Maintenance Excellence Matrix

Maintenance Excellence Matrix Assessment Guideline for Fossil Power Plants

Technical Report

Maintenance Excellence Matrix Assessment Guideline for Fossil Power Plants 1004705

Final Report, November 2002

EPRI Project Manager R. Chambers

EPRI • 3412 Hillview Avenue, Palo Alto, California 94304 • PO Box 10412, Palo Alto, California 94303 • USA 800.313.3774 • 650.855.2121 • [email protected] • www.epri.com

DISCLAIMER OF WARRANTIES AND LIMITATION OF LIABILITIES THIS DOCUMENT WAS PREPARED BY THE ORGANIZATION(S) NAMED BELOW AS AN ACCOUNT OF WORK SPONSORED OR COSPONSORED BY THE ELECTRIC POWER RESEARCH INSTITUTE, INC. (EPRI). NEITHER EPRI, ANY MEMBER OF EPRI, ANY COSPONSOR, THE ORGANIZATION(S) BELOW, NOR ANY PERSON ACTING ON BEHALF OF ANY OF THEM: (A) MAKES ANY WARRANTY OR REPRESENTATION WHATSOEVER, EXPRESS OR IMPLIED, (I) WITH RESPECT TO THE USE OF ANY INFORMATION, APPARATUS, METHOD, PROCESS, OR SIMILAR ITEM DISCLOSED IN THIS DOCUMENT, INCLUDING MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE, OR (II) THAT SUCH USE DOES NOT INFRINGE ON OR INTERFERE WITH PRIVATELY OWNED RIGHTS, INCLUDING ANY PARTY'S INTELLECTUAL PROPERTY, OR (III) THAT THIS DOCUMENT IS SUITABLE TO ANY PARTICULAR USER'S CIRCUMSTANCE; OR (B) ASSUMES RESPONSIBILITY FOR ANY DAMAGES OR OTHER LIABILITY WHATSOEVER (INCLUDING ANY CONSEQUENTIAL DAMAGES, EVEN IF EPRI OR ANY EPRI REPRESENTATIVE HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES) RESULTING FROM YOUR SELECTION OR USE OF THIS DOCUMENT OR ANY INFORMATION, APPARATUS, METHOD, PROCESS, OR SIMILAR ITEM DISCLOSED IN THIS DOCUMENT. ORGANIZATION(S) THAT PREPARED THIS DOCUMENT N&T Consulting EPRIsolutions

ORDERING INFORMATION Requests for copies of this report should be directed to EPRI Orders and Conferences, 1355 Willow Way, Suite 278, Concord, CA 94520, (800) 313-3774, press 2 or internally x5379, (925) 609-9169, (925) 609-1310 (fax). Electric Power Research Institute and EPRI are registered service marks of the Electric Power Research Institute, Inc. EPRI. ELECTRIFY THE WORLD is a service mark of the Electric Power Research Institute, Inc. Copyright © 2002 Electric Power Research Institute, Inc. All rights reserved.

CITATIONS This report was prepared by N&T Consulting 861 Prospect Heights Santa Cruz, CA 95065 Principal Investigator M. DeCoster EPRIsolutions 30 Bethel Road Glen Mills, PA 19342 Principal Investigators W. Woyshner R. Colsher Contributors J. Niemkiewicz E. Cherry This report describes research sponsored by EPRI. The report is a corporate document that should be cited in the literature in the following manner: Maintenance Excellence Matrix: Assessment Guideline for Fossil Power Plants, EPRI, Palo Alto, CA, 2002. 1004705.

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REPORT SUMMARY

This Guideline consolidates information from previous EPRI Plant Maintenance Optimization (PMO) Target Guidelines to assist fossil generating stations improve their maintenance processes by presenting all of the activities that contribute to a well organized maintenance program. This information can be used to perform a self-assessment to determine how well the existing maintenance program measures up to ‘Best Practices’ and to determine what needs to be done to achieve ‘World Class Performance.’ Background The business environment that has prevailed in recent years in the power generation industry has made it imperative to improve plant efficiency and availability and to accomplish these improvements with the same or reduced resources. One of the ways that EPRI has helped the member utilities meet this challenge is through improved maintenance technology applications, processes and procedures. This project is part of EPRI’s development efforts under the PMO Target, number 69 in 2002. The PMO mission is to lead the industry by developing and demonstrating products and services that will improve use of power plant maintenance resources and increase profitability for generation businesses. In 2000 EPRI published the Plant Maintenance Optimization Assessment Guidelines, which included much of then available information for assessing and optimizing 19 key maintenance elements. In 2001 the EPRI TEAM target for the Nuclear Generation organizations built on the PMO Assessment Guidelines and added more detail to the definitions, attributes, and processes of self assessment to create the nuclear maintenance self assessment guidelines. This guideline draws from these two key foundation documents to provide the fossil generation organizations a comprehensive tool to perform assessments of maintenance practices at the category, element, and sub-element levels. Objectives To provide utilities a comprehensive self-assessment Guideline on improving maintenance processes in fossil power plants. Approach The project team used information generated by the EPRI PMO target as well as input from nuclear maintenance organizations such as the Institute of Nuclear Power Operations, the NRC, and other industry sources to compile a self-assessment and maintenance optimization Guideline on all aspects of the maintenance process in fossil plants.

v

Results This report provides an effective approach for a utility to assess their maintenance practices, benchmark their performance at the desired level of detail, and graphically depict the results to communicate performance results and facilitate strategic decision making in targeting maintenance improvements. The report also cross-references specific maintenance elements to the EPRI library of technical reports to help EPRI members find information relevant to targeted improvement areas. EPRI Perspective The preparation of reliable maintenance improvement information represents a significant advantage in the competitive market. Utilities that have implemented EPRI-developed maintenance hardware tools and condition monitoring and predictive maintenance programs have realized substantial benefits as a result. However, the goals leading to maintenance optimization and improved maintenance effectiveness have not been met in all cases. This Self-assessment Guideline will contribute substantially to the identification of the areas that need improvement to achieve ‘World Class Performance’ goals. The included tools and references to the EPRI PMO target legacy reports can also be used as part of continuous improvement efforts that are needed to maintain future competitiveness. Along with the parallel efforts of the EPRI Nuclear TEAM target, the ongoing work of producing and enhancing this Guideline is providing the basis for the development of a web-based tool to help utility personnel perform comprehensive maintenance self-assessments, benchmarking, and/or targeted subelement assessments and benchmarking. Keywords Maintenance Assessment Optimization Fossil

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ABSTRACT Plant maintenance benefits significantly from periodic improvement reviews. This Plant Maintenance Optimization (PMO) Maintenance Excellence Matrix contains information to assist generating stations develop continuous improvement maintenance programs, to ensure that plants are operating safely and efficiently, and to utilize the best maintenance processes and technologies. These reviews can be self-assessments or can be performed by EPRI or industry experts, along with plant personnel. The self-assessment process consists of reviewing plant documents, maintenance process, and conducting interviews to determine the current maintenance status. The current status is then compared with industry ‘Best Practices.’ These comparisons identify areas that need improvement. ‘Best Practices’ covers all aspects of maintenance including maintenance processes, technologies including automation, the management approach, work culture, and people skills and human performance. These aspects are organized into four major Categories that are then divided into nineteen Elements and 103 Sub-elements with definitions for each Category, Element, and Sub-element. Attributes have been determined and criteria have been established for each Sub-element. It is these Attributes that are compared with current plant practices to determine specific areas for improvement. This Guideline thus provides information on how to set up a comprehensive and detailed maintenance self-assessment program. It also supports development of an effective strategic Plant Maintenance Optimization initiative.

