HECP NWS 11519 revision 2 R0003.pdf

DEPARTMENT OF THE ARMY

U.S. ARMY CORPS OF ENGINEERS, SEATTLE DISTRICT

4735 EAST MARGINAL WAY SOUTH, BLDG. 1202

SEATTLE, WASHINGTON 98134-2388

CENWS-OD

MEMORANDUM FOR Seattle District Operations Division

SUBJECT: Seattle District Operations Division Hazardous Energy Control Policy Revision 2

1. Purpose: The Hazardous Energy Control Policy is supplemental to the U.S. Army Corps of Engineers Safety Engineering Manual, EM 385-1-1, and does not negate any provision therein. It is the NWS policy to safeguard workers from the release of hazardous energy.

2. Applicability: This HECP Revision 2 policy applies to all personnel who are on site of a facility or their respectively managed remote areas for Seattle District, Operations Division owned facilities to include Libby Dam, Albeni Falls Dam, Chief Joseph Dam, Mud Mountain Dam, Howard A. Hanson Dam, Lake Washington Ship Canal, and the Navigation Waterways Maintenance Unit. It supersedes the HECP Policy signed January, 2023.

3. Reference: ER 385-1-31, U.S. Corps of Engineers, The Control of Hazardous Energy.

4. Responsibilities:

a. The Chief, Operations Division shall ensure full implementation of this policy.

b. All Operations Division owned facilities are to update local supplemental policies to reflect the Revision 1 change, where applicable.

c. All personnel who are on site of the facilities or their respectively managed remote areas are to comply with these policies and procedures along with any applicable local supplemental policies and procedures.

5. The point of contact for this policy is the Technical Support Branch Chief, Operations Division (CENWS-ODS) at 206-764-3432.

Encl AMY R. REESE, PE NWS OD HECP Revision 2 Chief, Operations Division

REESE.AMY.R

.1161223596

Digitally signed by

REESE.AMY.R.1161223596

Date: 2024.03.29 15:57:52 -07'00'

CENWS-OD

i

Safe Clearance Program for the Control of Hazardous Energy

3-20-2019 ii

CONCURRENCE

a. Brian Hart, HECP Committee Chair, Technical Support Branch Chief, Seattle District

b. Signature:

APPROVAL

a. Amy Reese, Operations Division Chief, Seattle District

b. Signature:

CHANGES

MODIFICATION RECORD

C ha ng e

N um be r

Pa ra gr ap h

Reason for Change: D at e

A pp ro va l

Rev 1 Sec 3.7;

Mod Rec

Change to Incidental Persons language; addition of a Modification record.

Jan

OD

Chief

Rev 2 Sec 3.2.d Removed “AI or” April

OD

Chief

Rev 2 Sec 3.2.m Replaced “Protection” with “Protective” April

OD

Chief

Rev 2 Sec 3.7.a Removed “, AI,” April

OD

Chief

Rev 2

Sec 4.9

Added a “Reciprocity” Section that allowed for Affected Persons level reciprocity between NWS, NWW, and NWP. Changed the former Sections

4.9 & 4.10 to 4.10 and 4.11, respectfully.

April

OD

Chief

Rev 2 Sec 5.1.d.6 Removed April

OD

Chief

Rev 2 Sec 6.1.b Removed “(for Group Safe Clearance)” and “… or Safe Clearance)”

April

OD

Chief

Rev 2 Sec 6.2.d.1 Removed “For group safe clearances,” April

OD

Chief

Rev 2 Sec 6.2.f Corrected grammar. April

OD

Chief

Rev 2 Sec 6.2.g Added “The PAI” to start of sentence April

OD

Chief

Rev 2 Sec 6.2.f.2.b

Added “and remove their locsk from the group lock box;”

April

OD

Chief

Rev 2 6.2.f.2.f Added “releasing the safe clearance” April

OD

Chief

Rev 2 6.3.b.7 Added “and sign off on the Master Tag” April

OD

Chief iii

Rev 2 6.4.b.3 Added “and removed their locks from the safe clearance group lock box”

April

OD

Chief

Rev 2 6.4.b.7 And lock if with their personal lock April

OD

Chief

Rev 2 Throughout Grammar and punctuation changes April

OD

Chief

Rev 2 6.3.b.8 Deleted April

OD

Chief

Rev 2 6.3.c.9 Deleted April

OD

Chief

Rev 2 Appendix A Added acronyms to definitions April

OD

Chief iv

SEATTLE DISTRICT

SAFE CLEARANCE PROGRAM FOR THE CONTROL OF HAZARDOUS ENERGY

TABLE OF CONTENTS

CONCURRENCE ........................................................................................................................... ii APPROVAL ................................................................................................................................... ii CHANGES ...................................................................................................................................... ii Chapter 1 - Hazardous Energy Control Policy

