SOP-15314 - Lockout Tagout Program Prosedure - Rev00

PT Caterpillar Indonesia Batam
EHS Assurance Manual

Description Lockout Tagout Program Document No SOP-15314
Reference EHS Assurance Manual 21 Revision -
Issue by Aswin Pasaribu Issued Date 29/10/2016
Approved by Asnil Fauzi Page 1 of 33
1.0 PURPOSE: To establish a written hazardous energy control system that utilizes
procedures for affixing appropriate lockout devices to energy
isolating devices to enable machines or equipment to become de-
energized and to prevent the unexpected energization, start-up, or
release of stored energy that could cause injury to personnel. This
plan is expected to meet or exceed the requirements of 29 CFR
2.0 SCOPE: This HSPP establishes requirements for the control of hazardous
energy associated with machines, equipment or processes that
could cause injury to personnel. This policy shall be complied with
by all personnel performing service and maintenance on machines
or equipment in which an unexpected energization or start-up of the
machine or equipment could release stored energy or that could
cause injury. This policy is applicable at the Caterpilar Indonesia
Batam.
3.0 DEFINITIONS:
3.1 Affected employee – A person whose job requires him/her to operate or

use a machine or equipment on which servicing or maintenance is being
performed under lockout or whose job requires him /her to do work in an
area in which such servicing or maintenance is being performed.
3.2 Authorized employee - A person who de-energizes and locks out
machines or equipment to perform the servicing or maintenance on that
machine or equipment. An authorized employee and an affected employee
may be the same person when the affected employee's duties also include
performing maintenance or service on a machine or equipment that must
be locked or a tagout system implemented.
3.3 Capable of being locked out - An energy isolating device will be

considered to be capable of being locked out either if it is designed with a
hasp or other attachment or integral part to which, or through which, a lock
THE INFORMATION HEREON IS THE PROPERTY OF CATERPILLAR INC. AND/OR ITS SUBSIDIARIES. WITHOUT WRITTEN
PERMISSION, ANY COPYING, TRANSMITTAL TO OTHERS, AND ANY USE EXCEPT THAT FOR WHICH IT IS LOANED, IS PROHIBITED.
PROCESS / DOCUMENT TITLE REVISION DATE DOCUMENT No.
Lockout Tagout Program - SOP-15314

PROCESS OWNER / APPROVER NEXT REVIEWED DATE VERSION
Asnil Fauzi 29/10/2017 00
Page 1 of 33
Caterpillar: Confidential Yellow - Reproduction Constitutes an Uncontrolled Document -
can be affixed, or if it has a locking mechanism built into it. Other energy
isolating devices will also be considered to be 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.
3.4 Energized - Connected to an energy source or containing residual or stored

energy.
3.5 Energy Control Procedures - An important element of the overall

hazardous energy control program is the development of procedures. Each
unique piece of equipment, system or process shall have detailed
procedures developed and documented for the control of hazardous energy
during servicing or maintenance activities.
3.6 Energy Control Program – a program that consists of energy control

procedures, employee training and periodic inspections to ensure that
before any employee performs any servicing or maintenance on a machine
or equipment where the unexpected energizing, startup or release of stored
energy could occur and cause injury, the machine or equipment shall be
isolated from the energy source and rendered inoperative. This document
defines the energy control program for the and Caterpilar Indonesia Batam
facilities.
3.7 Energy isolating device - A mechanical device that physically prevents the
transmission or release of energy, including but not limited to the following:
A manually operated electrical circuit breaker; a disconnect switch; a
manually operated switch by which the conductors of a circuit can be
disconnected from all ungrounded supply conductors and, in addition, no
pole can be operated independently; a slide gate; a slip blind; a line valve;
a block; and any similar device used to block or isolate energy. The term
does not include a push button, selector switch and other control circuit type
devices.

