under paragraph (c)(1) of this section shall utilize a tagout system.

(ii) If an energy isolating device is capable of being locked out, the employer's energy control program under paragraph (c)(1) of this section shall utilize lockout, unless the employer can demonstrate that the utilization of a tagout system will provide full employee protection as set forth in paragraph (c)(3) of this section.

(iii) After January 2, 1990, whenever replacement or major repair, renovation or modification of a machine or equipment is performed, and whenever new machines or equipment are installed, energy isolating devices for such machine or equipment shall be designed to accept a lockout device.

(3) Full employee protection. (i) When a tagout device is used on an energy isolating device which is capable of being locked out, the tagout device shall be attached at the same location that the lockout device would have been attached, and the employer shall demonstrate that the tagout program will provide a level of safety equivalent to that obtained by using a lockout program.

(ii) In demonstrating that a level of safety is achieved in the tagout program which is equivalent to the level of safety obtained by using a lockout program, the employer shall demonstrate full compliance with all tagout-related provisions of this standard together with such additional elements as are necessary to provide the equivalent safety available from the use of a lockout device. Additional means to be considered as part of the demonstration of full employee protection shall include the implementation of additional safety measures such as the removal of an isolating circuit element, blocking of a controlling switch, opening of an extra disconnecting device, or the removal of a valve handle to reduce the likelihood of inadvertent energization.

(4) Energy control procedure. (i) Procedures shall be developed documented and utilized for the control of potentially hazardous energy when employees are engaged in the activities covered by this section.

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 shutdown 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 deenergize 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 reenergization of the machine or equipment during servicing or maintenance.

(ii) The procedures shall 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 including, but not limited to, the following:

(B) Specific procedural steps for shutting down, isolating, blocking and securing machines or equipment to control hazardous energy;

(C) Specific procedural steps for the placement, removal and transfer of 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.

(5) Protective materials and hardware. (i) Locks, tags, chains, wedges, key blocks, adapter pins, self-locking fasteners, or other hardware shall be provided by the employer for isolating, securing or blocking of machines or equipment from energy sources.

(ii) Lockout devices and tagout devices shall be singularly identified; shall be the only devices(s) used for controlling energy; shall not be used for other purposes; and shall meet the following requirements:

(A) Durable. (1) Lockout and tagout devices shall be capable of withstanding the environment to which they are exposed for the maximum period of time that exposure is expected.

(2) Tagout devices shall be 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.

(3) Tags shall not deteriorate when used in corrosive environments such as areas where acid and alkali chemicals are handled and stored.

(B) Standardized. Lockout and tagout devices shall be 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 shall be standardized.

(C) Substantial--(1) Lockout devices. Lockout devices shall be substantial enough to prevent removal without the use of excessive force or unusual techniques such as with the use of bolt cutters or other metal cutting tools.

(2) Tagout devices. Tagout devices, including their means of attachment, shall be substantial enough to prevent inadvertent or accidental removal. Tagout device attachment means shall be of a non-reusable type, attachable by hand, self-locking, and non-releasable with a minimum unlocking strength of no less than 50 pounds and having the general design and basic characteristics of being at least equivalent to a one-piece all-environment-tolerant nylon cable tie.

(D) Identifiable. Lockout devices and tagout devices shall indicate the identity of the employee applying the device(s).

(iii) Tagout devices shall warn against hazardous conditions if the machine or equipment is energized and shall include a legend such as the following: Do Not Start, Do Not Open, Do not Close, Do Not Energize, Do Not Operate.

(6) Periodic inspection. (i) The employer shall conduct a periodic inspection of the energy control procedure at least annually to ensure that the procedure and the requirements of this standard are being followed.

(A) The periodic inspection shall be performed by an authorized employee other than the ones(s) utilizing the energy control procedure being inspected.

(B) The periodic inspection shall be conducted to correct any deviations or inadequacies identified.

(C) Where lockout is used for energy control, the periodic inspection shall include a review, between the inspector and each authorized employee, of that employee's responsibilities under the energy control procedure being inspected.