1.1 Purpose

1.2 Applicability

1.3 References

Chapter 2 - Emergencies

2.1 Suspension of Requirements

2.2 Safety of Personnel

2.3 Emergency Switching

2.4 Documentation

Chapter 3 - Responsibilities

3.1 Responsible Official (RO)

3.2 Issuing Individual (II)

3.3 Principal Authorized Individual (PAI)

3.4 Authorized Individuals (AI)

3.5 Affected Person (AP)

3.6 All Employees

Chapter 4 - Training

4.1 General

4.2 Documentation

4.3 Awareness Training

4.4 Affected Personnel Training

4.5 Authorized Individual Training

4.6 Issuing Individual Training

4.8 Refresher Training

4.9 Reciprocity

v

4.10 Examination Failure

4.11 Equipment Changes and Retraining

Chapter 5 - Locks and Tags

5.1 Locks

5.2 Tags

Chapter 6 - HEC Procedures

6.1 Applying Locks and Tags

6.2 Lockout/Tagout Procedures Requiring a Safe Clearance

6.3 Temporary Protective Grounds (TPGs)

6.4 Reconfiguring Safe Clearance Locks and Tags on an existing Safe Clearance. . 21

6.5 Personal Lockout

6.5 Safe Clearances at Unattended or Remote Stations

Chapter 7 - Caution Orders

7.1 Purpose

7.2 General

7.3 Identification

7.4 Issued and Released

7.5 Documentation

7.6 Caution Order

7.7 Tags

Chapter 8 - Outside Contractors and Personnel

8.1 Personnel Protection

8.2 Submittals

8.3 Coordination

Chapter 9 - Record Keeping

9.1 Record Retention

9.2 Documentation

Chapter 10 - Inspections and Program Review

10.1 Purpose

10.2 Responsibility

10.3 Frequency

10.4 Periodic Inspection

10.5 Documentation

10.6 NWS HEC Committee

vi

APPENDIX A - Definitions

APPENDIX B - Local Supplement Requirements APPENDIX C – Forms and Tags

APPENDIX D – Personnel Authorizations (Example)

APPENDIX E – HECP Annual Review Inspection Checklist APPENDIX F – Applicable Equipment for Personal Lockout/Switching Permits – Example

Chapter 1 - Hazardous Energy Control Policy 1

1.1 Purpose. This document establishes procedures and operating criteria that shall be 3 complied with for safe and reliable control of hazardous energy at Seattle District, U.S. 4 Corps of Engineers (Seattle District) operated facilities. It prescribes procedures for the 5 safety of personnel and equipment protection when working on or near any system that 6 produces, uses, or stores hazardous energy. It establishes minimum performance 7 requirements and standards for the control of hazardous energy at Seattle District 8 operated facilities. 9 This document is written in accordance with Engineering Regulation ER 385-1-1 and ER 11 385-1-31 and provides the district specific supplement, as required in the ER. As a 12 supplemental, this document includes language of ER 385-1-31 for clarity and readability 13 (italicized where major portions are extracted). In accordance with ER 385-1-1, Seattle 14 District is responsible for safeguarding personnel whose operating, maintenance, 15 construction, testing or research duties require them to work on or near equipment in 16 which unexpected energizing, startup, or release of any form of hazardous energy could 17 cause personal injury or property damage. In addition, Seattle District is responsible for 18 safeguarding property and prevent damage to equipment. Definitions of terms are 19 provided in Appendix A for ease of reference. 20

1.2 Applicability. This procedure applies to all personnel assigned to the Seattle 22 District and those individuals conducting business at any of the Fixed Plant Operating 23 Projects or Floating Plant. It is intended to be standardized across all Seattle District 24 Fixed Plant Operating Projects. However, operating projects and work units within 25 Operations Division are allowed to develop supplemental policies that are intended to 26 provide clarity or specific instructions on how to accomplish the control of hazardous 27 energy where unique instructions are necessary per Appendix B. All supplemental 28 policies shall not be less stringent than this district policy. 29 Example Forms, Locks, and Tags are provided as template references in Appendix C. 31 Ultimately, these forms are intended to be standardized across the Seattle District after 32 vetting with HEC Technical committee and approved by senior leadership. 33

1.3 References. 35

a. 29 CFR 1910.147, Control of Hazardous Energy (Lockout/Tagout) 37

b. 29 CFR 1910.269, Hazardous Energy Control (Lockout/Tagout) Procedures 39

c. 29 CFR 1910.333, Selection and Use of Safe Work Practices 41

d. OSHA Directive #CPL: 02-00-147, The Control of Hazardous Energy - 43 Enforcement Policy and Inspection 44

e. ANSI C2, National Electrical Safety Code 46

f. ANSI/ASSE A10.44, Control of Energy Sources (Lockout/Tagout) for Construction 48 and Demolitions Operations 49

g. EM 385-1-1, Engineer Manual, Department of the Army Safety and Health 51 Requirements 52

h. AR 690-700, Personnel Relations and Services (General) Chapter 751 54

i. ER 385-1-31, Engineering Regulation, Safety and Occupational Health, The Control 56 of Hazardous Energy 57

Chapter 2 - Emergencies 61

2.1 Suspension of Requirements. In an emergency (i.e., eminent threat to life or limb), 63 the Responsible Official or their designated representative, may modify or suspend any 64 of the requirements in this document temporarily as may be deemed necessary to 65 permit proper handling of the specific emergency. 66

2.2 Safety of Personnel. In handling such emergencies, safety of personnel and 68 members of the public shall be given predominant consideration. 69

2.3 Emergency Switching. If emergency switching or isolation is required and an 71 Authorized Individuals (AI) are not available, other personnel may perform 72 switching/clearing if deemed qualified by the Responsible Official. 73

2.4 Documentation. If emergency actions are taken, an after-action report (AAR) 75 documenting the actions and the reasons for taking the emergency actions shall be 76 completed by the Responsible Official, or their designee. The RO will review the AAR 77 and be responsible for tracking any follow-up actions identified. The after-action report 78 shall be kept with the affected clearances until the associated clearance records are 79 disposed. 80

Chapter 3 - Responsibilities 82

3.1 Responsible Official (RO). The Responsible Official at each project or facility has 84 overall responsibility for their Project's Program (and associated HEC procedures) and 85 shall ensure that the requirements of this regulation are properly applied and adhered 86

to. 87 For Seattle District, the Responsible Official for each Fixed Plant Operating Project is 89 the associated Operating Project Manager (OPM). For the Floating Plant, it is the Chief 90 of Waterways Maintenance unit. The RO: 91

a. Designates in writing, the Issuing Individuals (II), Principle Authorized Individuals 93 (PAI) and Authorized Individuals (AI). Also designates RO duties in their absence. An 94 example Personnel Authorization Memorandum is attached in Appendix D. 95

b. Is responsible for all administrative aspects of the HEC program, including: 97