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CONTENTS

1 INTRODUCTION ....................................................................................................................1-1 Background ...........................................................................................................................1-1 Need for Guidelines Document .............................................................................................1-2 EPRI Credentials for Developing PMO Self-Assessment Guidelines ...................................1-3 Expected Benefits of the Consolidated PMO Guidelines ......................................................1-4 Document Approach..............................................................................................................1-4 2 PLANT MAINTENANCE EFFECTIVENESS — (BEST PRACTICES)...................................2-1 Management and Work Culture ............................................................................................2-3 Maintenance Processes ........................................................................................................2-6 People Skills/Human Resources ...........................................................................................2-8 Technologies .........................................................................................................................2-9 3 SELF-ASSESSMENT APPROACH .......................................................................................3-1 Management Support............................................................................................................3-3 Self-Assessing Goals ............................................................................................................3-3 Objectives of the Assessment ...............................................................................................3-4 Assembling the Self-Assessment Team................................................................................3-5 Training of the Self-Assessment Team ............................................................................3-6 Gathering Data ......................................................................................................................3-7 Interview Process ..................................................................................................................3-9 Focused Assessments ..........................................................................................................3-9 Workshop Style Guided Self-Assessments.........................................................................3-10 One-day Workshop Style Assessment – Specific Sub-element .....................................3-10 Maintenance Optimization Workshop to Develop a Self-Evaluation Maintenance Matrix..............................................................................................................................3-15

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4 GAP ANALYSIS .....................................................................................................................4-1 5 IMPROVEMENT PROCESS...................................................................................................5-1 6 REFERENCES .......................................................................................................................6-1 A MANAGEMENT AND WORK CULTURE ............................................................................. A-1 B MAINTENANCE PROCESSES ............................................................................................ B-1 C PEOPLE SKILLS AND HUMAN RESOURCES ................................................................... C-1 D TECHNOLOGIES.................................................................................................................. D-1

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LIST OF FIGURES Figure 2-1 Maintenance Excellence Matrix ................................................................................2-2 Figure 2-2 Category to Element to Sub-element and Attributes ................................................2-3 Figure 2-3 Management and Work Culture................................................................................2-5 Figure 2-4 Maintenance Process Flow ......................................................................................2-7 Figure 2-5 Maintenance Process Matrix ....................................................................................2-8 Figure 2-6 People Skills/Human Resources Matrix ...................................................................2-8 Figure 2-7 Technologies Matrix .................................................................................................2-9 Figure 3-1 PdM Related Sub-Elements Evaluated ..................................................................3-11 Figure 3-2 Example of PdM Program Assessment (Spider Chart Evaluation).........................3-13 Figure 3-3 Example of Composite Diagram (Spider Chart) .....................................................3-15 Figure 3-4 Example of Maintenance Excellence Matrix ...........................................................3-17 Figure 4-1 Gap Analysis Matrix..................................................................................................4-2 Figure 4-2 Example of Matrix Analysis ......................................................................................4-4 Figure 6-1 EPRI PMO Target TR1000321 – Plant Maintenance Optimization Assessment Guideline, December 2000 ............................................................................6-9 Figure 6-2 EPRI TR 108937 Value Based Maintenance Grid..................................................6-10 Figure 6-3 EPRI TR 109734 Maintenance Work Management Improvement .........................6-11 Figure 6-4 EPRI TR 114002 Guide for Building a High Performance Generating Plant ..........6-12 Figure 6-5 EPRI TR 110272 CMMS and Maintenance Work Process Integration Guide ........6-13 Figure 6-6 EPRI TR 1004015 Guideline on Proactive Maintenance........................................6-14 Figure 6-7 EPRI TR 107759 Assessing Maintenance Effectiveness (Nuclear, NMAC)...........6-15 Figure 6-8 Utility Maintenance Documents ..............................................................................6-16 Figure 6-9 INPO 97-013: Guidelines for the Conduct of Maintenance at Nuclear Stations, December 1997................................................................................................................6-17 Figure 6-10 INPO Excellence in Human Performance ............................................................6-18

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LIST OF TABLES Table 3-1 Potential Objectives ...................................................................................................3-5 Table 3-2 Potential Interviewees for Maintenance Assessment ................................................3-9 Table 3-3 Example of One-Day Workshop Agenda.................................................................3-12 Table 3-4 Prioritized Issue List.................................................................................................3-14 Table 3-5 Prioritization Maintenance Issues List .....................................................................3-16 Table 6-1 Plant Maintenance Optimization Target, Publication List (July 2002)........................6-2

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1 INTRODUCTION

Background EPRI has been working with the utility industry for a number of years in the development and implementation of advanced maintenance processes and technologies; and, has also been working with the participating utilities in the assessment of their current maintenance program. These efforts included developing the means to assess the progress of key aspects of the maintenance program to determine their status compared to the highest industry standards. The focus of all of these activities has been to improve maintenance effectiveness. This Consolidated Plant Maintenance Optimization (PMO) Guideline captures the EPRI Fossil and Nuclear experiences. In addition to EPRI’s expertise and experience, EPRI realizes that there are other organizations that have similar expertise and experience. Therefore, this document also captures the experience of other industry organizations, INPO, NRC, NEI, and utility expertise. The comprehensive information gathered to date has been organized within this report through the ‘Maintenance Excellence Matrix’, which identifies and defines all categories, elements, and sub-elements of maintenance to allow the EPRI members to effectively assess maintenance and strategically and effectively target needed improvement areas as well as track progress and performance. In addition to the extensive work performed through the EPRI PMO target over the past decade, the Nuclear organizations have done extensive work in parallel efforts regarding maintenance assessment, performance monitoring and maintenance optimization. The knowledge and lessons learned are extensive however until this consolidated guideline development there has been no easy means for a fossil generating organization to integrate the best of all of these industry initiatives into a single comprehensive approach that allows for benchmarking, comparison and targeted maintenance improvement. The Institute of Nuclear Power Operations (INPO) provides assistance to utilities in both maintenance and equipment reliability areas; and, this support has been captured in the principles utilized in these documents. INPO’s ‘Excellence in Human Performance’ (Section 6, reference. 1) and INPO 97-013-‘Guidelines for the Conduct of Maintenance at Nuclear Stations,’ December 1997 (Section 6, reference 2) are just two examples of INPO’s input into the maintenance philosophy of nuclear utilities.

