Digital process · Traceability
The audit trail in digital LOTOTO
With paper records, the course of a job has to be pieced together afterwards from the permit, a spreadsheet and people’s memories. An audit trail builds up as the work happens, with every action. It is used to reconstruct a specific job, but also to review the process regularly, before anything goes wrong.
The record shows the state. The audit trail shows how it got there.
What does the audit trail record?
Short answerOperations and data changes in the system: who made them, what changed, the old and new value, and when it happened.
| Item | Meaning |
|---|---|
| Who | The user whose account performed the operation |
| What | The operation or the changed data, for example a change in record status |
| Old and new value | What the data looked like before and after the change |
| When | Date and time of the operation |
The trail reflects actions across the whole lockout lifecycle: preparing and submitting the request, approval by the operator, confirmation of each energy by the person performing the isolation with the lock number, other groups joining, finishing work and unlocking. If a substitute performed an action, the record also carries a “Substituted by: …” note.
The audit trail complements the lockout record itself. The record shows the current status; the trail shows how it got there. What a lockout record contains is described on the lockout tracking page.
How can you trace the course of a specific job?
Short answerFrom a single lockout record and its audit trail. Together they show who requested and approved the job, who confirmed which energy and when, who worked on the machine and who unlocked it.
Reconstructing a job does not mean assembling information from several sources. The machine, the people, lock numbers, times and attached documents all sit with one record. A typical trace looks like this:
- Machine and recordFind the machine and its lockout record, including completed ones in the archive.
- Request and approvalWho requested the job, who approved it and when.
- Energies and locksWho confirmed the lockout of which energy, with which lock number and at what time.
- Work groupsWho joined the lockout and when they finished their work.
- Finishing and unlockingWho finished the work and who unlocked each energy, and who substituted for whom.
- DocumentsCompleted forms for high-risk work that were attached to the record.
It is just as easy to see where the process stood. For a partially locked-out machine, it is clear which energy had been confirmed and which was still outstanding. How a record develops from preparation to archive is described on the digital permit to work page.
ReadGroup lockoutHow can the records be used for prevention?
Short answerBy reviewing completed jobs regularly. The records can reveal recurring gaps in permit preparation, unclear allocation of responsibilities or problems with work handovers.
An incident record helps explain what happened. An audit trail can help earlier, by showing weak points in the process while nothing has happened yet. Its value therefore lies not only in investigations but above all in regular review.
- Permits whose details were repeatedly added or changed only once the job was under way.
- Machines where confirmation of a particular energy is often delayed.
- Frequent substitution, which may point to an unclear allocation of responsibilities.
- Jobs where finishing work across groups drags on significantly.
These are examples of questions worth asking in a review. Which of them matter for your site is for the people responsible for health and safety and maintenance to decide.
Which indicators should be tracked in a review?
Short answerWe recommend tracking permit completeness, discrepancies between the record and the situation on site, substitution, the time needed to find documentation, and events related to energy isolation.
- Completeness of permits and confirmations before the job starts.
- Discrepancies found between the record and the situation on site.
- Number of and reasons for substitutions or exceptional interventions in the process.
- Time needed to find documentation.
- Incidents and near misses related to energy isolation.
These are suggested evaluation indicators, not metrics calculated automatically by the application. Their purpose is to check whether digitalisation improves adherence to the procedure and the quality of information.
When comparing the situation before and after implementation, account for hours worked, the scope of maintenance, changes in technology and the way events are reported. A fall in the number of events does not by itself show which change caused it. How such a review fits into the wider picture is covered on the digital LOTOTO page.
How are completed records kept?
Short answerCompleted records move to the archive. They stay there together with the people, energies, lock numbers, times and attached documents.
A record moves through the statuses In preparation, Requested, Approved, Locked out, Completed and finally Archive. Even in the archive it stays with its documents. If a completed form for work at height, in a confined space or hot work was attached to the lockout, it is found with the same record.
How long records are kept and who can view the archive is determined by your internal rules and applicable regulations. We go through these with you during implementation. Where the system runs and how it is secured is described on the solution page.
What does an audit trail not prove?
Short answerAn audit trail proves who confirmed or changed what in the system, and when. It does not prove the physical state of the machine or that the isolation was effective.
A “locked out” status is a recorded status based on workers’ confirmations. It is not a measurement. The audit trail therefore shows the process as people recorded it. Its value depends on actions being confirmed truthfully and at the time they are actually carried out.
- It does not prove that a lock is physically in place at the isolation point.
- It does not prove that the isolation was effective – that is verified by Tryout on site.
- It does not prove that the isolation procedure was technically correct. The site is responsible for the content of its procedures.
- It is only as accurate as the equipment register and the links to isolation points.
If your work instructions are digital, confirmations of individual steps can make the trail more detailed. Even then, they remain a worker’s record, not proof of the machine’s state.
What does digital LOTOTO not replace?
Frequently asked questions
Does the audit trail show substitution?
Yes. If a substitute performed an action, the record carries a “Substituted by: …” note, so it is clear who actually carried out the task and on whose behalf.
Does the application calculate the evaluation indicators automatically?
No. We present the indicators as a recommendation for evaluating the implementation. The audit trail and archive provide the data; the evaluation itself is carried out by the site.
Are completed forms kept with archived records?
Yes. Completed documents for high-risk work are attached to the lockout record and stay with it in the archive.
Can jobs from before the system was introduced be traced?
The audit trail starts when the system goes into use. Earlier paper records remain in the original filing system.
Next step
How do you trace the course of a job today?
Show us how you currently record lockouts and permits. Together we will work out what information the audit trail at your site should capture.