Environmental Health & Safety

It is the goal of the University of California, Riverside (UC Riverside OR UCR) to control hazardous energies in the workplace to the fullest extent. UC Riverside Environmental Health & Safety has developed a Hazardous Energies Control and Lockout/Tagout Program to ensure that their employees' health is protected from hazardous energies in the work environment. In compliance with Cal/OSHA regulations, UC Riverside maintains a written Hazardous Energies Control and Lockout/Tagout (LOTO) program document for guidance in all operations where employees, volunteers, students, or contractors may be potentially exposed. This written program is available, upon request, to any UC Riverside affiliated person or by visiting the UCR EH&S website. 

Hazardous Energies Control & Lockout Tagout Written Program

  • Program Description

    This program provides a structured process for servicing and maintaining equipment to ensure personnel and contractor safety while maintaining regulatory compliance. This approach involves: creating and following approved and written equipment-specific procedures to shut down and lock out equipment and machinery, dissipating all hazardous energy, blocking parts where necessary, and verifying that all energy has been controlled before work is initiated. 

    This program also establishes procedures for removing abandoned locks and long-term lockouts. EH&S must review and approve each request for these procedures.

  • Scope

    This program applies to all employees, students, volunteers and contractors performing work including the installation, service, maintenance, or removal of any type of machinery, equipment, or components, in which the unexpected start-up or release of stored energy could cause injury. All forms of energy must be controlled including but not limited to electrical, mechanical, pressure, gravity, and motion.

    Energy-Based Safety Risk Assessments – ASSP Great Plains Chapter

    The purpose of this program is to prevent injuries and accidents from occurring while: 

    • Servicing or maintaining machinery or equipment that is capable of sudden energy releases. 
    • Working with machinery or equipment that is capable of storing hazardous energy. 
    • While working on energy delivery systems like electrical, steam, compressed air, or gas.
    • Working in the vicinity of hazards that if not properly controlled could cause harm.

    The types of energy needing to be isolated may be part of a particular machine or utility system, including but not limited to:

    • Electrical System Maintenance, Repair, Installation, and Replacement
      • Disconnects
      • Breakers
      • Switches and outlets
      • Lighting fixtures and ballasts
      • Capacitors
      • Battery storage banks
      • High voltage transformers
    • Building mechanical systems
      • HVAC components
      • Axial fans
      • Exhaust fans
      • Air storage tanks
    • Larger experimental equipment
      • Scanning electron microscope
      • Centrifuges
      • Autoclaves
      • Gas delivery systems
      • Magnetrons
    • Large equipment with internal combustion engines or battery systems
      • Tractors
      • Motorized carts
      • Forklifts
      • Floor scrubbers
      • Mowers
    • Shop equipment
      • CNC equipment
      • Mills and lathes
      • Saws
      • Powered hoists and other lifting equipment
      • Mobile elevated work platforms
      • Welding equipment
      • A printing press
    • Mechanical Equipment that may have stored energy or be dangerous if not in good working condition (SPRINGS, FANS, COUNTERWEIGHT, CAPACITORS, PRESSURE, ETC.)
      • Steam lines
      • Compressed air and gas lines
      • Vacuum systems
      • Water lines
      • Hydraulic systems
      • Door springs
      • Hatches with gas spring supports
    • Theaters, Recital Halls, Lecture Halls, Dance Studios, Conference Halls, etc.
      • Counterweight rigging
      • Motorized hoist systems
      • Fire safety curtain system
      • Ladder Access
      • Lighting dimmer systems
      • Orchestra Pit Lift
      • Stage lifts
  • Responsibilities
    All UCR Employees

    All UCR employees are considered affected employees and must:

    • Complete Safety Orientation Training
    • Never attempt to remove a lockout lock placed by another person
    • Never attempt to operate equipment that has been locked and/or tagged in the off position by someone else
    • Never disturb a mechanical block that has been placed by someone else 
    • Contact their supervisor or EH&S to investigate if the reasons for the lockout/tagout are unknown 

    Any affected individuals may join a lockout that has been completed by a lockout/Tagout authorized user (acting as the responsible individual or RI) if they are exposed while work is occurring. The RI will verify the lock is of appropriate type and that the affected individual has the only key before the lock is allowed.