(1) Training and Testing; 99

(2) Annual review and record keeping; 101

(3) Monitoring program compliance; 103

(4) Ensuring compliance with this program by all personnel engaged with 105 activities on the RO’s facility and equipment; 106

(5) Preparing a list of equipment authorized for lockout/tagout without a safe 108 clearance (see Appendix E for example); 109

(6) Developing, publishing, and maintaining the local HECP supplement; and 111

(7) Investigating alleged violations and take corrective action as necessary. 113

c. Can temporarily relieve an individual of their HECP responsibilities due to a 115 request by an individual or personnel associated with the administration of this policy. 116

3.2 Issuing Individual (II). The Issuing Individual is designated by the RO to maintain the 118 control of hazardous energy sources and operating equipment and systems. Upon 119 issuance of a safe Clearance, the II temporarily relinquishes control of equipment to the 120 Principal Authorized Individual (PAI) for the accomplishment of servicing and 121 maintenance work. The Issuing Individual shall: 122

a. Verify that the requester is authorized to be issued a safe clearance; 124

b. Verify that an approved Activity Hazard Analysis (AHA) has been submitted; 126

c. Review Clearance Request Forms and personal lockouts, and consult with the 128 person who requested the safe clearance to ensure that adequate protection is provided 129 to personnel and equipment for the work to be performed; 130

d. Ensure the preparation of the Safe Clearance Order Sheet and provide PAI with 132 proposed copy of Safe Clearance Form; 133

e. Make all necessary arrangements for interruption of service; 135

f. Coordinate with agencies and other entities to ensure isolation of systems that are 137 to be cleared; 138

g. Ensure the application and removal of lockout devices and tags according to 140 isolation and switching procedures; 141

h. Record all safe clearance operations as required; 143

i. Maintain awareness of equipment condition and status during the safe clearance; 145

j. Ensure the equipment is ready for service after work has been completed; 147

k. Ensure that all Authorized Individuals have released their safe clearances and 149 removed their locks; 150

l. Provide oversight to ensure that all parties follow the provisions of the HECP; 152

m. Ensure Temporary Protective Grounds (TPG) are installed and hang TPG tags; 154

n. Maintain all documentation associated with safe clearances; and 156

o. Delegate duties to a designated alternate as appropriate, except for issuing and 158 releasing safe clearances; authorizing changes of status; and making Station Log 159 Book entries. 160

3.3 Principal Authorized Individual (PAI). The PAI is the Authorized Individual (AI) who 162 requests, holds, and manages the safe clearance. The PAI shall: 163

a. Request safe clearances on Clearance Request Form and submit an approved 165 AHA for the work; 166

b. Review the safe clearance request with the II to ensure it provides adequate 168 protection for the work to be done; 169

c. Verify the correct positioning of all energy isolation points and the correct 171 placement of lockout/tagout devices; 172

d. Verify installation of all required physical barriers and TPGs; 174

e. Be responsible for the application and removal of safe clearance locks; 176

f. Verify hazardous energy is relieved, bled off, or otherwise released in a safe 178 manner; 179

g. Assume responsibility for the system under safe clearance until: 181

(1) All work is complete; 183

(2) All personnel, tools, and equipment are in the clear; 185

(3) All grounds, barriers, and jumpers are removed; and 187

(4) The safe clearance is transferred to another PAI or released to the II. 189

h. Keep the II informed of the status of the work; 191

i. Coordinate with other PAIs and Affected Personnel as required; including 193 overseeing that the safe clearance work performed by APs under their clearance is 194 accomplished according to HECP Guidelines; 195

j. Obtain permission from the II before making any change to the status of the safe 197 clearance; 198

k. Ensure that all Affected Personnel sign on and off the Master Tag Form per local 200 procedures, legibly and in ink; 201

l. Ensure the work is completed and equipment is ready for service before releasing 203 the safe clearance; and 204

m. Report to the II any circumstances not meeting the requirements of the HECP. 206

3.4 Authorized Individuals (AI). Authorized Individuals are personnel designated by the 208 RO as qualified to request, receive, and implement hazardous energy control 209 procedures identified in the HEC Program. They can act as an II designee, PAI or AP 210 when assigned by the RO. 211

3.5 Affected Person (AP). Affected persons are personnel designated by the RO as 213 qualified to perform servicing and maintenance in accordance with this regulation and 214 local HEC Program requirements. All APs shall: 215

a. Verify that a safe clearance provides adequate protection for the work to be 217 performed and that they have full understanding of the work to be performed prior to 218 signing on the Master Tag Form; 219

b. Report to the II any circumstances not meeting the requirements of the HECP; 221

c. Obtain permission from the PAI prior to entering the clearance boundary or 223 performing work under a safe clearance; 224

d. Sign on and off, in ink, the Master Tag Form; and 226

e. Hang and remove their personal locks as required. 228

3.6 All Employees. All employees shall report procedural errors and/or violations to their 230 supervisor or the appropriate official. All personnel should demonstrate a spirit of 231 cooperation and shared responsibility for the implementation of the HECP. Any 232 potentially unsafe conditions shall be reported to the II. 233

3.7 Incidental Persons. Incidental Persons include visitors and/or other employees who 235 may be in an area where energy control procedures are being used but will have no role 236 or activity with any equipment that is under a safe clearance. All visitors and/or other 237 employees must be given documented training to include instruction regarding HECP 238 procedures and the prohibition of removing a lockout or tagout. 239

a. All visitors and/or other employees shall be escorted at all times by the PAI or AP. 241

b. The Escort must gain permission from and coordinate activities with the PAI 243 (clearance holder) before escorting visitors and/or other employees. 244

c. Escorts are responsible for signing on/off the Master Tag Form and denoting the 246 number of people escorted. 247

d. Escorts shall hang or remove their personal locks as required once all visitors 249 and/or other employees have been accounted for. 250