(D] Where tagout is used for energy control, the periodic inspection shall include a review, between the inspector and each authorized and affected employee, of that employee's responsibilities under the energy control procedure being inspected, and the elements set forth in paragraph (c)(7)(ii) of this section.

(ii) The employer shall certify that the periodic inspections have been performed. The certification shall 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.

(7) Training and communication.(i) The employer shall provide training to ensure that the purpose and function of the energy control program are understood by employees and that the knowledge and skills required for the safe application, usage, and removal of the energy controls are acquired by employees. The training shall include the following:

(A) Each authorized employee shall receive training in 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) Each affected employee shall be instructed in the purpose and use of the energy control procedure.

(C) All other employees whose work operations are or may be in an area where energy control procedures may be utilized, shall be instructed about the procedure, and about the prohibition relating to attempts to restart or reenergize machines or equipment which are locked out or tagged out.

(ii) When tagout systems are used employees shall also be trained in the following limitations of tags:

(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 an 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.

(A) Retraining shall be 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.

(B) Additional retraining shall also be conducted whenever a periodic inspection under paragraph (c](6) of this section 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.

(C) The retraining shall reestablish employee proficiency and introduce new or revised control methods and procedures, as necessary.

(iv) The employer shall certify that employee training has been accomplished and is being kept up to date. The certification shall contain each employee's name and dates of training.

(8) Energy isolation. Lockout or tagout shall be performed only by the authorized employees who are performing the servicing or maintenance.

(9) Notification of employees. Affected employees shall be notified by the employer or authorized employee of the application and removal of lockout devices or tagout devices. Notification shall be given before the controls are applied, and after they are removed from the machine or equipment.

(d) Application of control. The established procedures for the application of energy control (the lockout or tagout procedures) shall cover the following elements and actions and shall be done in the following sequence:

(1) Preparation for shutdown. Before an authorized or affected employee turns off a machine or equipment, the authorized employee shall 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.

(2) Machine or equipment shutdown. The machine or equipment shall be turned off or shut down using the procedures established for the machine or equipment. An orderly shutdown must be utilized to avoid any additional or increased hazard(s) to employees as a result of the equipment stoppage.

(3) Machine or equipment isolation. All energy isolating devices that are needed to control the energy to the machine or equipment shall be physically located and operated in such a manner as to isolate the machine or equipment from the energy source(s).

(4) Lockout or tagout device application. (i) Lockout or tagout devices shall be affixed to each energy isolating device by authorized employees.

(ii) Lockout devices, where used, shall be affixed in a manner to that will hold the energy isolating devices in a "safe" or "off" position.

(iii) Tagout devices, where used, shall be 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.

(A) Where tagout devices are used with energy isolating devices designed with the capability of being locked, the tag attachment shall be fastened at the same point at which the lock would have been attached.

(B) Where a tag cannot be affixed directly to the energy isolating device, the tag shall be located as close as safely possible to the device, in a position that will be immediately obvious to anyone attempting to operate the device.

(5) Stored energy. (i) Following the application of lockout or tagout devices to energy isolating devices, all potentially hazardous stored or residual energy shall be relieved, disconnected, restrained, and otherwise rendered safe.

(ii) If there is a possibility of reaccumulation of stored energy to a hazardous level, verification of isolation shall be continued until the servicing or maintenance is completed, or until the possibility of such accumulation no longer exists.

(6) Verification of isolation. Prior to starting work on machines or equipment that have been locked out or tagged out, the authorized employee shall verify that isolation and deenergization of the machine or equipment have been accomplished.

(e) Release from lockout or tagout. Before lockout or tagout devices are removed and energy is restored to the machine or equipment, procedures shall be followed and actions taken by the authorized employee(s) to ensure the following:

(1) The machine or equipment. The work area shall be inspected to ensure that nonessential items have been removed and to ensure that machine or equipment components are operationally intact.

(2) Employees. (i) The work area shall be checked to ensure that all employees have been safely positioned or removed.

