IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 38, NO.

3, MAY/JUNE 2002 797

Clearing Procedures in Electrical Installations:

The Electrical Status Space as Model
for Training and Planning
Giuseppe Parise, Member, IEEE, and Erling Hesla, Life Senior Member, IEEE

Abstract—Maintenance personnel must take the clearing TABLE I

procedures, operating the necessary steps to assure that the SYMBOLS IN FIGURES AND TEXT
system or portion of the system on which they plan to work is in
an electrically safe working condition. Complexity of the electrical
system normally determines the level of detail required for
planning the system clearing procedures. The clearing procedures
should be completely written, checked, and understood by all
persons involved before applying them to any portion of the power
distribution system. This paper reviews and enhances previous
papers. It investigates the basic concepts and definitions to give
prominence to operating bonds and to help the procedure/project
with alternative, independent ways. It proposes some simple rules
and bond definitions to facilitate programming. It introduces a
graphical representation and a logic code to write symbolically the
electrical status. Both intuitive and mathematical approaches can
heighten understanding. The model allows memorizing visually
the logic procedures, counting the necessary locks, and executing
an autocheck of the clearing procedure.
Index Terms—Clearing procedures, lockout/tagout program,
operations/maintenance, safety training.

I. INTRODUCTION

I N ORDER to execute operations of electrical maintenance,

on a zone, portion, or component of the system, it is nec-
essary to use more elaborate clearing procedures and written
switching instructions, together with a single-line diagram [1].
The symbols used in the figures and the text of this paper are
listed in Table I. It implies deenergizing, locking out, visual
verification, testing, possibly bleeding off static charge, and ap-
plying safety grounds. A successful implementation is the use of
placarding [2]. Complex power distribution systems may have
several operating bonds, which have to determine, like more
sources and more switching devices into each area or zone. They
require several operating steps to isolate the SWZ, which is the
system portion that an MO has to make safe to touch.
Some basic elements are identified and discussed in order to
fix a general routine or correct sequence of operations, that is,
the lockout/tagout program. The program has to include all the
steps, that the bonds of the electrical system structure of each
Paper ICPSD 01–18–5, presented at the 2001 Industry Applications Society
Annual Meeting, Chicago, IL, September 30–October 5, and approved for pub-
lication in the IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS by the Power
Systems Engineering Committee of the IEEE Industry Applications Society.
Manuscript submitted for review October 15, 2001 and released for publication
February 22, 2002.
G. Parise is with the Electrical Engineering Department, University of Rome
“La Sapienza,” 00184 Rome, Italy (e-mail: igparise@tin.it)..
E. Hesla is with Hesla & Associates, Everett, WA 98208 USA (e-mail:
e.hesla@ieee.org). zone require, and it has to follow the exact sequence to operate
Publisher Item Identifier S 0093-9994(02)04524-3. them.
0093-9994/02$17.00 © 2002 IEEE
798 IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 38, NO. 3, MAY/JUNE 2002

