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Subchapter 7. General Industry Safety Orders
Group 2. Safe Practices and Personal Protection
Article 7. Miscellaneous Safe Practices

§3314. The Control of Hazardous Energy for the Cleaning, Repairing, Servicing, Setting-Up, and Adjusting Operations of Prime Movers, Machinery and Equipment, Including Lockout/Tagout.

(a) Application.

(1) This Section applies to the cleaning, repairing, servicing, setting-up and adjusting 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.

(2) For the purposes of this Section, cleaning, repairing, servicing and adjusting activities shall include unjamming prime movers, machinery and equipment.

(3) Requirements for working on energized electrical systems are prescribed in Sections 2320.1 through 2320.9 or 2940 through 2945.

(4) Energy control procedures for the control of energy sources in installations for the purpose of electric power generation, including related equipment for communication or metering shall be in accordance with Section 2940.13.

NOTE to subsection (a)(4): Compliance with Section 2940.13 is considered equivalent to complying with Section 3314.

(5) Deenergizing procedures of transmission lines and equipment for the purpose of protecting employees shall be in accordance with Section 2940.14.

(b) Definitions:

Affected employee. For the purpose of this section, an employee whose job requires them to operate or use a machine or equipment on which cleaning, repairing, servicing, setting-up or adjusting operations are being performed under lockout or tagout, or whose job requires the employee to work in an area in which such activities are being performed under lockout or tagout.

Authorized employee or person. For the purposes of this section, a qualified person who locks out or tags out specific machines or equipment in order to perform cleaning, repairing, servicing, setting-up, and adjusting operations on that machine or equipment. An affected employee becomes an authorized employee when that employee's duties including performing cleaning, repairing, servicing, setting-up and adjusting operations covered under this section.

Locked out. The use of devices, positive methods and procedures, which will result in the effective isolation or securing of prime movers, machinery and equipment from mechanical, hydraulic, pneumatic, chemical, electrical, thermal or other hazardous energy sources.

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

Prime Mover. The source of mechanical power for a machine.

Machinery or equipment capable of movement shall be stopped and the power source de-energized or disengaged, and, if necessary, the moveable parts shall be mechanically blocked or locked out to prevent inadvertent movement, or release of stored energy during cleaning, servicing and adjusting operations. Accident prevention signs or tags or both shall be placed on the controls of the power source of the machinery or equipment.

(1) If the machinery or equipment must be capable of movement during this period in order to perform the specific task, the employer shall minimize the hazard by providing and requiring the use of extension tools (eg., extended swabs, brushes, scrapers) or other methods or means to protect employees from injury due to such movement. Employees shall be made familiar with the safe use and maintenance of such tools, methods or means, by thorough training.

(d) Repair Work and Setting-Up Operations.

Prime movers, equipment, or power-driven machines equipped with lockable controls or readily adaptable to lockable controls shall be locked out or positively sealed in the “off” position during repair work and setting-up operations. Machines, equipment, or prime movers not equipped with lockable controls or readily adaptable to lockable controls shall be considered in compliance with Section 3314 when positive means are taken, such as de-energizing or disconnecting the equipment from its source of power, or other action which will effectively prevent the equipment, prime mover or machine from inadvertent movement or release of stored energy. In all cases, accident prevention signs or tags or both shall be placed on the controls of the equipment, machines and prime movers during repair work and setting-up operations.

EXCEPTIONS to subsections (c) and (d):

1. Minor tool changes and adjustments, and other minor servicing activities, which take place during normal production operations are not covered by the requirements of Section 3314 if they are routine, repetitive, and integral to the use of the equipment or machinery for production, provided that the work is performed using alternative measures which provide effective protection.

2. 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 work.

3. Where an employer has a uniform system with unique and personally identifiable locks designed for lockout, that are placed on the source of energy, accident prevention signs or tags are not required.

(e) Materials and Hardware. The employer shall provide accident prevention signs, tags, padlocks, seals or other similarly effective means which may be required for cleaning, servicing, adjusting, repair work or setting-up operations. Signs, tags, padlocks, and seals shall have means by which they can be readily secured to the controls. 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.

(f) Repetitive Process Machines. On repetitive process machines, such as numerical control machines, which require power or current continuance to maintain indexing and where repair, adjustment, testing, or setting-up operations cannot be accomplished with the prime mover or hazardous energy source disconnected, such operations may be performed under the following conditions:

(1) The operating station where the machine may be activated must at all times be under the control of a qualified operator or craftsman.

(2) All participants must be in clear view of the operator or in positive communication with each other.

(3) All participants must be beyond the reach of machine elements which may move rapidly and present a hazard to them.