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3.8 Energy source - Any source of electrical, mechanical, hydraulic,

pneumatic, chemical, thermal or other energy.
3.9 Group Lock Box – A red lock box for securing project lock keys by
authorized employees work on a locked out piece of equipment.
3.10 Hot tap - A procedure used in the repair, maintenance and services
activities that involves welding on a piece of equipment (pipelines, vessels
or tanks) under pressure, in order to install connections or appurtenances.
It is commonly used to replace or add sections of pipeline without the
interruption of service for air, gas, water, steam and petrochemical
distribution systems.
3.11 Lockout - The placement of a lockout device on an energy-isolating device

in accordance with an established procedure, ensuring that the energy
isolating device and the equipment being controlled cannot be operated
until the lockout device is removed.
3.12 Lockout device - A device that utilizes a positive means such as a lock,
either key or combination type, to hold an energy isolating device in the safe
position and prevent the energizing of a machine or equipment.
3.13 Maintenance Supervisor – Person responsible for managing maintenance

personnel
3.14 Secure Lock box for project lock keys – A combination lock box for
securing project lock keys, these are located in each of the maintenance
gangs.
3.15 Section Manager – Person responsible for managing and directing

production and production support labor force.

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3.16 Servicing and/or maintenance - Workplace activities such as

constructing, installing, setting up, adjusting, inspecting, modifying and
maintaining and/or servicing machines or equipment. These activities
include lubrication, cleaning or un-jamming of machines or equipment and
making adjustments or tool changes, where the employee may be exposed
to the unexpected energization or start-up of the equipment or release of
hazardous energy.
3.17 Setting up - Any work performed to prepare a machine or equipment to

perform its normal production operation.
3.18 Tagout - The placement of a tagout device on an energy-isolating device,

in accordance with an established procedure, to indicate that the energy
isolating device and the equipment being controlled may not be operated
until the tagout device is removed. Tagout tags protect the equipment and
are used only after accepted energy isolation measures have been applied.
3.19 Residual Electrical Power - Electrical energy, which is retained in a

system, machine or unit when the supply line disconnect, when placed in
the "OFF" position. Power capacitors and electric or magnetic fields are
examples that may have residual power if not properly dissipated.
3.20 Residual Pressure - The differential pressure remaining within a

component after the pressure source is closed off.
3.21 Danger Do Not Energize Tag - A tag used in normal and extended
carryovers to communicate the status of equipment, work being performed
and/or the work order number associated with the work being performed.
3.22 Zero Energy State – Placing machines or equipment in state in the area
an individual(s) is working on is de-energized from the unexpected
energization or start-up or release of stored energy that could cause injury

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4.0 RESPONSIBILITIES:
4.1 Maintenance Supervisor(s) Responsibilities:
4.1.1 Be knowledgeable in the potential energy hazards and personal

protective equipment requirements; select energy isolation
devices, work procedures, and proper energy control plans as an
integral part of the pre-planning for the job.
4.1.2 Train personnel in the recognition of the obvious energy control
hazards and the potential hazards that can develop within the
scope of the job.
4.1.3 Develop complete energy control procedures governing the
assignments on or near the obvious and potentially hazardous
energy sources.
4.1.4 Assure that only authorized personnel properly trained for the job
do the implementation of energy control procedures of the
Lockout/Tagout program.
4.1.5 Furnish properly maintained equipment for the job, including but
not limited to personal protective equipment and hardware such
as tags, locks, chains, blinds, self-locking fasteners, test
equipment, etc.
4.1.6 Provide employees with a clear definition of the work area, type,
magnitude, and methods of control for the hazardous energy.
4.1.7 Audit the lockout/tagout program where personnel have been
assigned a job.
4.1.8 Coordinate plans for process and/or equipment shut downs with
the appropriate department representatives; communicate plans
and schedules to all involved.
4.1.9 Implementing, monitoring, and enforcing the use of
Lockout/Tagout procedures.
4.1.10 Full compliance with Safe Work Practices outlined by site-specific
conditions, work rules, pre-job briefings, training or other

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requirements of Caterpilar Indonesia Batam/ Procedures that are

within his/her control.
4.1.11 Any participation by their staff to modify equipment that affects the
LOTO procedure shall prompt a formal review and an update the
equipment lockout procedures.
4.1.12 They manage and participate in the annual inspection of the
Lockout Authorized Employee utilizing the Lockout Periodic
Inspection Form (Appendix B).
4.2 Employee Responsibilities:
4.2.1 Know and comply with program requirements.