    Authorized Lockout/Tagout User
    • Complete lockout/tagout authorized user required training and remain current as outlined in the training section of this document. 
    • Be authorized by your supervisor to enact lockouts.
    • Never give your lockout key to anyone else. 
    • Never remove someone else’s lock. If the lock has been abandoned, report it to your supervisor. Abandoned locks can only be removed once the supervisor has completed the removal form and EH&S has reviewed it. If the lockout is a long-term lockout please refer to that process outlined in this program.
    • Conduct energy hazard assessments and create lockout/tag out procedures for equipment and energy sources that need maintenance and repair when one is not already available. Contact your supervisor or EH&S for assistance.
    • Follow all written lockout procedures and if there is a need to change or alter the procedure, discuss it with your supervisor or EH&S.
    • Always place your personal lock on any equipment you will be working on or near. Use a group hasp or box to allow all persons exposed to the lockout hazards to place their personal locks.
    • Alert all affected persons in the lockout area before starting work.
    • Log lockouts in equipment specific log books or online logs, if used by your department.
    • Function as a Responsible Individual or LOTO Lead for a lockout where non-authorized individuals and contractors will need to join the lockout because they are exposed in the area or are performing work covered under the LOTO. 
    • Only UCR maintenance service groups are authorized to de-energize circuit breakers in electrical panels. Submit a work order for the for your maintenance service group's electricians for assistance.
    • Employees may be authorized to perform certain electrical LOTO procedures based on review and approval by the maintenance electrical supervisor and/or EH&S. Contact EH&S for assistance.
    Departments
    • Departments are responsible for identifying equipment that has single or multiple sources of energy for operation that falls under this program's energy isolation requirements. 
    • Academic departments that own/operate research and other equipment in existing buildings not under the control of a maintenance services department must apply the LOTO program to their equipment. This includes equipment that requires accessing under covers or guards where there may be unprotected electrical connections, moving parts, blades, rollers, capacitors, etc. for cleaning, maintenance, adjustment, and/or repair. The only exceptions require approval from EH&S and completion of training to ensure there are safe procedures used to access dangerous areas of the equipment while energized. 
    • Departments must authorize individuals to conduct energy isolation who have completed the required authorized user and qualified electrical worker training. Alternatively, departments may have their respective maintenance services group conduct lockouts of energy sources and equipment.
    • Departments may designate a Lockout/Tagout Coordinator to assist with managing Lockouts. A Lockout/Tagout Coordinator must complete authorized user training, have experience working with the department equipment, and if they will lockout anything beyond cord & plug they will need to be a Qualified Electrical Worker and approved by EH&S for specific electrical lockout procedures. They will act as the responsible individual for lockouts of department equipment needed by non-authorized personnel and create and manage the needed procedures.
    • Every department must survey and inventory equipment requiring an equipment-specific LOTO procedure using the form in Appendix C.
    • Departments must track Cal/osha-required annual audits of their owned equipment procedures using either the attached template, RSS Procedures, or other template or software as approved by EH&S.
    • Departments must provide written LOTO procedures for individual location-specific pieces of equipment developed for employee and contractor use. All employees and students must be informed of the need for lockout/tagout, who is authorized to perform these lockouts, and where to locate the written procedures.
    • Procedures should be kept in the area with the equipment and/or in a central location like a lab safety binder, Shop Safety binder, or be available online and accessible for all employees.
    • If any electrical equipment to be shut down will affect other building occupants, or is hardwired to a breaker panel, a maintenance services electrician is required to coordinate with occupants, de-energize the equipment, lock it, and act as the responsible person for the lockout.
    • Departments may arrange with EH&S for personnel to receive documented training or may use another vendor for qualifying personnel with EH&S approval.
    Principal Investigator (PI)/Project Supervisor/Supervisor
    • Inform all affected persons working in the area of the existence of this program and its impact on their work. Inform them to never disturb a LOTO lockout placed by another person, never attempt to start equipment that has been locked out, and never disturb a block placed by another person.
    • Ensure that employees have had documented training concerning LOTO, access to written procedures at a level appropriate to the anticipated level of exposure to hazardous energy sources in their research/workplace.
    • Ensure that proper labeling is applied to all disconnect locations on specific equipment controlled by the department. Labeling activities may be conducted by the PI, supervisor or qualified person, another department member under the leadership of this person, or by an outside contractor.
    • Determine safe equipment-specific energy isolation procedures to be worked on and record them using the document templates in Appendix A, B, RSS Procedures, or other approved template.
    • Conduct an annual audit of equipment-specific energy isolation procedures to ensure they are still accurate and appropriate to needed safe work practices.
    • Determine who is a qualified person that may work on the equipment.
    • Inform all qualified person(s) and/or the contractor of any:
      • Known energy sources on the equipment
      • Any energy isolation procedure previously developed for the equipment
      • Any other known hazards associated with the equipment.
    • Authorize employees to perform lockout/tagout based on completion of required training, relevant experience, and ability to perform safe work. 
    • Do not allow non-authorized affected personnel to enact a lockout. Non-authorized affected personnel may only work on equipment when it is locked out by an authorized person.
    • Train those who perform maintenance, cleaning, and repair on cord & plug equipment to never walk away from the equipment while it is open and being worked on, to request a lockout if assistance is needed, and to always put all covers and guards back on before plugging the equipment back in.
    • Supervisors are responsible for ensuring all authorized lockout/tagout employees are provided with the proper tools and personal protective equipment (PPE) to perform the job safely. 
    • For departments with multiple work shifts, the supervisor of each shift must meet to exchange information about the lockout status. The LOTO responsible individual (RI) or lead from the arriving shift must place their locks on as the departing shift lead removes theirs. Then all affected employees will do the same. At no time will the equipment be fully unlocked in this transfer. Before leaving the LOTO RIs will verify the LOTO transfer is complete.
    • For departments hiring contractors to conduct work at UC riverside, the project supervisor must be familiar with the contractor or joint project roles and responsibilities. 
    • Employees may be authorized to perform certain electrical LOTO procedures based on review and approval by the maintenance electrical supervisor and/or EH&S.
    • Supervisors are responsible for ensuring that only Qualified High Voltage Electrical Workers work on high voltage systems (>600 volts), and only Qualified Electrical Workers (QEW) work on systems that contain hazardous voltages equal to or below 600 volts. 
    • Contact EH&S for assistance in developing energy isolation procedures and providing training to subordinates and authorized/qualified personnel as needed.
    Maintenance Services Groups Responsibilities
    • Maintenance Service Groups includes Facilities Services, Auxiliary Facilities, SRC Facilities, and other EH&S recognized maintenance personnel. Contact EH&S if you are unsure if you are considered a maintenance service group.
    • Maintenance service groups are responsible to create and maintain LOTO procedures for all building infrastructure equipment under their purview. These procedures need to be available to all employees and EH&S upon request. It is recommended that the equipment have a hard copy and/or have a label with a QR code link to the electronic version of the procedure. 
    • Ensure all panels and disconnects are labeled to match the procedures and/or the downstream equipment they service.
    • Ensure all electrical lockouts are only performed by authorized qualified electrical workers who have the experience, understand the hazards, completed required training, and the ability to perform safe electrical work.
    • Do not allow non-authorized affected personnel to enact a lockout. Non-authorized affected personnel may only work on equipment when it is locked out by an authorized person.
    • Employees may be authorized to perform certain electrical LOTO procedures based on review and approval by the maintenance electrical supervisor and/or EH&S. 
    • Maintenance service groups are responsible for ensuring all authorized lockout/tagout employees are provided with the proper tools, lockout devices, locks, and personal protective equipment (PPE) to perform the job safely. 
    • Maintenance service groups should include reviews of energy isolation procedures during relevant safety meetings.
    • Regularly audit employees conducting LOTO to ensure they understand and follow this program. Correct any concerns and if necessary provide additional training.
    • Comply with the abandoned lock procedure to ensure all employees are safe and accounted for and resources are not wasted.
    • Comply with the long-term lockout procedures to ensure equipment is managed, labeled, and documented appropriately. 
    • For maintenance service groups with multiple work shifts, the supervisor of each shift must meet to exchange information about the lockout status. The LOTO responsible individual (RI) or lead from the arriving shift must place their locks on as the departing shift lead removes theirs. Then all affected employees will do the same. At no time will the equipment be fully unlocked in this transfer. Before leaving the LOTO RIs will verify the LOTO transfer is complete.
    • Contact EH&S for assistance in developing energy isolation procedures and providing training to subordinates and authorized/qualified personnel as needed.
    R ’Projects and Planning Design & Construction Project Managers