(4) Where machine configuration or size requires that the operator leave his control station to install tools, and where machine elements exist which may move rapidly if activated, such elements must be separately locked out by positive means.

(5) During repair procedures where mechanical components are being adjusted or replaced, the machine shall be de-energized or disconnected from its power source.

NOTE: “Participant” shall mean any other person(s) engaged in the repair, adjustment, testing, or setting up operation in addition to the qualified operator or craftsman having control of the machine operating station.

(g) Hazardous Energy Control Procedures. A hazardous energy control procedure shall be developed and utilized by the employer when employees are engaged in the cleaning, repairing, servicing, setting-up or adjusting of prime movers, machinery and equipment.

(1) The procedure 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:

(A) A statement of the intended use of the procedure;

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

(C) The procedural steps for the placement, removal and transfer of lockout devices and tagout devices and responsibilities; and,

(D) The requirements for testing a machine or equipment, to determine and verify the effectiveness of lockout devices, tagout devices and other hazardous energy control devices.

(2) The employer's hazardous energy control procedures shall be documented in writing.

(A) The employer's hazardous energy control procedure shall include separate procedural steps for the safe lockout/tagout of each machine or piece of equipment affected by the hazardous energy control procedure.

EXCEPTION to subsection (g)(2)(A): The procedural steps for the safe lockout/tagout of prime movers, machinery or equipment may be used for a group or type of machinery or equipment, when either of the following two conditions exist:

(1) Condition 1:

(A) The operational controls named in the procedural steps are configured in a similar manner, and

(B) The locations of disconnect points (energy isolating devices) are identified, and

(2) Condition 2: The machinery or equipment has a single energy supply that is readily identified and isolated and has no stored or residual hazardous energy.

(h) Group Lockout or Tagout.

(1) 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 utilization of a personal lockout or tagout device.

(2) Group lockout or tagout devices shall be used in accordance with the procedures required by subsection (g) and also in accordance with requirements that include, but are not necessarily limited to, the following:

(A) Primary responsibility shall be 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 shall be made 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;

(C) When more than one crew, craft, department, etc. is involved, assignment of overall job-associated lockout or tagout control responsibility shall be given 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.

(i) Shift or Personnel Changes.

Specific hazardous energy control procedures (i.e. lock-out/tag-out) shall be utilized during shift or personnel changes to ensure the continuity of lockout or tagout protection, including, but not necessarily limited to, provision for the orderly transfer of lockout or tagout device protection between off-going and oncoming employees, in order to minimize exposure to hazards from the unexpected energization or start-up of the machine or equipment, or the release of stored energy.

(j) Periodic Inspection.

The employer shall conduct a periodic inspection of the energy control procedure(s) at least annually to evaluate their continued effectiveness and determine necessity for updating the written procedure(s).

(1) The periodic inspection shall be performed by an authorized employee or person other than the one(s) utilizing the hazardous energy control procedures being inspected.

(2) Where lockout and/or tagout is used for hazardous energy control, the periodic inspection shall include a review between the inspector and authorized employees of their responsibilities under the hazardous energy control procedure being inspected.

(3) The employer shall certify that the periodic inspections have been performed. The certification shall identify the machine or equipment on which the hazardous energy control procedure was being utilized, the date of the inspection, the employees included in the inspection, and the person performing the inspection.

(k) Whenever outside servicing personnel are to be engaged in activities covered by this section, the on-site employer's lockout or tagout procedures shall be followed.

(l) Training.

(1) Authorized employees shall be trained on hazardous energy control procedures and on the hazards related to performing activities required for cleaning, repairing, servicing, setting-up and adjusting prime movers, machinery and equipment.

(2) Each affected employee shall be instructed in the purpose and use of the energy control procedure.

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

(4) Such training shall be documented as required by Section 3203.

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

HISTORY

1. Amendment filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).

2. Repealer and new subsections (a), (b) and (c) and amendment of subsection (d) filed 5-12-77; effective thirtieth day thereafter (Register 77, No. 20).

3. Amendment of subsection (c) and adoption of subsections (f)-(i) filed 12-23-91; operative 1-22-92 (Register 92, No. 12).

4. Amendment of subsections (a) and (b) filed 3-24-94; operative 4-25-94 (Register 94, No. 12).

5. Amendment of section heading and section filed 12-7-2004; operative 1-6-2005 (Register 2004, No. 50).

6. New subsections (h)-(i), subsection relettering and amendment of newly designated subsection (j) filed 8-25-2014; operative 10-1-2014 (Register 2014, No. 35).

7. New subsections (a)(4)-(5) filed 2-27-2018; operative 4-1-2018 (Register 2018, No. 9).

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