Utility insurers reinforce the importance of good maintenance programs through credits available to plants that substantially reduce insurance premiums based on the presence of specific maintenance program elements applied to critical components and systems at the plant. Section 6 contains the references and the illustrations on how this information was utilized. 1-1

Introduction

This Consolidated PMO and Self-Assessment Guideline contains all aspects of a utility’s maintenance program, consisting of: •

The Management Team’s support of the program and the Work Culture promoted within the organization

•

The Maintenance Process

•

The Maintenance Staff and Craft’s utilization and skills, including the human performance of the staff and Craft

•

The Technologies which are necessary to assure an efficient use of the processes and to determine the condition of the equipment

These comprise the four major categories of Maintenance. This Guideline is intended for use by the utility to assist them in conducting a self-evaluation of their maintenance program and subsequently more effectively developing a strategy targeting improvements. However, if the utility wants support from subject matter experts, this document could be used by a contractor or by EPRI service support personnel to facilitate the assessment process. As a result of these efforts, this Guideline was prepared to present a process that can be applied when performing Self-Assessments and developing improvement plans that will make the plant’s maintenance practices even more effective.

Need for Guidelines Document There is a continuing need for fossil utilities to perform Self-Assessments of their maintenance programs to: 1) help them improve the maintenance process; 2) establish a work culture that promotes a learning environment; and, 3) update the plant’s latest technologies. In order for the utility to learn from other plants within the utility, it is to the utility’s benefit if the SelfAssessment process methodology is consistent, effective, and efficient. This document is intended to satisfy these needs. The need for maintenance Self-Assessment is based upon improving maintenance effectiveness, which will contribute to: •

Improved safety

•

Support the resolution of any environmental issues

•

Minimize unplanned capacity loss

•

The prevention of significant equipment failures

•

The reduction of the cost of maintenance

•

The incorporation of new technologies and advanced maintenance processes

•

The management of the risk associated with maintenance activities

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Introduction

•

Improve human performance

•

Improved maintenance work culture that supports continuous improvement

The need for this PMO Guideline is based on the complexity of all the aspects of a maintenance program. This Guideline will assist the member utility with breaking maintenance down into its logical and manageable elements and sub-elements through the guidance of the Maintenance Excellence Matrix. The Self-Assessment process will clearly show where improvements can be made and how to move the organization towards ‘Best Practices’ levels. This maintenance self-improvement process and this guideline will contribute to: •

An increase awareness of how current practices in the plant rank with the industry

•

Providing complete details of the issues associated with each aspect of maintenance to ensure that key issues are not omitted

•

The effective development of targeted maintenance improvement strategies

•

The effective utilization of the library of EPRI PMO documents for targeted improvement initiatives

EPRI Credentials for Developing PMO Self-Assessment Guidelines EPRI has been an industry leader in research, development, and application of Maintenance Optimization technologies and strategies for many years. Much of this work has been performed through the EPRI Fossil PMO Target, and the EPRI Maintenance and Diagnostic Center (M&DC), with contributions also from EPRI TEAM, and EPRI FMAC and NMAC. The EPRI Fossil PMO target has developed numerous documents and studies directed towards improving maintenance practices: More than 100 legacy documents have been reviewed for incorporating the knowledge contained into this consolidated Guideline (refer to Section 6, PMO target report cross-reference table). The EPRI PMO Fossil Target has been active in the maintenance arena for several years. Numerous documents exist to support utility maintenance assessment and improvement activities. These documents are each referenced in the PMO target report cross-reference table (refer to Section 6). The PMO Assessment Guideline was used as a starting point for this document. In Addition the EPRI FMAC and NMAC have also developed several maintenance application documents: specifically Improving Maintenance Effectiveness (Section 6, reference 5); and, Assessing Maintenance Effectiveness (Section 6, reference 7). Because of these efforts and experiences, EPRI has been able to compile this document in such a concise way that utilities have a comprehensive process that can help them in the assessment of their maintenance program.

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Introduction

Expected Benefits of the Consolidated PMO Guidelines The Self-Assessment approach examines the existing maintenance practices and its interfaces with other plant programs and processes, to determine whether the ingredients necessary to achieve optimum effectiveness are in place. The effectiveness of the program will be determined by comparing the results to the observed industry ‘Best Practices.’ Recommendations for improvements will be identified to ensure that the program under review is on the path to ‘Bestin-Class’ performance. EPRI member value obtained from the legacy of EPRI maintenance optimization-related reports will be significantly increased. This Guideline also assembles all of the key aspects of a complete maintenance program and illustrates through the ‘Maintenance Spider Chart’ and the ‘Maintenance Excellence Matrix’ how they are related. In many cases, elements of the maintenance programs are scattered throughout the utility’s organization. In addition, the plant’s assessment and improvement processes are often focused on one or more of the elements, and usually not on the maintenance process as a whole. Benefits to be expected from the use of this Guideline are based on EPRI’s, the power industry’s, and other commercial industry’s experiences and include: •

Improved awareness and support for safety and environmental goals

•

Improved plant reliability and capacity (MW output), or maintain existing levels for those plants that have achieved their desired goals

•

Comparison of the existing plant maintenance program and its effectiveness with industry norms and ‘Best Practices’

•

Trending of the maintenance effectiveness over time

•

Recommendations for improving the effectiveness

•

Insights to management on ways to enhance the maintenance process

•

Improved plant personnel awareness of their role in maintenance effectiveness and provide a ‘road-map’ that will help to better understand what is needed for improvement

Document Approach This document is divided into the following five Sections. •

Section 1 covers the background, the need for the document, credentials of those compiling the document and the expected benefits of utilizing the document.

•

Section 2 provides the details of all key aspects of maintenance optimization, which is divided into Categories, Elements, Sub-elements, and Attributes. These key aspects if they are fully incorporated in the utility’s maintenance program; would represent ‘best practices’. This Section also specifically defines the categories, elements, and sub-elements of maintenance and illustrates how they are linked.

1-4

Introduction

•

Section 3 presents a description of various self-assessment process options and how to utilize the excellence matrix.