    For new construction, building retrofits, and equipment installed by R ‘Projects and Planning Design & Construction, the Project Manager:

    • Ensures the requirements of this program are integrated into project documentation
    • Hazardous energy surveys of all affected building systems are completed and provided to the host department upon completion
    • Signage and labels are installed on energy disconnects in compliance with this program.
    • All equipment installed must be able to be locked out in compliance with this program.
    Contractors
    • Contractors must have and follow their own LOTO program when working on university property or equipment in conjunction with this program. 
    • Contractors must provide their own energy isolation equipment including locks, devices, tags, and hasps and follow joint project requirements.
    • If the owner department has previously developed equipment-specific LOTO procedures for equipment, the contractor must review the department’s procedure and determine if it is appropriate for their use. 
    • For equipment that has not previously had a LOTO procedure developed, the contractor shall develop and document a written LOTO procedure for it. A copy of the contractor’s equipment-specific LOTO procedure is provided to the project supervisor and EH&S as part of completed-project documentation. 
    • Contractors shall inform the project supervisor immediately of any newly discovered energy sources or potential hazards associated with the equipment.
    Joint Project Requirements
    • For Joint Projects where employees of UCR and Contractor(s) are working on the same equipment at the same time or where university employees are at risk, the Project Supervisor, whether employed by the contractor or UCR, must hold joint meetings with all personnel who will be working on the equipment to create a plan, ensure safe work practices, and maintain open lines of communication between work crews.
    • UCR Electricians will act as the responsible individuals for all electrical lockouts involving contractors. Contractors are not authorized to enact lockouts of UCR electrical infrastructure without written approval.
    Environmental Health and Safety (EH&S) Responsibilities 

    EH&S is responsible for: 

    • Assisting maintenance services groups and other departments on campus who perform work, to interpret the standards and regulations as they apply to the work being performed.
    • Assisting maintenance services groups and other departments in writing equipment specific lockout/tagout procedures.
    • Assisting in the coordination of appropriate training for Authorized Lockout/Tagout Employees.
    • Overseeing and managing the implementation of the intent of this program and resolving any situations not directly addressed by this program.
    • Assisting departments and equipment owners with annual review of all electrical work, including lockout/tagout procedures for specific equipment and high voltage switching procedures written by UC Riverside Facilities Management and other departments. 
  • Hazardous Energy Control Surveys and Procedures

    All Departments are responsible to identify any department owned equipment that uses hazardous energy and to develop procedures detailing who to notify, the steps for lockout, types of devices required, a verification test to ensure the equipment has been fully de-energized, steps to re-energize and notifications for when the work is complete. Research departments must also ensure Principal Investigators follow this program and develop procedures necessary for lockout of their specific lab and experimental equipment as needed. 