Chapter 4 - Training 253

4.1 General. HEC Program training shall be provided and documented at each operating 255 project. Progressive training on the HECP shall be provided to personnel. Awareness, 256 AP, AI, II and RO training and/or testing is provided to individuals commensurate with 257 their responsibilities. 258

4.2 Documentation. All training documentation shall be maintained at the operating 260 project for at least two years. Documentation is required for both initial and refresher 261 training and shall contain, as a minimum: employees’ names, dates of training, 262 instructor’s name or institution, outline of training content and results (pass/fail) of written 263 assessment. 264

4.3 Awareness Training. Awareness training for new employees, visitors, vendors, and 266 other personnel who may be in an area where energy control procedures are being 267 used. In general, Awareness training should take less than 1 hour to complete and there 268 is no written examination associated with this training. This training should be provided 269 annually to all employees. Awareness training must include: 270

a. Instruction regarding the purpose of the HECP and a general understanding of this 272 policy and site practices regarding the program; 273

b. The prohibition of removing a lockout or tagout device; 275

c. Instruction that safe clearance tag requires respect equal to that of a lock; 277

d. Recognition of HEC locks and tags; and 279

e. Prohibition from operating equipment. 281

4.4 Affected Personnel Training. Initial training includes site specific hazards and specific 283 training on this policy as it applies to the AP to include a written exam. In general, 284 employees should be provided up to 10 hours to complete training. Re-occurring annual 285 training and testing should generally take less than 2 hours. Training for APs and their 286 qualification standards shall include: 287

a. Completion of Awareness Training (for initial or new employee training only); 289

b. Supervisory recommendation that the employee understands the policy and site 291 specific hazards and the means to control those hazards; 292

c. Review of a clearance to include a field “walk down” with an AI/II within their work 294 unit. 295

d. Completion of AP training module which includes the following subjects: 297

(1) The limitation of safe clearance tags when used without locks; 299

(2) The type and magnitude of energy present in the workplace; 301

(3) Safe clearance procedures and associated forms; 303

(4) The use of personal locks; and 305

(5) Definitions and terms to include site specific supplements to this policy. 307

e. Successfully pass the written test associated with the AP training module. 309

4.5 Authorized Individual Training. Initial training includes site specific hazards and 311 specific training on this policy as it applies to the AI to include a written and practical 312 exam. In general, employees should be provided up to 15 hours to complete the training. 313 Re-occurring (annual) training and testing should generally take less than 4 hours. AI 314 training shall include: 315

a. Completion of General Awareness and AP training (for initial training only); 317

b. Supervisory recommendation that the employee understands the policy and has a 319 thorough knowledge of facility system operation and isolation (site-specific knowledge of 320 Operating Project); 321

c. Review of a clearance to include a field “walk down” or a practical examination with 323 an II or subject matter expert within their work unit (for initial training only); 324

d. Completion of AI training module which includes the following subjects: 326

(1) Recognition of relevant hazardous energy sources; 328

(2) Methods and means for energy isolation and control; 330

(3) Requirements for personal lockouts; 332

(4) Circumstances that require clearances; 334

(5) All clearance, administrative procedures, to include the following: 336

(i) Local supplemental policies; 338

(ii) Administrative procedures; 340

(iii) Request; 342

(iv) Issue; 344

(v) Status Change; 346

(vi) Release; 348

(vii) Transfer; and 350

(viii) Temporary Protective Grounds. 352

e. Successfully pass the written test associated with the AI training module. 354

4.6 Issuing Individual Training. II training shall include: 356

a. Authorized Individual training and successful passing of the examination; 358

b. Supervisory recommendation that the employee understands the policy and has 360 extensive and thorough knowledge of facility system operation and isolation, 361 administrative procedures and log book entry requirements (site-specific knowledge of 362 the Operating Project). 363

4.7 Responsible Official Training. RO training shall include: 365

a. Authorized Individual training module and successful passing of the examination. 367

4.8 Refresher Training. Refresher training for all personnel involved with the HEC 369 Program, typically AP’s, AI’s, and II’s, RO’s shall be provided: 370

a. At least every 12 months and followed by a written assessment; 372

b. When an employee is observed deviating or periodic inspection reveals deviations 374 from proper use of HEC procedures; or 375

c. When there is a change in job assignment which warrants a change in HEC 377 authorization, a change in hazards, or a change in the HEC Program. Employees will be 378 provided site specific training associated with new job assignment. 379

d. All employees shall complete refresher training within 60 days of the annual 381 requirement to maintain their qualification for the HECP Personnel Authorizations. 382

4.9 Reciprocity. The NWW and NWP HEC policy have been reviewed and conform with 384 the NWS HEC policy. Affected Persons training will be accepted in reciprocity from any 385 NWW or NWP employee with a current HEC training record. There will be no substitutes 386 from other districts for higher level HEC training. Local site supplemental training will 387 need to be provided and documented by the operating project. 388