4.2.2 Respect lockouts applied by others and as such not to remove,
bypass or otherwise tamper with them.
4.2.3 Not perform lockout unless they have received the proper training,
in accordance with this program.
4.2.4 Not work within the danger zone or within the operating cycle of
equipment unless they have applied their lock and tag as
appropriate, and as discussed in this procedure.
4.2.5 Identify deficiencies in the program and communicate to their
Supervisor.
4.2.6 Employees found in violation of this Lockout procedure will be
disciplined.
4.2.7 Evaluate the potential for hazardous energy contact, the need for
additional personal protection, and other safety precautions before
beginning work of any kind.
4.2.8 Unplug electrical devices fed by a cord and develop exclusive
control of the plug under conditions where unexpected energizing
may occur.
4.2.9 Question all aspects of the job, expected or unexpected, during
the evaluation phase of a job.

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4.2.10 Stop work immediately and resolve the unusual or unexpected

situations at the moment they arise.
4.2.11 Inspect and test all safety equipment before use. Assure that any
prescribed inspection by others is current; and inspect before use
as required.
4.2.12 Participate in a group review of safety instructions for correct
interpretation on major jobs where specific concerns exist. Check
with supervisor, project engineer, task coordinator or leader if
questions still exist.
4.2.13 Consult with the appropriate supervisor on any questions of
tagging an energy-isolating device.
4.2.14 Full compliance with Safe Work Practices outlined by site-specific
conditions, work rules, pre-job briefings, training or other
requirements of Caterpilar Indonesia Batam Procedures that are
within his/her control.
4.3 Management
Is accountable for ensuring:
4.3.1 All of their employees and supervisors affected by this procedure

are aware of, trained, and comply with its requirements
4.3.2 Specific energy control procedures are developed where required
and provide the necessary resources to ensure compliance.
4.3.3 Ensure the proper lock removal process is followed when the
employee who placed the device is not available
4.3.4 Ensure completion of the annual documented review for the
Lockout Authorized Employees in their group.
4.3.5 Consistent appropriate administration of discipline when any of
their employees violate the requirements of this procedure.
4.4 Section Managers


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4.4.1 Their staff has knowledge of the current energy control program.
4.4.2 All affected and authorized employees have received training as
outlined in the section 5, Training and employees fully comply with
all aspects of this procedure.
4.4.3 Only the authorized employee who installed the lock removes it.
(See section 9 for any deviation.)
4.4.4 Elements of Section 13 shall be followed (continuity of applied
lockout devices across personnel changes)
4.4.5 Discipline is consistently administered to any employee who
violates the requirements of this procedure.
4.5 EH&S (Environmental Health & Safety)

4.5.1 Author and ensures compliance of this Program with regulatory

and corporate standards,
4.5.2 Provides consultation and clarification regarding program
elements,
4.5.3 Develops and delivers training for affected and authorized
employees,
4.5.4 Supports operations and management in the administration of the
program.
4.5.5 Schedule training and maintain training records
5.0 TRAINING:
Caterpillar Inc. will provide training that will ensure authorized and affected
individuals understand the purpose and function of the energy control program.
Depending on job role the training for affected and authorized is listed below. The
training objective is to develop the knowledge and skills of employee(s) who work
with and around hazardous energy so they will gain an understanding of what is
appropriate for the level of hazard exposure they may encounter. Training records
are stored in CLMS and Navigator. Authorized training includes the following:

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5.1 Recognition of applicable hazardous energy sources

5.2 Type and magnitude of the energy available on site
5.3 Methods and means for energy isolation, control and verification
5.4 A sample of an energy control procedure (LOTO document).
5.5 Review where employees can locate the written Control of Hazardous
Energy (Lockout) Program on the Caterpilar Indonesia Batam/ EHS
homepage.
5.6 Interpreting and applying procedure to Hands-on exercise
CLMS Class Teaching

Employee Class or Course Frequency
Number Media
Initial and
Upon
Safety VZ Changes in
Authorized Instructor
Lockout/Tagout Job
Assignments
CPS Lockout/Tagout
Initial & CLMS –
Affected Awareness Safety 08C1211
every 3 yrs 08C1211
Training
6.0 RE - TRAINING
6.1 Retraining shall be provided for all authorized and affected employees
whenever there is a change in their job assignments, a change in machines,
equipment or processes that present a new hazard, or when there is a
change in the energy control procedures.
6.2 Additional retraining shall also be conducted whenever a periodic inspection
reveals there are deviations from or inadequacies in the employee's
knowledge or use of the energy control procedures.
6.3 The employee shall reestablish proficiency in controlling hazardous energy.

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6.4 Authorized and Affected Employees shall receive Lockout Tagout training
on no less than 3-year intervals.