    Conduct a hazard assessment survey for each piece of identified equipment or asset using the form in Appendix C.  Departments and PIs/Supervisors are responsible to survey owned equipment and maintenance services groups are responsible for building infrastructure equipment. 

    Equipment that is hard-wired to UCR electrical infrastructure will require a UCR maintenance service Electrician to shut-down the power supply at the breaker or disconnect unless the department has a trained and authorized qualified electrical worker and a maintenance service electrical department and EH&S Safety Engineer approved procedure.

    For non-electrical energy sources including compressed gas, water, hydraulics, steam lines, and pneumatic equipment it is important to de-pressurize the system and have the correct devices to lock out the energy source. If uncertain about how to de-energize non-electrical sources contact EH&S for assistance.

    Maintenance services are required to inventory all campus utility and mechanical infrastructure equipment and develop lockout procedures to ensure safe maintenance and repair for UCR employees and contractors.  If a procedure does not exist when work is to begin, the procedure should be developed prior to beginning the work. The procedure should be documented using one of the templates provided in Appendix A or B.  Newly created procedures should be reviewed by the trade supervisors and then added to the Lockout Procedure Library and linked to the equipment and/or location in the respective work order system. Employees must have access to the procedures at all times. 

    Departments wishing to use the UC developed Risk & Safety Solutions application Procedures to manage their LOTO procedures can access the application using the link below. For assistance setting up the application and/or training contact EH&S.

    https://ehs.ucop.edu/procedures

  • Lockout/Tagout (LOTO) is not required for each of the following situations
    • Normal operations, also known as normal production operations or normal energized operations, where the machine or equipment is utilized to perform its intended function. Follow the below parameters.
      • Servicing or maintenance that take place during normal operations require LOTO only if:
      • A person is required to remove or bypass a guard, cover, or other safety device, or
      • A person is required to place any part of his or her body into an area of 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’s operating cycle
    • Minor tool changes, adjustments, and other minor servicing activities that take place during normal operations do not require LOTO provided that:
      • Such activities are routine, repetitive, and integral to the use of the equipment, and
      • The work is performed using alternative measures that provide effective personnel protection 
    • Hot tap operations involving transmission and distribution systems for substances such as gas, steam, or water when they are performed on pressurized pipelines, provided that it has been demonstrated that:
      • Continuity of service is essential,
      • Shutdown of the system is impractical, and
      • Documented procedures are followed, and special equipment is used which will provide proven effective protection for employees.
    • Energized testing and troubleshooting (e.g., alignment, measuring, calibration, fault finding) does not require LOTO where the equipment must be energized to perform the tests and they are done by a qualified electrical worker with an approves energized electrical permit.
    • Work on cord-and-plug-connected electrical equipment does not require LOTO controls when the Cord & Plug Exemption Procedure is followed.
  • Cord & Plug Exemption

    Cord and plug equipment refers to any electrical equipment that uses a flexible cord and attachment plug to connect to a source of electricity as its sole energy source. If there are additional sources of energy, of any type, this exemption cannot be used.

    The cord & plug exemption can be used only when:

    • All Hazardous energy is controlled by unplugging the equipment, and
    • The plugs remain under the exclusive continuous control of the worker performing the work. Exclusive control means the plug is within sight of the worker at all times and they are the only person working on the equipment. If they leave the area, the equipment must be locked out. A second person assisting with the work requires the equipment be fully locked out.

    When cord & plug equipment does not meet the above requirements it must be locked out. Using a plug cover as shown below is the simplest method for lockout on cord and plug equipment. If more than one person will be working on the equipment, they also need to place a lock on the device. A hasp can be purchased to allow multiple locks.

    cord and plug lock out devices

    Persons working under the cord & plug exemption are not required to be LOTO Authorized Persons but must complete the Awareness level training and may need to be Qualified Electrical Workers depending on the voltage of the equipment. If the equipment needs to be locked out Authorized user training is required. Departments may choose to have a designated Lockout Authorized Person enact all lockouts with the people performing work on the equipment adding their lock once the equipment is safely de-energized.

    A cord & plug LOTO procedure is available in Appendix F. This procedure can be printed and used for equipment where all energy is dissipated by unplugging one electrical cord.

  • Sequence of Hazardous Energies Control

    These are the general steps for controlling energy sources. Use them as a guide to develop written procedures to lockout specific equipment and systems.