4.10 Examination Failure. It is in the interest of the Agency to adequately train 390 individuals to perform their duties of this policy. If an employee fails an examination, the 391 individual will be given additional help to strengthen knowledge in those HECP areas 392 that are needed. 393

a. Affected Personnel (AP). Will be given re-training up to 8 hours in the following 395 areas: 396

i. Additional on the job training with a subject matter expert; 398

ii. Review of the District and local supplemental Hazardous Energy Control Policy 400 with a subject matter expert; 401

iii. Take the Affected Personnel module and pass the module test. 403

b. AI Exam Failure for First Time. Will be given re-training up to 10 hours in the following 405 areas: 406

i. The employee’s supervisor will assign an experienced II/AI to review the 408 Hazardous Energy Control policy and local supplements with the individual; 409

ii. Take the Authorized Individual module and pass the module test. 411

c. AI Exam Failure for Second Time. The individual will be allowed up to 15 hours to 413 receive training in the following areas: 414

i. The employee’s supervisor will assign an experienced II/AI to mentor the 416 individual in the Hazardous Energy Control policy and local supplements; 417

ii. Will be assigned additional on the job training on site specific activities such as 419 background information regarding unit configuration and clearance points along with 420 station service and auxiliary equipment. 421

iii. Take the Authorized Individual module and pass the module test. 423

4.11 Equipment Changes and Retraining. When applicable or significant, equipment 425 and/or system training shall be provided in hazards requiring new or different HECP 426 isolation. 427

Chapter 5 - Locks and Tags 429

5.1 Locks. 431

a. Locks shall be capable of withstanding the environment and conditions to which 433 exposed and shall also be substantial enough to prevent removal without the use of 434 excessive force or unusual techniques (such as with the use of bolt cutters). 435

b. Clearance locks (sets): 437

(1) Shall be standardized within every facility and recognizable as a HEC lock by 439 utilizing a unique colored lock; 440

(2) Shall have a colored, solid body design. Colors may not include natural metal 442 (silver, gray, or brass); 443

(3) Have shackles that should be ¼ inch in diameter or less and be at least 1 ½ 445 inches long; 446

(4) Must be individually identified by numbering and/or lettering, 448

(5) Shall have one key issued. Remaining spares will be controlled by the RO 450 through procedural measures. Control of the keys may be delegated the next level of 451 management; 452

(6) If a key is missing from a set of locks, remove lock set from service until the 454 missing key is accounted for; 455

(7) When a key is broken or dropped and irretrievable, duplicate the spare key to 457 replace broken/lost key, then return the spare to the Responsible Official for key control 458 purposes; 459

c. Lockout devices: 461

(1) Should be attached in a manner that holds the hazardous energy isolation 463 device in the safe position specified by the procedure and prevents inadvertent 464 operation; 465

(2) Lockout hasps should be utilized where multiple lockouts are likely to occur; 467

(3) Lockout hasps may need to be nonconductive in certain applications. 469

d. Personal Locks: 471

(1) Shall have a label that includes the name of the person responsible for the 473 lock and a means of identifying his/her work unit department; 474

(2) Shackles should be ¼ inch diameter or less and be at least 1 ½ inches long; 476

(3) Should be keyed the same for each individuals lock. Lock sets issued to 478 individuals shall be keyed uniquely; 479

(4) Shall not be shared or loaned between individuals; and 481

(5) Shall have one key issued which shall remain under the control of the person 483 whom the locks are issued. All remaining spares will be destroyed. 484

5.2 Tags. Tags shall: 488

a. Be standardized within every facility and have content equivalent to the examples 490 in Appendix C for the ENG Form 1925, “Danger Tag” , ENG Form 1924, “Caution Order 491 Tag”, Temporary Protective Ground (TPG) Tag, and Personal Lockout Danger Tag; 492

b. Be constructed and printed so that exposure to weather conditions, wet or damp 494 locations, or corrosive environments will not cause the tag to deteriorate or the message 495 to become illegible; 496

c. Be attached by means which are: non-reusable; substantial enough to prevent 498 inadvertent or accidental removal; attachable by hand; self-locking; non-releasable, with 499 a minimum unlocking strength of no less than 50 pounds; and having the basic 500 characteristics of being at least equivalent to a one-piece, all-environment-tolerant nylon 501 cable tie; and 502

d. If used on a personal lock, shall identify the person who placed the lock. 504

Chapter 6 - HEC Procedures 506

6.1 Applying Locks and Tags. 508

a. Tags shall be affixed to each energy isolation device: 510

(1) By the II or designee in work areas under a facility operator's control; 512

(2) By AIs who will be performing the work in work areas not under a facility 514 operator’s control, such as unmanned or remote sites; and 515

(3) At the same point where the lock would be attached (whenever possible). 517

b. Locks shall be affixed to each energy isolation device by PAI or AI (for Personal 519 Lockouts). When applied, locks will secure the energy isolation device in the safe 520 position; 521

c. Remotely controlled equipment will be completely isolated so that it cannot 523 actuate any equipment which causes a release of energy that may impact the safety of 524 personnel working in or around the equipment; 525

d. Software will not be used as a tagout point; 527

e. Tags alone are authorized under very limited circumstances only when equipment 529 is incapable of accepting lockout equipment and when the following conditions are met: 530

(1) Personnel shall be instructed in the limitations of tags; 532

(2) Additional means shall be employed to provide a level of protection equivalent 534 to that provided by a lock (e.g., placement of the tag in a manner which prohibits 535 operation of the energy isolation device, removal of an isolating circuit mechanism, 536 opening of an extra disconnecting device, removal of a valve handle to reduce the 537 likelihood of inadvertent energization, etc.); and 538

(3) Tags shall be treated as locks and shall be removed by the Il or designee, or 540 the AI that attached the tag. Tags shall never be bypassed, ignored, or otherwise 541 defeated. 542

f. Positive Controls in Public Access Areas. In areas with public access, locks or 544 other positive controls shall be used on the energy isolation devices. Tagout alone is not 545 permitted in public access areas. 546

6.2 Lockout/Tagout Procedures Requiring a Safe Clearance. 548

a. Requesting a Safe Clearance: 550

(1) The PAI requests a Safe Clearances from the II using the Clearance Request 552 Form. Requests for Safe Clearance shall be definite, specific and provide adequate 553 information for the II to complete the Clearance Request Form. The following 554 information should be provided: 555