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7.0 HARDWARE:
7.1 Energy isolating devices which prevent the transmission or release of
energy include, but are not limited to, the following:
7.1.1 A manually operated electrical circuit breaker, a disconnect
switch, a slide gate, a slip
blind, line valve, blocks or similar devices with visible indication of
the device position.
7.1.2 Push buttons, selector switches, and other control circuit type
devices shall not be considered as energy isolating devices.
7.2 Locks shall be of approved type, with a personal ID tag showing owner's
name and picture. The approved padlocks for use at Caterpilar Indonesia
Batam/ for lockout are:
7.2.1 Personal protection – Master Locks with green stripe
7.2.2 Group Locks - Red colored lock
7.3 Lockout locks shall not be used to secure toolboxes, cabinets, benches, or
for any purpose except as authorized above.
7.4 Duplicate keys to all safety locks shall be in the possession of the authorized
management employee.
7.5 Picture ID tags and company lockout locks are provided after completion of
the Authorized instructor lead class.
7.6 Personal “Danger Don Not Operate” Tag (Brady #65501)
7.6.1 Used for personal safety only.

7.6.2 Used in conjunction with a personal lock every time an individual
begins work on equipment requiring isolation of energy.
7.6.3 Placed on all Lockout/Tagouts made on equipment or on the
group lock box.

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7.7 Group Lockout Tag

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7.7.1 Applied and removed by the authorized group lockout person(s)

only.
7.7.2 Used to notify personnel that a group lockout of all energy isolating
devices has been performed and that multiple persons and/or
multiple crafts may be working in and around the isolated
equipment.
7.7.3 Shall be used for extended and/or multiple shift work.
7.7.4 Specifies the energy isolating source that have been locked and
tagged out and the respective lock numbers used. It is used in
conjunction with a red group lock.
7.7.5 Shall be used in conjunction with a white personal danger tag.
7.7.6 Shall not be used for individual personal protection. May be used
for equipment protection.
7.7.7 Minimum information on tag is the lock number and ID of the
equipment locked out and shall be completed using grease pencil,
white board pen or other temporary making.
7.8 Lockout Box Tag

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7.8.1 Used on the group lockout box to notify personnel of which locks
and locations are locked out.
7.8.2 The front of the tag will have the reason for the lockout stated.
7.8.3 The back of the tag will have the group lock numbers listed and
the lockout points
7.8.4 Tag will be attached to the group lockout box.
7.8.5 Used to prevent the operation of the following:
7.8.6 Used on the group lockbox to identify the system being tagged
out.
7.8.7 Person removing the lockout will complete the bottom of the tag
and place stub in the time clock box.
7.8.8 The tag shall only be removed by the employee who attached the
tag or by an authorized maintenance person who is cognizant of
the operations that the tag was hung for.
7.8.9 The Lockout Box Tag does not provide personnel protection.
7.9 Equipment Location - There are lockout cabinets in each maintenance shop
to support the normal LOTO requirements. Maintenance supervisors have
additional red tags and locks to support LOTO activities.
8.0 GENERAL PROCEDURES - APPLICATION OF LOCKOUT CONTROL

MEASURES:
Lockout is required when servicing and maintenance of machines, equipment and

tests in which the unexpected energization or start up of the machines, equipment
or tests, or release of stored energy (includes but is not limited to pneumatic,
hydraulic, electrical {capacity}, mechanical {spring}, chemical, kinetic energy,
gravity), could harm employees.
8.1 Situations requiring the application of lockout include, but are not limited to:
8.1.1 Any time an employee is required to remove or bypass a guard or
other safety device; or

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8.1.2 An employee is required to place any part of his or her body into
an area on a machine or piece of equipment where work is actually
performed upon the material being processed (point of operation)
or where an associated danger zone exists during a machine
operating cycle.
Note: Exception to paragraph 8.1.1: Minor tool changes and adjustments, and
other minor servicing activities, which take place during normal production
operations, are not covered by this standard if they are routine, repetitive, and
integral to the use of the equipment for production, provided that the work is
performed using alternative measures which provide effective protection.
8.2 This policy does not apply to the following:

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

8.3.1 A pre-job plan shall be reviewed to identify all energy isolating
devices and determine where to apply personal lock and tag.
8.3.2 All personnel affected by the intended lockout shall be notified by

the supervisor or authorized employee before commencing work.
8.3.3 The written LOTO procedure shall be followed for each machine
or equipment per task requirement. An orderly shutdown must
take place to avoid any additional or increased hazard to
employees as a result of equipment stoppage. The official
lockout procedures are available on the Caterpilar Indonesia