•

Section 4 provides a method (Gap Analysis) of evaluating the results of the assessment with the ‘Best Practices’ to determine the areas the need improvement.

•

Section 5 utilizes the results of the ‘Gap Analysis’ to provide an improvement process.

•

Section 6 contains references that EPRI used in the preparation of this document and a table of all appropriate EPRI PMO Target reports. This table can help the user with the specific use of the references for assisting with the improvement initiatives.

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2 PLANT MAINTENANCE EFFECTIVENESS — (BEST PRACTICES)

Before a utility’s maintenance program can be assessed it is important to understand what comprises an optimum or effective program, and to establish a set of attributes that are adjusted based on the importance to the specific sub element (Attribute Weighting Factors) that will provide a description of the specifics of this ‘Best Practices’ program. There are many ingredients in an effective maintenance program; therefore, there are many areas to address when evaluating the progress. These ingredients are divided into four major categories, which are: •

Management and Work Culture

•

Maintenance Processes

•

People Skills/Human Resource

•

Technologies.

These major categories are divided into related key elements, and then each element is again divided into sub-elements. For the sub-element, attributes have been developed that will be utilized to rank the elements. If each attribute is adhered to then the sub-element has achieved ‘Best Practice.’ Each attribute (for elements in the Maintenance Process Category) has been assigned a Recommended Nominal Weighting Factor (RNWF) based on EPRI experience for the impact of the specific attribute to the overall score (performance rating) of a particular sub-element. In order to present these critical items in a logical and intelligible manner, EPRI has prepared the Maintenance Excellence Matrix shown in Figure 2-1. It is important to point out that to fully utilize this Matrix it is necessary to establish ownership for each Category, Element, and Sub-element. One person can have ownership of more than one element and/or sub-element. It is not important to have separate owners for each area; however, it is important to have ownership established for all boxes on the Matrix. In addition, it is essential that these owners need to have a clear understanding of their particular areas on the Matrix.

2-1

Plant Maintenance Effectiveness — (Best Practices)

Category

1.0 Management & Work Culture

2.0 Maintenance Processes

3.0 People Skills/ Human Resources

4.0 Technologies

Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

N/A

Leadership

Direction

Policies & Processes

Discipline

Empowermt

Motivation

N/A

N/A

N/A

N/A

Communication

Ops,Maint, Eng

Mangers to Workforce

Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

N/A

Metrics

Overall Goals

Maintenance Dept. Goals

Plant Goals

Customer Satisfaction

N/A

N/A

N/A

N/A

N/A

Accountability/ Ownership

Personnel Performance

Bus. Plan Adherence

System/ Comp Own

Craft Owership

N/A

N/A

N/A

N/A

N/A

N/A

Empl Ideas Solicited

Team Prob Solving

Continuous Improvement

Self-Assessment

Change Mgmt Prog.

Process Improvement

Use of OE

CAP Program

R&D Activities

Work Identification

Work ID Procedures

Maintenance Basis

Corrective Maintenance

Preventive Maintenance

Predictive Maintenance

Proactive Maintenance

Work Order Generation

N/A

N/A

Work Control

Work Mangement Process & Procedures

Outage Mgmt Process & Procedures

Prioritize Work

Risk Assessment

Stores/Inv. Management

Planning

Scheduling

Contract Mngmt

N/A

Work Execution

Work Exec Procedures

Equip Clearance & Tagging

Tools/Mat. Control/Staging

Pre-Job Briefs

Perform Maint. Tasks

Work Quality

Safety

N/A

N/A

Work Closeout

Work Close Procedures

Post Maint Testing

Post Job Critique

Data Capture & Utilization

House Keeping

Return Equip to service

N/A

N/A

N/A

Training

Processes & Policies

Personnel Skills Dvlpmnt

Plant Systems

Mgmt /Spvr. development

Business Literacy

Contractor Training

N/A

Specialty Training

Training Facilities

Utilization

Mgmt/Union Interaction

Multi - Discipline

Mbl/Shared Workforce

Productivity / Metrics

N/A

N/A

N/A

N/A

N/A

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check

CAP Prog Utilization

Conflict Resolution

N/A

N/A

N/A

Contractor Quals

Qual Tracking Program

Succession Planning

N/A

N/A

N/A

Qualifications

Personnel Selection

Qualification Process

Re-Qualification Process

Maintenance Management System

CMMS

Risk Assmnt Tools

Scheduling Tools

Reporting & Decision

N/A

N/A

N/A

N/A

N/A

Maintenance & Diagnostic Technology

Execution Tools

Cond Mon. On-line

Cond. Mon. Periodic

Technology Software

Process Data Utilization

Equip Perf Mon. Tools

N/A

N/A

N/A

Information Integration System

Financial

Budget & Schedule

Equipment Condition Data

Dispatch System

Industry Database

Equip Tech. Documents

N/A

N/A

N/A

Figure 2-1 Maintenance Excellence Matrix

2-2

Sub-Element

Element Benchmarking


The Matrix represents all aspects of maintenance from the manager’s responsibilities, to the maintenance processes, to human resources, and to the technologies needed for the maintenance program. It is important to notice how the Categories are linked to the Elements, and then further linked to the Sub-elements. Also, behind each sub-element are the attributes that describe the ‘Best Practice’. Figure 2-2 illustrates these hierarchal relationships.

Category

Element Element

Element

Sub-element

Sub-element

Element

Sub-element

Sub-element

1. Attribute

1. Attribute

1. Attribute

1. Attribute

2. Attribute

2. Attribute

2. Attribute

2. Attribute

3. Attribute

3. Attribute

3. Attribute

3. Attribute

4. ------

4. ------

4. ------

4. ------

5. ------

5. ------

5. ------

5. ------

Figure 2-2 Category to Element to Sub-element and Attributes

The following is a general description and an example of the content of the Matrix. For details of the Matrix refer to Appendices A through D, which presents definitions for the Categories, Elements, Sub-elements, and the Attributes needed to define ‘Best Practices.’ This Maintenance Excellence Matrix is in a state of development, and additional definitions and attributes will be added in time. The attributes indicate best practices and are in the form of statements. If the organization were to score the proficiency or applicability of each attribute on a scale of one to ten then an overall score can be obtained for the sub-element by averaging the scores of each attribute. Each attribute has been stated in a manner to easily allow for the creation of a direct question (one per attribute) for use in the assessment process.