(a) The equipment or system to be cleared; 557

(b) The purpose/scope of work for the safe clearance; 559

(c) The energy isolation point(s) to be cleared to perform the work safely; 561

(d) The physical barriers, blind flange/piping blanks, or bulkheads that shall be 563 used, including locations; 564

(e) The date and time the safe clearance is required; and 566

(f) The estimated length of time the system or equipment shall be out of service 568 and the time required for returning the system or equipment to service in an emergency. 569

(2) An approved Activity Hazard Analysis (AHA) Form shall be submitted to the II 571 by the PAI with the clearance request prior to the clearance being issued and shall 572 identify all hazards and appropriate actions that will mitigate those hazards (such as 573 level of PPE for Arch Flash etc.). 574

(3) The request should be submitted within enough time for the appropriate 576 review, questions and coordination to be completed before the work is to commence, as 577 defined in the local supplement. 578

b. Issuing a clearance. The II receiving the safe clearance request shall: 580

(1) Verify that the PAI is qualified for requesting the Safe Clearance; 582

(2) Discuss details of the safe clearance with the PAI to ensure that the proposed 584 isolation points are sufficient to control the type, magnitude, and hazards of the energy 585 in order to protect personnel and equipment; and 586

(3) Prepare Safe Clearance Order Sheet and Safe Clearance Form and other 588 documentation, including tags. 589

c. Clearing the equipment. The II or designee shall: 591

(1) Obtain the tags from the II, when the designee is performing the clearing 593 function; 594

(2) Ensure the equipment is shut down in accordance with established 596 operational procedures and sequence in the Tag Installation and Removal Sequence 597 Sheet; 598

(3) Position all equipment controls, valves, switches, disconnects, breakers, etc. 600 in the order listed on the Tag Installation and Removal Sequence Sheet; 601

(4) Place an ENG 1925, “Danger, Do Not Operate” tag on each lockout point and 603 annotate the time and the point was isolated and initial each tag; and 604

(5) Notify the II that the equipment has been isolated and tagged when clearing 606 function is performed by the designee. 607

d. Locking the equipment. 609

(1) The PAI shall check each detail for accuracy and shall assure that energy 611 isolating devices are properly positioned and tagged. The PAI will then affix locks on 612 each lockable energy isolation device and place their initials on each tag. Once the PAI 613 has accomplished affixing the locks of the energy isolation devices, they will place the 614 isolation lock key into a group lockbox and secure the lockbox with their personal lock. 615

(2) Once tagged and locked, the II issues a copy of the SafeClearance Form and 617 the Master Tag Form to the PAI. When issuing a safe clearance, the following data will 618 be entered in the Station Log Book in red: 619

(a) Safe clearance number; 621

(b) Purpose of the safe clearance and system to be cleared; 623

(c) Date and time (in military time) of issue; and 625

(d) Names of II, and the PAI receiving the safe clearance. 627

(3) Provide additional safeguards if necessary (i.e., place temporary protective 629 grounds (TPGs), mechanical blocks, etc.); 630

(4) Safe Clearance will be issued in person whenever possible; and 632

(5) Only in emergencies and at the RO’s discretion may the same person fill the 634 role of both the II and the PAI. 635

e. Temporary removal of locks and tags (temporary lifts). 637

(1) In situations where locks and tags must be temporarily removed from the 639 energy isolating device and the system re-energized for testing or repositioning 640 purposes, the action must be fully coordinated in advance with the II. Employees’ 641 exposure to hazards is high during the transition periods of the temporary lift (changing 642 from a de-energized condition to an energized condition until the system is placed back 643 under safe clearance control). This exposure requires that a detailed sequence of steps 644 is followed in order to ensure all tasks are safely accomplished. 645

(2) All changes to the status of safe clearances shall be coordinated between all 647 APs, affected PAIs and the II. 648

(3) To accomplish a temporary lift safely, the following steps shall be taken in 650 order: 651

(a) The PAI ensures that all APs have signed off the Master Tag Form and 653 have removed their personal locks from the safe clearance Group Lock Box; 654

(b) The PAI ensures that all tools and equipment are in the clear and affected 656 equipment has been properly reassembled; 657

(c) The PAI informs the II of the status of the equipment and request the removal 659 of the appropriate clearance locks and ENG 1925, “Danger, Do Not Operate Tags”; 660

(d) The II verifies the request is properly documented prior to authorizing the 662 temporary lift; 663

(e) The PAI verifies the status change by initialing the Change of Status Form; 665

(f) The PAI remove their personal lock from the Group Lock Box and use the 667

Safe Clearance Locks key to remove the Safe Clearance Locks from the energy 668 isolation points to be temporarily repositioned; 669

(g) The PAI returns the Safe Clearance Locks key to the Group Lock Box and 671 then secures the box with their Personal Lock; 672

(h) The II or designee shall ensure the removal of the appropriate Safe 674 Clearance Tags and repositioning of the energy isolation devices; and 675

(i) The II shall record the Temporary Lift in the Station Log Book. 677

(4) After the Temporary Lift has been performed, APs shall sign on the Master Tag 679 Form, with permission from the PAI, and shall place their Personal Locks on the Group 680 Lock Box for work to be done under the temporary lift condition. 681

(5) When the temporary operation is complete, the PAI may request to re-hang the 683 temporarily lifted tags and locks, reconfigure the safe clearance, or release the safe 684 clearance. 685

f. Releasing a Safe Clearance. 687

(1) The release of safe clearances will be coordinated between all PAIs having 689 safe clearances on the same equipment or systems and the II, in order to accomplish 690 the most efficient return of the equipment or system to service. 691