    1. The authorized lockout/tagout employees performing the work, as well as their supervisor, must create the work plan, written lockout procedures, and physically locate and identify all isolating devices to be sure which switches, valves, or other energy isolating devices apply to the equipment to be locked out. 
    2. Employees authorized to lockout/tagout equipment must be certain which switches or other energy isolating devices apply to the equipment to be locked out. 
    3. All energy isolating devices must have labels identifying the equipment supplied and the type and magnitude of energy isolated. 
    4. CAUTION: any questionable identification of electrical energy sources or when designated as needing approval must be cleared by the employees with their supervisor before proceeding. 
    5. Notify all affected and other employees as necessary that a lockout is to be performed. These persons must be informed that they are not to disturb the lockout device or attempt to re-start the equipment until they are informed that the lockout has been cleared and it is safe to resume normal operations. 
    6. Log the lockout in the equipment logbook (logbooks available from EH&S) and/or online log designated for use by your department.
    7. If the equipment is in operation, shut it down using the normal shutdown procedure. Turn the equipment off if there is an off/on switch. 
    8. Open the circuit breaker, turn off a disconnect switch, close the valves or other energy-isolating device (i.e., Turn it to the “OFF” position). Toggle switches, push buttons, and other types of control switches are not energy isolating devices. You must go back as far as you can to ensure there is no energy in the work location.
    9. Lock out all energy-isolating devices. Lockout the circuit breaker, disconnect switch, or other isolating device in the open (“OFF”) position with an assigned individual lock, and attach an identifying tag to the lock. If it is impossible to use a lock, refer to the “procedure when physical locking is impossible” section. 
    10. For electrical equipment which has capacitors that must be manually discharged to assure safe work, open access panels and discharge these capacitors with an appropriate discharge tool and follow directions in the equipment manual or maintenance procedures. This must only be accomplished by an authorized lockout/tagout employee or qualified high voltage electrical worker who is authorized to perform such work. 
    11. All forms of stored energy must then be dissipated (except for batteries which can be disconnected). This may include relaxing any springs, relieving any pressure or vacuum, allowing flywheels to come to rest, blocking fans, or neutralizing or adequately removing any chemicals. 
    12. Any parts that could inadvertently move during the procedure must be blocked in place to prevent this movement. Blocking must be secured in place so that it cannot be inadvertently removed or fall out. 
    13. At this point it must be verified that all forms of hazardous energy have been reduced to zero potential. If the work to be performed involves de-energized electrical equipment, this equipment must be tested with some form of test equipment to verify that there is no electrical energy present. Other forms of energy also require verification of zero potential. Examples of such means of verification include: observing a pressure gauge for zero pressure (gauge) or vacuum, observing a multi-meter showing zero volts, observing a spring in a relaxed state, observing that a flywheel is not spinning, or using litmus paper or a measuring device to verify that a chemical is no longer present or hazardous. 
    14. The final step is to attempt to re-start or re-energize the equipment or machinery to verify an isolated condition. If the equipment does not re-start, then work can proceed. If the equipment re-starts or it appears that energy has been allowed to flow into the system, there could be a serious flaw in the procedure, and no work should proceed until the problem is identified and appropriate steps are included in the procedure to control this energy. 
    15. The equipment is now locked out. Work may now begin. 
  • Restoring Equipment to Service

    The restoration procedure is specified in the written lockout procedure below, and must be performed in the exact sequence as stated.

    1. Remove all blocking and replace any critical parts removed during the lockout procedure.
    2. Ensure that all tools or equipment have been removed from the hazard zone.
    3. Close and secure all cover panels and doors. If all panels or doors cannot be closed, which may occur when testing, place barricades or rope-off a safety zone with non-conductive material and post prominent warning signs around the area.
    4. Advise all affected and other employees that the system is to be re-energized.
    5. Ensure all persons are clear of the equipment/hazard zone.
    6. Remove locks and tags. NOTE: ordinarily, only the person who placed the locks and tags may remove them. If the person who placed the locks and tags is not available, only his/her supervisor may cut off the locks and tags, after personally ascertaining it is safe to do so.
    7. Energize the equipment and restore the equipment to the normal condition.
    8. Notify all affected and other employees that the lockout condition has been cleared.
    9. Note the removal date and time of the lockout in the equipment logbook or online log as specified by your department.
  • Lockout Devices & Locks

    Lockout Devices are tools that make it possible to place a lock. There are many different types and styles available. Some equipment is designed with built in locking capabilities and some is not. Departments and supervisors must make the appropriate devices, tags, and the needed locks available for their authorized employees to use for lockouts they need to enact. Lockout locks must have only one key available in circulation. It is acceptable to have a spare key filed with the lock shop that is only available when an abandoned lock form is completed. Refrain from cutting LOTO locks off whenever possible and use the abandoned lock process.

    Peg board with LOTO locks and devices displayed
  • Procedure When Physical Locking Is Impossible

    When it is impossible to use a lock, a tagout may be used instead. All other steps of the process are the same as those listed above for lockout. The tag must be clear that the equipment is out of service and not safe for use. All persons in the area need to be notified not to attempt to use or approach the equipment.

  • Situations Involving More Than One Person Locking Out

    Employees and/or contractors must engage in a group lockout situation. If more than one employee and/or external contractors works on the equipment, a lockout adaptor suitable for the installation of several locks must be used, enabling all workers to lock out the machine with their individual locks. For high voltage electrical equipment , a UCR high voltage electrician must control the lockout and ensure all persons and contractors working on the equipment have placed their locks as required. 

    Group LOTO diagram
    Lockout of disconnecting switch with hasp, 3 locks, and LOTO tag.

  • Procedure When Machine Testing Is Required During A Lockout

    On some machines, it may be necessary to energize or start up machinery or equipment during a lockout procedure to tune, adjust, or make measurements before the machine is fully restored to service. In those instances, all persons must clear the hazard zone of all tools and equipment, leave the hazard zone, verify that all persons are clear of any hazards, remove the necessary locks, and then the equipment can be energized. A qualified person must then make the necessary measurements or adjustments and then the equipment can be shut back down. The locked-out condition must then be re-established by repeating the exact same work steps specified on the written procedure for fully locking out the equipment. 