(ii) Before lockout or tagout devices are removed and before machines or equipment are energized, affected employees shall be notified that the lockout or tagout devices have been removed.

(iii) After lockout or tagout devices have been removed and before a machine or equipment is started, affected employees shall be notified that the lockout or tagout device(s) have been removed.

(3) Lockout or tagout devices removal. Each lockout or tagout device shall be removed from each energy isolating device by the employee who applied the device. Exception to paragraph (e)(3):When the authorized employee who applied the lockout or tagout device is not available to remove it, that device may be removed under the direction of the employer, provided that specific procedures and training for such removal have been developed, documented and incorporated into the employer's energy control program. The employer shall demonstrate that the specific procedure provides equivalent safety to the removal of the device by the authorized employee who applied it. The specific procedure shall include at least the following elements:

(i) Verification by the employer that the authorized employee who applied the device is not at the facility;

(ii) Making all reasonable efforts to contact the authorized employee to inform him/her that his/her lockout or tagout device has been removed; and

(iii) Ensuring that the authorized employee has this knowledge before he/ she resumes work at that facility.

(f)Additional requirements. (1) Testing or positioning of machines, equipment or components thereof. In situations in which lockout or tagout devices must be temporarily removed from the energy isolating device and the machine or equipment energized to test or position the machine, equipment or component thereof, the following sequence of actions shall be followed:

(i) Clear the machine or equipment of tools and materials in accordance with paragraph (e)(1) of this section;

(ii) Remove employees from the machine or equipment area in accordance with paragraph (e)(2) of this section;

(iii) Remove the lockout or tagout devices as specified in paragraph (e)(3) of this section;

(v) Deenergize all systems and reapply energy control measures in accordance with paragraph (d) of this section to continue the servicing and/or maintenance.

(2) Outside personnel (contractors, etc.). (i) Whenever outside servicing personnel are to be engaged in activities covered by the scope and application of this standard, the on-site employer and the outside employer shall inform each other of their respective lockout or tagout procedures.

(ii) The on-site employer shall ensure that his/her employees understand and comply with the restrictions and prohibitions of the outside employer's energy control program.

(3) Group lockout or tagout. (i) When servicing and/or maintenance is performed by a crew, craft, department or other group, they shall utilize a procedure which affords the employees a level of protection equivalent to that provided by the implementation of a personal lockout or tagout device.

(ii) Group lockout or tagout devices shall be used in accordance with the procedures required by paragraph (c)(4) of this section including, but not necessarily limited to, the following specific requirements:

(A) Primary responsibility is vested in an authorized employee for a set number of employees working under the protection of a group lockout or tagout device (such as an operations lock);

(B) Provision for the authorized employee to ascertain the exposure status of individual group members with regard to the lockout or tagout of the machine or equipment; and

(C) When more than one crew, craft, department, etc. is involved, assignment of overall job-associated lockout or tagout control responsibility to an authorized employee designated to coordinate affected work forces and ensure continuity of protection; and

(D) Each authorized employee shall affix a personal lockout or tagout device to the group lockout device, group lockbox, or comparable mechanism when he or she begins work, and shall remove those devices when he or she stops working on the machine or equipment being serviced or maintained.

(4) Shift or personnel changes. Specific procedures shall be utilized during shift or personnel changes to ensure the continuity of lockout or tagout protection, including provision for the orderly transfer of lockout or tagout device protection between off-going and oncoming employees, to minimize exposure to hazards from the unexpected energization or start-up of the machine or equipment, or the release of stored energy.

Note: The following Appendix to 1910.147 services as a non-mandatory guideline to assist employers and employees in complying with the requirements of this section, as well as to provide other helpful information. Nothing in the Appendix adds to or detracts from any of the requirements of this section.

29 CFR Part 1910 [Docket No. S-012A] RIN 1218-AA53 Control of Hazardous Energy Sources (Lockout/Tagout)

29 CFR Part 1910
[Docket No. S-012A]
RIN 1218-AA53
Control of Hazardous Energy Sources (Lockout/Tagout)