(2) Safe Clearances shall be released using the following steps: 693

(a) The PAI shall verify all tools and equipment have been cleared from the area, 695 all TPGs have been removed and the system components are operationally intact and 696 ready to return the equipment to service; 697

(b) The PAI shall ensure that all APs have signed off on the Master Tag 699 Form and remove their locks from the group lock box; 700

(c) The PAI shall return the Master Tag Form and attached sheets to the II 702 and report on the status of the equipment; 703

(d) The PAI shall request the release of the Safe Clearance and the II shall 705 ensure that all AP’s have signed off the Master Tag Form; 706

(e) The PAI shall remove their personal lock from the Group Clearance Lock Box 708 and will remove the keys and proceed to unlock all Safe Clearance Locks from the 709 energy isolation devices; 710

(f) The PAI will sign off of the Safe Clearance Order Sheet releasing the safe 712 clearance. The II will document the release of the Safe Clearance in the Station Log 713 Book in green ink with the following information: 714

(i) Safe Clearance number; 716

(ii) Date and time (in military time) of release; 718

(iii) Names of individuals issuing and receiving the release authorization; and 720

(iv) Date and time equipment returned to service. 722

(g) The II will verify the proper sequence for re-positioning the equipment in order 724 to safely return the equipment to an operational state; 725

(h) The II or their designee will remove ENG 1925, “Danger, Do Not Operate” 727 Tags and ensure isolation devices are removed and that the hazardous energy isolation 728 points are restored to their correct positions; 729

(i) The II or designee will sign the Tag Installation and Removal Sequence Sheet 731 in the appropriate section to identify when the ENG 1925, “Danger, Do Not Operate” 732 Tags have been removed; 733

(j) The II will file all Safe Clearance documentation within operating projects filing 735 system, generally kept in the Control Room; 736

(k) The II will inventory the safe clearance lock sets to ensure that the key is with 738 the set; 739

(l) The II or their designee will thoroughly inspect equipment, and if appropriate, 741 test equipment to verify proper operation; 742

(m) The II will make any required notifications of equipment availability. 744

g. Transferring a Safe Clearance. 746

(1) Transfers of clearances are permitted from PAI to PAI and should be 748 annotated on the Safe Clearance Order Sheet. 749

(2) During the process of transferring the clearance, no one shall be signed on or 751 working under the clearance to be transferred. 752

(3) The transfer of the clearance must be performed in the following sequence: 754

(a) The oncoming PAI must fully understand the limits of the Safe Clearance and 756 any special hazards that exist in connection with the work to be performed under the 757 Safe Clearance; 758

(b) The oncoming PAI shall review the Safe Clearance Order Sheet, TPG 760 Log, Change of Status Form and shall assure that all energy isolation devices are 761 properly positioned, locked and tagged; 762

(c) The oncoming PAI will initial each isolation point tag upon verification of the 764 devices position and condition; 765

(d) The outgoing PAI will sign the Safe Clearance Order Sheet and remove their 767 Personal Lock from the Safe Clearance Group Lock Box; 768

(e) The II will issue the Safe Clearance Order Sheet to the oncoming PAI; 770

(f) The oncoming PAI will sign the Safe Clearance Order Sheet accepting the 772 Safe Clearance and will place their personal lock on the Group Lock Box; 773

(g) The II will record the transfer in the Station Log Book to include: 775

(i) Safe Clearance Number; 777

(ii) Date and military time of the clearance transfer; 779

(iii) Names of the individuals involved with the transfer (the oncoming and 781 outgoing PAIs). 782

h. Abnormal Release or Transfer. When, due to extraordinary circumstances, it is 784 not possible for the PAI or AI to release or transfer a Safe Clearance in person: 785

(1) The II must verify that the PAI or AI that applied the device is not at the 787 facility, makes all reasonable efforts to contact the PAI/AI; 788

(2) After verification that the original PAI/AI is not at the facility nor is able to be 790 contacted, the II will request that the Responsible Official remove or authorize removal 791 of the PAI/AI’s personal lock from the lockbox with the Abnormal 792 Release/Transfer/Removal Form; 793

(3) The II, after gaining authority to remove the PAI/AI’s lock can initiate the 795 transfer to a different PAI or release the safe clearance in accordance with protocols 796 described above; and 797

(4) At the earliest possible time, the original PAI/AI shall be informed of the safe 799 clearance and equipment status prior to resuming work at the facility. 800

6.3 Temporary Protective Grounds (TPGs). 802

a. TPGs, when required by the National Electrical Safety Code (NESC) or as 804 specified in coordination with a Safe Clearance Request, (usually when working on 805 equipment above 600 volts), are considered energy dissipation devices and are 806 considered part of the HEC Procedures, but not part of the clearance. 807

b. Placement. TPGs are placed after the Safe Clearance is accepted and are not 809 considered part of the clearance. Locks are not required on TPGs. The following 810 procedure shall be followed: 811

(1) Circuit to be grounded shall be under a Safe Clearance, issued by the II and 813 accepted by the PAI; 814

(2) PAI requests permission from the II to place TPGs; 816

(3) The II shall record the authorization of the TPG installation and will record this 818 authorization in the Station Log Book; 819

(3) All TPGs shall be placed by, or under the DIRECT supervision of, Qualified 821 Electrical Person; 822

(4) The Qualified Electrical Person who installs the TPGs shall sign on to the 824 Safe Clearance Form and place his/her personal lock on the Group Lock Box; 825

(5) TPGs shall be installed in accordance with industry standards; 827

(6) TPG tags are placed by the II or their designee; 829

(7) The PAI shall annotate TPG placement on the TPG Log; and 831

c. Removal of TPGs. TPGs are removed prior to the release of the associated Safe 833 Clearance. The following steps shall be followed: 834