Management and Work Culture For maintenance to be successful at a plant it requires good management and an organizational structure that incorporates good communications and decision-making based on integrated information. A work culture that is receptive to new work ideas is needed. Management needs to set forth in a business plan, the goals, the objectives, and the expectations. All participants in the 2-3


maintenance program of the plant must have a clear understanding of their roles and responsibilities and must be held accountable. Elements of this Category include Benchmarking, Goals/Business Plan, Organization, Leadership, Communication, Metrics, Accountability/Ownership, and Continuous Improvement. This portion of the Matrix (Figure 2-3) shows the Management and Work Culture Category with its Elements and Sub-elements, and how they inter-relate. The Leadership Element, for instance, is designed to include Direction, Policies and Processes, Discipline, and others.

2-4


Category


Element

Sub-Element

Benchmarking

Within Industry

Outside Industry

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

Communication

Ops,Maint, Eng


Workforce to Mgmt

Metrics

Overall Goals





Self-Assessment

Peer Group Meetings Wrkr - Wrkr Comm.

N/A

Plant Goals


N/A

N/A

Bus. Plan Adherence

System/ Comp Own

Craft Owership

N/A

N/A

Change Mgmt Prog

Process Improvement

Use of OE

CAP Program

R&D Activities

Attributes

Figure 2-3 Management and Work Culture

2-5


As an example to determine the Best Practices for the Elements and Sub-elements of Category Management and Work Culture, the Element ‘Leadership’ was selected, as highlighted in Figure 2-3. Then Sub-element ‘Direction’ was selected and the arrow points to its Attributes which are listed below. The Attributes for the Sub-element ‘Direction’ are: A1

A clear and distinct set of high level maintenance policies is established

A2

A documented set of maintenance process descriptions for major maintenance processes is established including: work identification and work management which includes work control (planning and scheduling), work execution, and work closeout

A3

A set of values and expected behaviors for the maintenance organization has been jointly established among the leadership, maintenance management and workers

A4

Specific written procedures for administrative maintenance functions and maintenance sub-processes are available

A5

The organization's goals and business plan are provided to maintenance management and supervisors with clear expectations of what is to be done

A6

A clear set of maintenance task definitions exists

A7

Management communicates individual roles, responsibilities, expected behaviors, results, and standards in clear, unmistakable terms

The effectiveness of this Sub-element would be based on how well the organization is incorporating these Attributes. If all of the attributes are an integral part of the ‘Direction’ Subelement of the Plant then ‘Best Practices’ would be achieved. The ‘Best Practices’ for the Element of ‘Leadership’ would be achieved by how well the Attributes are being effectively used by each Sub-element (Polices and Processes, Discipline, Empowerment, and Motivation). This same approach would apply for ‘Best Practices’ for the Category of ‘Management and Work Culture’ by reviewing each of its eight Elements. Appendix A contains the definition of all of the Elements and Sub-elements for Management and Work Culture. The Attributes for each Sub-element are also included.

Maintenance Processes The maintenance process category includes how work is identified, the work control process, how the work is executed, and the Work Closeout process. These maintenance processes are illustrated in Figure 2-4. 2-6


Identifying the Right Work PM Scheduled, Preventive

CM Equipment Failure

Maintenance Basis ID of Maintenance Task Type

PdM Condition Directed

Accomplishing the Work Work Control

Work Execution

Work Close-out

PAM Root Cause

Figure 2-4 Maintenance Process Flow

The Work Identification Element, for example, includes the development and management of the Maintenance Basis through some form of Reliability-Centered Maintenance (RCM) analysis. This determines the best mix of preventive (time-based) maintenance, condition monitoring tasks, and the tasks recommended by proactive (projects, corrective action process, root cause analysis efforts) maintenance. Proactive Maintenance (PAM) is designed to eliminate tasks. Also, work identification determines what non-critical equipment can be allowed to run-tofailure, as a failure of non-critical equipment does not present a safety, environmental, or reliability concern. The most cost-effective strategy for this type of equipment is to be reactive (when it fails, fix it). The Work Control Element, for example, includes the daily and outage work process procedures, prioritizing, planning, and scheduling. Work Execution Element defines how maintenance is carried out including: tools/materials, prejob briefings, work quality, and work safety issues. The Work Closeout Element includes postmaintenance testing, post job critiquing, data, ‘as found’ and ‘as left’ documents, and housekeeping activities, to mention a few. Figure 2-5 illustrates all of the Elements and Sub-elements for this Category. Appendix B provides detailed descriptions of all of the Elements and Sub-elements, as well as the Attributes for each of the Sub-elements for Maintenance Process flow.

2-7


Category


Element

Sub-Element

Work Identification

Work ID Procedures

Maintenance Basis

Work Control

Work Mangement Process & Procedures


Work Execution


Work Closeout


Corrective Maintenance

Preventive Maintenance

Predictive Maintenance

Proactive Maintenance


N/A

N/A

Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt.

N/A



Pre-Job Briefs

Perform Maint. Tasks

Work Quality

Safety

N/A

N/A

Post Maint Testing

Post Job Critique


House Keeping


N/A

N/A

N/A

Figure 2-5 Maintenance Process Matrix

People Skills/Human Resources Figure 2-6 illustrates the Element and Sub-elements for this Category. This Category addresses Training, Utilization, Human Performance, and Qualifications. It covers all maintenance-related training including: classroom, On-the-Job, safety, technical, and programmatic training. Utilization investigates productivity, union-management relationship, multi-disciplined and shared work forces. Human performance covers such Sub-elements as self and peer checks, personnel behaviors and values, procedure use, and conflict resolution. INPO’s ‘Excellence In Human Performance’ (Sec. 6, ref. 1) was especially helpful in developing these Attributes. Also included as part of this Category are Qualifications, which examines the qualification and requalification programs. Plant personnel and contractors need to be part of this process.

Category


Sub-Element

Element Training



Plant Systems

Mgmt /Spvr development

Business Literacy

Contractor Training

Specialty Training

Training Facilities

Utilization


Multi - Discipline



N/A

N/A

N/A

N/A

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A



Contractor Quals


Succession Planning

N/A

N/A

Qualifications

Personnel Selection

Figure 2-6 People Skills/Human Resources Matrix

Appendix C contains detailed descriptions of this portion of the Matrix and the Attributes of each of the Sub-elements of People Skills and Human Resources.

2-8


Technologies This Category covers the use of technology including: the maintenance management software, condition monitoring technologies, and automation and reporting tools, as shown in Figure 2-7. As an example, this figure shows the Maintenance Management System element and its Subelements including: the Computerized Maintenance Management System (CMMS), Risk Management Tools, Tools for Scheduling, Reporting and the Decision-making processes. Category

4.0 Technologies

Element

Sub-Element


CMMS

Risk Assmnt Tools

Scheduling Tools


N/A

N/A

N/A

N/A

N/A

Maintenance & Diagnostic Technology

Execution Tools

Cond Mon. On-line

Cond. Mon. Periodic

Technology Software



N/A

N/A

N/A


Financial

Budget & Schedule

Equipment Condition Data

Dispatch System

Industry db (EPIX)


N/A

N/A

N/A

Figure 2-7 Technologies Matrix

Appendix D contains definitions of the Elements, Sub-elements, and the Attributes for each of the Sub-elements in the Technologies Category.

