Safe Work Procedure: Equipment Shutdown and Maintenance

Document Number: [SWP-NUMBER] Revision Date: [DATE] Next Review Date: [NEXT REVIEW DATE] Department: [DEPARTMENT NAME]

1. Scope

This Safe Work Procedure (SWP) outlines the necessary steps and safety precautions for the safe shutdown and maintenance of heavy equipment, such as excavators and compactors, to prevent injuries and equipment damage. This procedure applies to all personnel involved in the shutdown and maintenance of equipment on [COMPANY NAME] job sites. It covers routine maintenance, inspections, and repairs. This SWP does not cover complex repairs requiring specialized technicians; refer to the manufacturer's service manual for those procedures.

2. Definitions

Lockout/Tagout (LOTO): A safety procedure used to ensure that dangerous machines are properly shut off and not able to be started up again prior to the completion of maintenance or servicing work [1].

Qualified Inspector: A person who has the knowledge, training, and experience to perform inspections of machinery and equipment [2].

Competent Person: An individual who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them [2].

3. Responsibilities

3.1 Supervisors

• Ensure that all workers are properly trained and competent to perform equipment shutdown and maintenance tasks.
• Provide workers with the necessary tools, equipment, and personal protective equipment (PPE) to safely complete their work.
• Conduct regular site inspections to identify and correct any hazards related to equipment maintenance.
• Enforce all safety rules and procedures.

3.2 Workers

• Follow all safety rules and procedures outlined in this SWP.
• Use the correct tools and equipment for the job.
• Inspect equipment and PPE before use and report any defects to the supervisor.
• Participate in pre-job briefings and hazard assessments.
• Report any incidents, near misses, or hazards to the supervisor immediately.

3.3 Health and Safety Representative

• Assist in the development and review of safety procedures.
• Conduct safety training and awareness programs.
• Investigate incidents and recommend corrective actions.
• Monitor the effectiveness of safety programs.

4. Potential Hazards and Risks

Hazard	Risk	Control Measures
Hot Surfaces & Fluids	Burns	Allow the machine to cool down before performing maintenance. Wear proper safety equipment when working around hot areas. Do not remove the radiator cap or oil cap immediately after stopping operation 1, 4.
Accidental Start-Up	Injury or Death	Always stop the engine and remove the key before performing maintenance. Use a temporary "DO NOT OPERATE" hang tag to communicate that the machine is out of service [2].
High-Pressure Fluids	Injection injuries, blindness	Release pressure on hydraulic lines before maintenance. Wear a face shield, protective glasses, and gloves when inspecting for leaks. Use cardboard or wood to inspect for leaks [3].
Rotating Parts	Entanglement, crushing	Stay clear of all rotating and moving parts. Keep hands, clothing, and tools away from the rotating fan and running fan belts [4].
Poor Ventilation	Carbon monoxide poisoning	Ensure adequate ventilation when inspecting or maintaining the machine indoors. Use ventilators, fans, or exhaust extension pipes [4].
Fire Hazard	Burns, explosions	Inspect the engine compartment for debris and remove any flammable materials 6, 7, 9, 10, 11.
Improper Tools	Injury	Use proper tools intended for the task. Do not use damaged tools [2].

5. Personal Protective Equipment (PPE)

Always use the proper PPE for the task to minimize the risk of injury.

• Hard Hat - Protects the head from falling objects and impacts.
• Safety Glasses/Face Shield - Protects eyes from dust, debris, and chemical splashes 3, 4.
• Work Gloves - Protects hands from cuts, abrasions, and chemical exposure 3, 4.
• Safety Shoes - Provides foot protection from heavy objects and punctures [5].
• Hearing Protection - Use when working in noisy environments.

Inspect PPE before each use for any signs of damage or wear. Replace damaged PPE immediately. Clean and maintain PPE according to manufacturer's instructions.

6. Equipment and Tools

Always use the proper equipment and tools for the task to ensure safety and efficiency.

• Hand Tools (wrenches, screwdrivers, pliers) - For various maintenance tasks.
• Hydraulic Pressure Gauge - For measuring hydraulic pressure.
• Lockout/Tagout Devices - To prevent accidental start-up during maintenance 1, 2.
• Personal Protective Equipment (PPE) - Hard hat, safety glasses, gloves, and safety shoes 3, 4.
• Cardboard or Wood - For inspecting for hydraulic leaks [3].

Inspect all equipment and tools before each use for any signs of damage or wear. Replace damaged equipment immediately. Follow the manufacturer's instructions for proper use and maintenance of all equipment and tools.

7. Pre-Job Requirements

7.1 Training and Competency

• All personnel involved in equipment shutdown and maintenance must be trained and competent in the following areas:
  • Equipment-specific maintenance procedures.
  • Lockout/Tagout procedures.
  • Hazard identification and risk assessment.
  • Proper use of PPE.
  • Emergency response procedures.
• Operators should be trained and certified to operate the specific type of equipment.