  • Procedure Involving Personnel Changes During the Job

    Persons being replaced or exchanged on a job during a shift or at the end of a shift must ensure that the lock(s) and tag(s) of his/her replacement are substituted for his/her own before leaving the job. The process should ensure the equipment is never fully unlocked at a anytime. Use this sequence to ensure safe turnover:

    1. Lockout responsible individuals or leads will meet to discuss the lockout and current status of the job. 

    2. the departing lead will remove his lock(s) and the arriving lead will immediately place his lock(s).

    3. The departing crew will them remove their locks.

    4. The arriving crew will place their locks.

    5. The Lockout lead for the arriving crew will inspect and verify the status of the lockout, verify equipment is de-energized according to the LOTO procedure, and if correct will authorize work to begin.

     

  • Procedure When Work Is Left Unfinished

    Locks, tags, and all other safety warning devices must be left in place during all short absences such as breaks or trips to pick up parts. 

    When work is incomplete and temporarily suspended overnight or over a weekend, all locks, tags, and other safety warning devices must be left in place. 

    When work is suspended for more than 3 days while waiting for parts or other information, the equipment or machinery must be tagged as out of service, disconnected from all energy sources, and must have the covers and access panels reinstalled. Never leave exposed machine parts or electrical contacts unattended.

  • Procedure When Employee Leaves without Removing their Lock

    When an employee leaves the facility site and does not remove his/her lock(s) from the energy isolating device(s) (for example, if the employee became sick and left the site) then the responsible supervisor must attempt to contact that employee to determine if he/she will be able to return to remove the lock. If it is verified that the equipment is ready to be returned to service, and the employee is unavailable or cannot return, the supervisor must complete the Abandoned Lock Removal Authorization Form (Appendix D) , have EH&S review and approve, take it to the Facilities Services Lock Shop and check out a spare key to remove the lock. 

    Once the employee returns to the work site, that person must be informed that their lock was removed and the status of the equipment that was locked out (e.g., returned to service, still under lockout, etc.)

  • Lockout Requirements for: Work on pressurized or vacuum systems

    For pneumatic systems, (e.g., generally where compressed air is used to perform some mechanical function). 

    Pneumatic systems are generally used to provide some force for mechanical movement. For isolating such a system, it may be more logical and convenient to isolate (block) and lockout the mechanical portion of the energy path. If servicing or maintenance is to be performed on the pneumatic system itself, the compressor pump must be turned off and locked out and the air receiver or system depressurized before work can begin. Sections of the system can be isolated and depressurized in that section allowing in-line repairs by installing a block and bleed system of valves to depressurize a segment of the system.

                Habonim Double block and bleed valves to meet HSG253Double bolck and bleed valve unit

    Double block and bleed valve unit

  • Lockout Requirements for: Steam, chemical, and water distribution systems

    Large piping systems which carry hazardous pressure, or contents should be shut-off at the valve upstream and then blinded and secured using a blind flange lockout device. 

    Blind flange Lockout on a pipe

    Blind Flange lockout on a pipe

  • Lockout Requirements for: Work on Electrical Power Systems or Equipment

    Work on de-energized electrical equipment or systems must be accomplished by person(s) who are Authorized Lockout/Tagout Employees. Electrical energy must be locked out at a disconnect switch that positively interrupts the circuit supplying the electricity or the equipment is physically disconnected from the source of electricity. Interlocks, software controls, relays, or other control circuit devices are prohibited for use to control hazardous electrical energy for servicing or maintenance. The equipment or circuits must be verified to be de-energized with a test meter or other type of testing device before work is to begin. 

  • Lockout Requirements for: Work on University Theater & Studio Theater Hoist & Counterweight Systems:

    When a manual line set requires maintenance, repair, or should not be moved for any reason it should be locked out. The line should first be snubbed with a safety rope and then a lock placed on the rope lock. The tag should inform why the line set is locked out. This includes when a line set will hit objects and scenery unless a knuckle-buster style stop or similar is used to prevent the line from going in too far. A tape spike mark is not enough.

    As an exception, lockout is not required during regular loading and unloading of battens and arbor weight. However, a snub line, uncle buddy style securing bar or other proven method to secure the line set when unbalanced is still required. 

    If a motorized hoist powered line set requires maintenance, repair, or should not be used for any reason the hoist should be de-energized and locked out. Do not rely on notes on the control panel to ensure the hoist will not be used. Facilities Services will need a work order request submitted to identify the main power source for the hoist motor and shut it off. Only Facilities Services can de-energize hard-wired electrical equipment. A Facilities Services electrician will perform the lock out and then anyone in the theater or contractors working on the equipment must add their lock. 

  • Lockout Requirements for: Elevated areas, confined spaces, or other restricted access locations

    Restricted areas that pose a danger may require access locks to ensure unsuspecting or unauthorized individuals do not attempt to access them. These may include ladders that go to roof tops, vaults, pump pits, tunnel entrances, buildings that are condemned, and so on. In cases where an area must be locked out, a long-term lock must be issued. Do not leave personal lockout locks on areas for extended periods. If you determine an area needs to be secured use the Long-Term Lockout form to be issued a campus LT lock from the Facilities Services Lock Shop.