2-9

3 SELF-ASSESSMENT APPROACH

For fossil plant applications, the Assessment is structured around the Categories, Elements, and Sub-elements as illustrated previously in Figure 2-1. These areas have been found to completely and effectively address the entire scope of the maintenance program. Furthermore, they are consistent with the areas identified by the industry. This Assessment Approach is designed to support either a one-time focused maintenance assessment, or a program of continued periodically focused self-assessments. One-time focused self-assessment activities may be triggered by: •

Declining trends in performance data, or problems tracked in the corrective action process

•

Plant events triggered by equipment failures

•

Either indication of process inefficiencies manifested by work control issues or equipment problems

•

Input from ongoing self-assessment activities or from internal or external oversight groups (introduces the Maintenance Excellence Matrix for use)

•

Benchmarking activities revealing potential performance improvement opportunities that warrant a focused review

•

Impending inspections or assist visits. In general, the maintenance program is not used to satisfy regulatory driven requirements. However, increased emphasis on integrated maintenance activities and the equipment reliability process may indicate a need to assess the effectiveness of the maintenance program

•

Significant change initiatives for which an early progress check is needed. Significant changes to the maintenance program will necessitate examination of the change impact. Early examination allows adjustments to be made where necessary

•

Recent resolution of industry issues. Increased emphasis may be placed on the maintenance program because of issues involving equipment problems

Periodic Self-assessments of the maintenance process may be a normal part of the plant continuous improvement effort; that is, they are not necessarily triggered by any event or a particular concern. The Assessment approach employs a Team of subject matter and plant process experts to perform an evaluation of the maintenance program and its interfaces with other plant programs and processes. The Team can come entirely from the plant performing the Assessment or the plant Team can be supported by one or more outside experts, peers, or facilitators who understand the plant programs and processes. 3-1

Self-Assessment Approach

The Self-Assessment process starts with obtaining management sponsorship and developing specific goals and objectives desired from the Assessment. This is required because plant resources will be utilized and it is essential for the plant staff to realize that this effort is important, and that management is behind it 100 percent. Management sponsorship includes oversight, as well as providing financial, material, and staff resources. Once sponsorship is obtained and objectives set, the next step is to form the Team. The roles and responsibilities of the Team members need to be defined. Members need to know how they are to be integrated in the assessment process that is to be used to evaluate current maintenance conditions at the plant; and, how to compare existing practices with the industry ‘Best Practices’ to determine areas of improvement. Team members are trained in the Assessment Process and in the use of the Maintenance Excellence Matrix and the associated Attributes. The Team determines what to examine, who to interview, and how to collect the needed information. The next step is for the Assessment Team to gather and review plant documents, performance indicators, operating histories, and maintenance histories. This step will help the Team have an even better understanding of the status of the plant maintenance procedures and processes. Following the plant information review, interviews are conducted and documented. It is important to interview a broad cross-section of the plant staff. These interviews are typically one-on-one. These interviews utilize the Attributes for each of the Sub-elements (Appendices A through D) as the basis of the interview questions. The Team documents the findings from the interview process A Gap Analysis, which compares the results of the document review and personnel interviews with industry ‘Best Practices’, is then conducted to quantify areas that need improvement and those areas that are acceptable. The Gap Analysis results are then reviewed with plant personnel to clarify the findings. Results of the Assessment are documented in a report and presented to the plant management. The Gap Analysis is discussed in more detail in Section 4. The last step of the Assessment is to develop and implement an Improvement Process Plan (Section 5). In summary, the specific steps of the self-assessment approach are the following: •

Obtain management sponsorship

•

Establish goals for the Assessment

•

Prepare Assessment objectives

•

Form an Assessment Team

•

Train the Team

•

Obtain plant data

•

Conduct interviews

3-2


•

Conduct a Gap Analysis

•

Develop an Improvement Process

Management Support Before undertaking another initiative, it is important that management sponsorship and support is obtained. Management must be very clear on the magnitude of what the organization is planning to undertake through the assessment process; and, further, what they hope to accomplish. Management is asking the staff to invest significant effort into this assessment process. The staff must believe that the potential outcome is worth the effort, that there is benefit to the individual that there is benefit to the utility, and that management is wholly committed to providing the resources that are necessary to make the process successful. Therefore, Management needs to convey their expectations. These expectations should clearly define exactly what Management expects from the assessment. These expectations should be conveyed to not only the Assessment Team, but to the rest of the organization.

Self-Assessing Goals To support Management’s expectations, goals should be developed that provide alignment with the plant and corporate goals. This alignment allows Management to review progress. Goals should be very specific. The goals should be designed so that performance is easily measurable. Goals should also be designed such that they are realistic, achievable, measurable, and can be accomplished in a reasonable time frame. Areas where goals can be developed include: Corporate •

Enhance safety issues

•

Meet environmental requirements

•

Customer satisfaction

•

Provide uninterrupted/reliable service while controlling cost

•

Improve the competitive position

•

Reduce capital costs

Maintenance Organization •

Minimize O&M costs

•

Maximize reliability/availability

•

Extend equipment life

•

Extend time between planned outages 3-3


•

Enhance safety throughout all areas

Objectives of the Assessment The objective of the Assessment needs to address the overall goals and objectives of the maintenance program that have been captured in the business plan or maintenance strategy documentation. The importance of clearly and completely identifying Maintenance Process objectives and Assessment objectives cannot be overemphasized. Plants may find that additional or other factors may need to be considered. Having realistic objectives, and designing the Self-Assessment to achieve these objectives, is the single most important element contributing to success. The objectives of a Self-Assessment program are not only to establish the current constitution and effectiveness of the maintenance process, but to also promote continuous improvement. Table 3-1 is a list of potential self-assessment objectives. After determining the maintenance objectives and Assessment objectives to be addressed by the Assessment, these objectives are communicated to the sponsoring management and key participants of the maintenance program and processes for their comments and support. The final set of maintenance objectives and assessment objectives should be communicated in writing to Management and the staff. This concurrence step is important at this point in the Assessment process, because all of the subsequent steps will be directed toward assessing the program with respect to these stated objectives