7.2 Pre-Job Briefing

• Conduct a pre-job briefing with all personnel involved in the equipment shutdown and maintenance. The briefing should cover the following:
  • Scope of the work to be performed.
  • Potential hazards and risks.
  • Control measures to be implemented.
  • Emergency procedures.
  • Roles and responsibilities of each team member.
• Ensure all personnel understand the procedures and safety requirements before starting work [2].

7.3 Work Area Preparation

• Ensure the work area is clean, dry, and free of obstructions [2].
• Provide adequate lighting.
• Barricade the work area to prevent unauthorized access.
• Ensure proper ventilation, especially when working indoors [4].
• Have the necessary tools and equipment readily available.

8. Safe Work Procedure Steps

8.1 Stopping the Engine

• Park the machine on level ground 14, 15, 16, 17, 18, 19.
• Allow the engine to run at low idle for 5 minutes to cool down 15, 16, 17, 18, 19, 20.
• Turn the engine start switch to the OFF position 15, 16, 17, 18, 19, 20.
• Remove the key from the ignition switch [6].
• If the engine does not stop, use the engine shutdown switch 15, 16, 17, 18, 19.
• In case of electrical malfunction, remove the wire connector to stop the engine [7].

Safety considerations for this step:

• Never turn the battery disconnect switch to the OFF position while the engine is running 15, 16, 17, 18, 19.
• Perform a walk-around inspection after actuation of a shutdown device 15, 16, 17, 18, 19, 20.

8.2 Lockout/Tagout (LOTO)

• Apply Lockout/Tagout (LOTO) to the machine to prevent accidental start-up during maintenance 1, 2.
• Locate all energy-isolating devices (e.g., circuit breakers, valves).
• De-energize and isolate the equipment from all energy sources.
• Apply LOTO devices to each energy-isolating device.
• Verify that the equipment is properly isolated by attempting to start it up.

Safety considerations for this step:

• Only authorized personnel should perform LOTO procedures.
• Ensure that all personnel are clear of the equipment before attempting to verify isolation.

8.3 Performing Maintenance

• Perform the necessary maintenance tasks as outlined in the manufacturer's service manual 8, 12.
• Use the correct tools and equipment for the job [2].
• Wear appropriate PPE 3, 4.
• Follow all safety precautions and procedures 1, 2, 3, 4, 5.
• If the engine must be running for inspection or maintenance, have two people present. One person should be in the operator's seat, ready to stop the engine at any time 1, 5.

Safety considerations for this step:

• Allow the machine to cool down before performing maintenance to avoid burns 1, 4.
• Release pressure on hydraulic lines before refilling or draining oil [3].
• Stay clear of rotating parts [4].

8.4 Post-Maintenance

• After completing the maintenance tasks, remove all tools and equipment from the work area.
• Ensure that all guards and safety devices are reinstalled.
• Inspect the equipment to ensure that it is in safe operating condition.
• Remove LOTO devices and restore energy to the equipment.
• Notify all personnel that the equipment is ready to be returned to service.

Safety considerations for this step:

• Ensure that all personnel are clear of the equipment before restoring energy.
• Perform a functional test of the equipment to verify that it is operating properly.

9. Precautions and Safety Measures

• Read Manuals - Read and understand the maintenance procedures described in the manuals before inspecting and performing maintenance on the machine 2, 8.
• Use Tag - Always attach a "DO NOT OPERATE" tag to prevent unauthorized personnel from starting the engine during maintenance 1, 2.
• Clean Machine - Thoroughly clean the machine before performing inspection and maintenance procedures [5].
• Proper Tools - Use proper tools intended for the task. Do not use damaged tools [2].
• Ventilation - Ensure adequate ventilation when inspecting, maintaining, or running the machine indoors [4].

10. Emergency Procedures

10.1 General Emergency Response

• In the event of an emergency, immediately stop work and assess the situation.
• Evacuate the area if necessary.
• Provide first aid to any injured personnel.
• Contact emergency services (911) if required.
• Report the incident to the supervisor and health and safety representative.

10.2 Specific Emergency Scenarios

• Fire: Use a fire extinguisher to put out the fire. Evacuate the area and call emergency services if the fire is too large to control.
• Hydraulic Fluid Injection: Seek immediate medical attention. High-pressure fluid can cause serious injury or blindness [3].
• Entanglement in Rotating Parts: Shut down the machine immediately. Provide first aid and call emergency services if necessary [4].

10.3 Emergency Contact Information

• Emergency Services: 911
• [COMPANY NAME] Safety Department: [PHONE NUMBER]
• Supervisor: [PHONE NUMBER]
• Local Hospital: [PHONE NUMBER]

11. Incident Reporting and Investigation

Report all incidents, near misses, and hazards to the supervisor immediately. The supervisor will investigate the incident and take corrective actions to prevent recurrence. Complete an incident report form and submit it to the health and safety department.

12. References and Related Documents

• Operation and Maintenance Manual for specific equipment models 1, 2, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 19, 20.
• Special Instruction, SEHS9031, 'Storage Procedure for Caterpillar Products'.
• [COMPANY NAME] Lockout/Tagout Procedure.

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Approved by: [NAME AND POSITION] Date: [APPROVAL DATE]

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