  • Long-Term Lockout

    If equipment , areas, or power sources need to be locked out for a period exceeding 90 days a long-term lockout should be enacted. A long-term lockout lock should be obtained from the Facilities Services Lock Shop along with the long-term Tag. These locks are on a restricted master to minimize access. A log of long-term lockouts will be maintained and include the reason for the lockout, who enacted it, date it was enacted, and any safety concerns associated if applicable. 

    Example of a long-term lockout tag
  • Enforcement

    Supervisors and managers of Authorized Lockout/Tagout Employees shall periodically audit their employees on the job to ensure compliance with lockout procedures. Any observed deviations from the written lockout procedure or inadequacies in the employee's required knowledge or understanding of their responsibility under the procedure will be noted in a report. Refresher training must be conducted to correct these deficiencies.

    No employee shall install, service, remove, or perform electrical or mechanical maintenance on any electrical equipment or machinery unless they are trained, and “Authorized” for the specific tasks to be performed, which shall include the specific lockout procedures necessary for that task. Employees who disregard lockout/tagout procedures or perform unauthorized work on energized equipment are subject to disciplinary action.

  • Authorization

    Employees must be authorized by their supervisor to enact lockout/tagout and only when they have the requisite experience, training, and procedures in place to do the work safely. Only authorized persons may enact lockouts on equipment. Supervisors must define the scope to which employees will be authorized by referencing a specific procedure, series of tasks, or by job description. If supervisors need assistance determining whether an employee has the requisite training or experience to be authorized for LOTO work,  contact the EH&S for assistance. 

  • Program Review

    Cal/OSHA requires that each LOTO procedure be reviewed at least annually to verify the procedure is still correct and that it effectively isolates all energy. Each owner department must ensure that all procedures are reviewed annually. Reviews must be documented using the LOTO Procedures Annual Audit form (Appendix and be available upon request. The owner department Lockout/Tagout Coordinator, Facilities Services Maintenance personnel, Auxiliary Services Maintenance personnel, and or EH&S Safety Engineer may also review the procedures to determine if they are adequate, appropriate, and current as needed. 

  • Training Requirements

    All Affected and Other Employees must attend Core IIPP training. In order for UC Riverside employees to be considered Authorized Lockout/Tagout Employees, they must attend the same classes as Affected Employees and additionally attend the Advanced Electrical Safety/Lockout/Tagout Training class. After taking the Advanced Electrical Safety Training class, the Authorized Lockout/Tagout Employees will be certified to work on equipment that requires lockout/tagout procedures. Authorized Lockout/Tagout Employees may then take the Hazardous Electrical Voltage Training to become a Qualified High Voltage Electrical Worker (in addition to other requirements) and work on high voltage equipment and systems. 

    Training Requirements

    Courses

    Target Audience

    IIPP Training

    UCR Safety Orientation

    RI-ESECO0100

    All UCR Employees 

    Lockout/Tagout Awareness

    Lockout/ Tagout

    RI-UCSKSS0102-ECO 

     Or Lockout/ Tagout in-person awareness training using EH&S materials

    All Affected Employees

    Authorized Person Lockout/Tagout Training 

    Lockout/Tagout for Authorized Persons

    RI-ESTOP0031

    Qualified Electrical Worker (QEW) I & II

    RI-UCSKSS0496-ECO and 

    RI-UCSKSS0529-ECO

    Authorized Lockout/Tag Out Employees (QEW only required for enacting an electrical lockout beyond cord & plug)

    Employees must participate in refresher training every three years. All LOTO procedures must be inspected on an annual basis and as the need arises due to new job assignments, changes in procedures, or changes in equipment that present new hazards. 

     

    Refresher training will also be conducted when deficiencies are found during the annual program review, when there have been significant procedural, program, or regulatory changes, or if the employee's knowledge of the energy control procedures appear to be inadequate. 

    LOTO training records shall be maintained at UC Riverside for duration of employment and 3 years after. 

  • Definitions

    Affected and Other Employee – Any employee in an office or industrial setting who works around outlets, electrical panels, or electrical switches, and whose job requires them to be near or around the hazard zone (but not within the hazard zone) when equipment is being serviced or maintained under a locked-out or tagged-out condition. For example, a machine operator that must stay near the machine during a lockout is classified as an Affected Employee. Office staff working on computers and electrical equipment when nearby equipment is being serviced or maintained during a lockout are also classified as Affected Employees. The Affected Employee must be instructed never to attempt to re-start or re-activate equipment that is locked out or tagged out. 

    Authorized Lockout/Tagout Employee - A person who has completed the required hazardous energy control training, has the requisite experience for the task may be authorized  is authorized to lockout or tagout a specific machine or equipment to perform service or maintenance by their supervisor. A person must be an Authorized Lockout/Tagout Employee in order to apply a lock or tag to control hazardous energy, join a lockout managed by another authorized person, or work on locked out equipment. 

    "Capable of Being Locked Out" - An energy isolating device will be considered capable of being locked out if it is designed with a hasp or other means of attachment to which, a lock can be affixed, or if 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. An appropriate lockout attachment, designed for such an application, is available through a supplier. 