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EHS Batam drive address

8.3.4 Copies are posted on the individual machines.
8.4 Notification and Applying Locks

8.4.1 Notification of employees. Notify the affected employees that
the machine/equipment is being shut down and locked out for
servicing or maintenance reasons.
8.4.2 Preparation for shutdown. Before an authorized or affected
employee turns off a machine or equipment, the authorized
employee shall have knowledge of the type and magnitude of the
energy, the hazards of the energy to be controlled, and the method
or means to control the energy.
8.4.3 Machine or equipment shutdown. The machine or equipment
shall be turned off or shut down using the procedures established
for the machine or equipment. An orderly shutdown must be
utilized to avoid any additional or increased hazard(s) to
employees as a result of the equipment stoppage.
8.4.4 Machine or equipment isolation. All energy isolating devices
that are needed to control the energy to the machine or equipment
shall be physically located and operated in such a manner as to
isolate the machine or equipment from the energy source(s).
8.4.5 Lockout device application. Authorized employees shall affix
their lockout lock with their personal ID device to each energy-
isolating device. Lockout devices, where used, shall be affixed in
a manner to that will hold the energy isolating devices in a "safe"
or "off" position. The use of tagout devices will include an
appropriate additional measure of energy isolation (i.e.
disconnection of an air line, disconnection of low-voltage control
wires, etc.).
8.4.6 Stored energy. If there is a possibility of re-accumulation of stored
energy to a hazardous level, verification of isolation shall be

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continued until the servicing or maintenance is completed, or until

the possibility of such accumulation no longer exists.
8.4.7 Verification of isolation. Prior to starting work on machines or
equipment that have been locked out or tagged out; the authorized
employee shall verify that isolation and de-energization of the
machine or equipment have been accomplished.
9.0 REMOVAL OF LOCKS

9.1 Before lockout devices are removed and energy is restored to the machine
or equipment, procedures shall be followed and actions taken by the
authorized employee(s) to ensure:
9.1.1 The work area is inspected to ensure that nonessential items have
been removed and machine or equipment components are
operationally intact.
9.1.2 The work area is checked to ensure that all employees have been
safely positioned or removed.
9.1.3 Lock owners have removed their own lockout padlocks. The last
person removing their lock will remove their lock and multi-hasp
lockout device.
9.1.4 After lockout devices have been removed and before a machine
or equipment is started, affected employees shall be notified that
the lockout device(s) have been removed.
9.2 When the authorized employee who applied the lockout device is not
available to remove it, that device may be removed by the employee’s
supervisor or, when not present, an operations supervisor of the same
company assigned responsibility for that building and/or project, provided:
9.2.1 It is verified the work has been completed and the equipment is
safe to operate;

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9.2.2 The authorized employee who applied the device is not at the
facility;
9.2.3 All reasonable efforts are attempted to contact the authorized
employee to inform him/her that his/her lockout device shall be
removed;
9.2.4 It is ensured the authorized employee has this knowledge before
he/she resumes work at that facility. This process is to be
documented using the LOTO Removal Request Form (Appendix
A). The completed form is to be forwarded to the building EHS
representative for filing.
10.0 GROUP LOCKOUT

10.1 When more than one crew, craft, department, etc. is involved, assignment
of overall job-associated lockout control responsibility to an authorized
employee designated to coordinate affected work forces and ensure
continuity of protection. All energy sources shall be placed in a zero energy
state and each potential energy source shall not be operational unless all
individual authorized employees locks have been remover per established
procedures.
10.2 Group lockout utilizing a lockout box
10.2.1 Group lockout shall be used in accordance with the Control of

Hazardous Energy Document (lockout procedures) in place
including but not limited to the following specific requirements:
10.2.1.1 Only trained, authorized employees can perform

lockout,
10.2.1.2 All affected and other employees working in or entering

into work areas where lockout is performed must be trained.