(1) PAI notifies all APs that TPGs will be removed/moved and all APs shall sign 836 off of the Master Tag Form; 837

(2) PAI requests the release of the TPG tags and provides the II the safe 839 clearance and TPG tag numbers; 840

(3) The II or their designee shall ensure that all released TPG tags are removed; 842

(4) The PAI shall coordinate with the Qualified Electrical Worker to remove 844 TPGs; 845

(5) The Qualified Electrical Worker removing the TPGs shall sign on to the 847 Master Tag Form and place his/her personal lock on the Group Lock Box; 848

(6) All TPGs shall be removed by or under the DIRECT supervision of an 850 Electrically Qualified Person in accordance with industry standards; 851

(7) The Electrically Qualified Person shall report to the PAI when the TPGs are 853 removed; 854

(8) The PAI will verify the release of the TPG tags by initialing the TPG Log and 856 mark released and the II shall record the removal of the TPGs in the Station Log Book 857 in ink; 858

6.4 Reconfiguring Safe Clearance Locks and Tags on an existing Safe Clearance. 860

a. Changes to the status of safe clearances shall be coordinated between all 862 affected PAIs, APs and II. 863

b. The following steps are taken, in the order shown, to add locks and tags to a safe 865 clearance: 866

(1) The PAI shall request the II to add additional energy isolation points and tags 868 to his/her safe clearance; 869

(2) The II shall prepare the additional ENG Form 1925, “Danger, Do Not 871

Operate” tags and add the additional energy isolation points to the Safe Clearance 872 Order Sheet; 873

(3) The PAI shall verify that all APs have signed off of the Master Tag Form and 875 removed their locks from the safe clearance group lock box and notify the II; 876

(4) The II or their designee shall ensure that the energy isolation devices are 878 correctly positioned, the lockout devices are installed, and the safe clearance tags are 879 hung and initialed; 880

(5) The PAI shall acquire additional safe clearance locks as necessary; 882

(6) The PAI shall verify the position of the energy isolation devices by initialing 884 the new safe clearance tags and affixing the additional safe clearance locks; 885

(7) The PAI shall place any safe clearance lock keys used into the safe clearance 887 Group Lock Box and lock if with their personal lock; 888

(8) The II shall enter the additional clearance points in the Station Log Book in 890 red ink. 891

c. The following steps are taken, in the order shown, to remove locks and tags from 893 a safe clearance: 894

(1) The PAI shall ensure that all APs have signed off the Master Tag Form and 896 have removed their personal locks from the safe clearance group lock box; 897

(2) The PAI shall inspect the equipment for proper reassembly, ensure that all 899 tools and equipment have been cleared from the area, and verify that TPGs have been 900 removed if applicable; 901

(3) The PAI shall request to the II the removal of the desired energy isolation 903 points; 904

(4) The II shall ensure that all APs have signed off of the Master Tag Form and 906 have removed their personal locks from the Group Lock Box; 907

(5) The II shall record the change of status in the Station Log Book; 909

(6) The PAI shall update and initial the Change of Status Form to reflect the 911 released energy isolation points; 912

(7) The PAI shall remove his/her personal lock from the safe clearance Group 914 Lock Box and retrieve each key for the safe clearance locks to be removed; 915

(8) The PAI shall remove the locks from the energy isolation points to be 917 reconfigure; 918

(9) The PAI shall return the safe clearance lock keys to the safe clearance Group 920 Lock Box, and then secure the box with his/her personal lock; 921

(10) The II or designee shall ensure that the safe clearance tags have been 923 removed and that isolation devices are positioned as required; 924

(11) The II shall mark the energy isolation points “reconfigured,” and record the 926 date in the Station Log Book; 927

(12) The II shall record the reconfigured energy isolation points in the Station Log 929 Book. 930

6.5 Personal Lockout. 932

a. Personal lockout provides for the restricted authorization for designated 934 personnel to take designated equipment out of service for limited maintenance without a 935 Safe Clearance. 936

b. Appendix D provides an example to assist each project in developing their own 938 Personnel Authorizations, which identifies the only authorized project personnel to 939 whom personal lockouts shall be issued. 940

c. Annex E provides an example to assist each project in developing their own 942 Applicable Equipment for Personal Lockout, which is a list of equipment that may be 943 removed from service for maintenance purposes without a safe clearance or group 944 lockout/tagout procedures. The RO is responsible for establishing the list. Personal 945 lockouts will be allowed only on equipment indicated on this list. The provisions in this 946 section must be followed. 947

d. Equipment designated for personal lockout use must meet the following 949 requirements: 950

(1) It must be rated at 480 volts or lower; 952

(2) It must not have potential for stored or residual energy or accumulation of 954 stored energy which could be dangerous after shutdown; 955

(3) It must not create hazards for other employees; 957

(4) It must require no more than four (4) isolation points; 959

(5) It must be maintained under a personal lockout during one maintenance work 961 shift only; and 962

(6) It must not require TPGs. 964

e. When a personal lockout is requested, the AI shall: 966

(1) Ensure that an AHA is prepared that identifies all hazards; and 968

(2) The request shall include a procedure or precautions specific to the 970 equipment being removed from service. 971

f. The determination of whether a safe clearance or personal lockout is confirmed by 973 the II. The II shall not issue a personal lockout if a safe clearance is requested. A 974 personal lockout will not be used on isolation points already tagged out under a safe 975 clearance and vice versa. 976

g. Protection shall be mutually agreed upon by the II and the AI. 978

h. The II shall annotate the lockout points and the individual requesting the personal 980 lock in the station log book. 981

i. Isolation points, if lockable, must be locked using a personal safety lock. If not 983 lockable, a tag must be attached in the same manner and following the same 984 requirements for a “tag only” isolation point used in a safe clearance.