For each operating bond, a pair of locks could be settled in

order to prevent working incorrectly.
“Electrical steady condition” of the electric system or of a
system zone (portion or single equipment), is defined as the
“electric status” of the corresponding element. The following
is a list of four possible conditions of duty [3]:
1) “energized” (symbol 1), the status of the live condition;
2) “open” (symbol 0), the status of the open condition or
locally deenergized;
3) “grounded” (symbol G), the status of ground connected
or generally deenergized;
4) “in safety” (symbol ), the “safe status,” which is the con-
dition of locked grounded and safe deenergized, that guar-
antees an electrically safe work condition for the operator;
it is really a safety bond, but it is so fundamental that it
must be considered a status.
The operating of an electrical system, or of any of its zone,
means to change the system from a status to another, by use
of appropriate devices and units. Each electrical operation is a
transition or step between two statuses.
In most cases (in Europe, they belong to medium voltage
(MV) and high voltage (HV), in the U.S., they belong to low Fig. 1. Sample case of MV system with 2-MV switchboards and one load
voltage (LV) and HV), appropriate devices are adopted to deter- switchboard.
mine and to maintain each of all the electrical statuses. A main
task is to recognize all the units as perfect to guarantee the SWZ, Fig. 1 shows a sample case of an MV system with 12 units.
as shown in the following. In this single-line diagram, it is possible to point out that some
These prime remarks have to be noted. MV units are “perfect units,” that is, independent or without
1) The bus systems (BSs), supplying the devices in a functional bonds with other units in guaranteeing an SWZ. The
switchboard, are assumed to be energized (status 1) CB-DBI unit (number 2) is intrinsically independent: the DBIs
unless proven otherwise. I1 and I2 guarantee the unit CB as an SWZ. The load operating
2) As a basic characteristic, each operating device in a unit IS unit (number 10) and the CB-BI unit (number 4) guarantee
has two different sides: the “bus” side, from which it op- the load or the line 4, respectively, as an SWZ, owing to a source
erates actively the isolation disconnecting the eventual not being present on load side.
source and the “line” side, with which it remains con- Instead, in Fig. 1, the pair of darkened units, protection CB-BI
nected and it guarantees grounding for the eventual line unit (number 3) and operating IS unit (number 5), must be con-
source. sidered coupled, and together they form perfect units to guar-
Devices, performance, and locks, which fix the status of antee the CB and the line 3 as an SWZ. As a reference for the fol-
system, are reported as follows. lowing, these coupled units are shown in Fig. 2 as a case study.
• The CB determines two electric statuses of duty (1, 0),
typically related to the bus side.
• The IS (or BI) joined to a grounding switch can determine II. CLEARING PROCEDURES
generally three electrical statuses (1, 0, G) of duty: 1 and 0
with the bus side and G with the line side). The grounding Let us consider the case study of a system zone, shown in
switch is used to guarantee the “status ” of the generally Fig. 2. The clearing procedure has to include all the steps that
deenergized system or component. Generally, a grounding the bonds of the system structure require, and to follow the exact
switch does not operate on the bus side, but on the opposite sequence to operate them. The operating bonds are generally of
side (line load). priority and of parity between the devices of the perfect units
• Personalized padlocks or something similar are used to that define the SWZ of the line and the CB.
guarantee the “status S” of locked grounded. In upstream location, there is provided for the MV line protec-
• BR connects directly the line with the bus system (BS). tion the CB-BI unit: a pair of devices, a CB and a BI grounding
Therefore, it has the particularity of inverting line with bus switch GS.
and vice versa. A priority bond exists, because there is locally the couple of
• The MO must be considered as an integral component in devices, in the deenergizing operation the CB has in opening the
the system, so that he/she must constrain the beginning priority on the BI. In the opposite case of energizing operation,
and all his/her activity to the system padlocked grounded the priority in closing is of the BI on the CB.
status, the only status which allows him/her to work easily In the downstream location of Fig. 2, an IS unit is provided
in a safe condition. for the isolation of the same line from this side.