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10.2.1.3 Each authorized employee must follow the Control of

Hazardous Energy Document (lockout procedures) provided
for the specific piece of equipment.
10.2.2 Notify all affected employees of the plans to lockout.
10.2.3 Shutdown the equipment/process by normal procedures.
10.2.4 Verify that all of the necessary locks to perform the lockout are on
the LOTO group lock box holder.
10.2.5 Locate the necessary energy isolating device(s) on the machine

or equipment being locked out and apply the appropriate project
lockout lock based on the machines written procedure to isolate
the energy source(s).
10.2.6 If more than one authorized employee is required to lockout

equipment to perform different work (electrical, hydraulic, etc) on
the same equipment at the same time, the following process for
group LOTO must be followed:
10.2.6.1 Project locks shall be applied to those energy sources

identified within the job specific lockout procedure. The project
lock(s) keys shall be placed in the group lockout box.
10.2.6.2 Authorized employee will apply their personal lock/ID
tag to the group lockout box.
10.2.7 Relieve all stored or residual energy and take appropriate

measures to ensure it does not re-accumulate.

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10.2.8 Verify energy isolation and relief of stored energy after ensuring
employees are not exposed and before beginning work. If start
buttons had been used to verify isolation, press the stop button.
10.2.9 Perform the requested work (servicing, maintenance, etc).
Note: Each authorized employee performing work on the equipment must personally
verify and ensure that the correct number of lockout points are locked out based on the
work they are performing, to ensure the continued isolation and de-energization of
hazardous energy sources during maintenance and servicing operations.
10.2.10 If work is not completed at the end of a shift or an individual is

pulled off of a job, they shall remove their personal lock/ID tag from
the group lockout box and apply a group lock and Danger Do Not
Energize Tag with a written statement communicating the status
of equipment, work being performed and/or the work order number
associated with the work being performed. The key to this group
lockout lock shall be placed in the secure lock box for project lock
keys, not the group lockout box. The group locks applied to the
equipment lockout points must remain in place and not be
removed until all work is completed. Maintenance supervisors and
designated leaders shall control the keys to the secure lock box
for group keys and must be contacted to retrieve the group lock
keys inside.
10.2.11 After work is completed, replace all guards and safety devices and
remove all tools/ equipment.
10.2.12 Remove all lockout device locks (by the last authorized employee
performing work), return the locks back on the padlock station or
appropriate group lock box in the unlocked position and safely

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restore the equipment or test to the normal operational state.
10.2.13 Ensure all keys are returned to the lock box key holder.
10.2.14 Ensure equipment or machines are operationally intact and notify

affected employees.
10.2.15 If you are using a portable lockout box (pictured below), return the
box to the appropriate storage area
10.2.16 The following equipment is approved for use with the group LOTO
process:
Group Lockout Box
11.0 AUTHORIZED PERSON AUDIT – Each supervisor of an authorized person shall,

at a minimum, audit a lockout operation of each authorized person once per year.
12.0 TROUBLE SHOOTING:

12.1 When locks and Danger Do Not Energize Tags must be temporarily

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removed from the energy isolating device for testing or positioning of

machines, equipment or component thereof, the following sequence of
actions shall be followed:
12.1.1 Clear the machine or equipment of tools and materials to ensure

that non-essential items have been removed.
12.1.2 Remove employees from the machine or equipment area.
12.1.3 Remove lockout devices and/or Danger Do Not Energize Tags
12.1.4 Notify affected employees in the area that locks or Danger Do Not
Energize Tags have been removed.
12.1.5 Energize and proceed with testing or positioning.
12.1.6 De-energize all systems and reapply energy control measures as
outlined in the Control of Hazardous Energy Document (lockout
procedures) for the equipment to continue the servicing and/or
maintenance.

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13.0 SHIFT / PERSONNEL CHANGES AND CARRYOVER’S

In cases when there is a change of personnel performing work on equipment that
is not completed, the authorized employee leaving shall follow the procedures
below,
13.1 Normal Carryovers - If the job cannot be completed before the end of a shift,
the authorized employee or employees from multiple trades or companies
will each attach a properly filled out Danger Tag, with a Ty-Rap to a gang
hasp attached to the energy isolating device in the off position and then
remove their personal locks and ID tags. At this point personal lockout locks
and ID Tags may be removed. Key(s) to project lock(s) shall be placed in
secure lockbox for project lock keys referenced under 10.2.10.
13.2 Extended Carryovers - When it becomes necessary to leave a
machine/equipment down for an extended period of time the lockout device
may be replaced with a properly filled out Danger Do Not Energize Tag.
Danger Do Not Energize tags are to be completed by the authorized
employee or employees from multiple trades or companies and applied to
the gang hasp attached to the lockout point(s) in the off position. At this
point personal lockout locks and ID Tags may be removed. Key(s) to project
lock(s) shall be placed in secure lockbox for project lock keys referenced
under 10.2.10.