    Energy Forms: 

    • Electrical – Low voltage is when the potential is greater than 30 volts RMS or direct current, but less than 600 volts; high voltage is when the potential is greater than 600 volts; high current is when 25 amperes or greater exists at any voltage 
    • Chemical – Explosion, pressure, extreme heat, fire, corrosive, reactive, oxidizer, toxic 
    • Pressure – greater than one atmosphere, can be in the form of pneumatic pressure, hydraulic pressure, or liquid pressure 
    • Vacuum – less than one atmosphere 
    • Ionizing Radiation – greater than 2 millirem per hour 
    • Non-Ionizing Radiation – Ultraviolet greater than the ACGIH TLV, Infrared, RF/Microwave, Laser, Magnetic Fields 
    • Potential – Flywheels, springs, differences in elevation, elevated parts that could drop, capacitors, batteries. 

    Energy Isolating Device - A mechanical device located at an energy control point that positively blocks the flow of energy and can be locked in the “safe” position. Push buttons, selector switches, software controls, interlocks, and other control circuit devices are not considered energy isolating devices. 

    Hazardous Energy - Energy, if not controlled, of such a magnitude that it is capable of causing harm to a person, death, or loss of resources. 

    Hazardous Energy Control - The process of systematically implementing mechanical means to prevent hazardous energy from flowing to a person. This includes using mechanical means to achieve the following conditions: 

    • Isolated - A condition where all sources of hazardous energy have been controlled by breaking the energy path so that the energy cannot flow to workers. The term “isolated” is commonly used with electrical circuits and fluid lines. 
    • Dissipated - A condition where all stored energy has been reduced to a non-hazardous level. Most commonly used with energy storing devices such as capacitors, pressure receivers, or springs. 

    Blocked - A condition where a mechanical device is inserted into the energy path to physically prevent movement. Most commonly used with mechanical machinery or fluid filled lines. 

    Hazard Zone - The space around a source of hazardous energy where a person could be harmed if the hazardous energy was suddenly or unexpectedly released; such as the unexpected release of stored pressure, the unexpected movement of a machine, or the spray from a hazardous chemical that was unexpectedly released.

    High Voltage System - Associated electrical conductors and equipment operating at or intended to operate at a sustained voltage of more than 600 volts. 

    Lockout - The method of applying a mechanical lockout device and a tag on an energy-isolating device by an authorized employee in accordance with established written procedures, in order to control hazardous energies. 

    Lockout Device – Item used to cover, block or prevent an energy source like a breaker, valve or plug from being turned on or connected. These are applied to the item and then the lockout lock is connected to it.

    Devices

    Lockout Lock – A padlock that has restricted access to keys. The person applying the lock is the only one with access to the key. The locks are used to physically secure energy-isolating devices (such as circuit breakers, valves, or switches) in a safe, de-energized position. The lock prevents unauthorized individuals from turning on the equipment, ensuring that it remains shut down until the work is completed and it is safe to restart.

    Maintenance service group- Depending on the building you are working in or the location (Main Campus, Palm Desert, UCR Health, etc.) the maintenance service group might be different. Maintenance service is a generic reference for the group responsible for your building which may include: Facilities Services, Auxiliary Services, department facility teams, or contracted services. Make sure to identify the correct maintenance service for your building.

    Qualified Electrical Worker (QEW) - is an individual possessing the skills, knowledge, and training necessary to safely perform work on or near energized electrical equipment and installations. This definition is not simply based on holding an electrical license or certification; rather, it hinges on demonstrable abilities and training specifically focused on electrical safety in the workplace. Qualified Electrical Workers will be approved for work that is within their capabilities not all electrical work.

    Tagout - The placement of a tagout device on an energy-isolating device in accordance with established written procedures to control hazardous energy. Using tagout as a form of hazardous energy control is not a positive means of controlling hazardous energy and shall not be used whenever lockout is possible. 

    Tagout Device - A prominent warning tag capable of being securely attached that provides a warning not to use the equipment. The tag should include: reason for tag, name of person placing the tag and how that person may be contacted, and date the tag was placed. Tags must be durable and able to withstand the environment to which they are exposed for the maximum time exposure is expected. These tags shall not be used for other purposes. 

    Stored Energy Source - Any device that is capable of holding energy after equipment shutdown. This includes, but is not limited to, capacitors, tanks, pipes, springs, and flywheels. 

  • Appendices

    A - LOTO Procedure Template - Word .docx file

    B – Hazardous Energy Control Procedure Template for use with RSS Procedures Application- Word .docx file 

    C - Hazardous Energy Assessment - Word .docx file

    D - Abandoned Lock Removal Authorization Form - Word .docx file

    E - Long-Term Lockout Request Form - Word .docx file

    F - Campus-Wide Cord & Plug LOTO Procedure UCRPLUG-001 - PDF 

    G - LOTO Procedures Annual Audit form- Word .docx file

  • Information and External References
  • Printable Written Program

    Hazardous Energies Control and Lockout/Tagout Written Program

  • LOTO Safety Topic Handouts

    012 - HST: LOTO - Maintenance & Repair

    013 - HST: LOTO - Procedures

    014 - HST: LOTO - Using LOTO

    015 - HST: LOTO - LOTO Fact Sheet