PARISE AND HELSA: CLEARING PROCEDURES IN ELECTRICAL INSTALLATIONS
Fig. 2. Case study of MV perfect units guaranteeing the line and the CB as
SWZ. For a clearing procedure example: the starting status of energized system
is shown.
A parity bond exists between the BI and IS components of
the two coupled units of Fig. 2: the open status of the two de-
vices (parity to 0), unavoidable on the sides with source, must
go before grounding the two associated GSs and, in the inverse
operation, before energizing.
The evaluation and the definition of the existing bonds facili-
tate operating and programming the procedures. For operating,
each bond allows for the organization of a keys system to guide
the correct sequence. For programming, each bond allows for
arranging correctly in the full clearing procedure the module
steps of instructions relative to the associated devices.
“Correct procedure” is that which carries out operating in the
way and with the right sequence in an electrically safe work
condition.
Each condition is free to go forward or to come back, in the
correct sequence.
“Lockout of safety” is a measure that prevents the wrong se-
quence with locks and consents to the right sequence guided
with the keys.
Each operation on a device with a bond associated to another
determines two locks: one for each component. Obviously, each
component can be equipped with a number of locks equal to that
of the bonds concerning it.
A “full” sequence of steps on a component with two locks
(off/on), like the BI in Fig. 2, could be described as follows.
The key 0 , when inserted, authorizes the transition of the BI
from status 0 to status 1: the closed condition locks the key
0 . To lock the BI in status 1, take away the key 0 .
With this key, to start the new step, the key 1 is ringed.
799
Owing to the operation with bonds, there are determined three
“hierarchies” of key locks (H) for the complete procedure.
Each hierarchy H has its own couple of keys “ringed” to-
gether.
Let us consider the adjacent pairs of operating from 11 to 00,
from 0 to G, and from G to S in the units of Fig. 2.
1) On the operating from status 11 to status 00, there is a
priority bond between the two components of the CB-BI:
the priority hierarchy is, therefore, a local bond in the
same unit.
2) On the operating from 0 to G, opening the isolator switch
and closing the associated GS, there is a parity bond be-
tween the BI and the IS: the parity hierarchy is, therefore,
a crossed bond. A hierarchy (couple of keys “ringed”) ex-
ists for each source.
3) The safety hierarchy exists always considering that it is
necessary to make safe the system to touch.
As a worst case, considering the two locations for operating
of Fig. 2 and assuming a source in each side, there exist eight
locks.
The priority local hierarchy PRIH determines two keys (two
locks): one key/lock on CB and one key/lock on BI, respectively,
, “ringed.”
• The parity crossed hierarchy PARH determines two
keys/locks between each isolators switches, BI and
IS, and the two correspondent associated GS (4 locks)
( , , ringed keys, where “crossed” is
crossed 0 with G and with G , in the two
couples).
• The safety hierarchy SAFH determines one key/lock or
padlock on each isolator switch (S where “crossed”
is “up” or “down”: this key must be considered “ringed”
at the pockets of the MO).
III. ELECTRICAL STATUS SPACE FOR THE CLEARING
PROCEDURES: A GRAPHICAL REPRESENTATION
The electric status of a system, or of any of its zones (portion
or electrical equipment), is established by a device or by a com-
bination of different devices in a protection unit.
A graphical representation is possible to introduce an “elec-
trical status space” for the clearing procedures, to study the oper-
ations on the devices of the system [4]. Therefore, in this space,
it is possible to establish a correspondence between each device
of an HV, MV, or LV unit and the axis of the space. The correla-
tion can be fixed on the basis of increasing priority of the local
operation versus the energized status: as the first axis, as
the second one and, if it is necessary, as the third one.
The status of the electric system zone can be represented in
this special space, “the electrical status space for the clearing
procedures,” where singular points can usefully correspond to
the same status. To this aim, to each status 1, 0, G, and S, it is
possible to appoint the logic values and coordinates 1, 0, G 1
and S 3, respectively.
800
Fig. 3. Clearing procedures, graphical representation. (a) Case of a single
device,X XY
axis. (b) Case of a pair of devices, plane. The polyline shown
interconnecting the status coordinates indicates the correct operating sequence