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NOTE: If any tags will be out in the weather for extended

periods or exposed to water, they should be laminated to
avoid deterioration.
13.3 Only Authorized employees can affix or remove Danger Do Not Energize
Tags.
13.4 Each exiting person whose work is not complete shall leave written
instructions on the Danger Do Not Energize Tag explaining why the device
is remaining in the OFF position. Written instruction shall be referenced to
the Work Order System as well as the project lockout/tagout logbook.

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13.5 The Danger Do Not Energize Tag shall be affixed to a location capable of
isolating the energy source. Authorized employees leaving are to remove
their personal locks and ID tags. NO ONE SHALL WORK WITH ONLY A
TAG AND TY-RAP ATTACHED. Succeeding Authorized employees
assigned to the job shall review both the Danger Do Not Energize Tag for
information and the Work Order System for the job’s current status. Prior
to commencing work, the Authorized employee shall attach their personal
lock and ID tag on the energy isolation device, verify the lockout conditions,
and remove warning tag. Not until this final step is completed may work
commence. NO ONE SHALL WORK WITH ONLY A DANGER OR ID
LOCKOUT TAG ATTACHED. PERSONAL LOCK AND ID TAG MUST BE
APPLIED IN ADDITION TO A TAG.
13.6 Removal of a Danger Do Not Energize Tag and associated lock:
13.6.1 Lockout Authorized employees of the same trade (i.e. electrician,
mechanic, etc) and company taking over a work order for another
employee of the same trade and company or operations
supervisor of the same company assigned responsibility for the
job can remove a Danger Do Not Energize Tag and lock affixed to
the isolation device only after:
13.6.1.1 Verifying all work associated with the work order is
complete,
13.6.1.2 All guards have been properly re-installed.
13.6.1.3 Obtain key(s) for Group(s) from Maintenance
Supervisor and/or maintenance team lead.
13.6.2 The Danger Do Not Energize Tag can be removed, once
verification of work completion is verified

Page 25 of 33
14.0 CONTRACTORS
14.1 Whenever outside servicing personnel contractors are to be engaged in
activities covered by the scope and application of this procedure, the on-
site employer and the outside employer shall inform each other of their
respective lockout or tagout procedures. Contractors shall follow at a
minimum the requirements of this procedure and OSHA 1910.147 (general
industry) regulations.

Page 26 of 33
15.0 INSTALLATION DESIGN REQUIREMENTS:

15.1 Whenever there is:
 Replacement or major repair,
 Renovation or modification of a machine or equipment is performed,
and
 Whenever new machines or equipment are installed, such machines
or equipment shall be designed to accept a lockout device.
15.2 Accessibility to the energy isolation device must be provided as part of any
design for new installations or changes to existing equipment.
16.0 SAFETY PROCEDURES FOR WORKING ON POWERED TOP RUNNING AND

UNDER-HUNG CRANES
16.1 Operation near electrical collectors shall require the crane to be de-
energized and full lockout procedures shall be employed.
16.2 Crane Inspection and testing
16.2.1 Operation away from main collectors shall be locked out locally
16.2.2 Adjacent cranes shall be controlled by one of three methods
16.2.2.1 De-energize all cranes in the bay
16.2.2.2 Install crane stops to prevent contact with crane

undergoing maintenance
16.2.2.3 Authorized person working on crane shall take

possession control of remote control boxes / pendants to
adjacent crane(s) in order to prevent operation of adjacent
cranes. This may be done in the following manners.

Page 27 of 33
 Boot and lock control pendants

 Place radio control box for adjacent crane in off position /
remove key and keep possession of control box.