3-4

Self-Assessment Approach Table 3-1 Potential Objectives Cost •

Reduce overall maintenance costs

•

Reduce scope addition to scheduled outages

•

Eliminate unplanned outages due to equipment failure

•

Optimize spare parts inventory

Reliability •

Prevent critical equipment failures

•

Improve equipment performance

•

Reduce number of unplanned load reductions

•

Detect and prevent aging-related failures

Availability •

Reduce unavailability of equipment due to failure

•

Maximize unit availability

•

Shorten outage duration

Infrastructure •

Support re-engineering or re-organizational changes

•

Accommodate staff turnover and loss of experience personnel

•

Achieve consistency among sister plants or within a company

•

Increase lead time for workweek and outage planning

Assembling the Self-Assessment Team The Self-Assessment Team should be composed of plant personnel and, if desired, independent professionals including peers or industry experts. Team members should be chosen based on participation in the existing Maintenance Program, those who derive or desire benefit from the process, and those who ultimately manage and/or fund the process. A key plant system engineer or component engineer who uses and supports maintenance technology is a good assessor. Operations staff, Maintenance supervisors, work control, and Outage Management personnel, and Corporate Management including General Office engineering staff should be considered. When selecting people it is important to get the best mix of experience and technical knowledge. Independent experts and facilitators should be chosen based on their knowledge of the subject matter and industry experience. An ideal size for the Maintenance Assessment Team is six to eight persons. This size enables the use of three to four interview groups of two persons each. Experience has shown that one interviewer and less than three interview groups have several disadvantages: •

The process drags on and looses enthusiasm and efficiency 3-5


•

It is difficult to capture all the necessary experience and expertise with only one interviewer

•

The Team can develop biases and false conclusions that can be challenged in debrief meetings with another set of reviewers

Experience has also shown that larger interview groups can be inefficient and intimidating to interviewees. If larger interview groups are used, the interviews should be structured so that one reviewer directs the interview. The other reviewers should have clearly defined areas or specific questions determined in advance. Spontaneous questions or comments in the interviews should be channeled through the lead reviewer. Also, someone other than the lead interviewer should keep notes. Larger interview groups, or more Team members, might be desirable under some circumstances, such as: •

Other sites or units send Team representatives so they can use the Assessment as a benchmark for their programs

•

Other sites or units send Team representatives so they can perform a similar, consistent Assessment at their location

•

Other sites or units send Team representatives because a stated objective of the Assessment is to achieve corporate consistency among plants

Training of the Self-Assessment Team Whichever schedule or variation thereof is used, training of the Assessment Team is an important step. Until now, the Team is a group of individuals selected for their individual expertise. The first objective of the training is to integrate the group into a Team. Achieving this coherency requires that each person understand the objectives of the Assessment that was carefully developed and communicated to Management. These objectives define their mission. It is important to provide background and perspective about maintenance in the power generation industry, pointing out the increased emphasis that is placed on maintenance improvement by Management, Operations, Maintenance, and Regulators. The maintenance scope and what leads to ‘Best Practices’ (Section 2 and Appendices A through D) will have to be understood by the Assessment Team. It is then necessary to provide an overview of the scope of the Maintenance Assessment. The scope involves interfaces with the plant work process, organization, and plant culture, communications, and information management. Team training is best accomplished by providing an overview of the categories and elements that will form the backbone of the Assessment. Next, a detailed review of the assessment steps is provided to the Assessment Team. It is important to review each of the following steps: •

Examination of plant information for reference and review

•

Performing plant interviews

3-6


•

Compiling ‘as is’ condition of the maintenance program

•

Evaluation of the plant relative to industry ‘Best Practices’

•

Development of recommended actions

•

Prioritization of recommendations

•

Assembly of results for presentation to Management

•

Prepare a report with the Assessment findings and proposed Improvement Process Plan

Gathering Data The following is a list of plant data that should be reviewed by the Team before the interview process. Candidate plant data should include: 1. Plant data such as: •

Plant history (i.e. in-service dates, major design changes, etc.)

•

Number of units

•

Design megawatt output per unit

•

Rated megawatt output per unit

•

Type of units

•

List of major equipment with some detailed descriptions

2. Plant Organization Chart •

Specifics on Maintenance/Operation/Technical/Engineering Staff

•

Total number of plant employees and the number of department/section

3. Operating history •

Each unit’s forced outage rate percentages for the last 3 years

•

Each unit’s availability factor for the last 3 years

•

Each unit’s capacity factor for the last 3 years

•

List of equipment causing reliability, or forced outages issues for the last 3 years

4. Financial •

Plant and/or unit operating and maintenance budgets over the last 3 years

•

Typical maintenance person’s burdened hourly cost

•

Description of any major capital expenditure projects

•

Replacement power costs

3-7


5. Goals •

List of specific plant/corporate goals such as: –

O&M budget reduction

–

Reliability, capacity factor

–

Safety

–

Environmental

6. Work process •

Provide the procedures and/or flow chart on how Work Orders are generated, prioritized and scheduled, processed and closed-out

7. Maintenance Basis process 8. PAM process 9. Business plan 10. CAP procedures 11. CMMS document (Work Order coding, priority system, etc.) 12. PM listing 13. Backlog management report 14. Sample work package 15. List of pre-defined work packages if available 16. List of other Plant initiatives 17. List of any work process procedures 18. Outage processes and/or procedures 19. Training program description if available 20. Human performance processes 21. Metrics 22. Improvement processes

3-8


Interview Process Interviews should be scheduled early in the Assessment Process to ensure that sufficient time is available to consider all of the input and to seek clarification or follow-up information, if necessary. Interviews should be conducted with as many of the personnel listed in Table 3-2, as can reasonably be accommodated by the Assessment Team. Sometimes, small groups of workers or system engineers can be interviewed at the same time; but, only if it will enhance, not stifle, their participation. Interviews should be assigned on the basis of subject area and the Assessment Team member’s expertise. In the interest of efficiency, Team members with similar backgrounds should interview plant personnel. However, interviews conducted by individuals from crossfunctional areas with different perspectives can also be beneficial and should not be discounted. Table 3-2 Potential Interviewees for Maintenance Assessment •

Plant Manager

•

Site Engineering/Technical Superintendent

•

Operations Manager/Superintendent

•

Maintenance Manager/Superintendent

•

Work Control Manager/Supervisor

•

PM Coordinator

•

Maintenance Program Coordinator

•

PdM Team

•

System Engineers

•

Component Engineers

•

Performance Monitoring Engineers

•

Maintenance Supervisors

•

Maintenance Personnel

•

Operation Personnel

Focused Assessments Many times, the corrective action program, performance measures, or daily observations can identify areas of declining performance. When these indicators appear, management and supervision need to take quick, focused actions to reverse the trend. In order for this to happen, it is necessary to identify the areas that are causing the decline. The focused assessment process can be used to quickly identify areas that are weak and allow the supervisor or manager to focus his attention here rather than using a ‘shotgun’ approach to find the problem. 3-9