r
in the clearing procedure. The priority bond symbol is shown.
In Fig. 3(a), the axis is correspondent to a device; the points
1, 0, 1, and 3 correspond to the four conditions of the device
in a complete clearing procedure. For clearness, the coordinates
1 and 3 on the axis are reported as G and S in all cases.
Conventionally, owing to the fact that 3 is a logic value, the
S is shown without respecting the scale. A pair of devices (see
MV unit in upstream location of Fig. 2) can be represented by
the axis on the plane [Fig. 3(b)]. The statuses G and S are
reported by one coordinate, owing to the fact that the crossing
by status 0, 0 is necessary, but they can be indicated as G, 0 and
S, 0. It is evident that operations among the statuses 1, 0, G, and
S must have the natural order indicated in the direction of the
safe status and vice versa.
A. Case Study of an MV Unit Without Operational Bonds
[Fig. 3(a)]
Let us consider in Fig. 1 the load-operating unit number 10,
equal to the MV unit number 5, shown also in Fig. 2.
The operations on the single device IS, associated to a GS,
are represented on the axis: the Fig. 3(a) shows the four con-
ditions with the safety bond only.
B. Case Study of an MV Protection Unit With a Priority Bond
[Fig. 3(b)]: Local Operating 1, 1; 1, 0; 0, 0; and Vice Versa
Fig. 3(b) shows on the status space the electric conditions
of the pair of devices; the CB is shown on the axis for priority,
and the BI grounding switch on the -axis.
In a logic sequence for a pair of , devices from the fully
energized status , 1, 1 to reach to the fully open status ,
0, 0, it is necessary to operate the transient condition ,
1, 0 and in synthesis from the status (1, 1) to the status (0,
0), the sequence is 1, 1; 1, 0; 0, 0; and vice versa 0, 0; 1, 0; 1, 1.
The symbol of the priority bond is signed to point out easily
the correct operation 1, 0. It is to prevent the transient condition
, 0, 1.
Note that the isolator , which guarantees the open status (0,
0), has the priority in the closing operation (1, 0) and, vice versa,
the circuit breaker CB, which guarantees the closed status (1, 1),
has the priority in the opening operation (1, 0).
IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 38, NO. 3, MAY/JUNE 2002
Fig. 4. Case study of Fig. 2 on the status space. Shown is the start condition of
=
energized units with source on both the bus sides. The symbols of the parity
r
bond and of the priority bond are opportunely signed.
C. Case Study of Two Coupled MV Units With Priority and
Parity Bonds (Fig. 4): Local Operating and Crossed Operating
in Two Locations
Fig. 4 shows the case study of Fig. 2 in a representation on the
status space. The start condition of energized units is shown: the
status of the MV unit in the upstream location is represented by
the coordinates 1, 1 on the plane , ; the status of the MV unit
in the downstream location is represented by the coordinates 1
on the axis; a line connects these two points.
In Fig. 4 is presented the general case of double source (on
the upstream side and on the downstream side); in all the cases,
two symbols of parity bond have to be reported on the -axis of
the two switches on the transient operation between the statuses
0, 0 and G.
The connection line shall follow the change of the status by
the clearing operations.
The parity bond characterizes the crossed operations: the op-
eration vector to the grounded status (G) of a ground switch,
associated to an isolator switch, is constrained to start from the
balanced open status (parity to 0) on the other coupled isolator:
status 0 0 . To allow the completely deenergized status,
it is important to remark that the coupled components determine
the operating in two locations, the up and the down sides (not
locally operating).
The grounded status needs the logic sequence 0 , 0 ,
G , and G .
Similarly, it is possible to study the case of the perfect unit in
Fig. 1 constituted by the unit couple of the transformer CB-BI
and the LVCB-DO. The case is similar to that of Fig. 4(b), but
adopts the axis also for the LVCB-DO.
Fig. 5 shows the list of operations of the clearing procedure
to follow for changing the general energized status into the safe
status. The first column shows the traditional descriptive list,
and the second column and the third one show the new suggested
ways of writing symbolically the list: the graphical representa-
tion and the logic code.
IV. ALGEBRAIC MODEL: CONCLUSIONS
The status of the system or of any part of the system, that is
feasible to see in a graphic representation, is possible to verify
PARISE AND HELSA: CLEARING PROCEDURES IN ELECTRICAL INSTALLATIONS 801