Page 28 of 33
17.0 Table of Revisions
Change/Nonconformance and Corrective Action Log

This document is reviewed on at least an annual basis
Revision Change/Nonconforma Corrective
*Rev # Reviewer
Date nce Action
10/10/12 1.5 Developed New Plan A. Mannos
25/05/2014 00 CIB Formatting Aswin Pasaribu
* Change the revision number only when there is an amendment to the content of the
policy.
Appendix A: Lockout Removal Form

Appendix B: Lockout Periodic Inspection Form

Page 29 of 33
Appendix A- Lockout or Tag Removal Request Form
ABANDONED LOCK REMOVAL REPORT
This report documents the removal of an authorized employee's Lockout and/or Tagout
device. It is the responsibility of the Maintenance Supervisor, Group Leader and
Maintenance Manager to verify that the equipment which the lockout/tagout is being
removed from is in operating condition, safe to use, and that all other procedural steps as
defined for the restoration to service are followed in removing the lockout/tagout.
Date Lockout/Tagout Installed: Authorized

Employee:
Owner of Lockout/Tagout
Device
Equipment Identification:
No. Equipment Location Reason Locked Out Time Discovered
ENERGY ISOLATING DEVICES REMOVED

Source/Type Type ID Location
Level Remarks

Page 30 of 33
Decision checklist (stop at the first yes answer)

Do Yes No
Employee in plant (Get to remove lock)
At home (Call in)
Family knows where at (call in)
Equipment not needed (wait for employee to return)
Equipment needed Safety Manager can authorize removal.
Training conducted upon employee’s return.
Date of Removal:
Reason for
Removal:
Removing Supervisor:
Print Name Signature Date
Safety Manager:
Print Name Signature Date
Report Distribution:
Employee Employee Supervisor ____ Safety Manager____________

Page 31 of 33
Appendix B – Periodic Inspection Form
Caterpillar - Caterpilar Indonesia Batam, WI

LOCKOUT/TAGOUT AUDIT FORM
Equipment being Date:

audited:
Lockbox Crew Size on Job:
Location:
Crafts Electrical Mechanical Facilities Shift:
Involved:
Auditor:
Personnel being
Audited
CATEGORY/ITEM YES NO N/A

Preplan
1. Scope of work reviewed prior to starting job.
2. LOTO sheet on the lockbox
3. LOTO sheet in the immediate area
4. LOTO sheet missing
5. Lockouts verified before work started if an extension or planned
extended maintenance
Notify
6. Were affected employees notified (Production Personnel)?
Lockout

Page 32 of 33
7. Energy isolating devices locked out with red locks

8. Are any devices locked out using Tag Only guidelines
9. Personal locks and tags on lockbox or single point for each crew
member
10. Red lock on lockbox for extended or planned extended
maintenance
11. Is key for this lock in Maintenance
Tagout
12. Red Group Lockout tags attached to isolation point (more then
single lock)
13. Red Group tags properly filled out: lock number, location, person
tagging out
Tryout
14. Verified that all hazardous energy rendered safe
15. "Start" controls tried to verify zero energy
Item Comments: Training:

No.

Page 33 of 33

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PT Caterpillar Indonesia Batam

EHS Assurance Manual

3.1 Affected employee – A person whose job requires him/her to operate or

3.3 Capable of being locked out - An energy isolating device will be

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3.4 Energized - Connected to an energy source or containing residual or stored

3.5 Energy Control Procedures - An important element of the overall

3.6 Energy Control Program – a program that consists of energy control

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3.8 Energy source - Any source of electrical, mechanical, hydraulic,

3.11 Lockout - The placement of a lockout device on an energy-isolating device

3.13 Maintenance Supervisor – Person responsible for managing maintenance

3.15 Section Manager – Person responsible for managing and directing

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3.16 Servicing and/or maintenance - Workplace activities such as

3.17 Setting up - Any work performed to prepare a machine or equipment to

3.18 Tagout - The placement of a tagout device on an energy-isolating device,

3.19 Residual Electrical Power - Electrical energy, which is retained in a

3.20 Residual Pressure - The differential pressure remaining within a

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4.1 Maintenance Supervisor(s) Responsibilities:

4.1.1 Be knowledgeable in the potential energy hazards and personal

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requirements of Caterpilar Indonesia Batam/ Procedures that are

4.2 Employee Responsibilities:

4.2.1 Know and comply with program requirements.

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4.2.10 Stop work immediately and resolve the unusual or unexpected

4.3.1 All of their employees and supervisors affected by this procedure

4.4 Section Managers

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4.5 EH&S (Environmental Health & Safety)

4.5.1 Author and ensures compliance of this Program with regulatory

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5.1 Recognition of applicable hazardous energy sources

CLMS Class Teaching

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7.6.1 Used for personal safety only.

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