(1/0) of a source, confirms the energized/deenergized status (bus

side) as the product of all the logic codes of the unit:

logic ( Source) logic( Source)

In a pair of perfect units, the parity bond imposes to not com-

pensate the positive values, energized status, with the negative
ones, deenergized status, rejecting the coexistence of the op-
posite signs. Therefore, it is suggested to adopt as logic codes
rather the symbols G and S than the values 1 and 3. The rule
is that the wrong condition 1 1) is not 0, but it remains
1 G =1G. Only zero is equally not considered in the sum with
logic values positive or negative (for instance, 0 S S, and 0
3 3). Owing to that, the status S of a unit has to assume
the logic value 3 instead of 2, being not equivalent to the
GG condition of a perfect pair of units, of which the logic sum
is 2.
Let us consider the case study of Fig. 2: the conservative pro-
cedure (rule of the sum) to follow from the general energized
status to the safe status, shown in Fig. 5, is

location devices operations

upstream up
downstream down
-
locally up
locally down
perfect units
A rigorous procedure could consider: 1) locally in each unit, for
evaluating the energized status, the product of the logic values
computing the presence of the source (1 present and 0 absent)
on the bus side and 2) the sum of the logic values in all the other
cases (other local conditions and globally for the perfect units).

location devices operations source

bus side
upstream up
downstream down
- -
locally up
locally down
-
perfect units
“Lockout” and “tagout” procedures to ensure safety are
universally accepted. Details of developing and applying
lockout/tagout procedures can vary. This paper has presented
an approach to the planning and control of lockout/tagout
procedures. More detailed treatment and other implementations
of the subject are available.
Fig. 5. Case study of Fig. 2. The figure shows the classical, graphical, and Software programs with PC, based on the introduced models,
codified ways for listing the eight steps of the operations to follow for changing
the general energized status into the safe status. are developable for an aided or interactive training on network
samples and for planning new networks. They can facilitate a
faster evaluation and an accurate analysis, reducing the risk of
algebraically by the logic value, assumed conservatively equal error.
to the sum of the status indexes (1, 0, G, and S) of each device.
Really, for each unit singularly considered with reference to REFERENCES
the bus side, the closed/open condition (1/0) of the operating [1] IEEE Guide for Operation, Maintenance and Safety of Industrial and
devices CB-BI or IS and the contemporary presence/absence Commercial Power Systems, IEEE Standard 902-1998 .
802 IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 38, NO. 3, MAY/JUNE 2002
[2] R. E. Downey, L. F. Saunders, and M. J. Hittel, “Lockout energy
control placarding for power distribution equipment,” presented at the
IEEE-IAS I&CPS Tech. Conf., Sparks, NV, May 2–6, 1999.
[3] G. Parise and E. Hesla, “Basic concepts and auto-check for clearing pro-
cedures,” presented at the IEEE-IAS I&CPS Tech. Conf., Sparks, NV,
May 2–6, 1999.
[4] , “Electrical status space for clearing procedures in electrical in-
stallations,” presented at the IEEE Safety Workshop, New Delhi, India,
Apr. 2000.
Giuseppe Parise (M’82) received the E.E. degree
from the University of Rome “La Sapienza,” Rome,
Italy, in 1972.
Since 1973, he has been with the University of
Rome “La Sapienza,” where he is currently a Full
Professor of Electrical Power Systems. His research,
professional, and consulting activities cover various
power systems specializations.
Prof. Parise has been an expert member of the
Superior Council of Ministry of Public Works since
1983. He is a member of the Italian Electrical
Commission (CEI) CT/SC 11A and of the Power Systems Grounding Subcom-
mittee of the IEEE Industry Applications Society. Since 1975, he has been a
Registered Professional Engineer in Italy. He is also President of the Electrical
Commission of Engineers Association of Rome’s Province.
Erling Hesla (S’46–M’48–SM’70–LS’90) was born
in Regina, SK, Canada, in 1924. He received the
Bachelor of Applied Science (E.E.) degree from
the University of British Columbia, Vancouver, BC,
Canada, in 1947.
He was with Canadian General Electric Company,
Cobast Brazil, and Scott Paper Company, in addition
to having been active in establishing and managing
a panel manufacturing firm and a robotics control
firm. He is currently with Hesla & Associates,
Everett, WA. He is the holder three patents relating
to hearing-aid devices.
Mr. Hesla has been very active in the AIEE and IEEE, serving in various ca-
pacities, such as Chair of the “Yellow Book” (902-1998) and Chair of a chapter
of the “Red Book” (141-1983). He received the RAB Larry K. Wilson Transna-
tional Award in 1998 for innovative promotion of IEEE globalization. He con-
tinues to be active, serving as a Member-at-Large of the Executive Board of the
IEEE Industry Applications Society (IAS) and as IAS Chapters Communica-
tions Chair.