The Focused Self-Assessment does not require as detailed level of goal development or assessment team formation as a periodic assessment. The area(s) of concern would have been identified by other processes such as the corrective action program. The supervisor then only needs to review the Maintenance Excellence Matrix to select the one or more sub-element areas related to the issue. An assessment package composed of the attribute sheets for the selected subelements is then assembled and the attributes are rated. If a work group is involved, the supervisor may want to distribute the sheets to the members of the group so that they can also rate the attributes. If there is another work group involved, it is often helpful to have them also rate the attributes (i.e. one or more work groups do not feel that Planning is being effective). Therefore, it is useful to have Planning rate themselves and to have the complaining work groups rate Planning. A Gap Analysis of the opinions can then be made to determine the areas that require improvement. This focuses the problem on areas that can be addressed rather than generalized complaints with no focus. It is up to the responsible manager/supervisor to determine the level and number of people that would be involved in the assessment process. If a work group is using a periodic self-assessment for continuous improvement, it might be useful to trend the scores in the areas assessed. This technique will then identify areas of declining performance very early to allow issues to be addressed before they become problems. When this technique is used, it might be helpful to select only one or two sub-elements for assessing. These areas can then be rated on a one or two month frequency to track performance. This technique is useful in areas like ‘Pre-job Briefs’, ‘Self-Check’, or ‘Work Order Generation.’

Workshop Style Guided Self-Assessments To provide the user with alternative methods for applying the Maintenance Excellence Matrix and evaluating one or more of the sub-elements, elements, and/or categories of maintenance, EPRI team members worked with various utilities to apply self-assessment or assisted selfassessment techniques. Two specific application techniques, in addition to the typical detailed method previously described, were applied to provide a quick and effective method for the utility to evaluate either a single sub-element, multiple sub-elements, and/or the entire Maintenance Excellence Matrix. These two techniques are a one-day workshop on a specific sub-element and a one and a half day Maintenance Optimization Workshop to create a fully self-evaluated Maintenance Excellence Matrix. One-day Workshop Style Assessment – Specific Sub-element An assessment was performed at a nuclear generating station to evaluate the effectiveness of the Predictive Maintenance process. This included a focus on the specific PdM Process Element; however, attributes from many other sub-elements were also partially evaluated (Figure 3-1).

3-10


Benchmarking Goals/Business Plan Organization 1.0 Management & Work Culture

Leadership Communication

Ops,Maint,

Eng


Cont. Improvement

SelfAssessment

Work Execution

Training

4.0 Technologies

Direction

Overall Goals

Work Control

Outside Industry

Maintenance Management System Maintenance & Diagnostic Tech Information Integration System

N/A

N/A

N/A

N/A

N/A

Business Planning

N/A

N/A

N/A

N/A

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Discipline

Empowermt

Motivation

N/A

N/A

N/A

Workforce to Mgmt

Peer Group Meetings Customer Satisfaction

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Policies & Processes Mangers to Workforce Maintenance Dept. Goals Bus. Plan Adherence Change Mgmt Prog

System/ Comp Own Process Improvement

Maint. Basis

Corrective Maint.

Plant Goals

Craft Owership Use of Industry OE

Work ID Procedures Work Mgmt Process & Work Exec Procedures Work Close Procedures

Outage Mgmt Prioritize Work Process & Equipment Clear Tools/Mat Pre-Job Briefs Control/Stage & Tag Post Maint Data Capture & Post Job Critique Testing Utilization




Multi - Discipline Maintenance & Behaviors & Procedure Use Human Performance Values Diagnostic Personnel Qualification Qualifications Selection TechnologiesProcess

Utiliz ation

N/A

Maint Dept. Goals Individual Goals

Roles & Respons. Specialty Teams

Metrics

Work Closeout


Org Perf Goals


Work Identification 2.0 Maintenance Processes

Within Industry

CMMS

Plant Systems Mbl/Shared Workforce

Mgmt /Spvr development Productivity / Metrics

Self Check

Peer Check

Re-Qual Process

Contractor Quals

Reporting & Decision tls Cond. Mon. Technology Periodic Software Dispatch Equip Cond. Data System

Risk Assmnt Tools Scheduling Tools

Cond Mon. OnExecution Tools line Budget & Financial Schedule

Preventive Maint. Risk Assessment

Predictive N/A N/A N/A Maintenance N/A N/A N/A Program Team Prob CAP Program R&D Activities Solving

N/A Empl Ideas Solicited


N/A

Planning

Scheduling

Contract Mngmt

Work Quality

Safety

ALARA

N/A

N/A

Contractor Training

ACAD Training

Training Facilities

N/A

N/A

N/A

N/A

CAP Prog Utilization Qual Tracking Program

Conflict Resolution Succession Planning

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Predictive Maint. Stores/Inv. Management Perform Maint Tasks

Proactive Maint.

N/A

Return Equip to House Keeping service Business Literacy

N/A Process Data Utilization

Industry Equip databases

N/A Equip Perf Mon. Tools Equip Tech. Documents

Figure 3-1 PdM Related Sub-Elements Evaluated

3-11


A team consisting of utility maintenance and engineering personnel and EPRI PdM process experts developed a one-day agenda to evaluate the organization’s attributes with the industry’s ‘Best Practices’ (Table 3-3). This agenda was developed in coordination with the utility key PdM program stakeholders, which included the PdM Coordinator, PdM technicians, several system engineers, work control maintenance and operations representatives, and the corporate PdM program support personnel. Table 3-3 Example of One-Day Workshop Agenda PdM Program Self-Assessment (One-Day) Workshop Style Morning •

Introduction/Background/Objectives of PdM Assessment

•

Present ‘What is the INDUSTRY STANDARD PdM Program’

•

PdM Assessment Exercise (the 14 key attributes scoring)

•

PdM ‘Brainstorming Session’ to capture and prioritize issues/barriers preventing your plant from having a ‘World Class’ PdM program

•

Present ‘Spider Chart’ results and discuss the prioritized issue list

Afternoon •

Conduct a few management interviews (approx. 30 to 40 minutes each) to assess managements perception, knowledge, and support of the PdM process -

•

Potential interviewees are Maintenance director, Engineering manager and/or System and Component Engineering managers, Work control manager, Plant manager

Summarize

The group was presented the industry ‘Best Practices’ by an EPRI PdM program expert and was directed to score pre-selected attributes. Each of the attributes, which were pre-selected for evaluation, were from the Work Identification element-PdM program sub-element, and the Maintenance and Diagnostic Technology element. Attributes from other related sub-elements were also chosen. Once the values were calculated, the results were organized and a ‘Spider Chart’ was generated to graphically depict the effectiveness of the PdM process at the station (Figure 3-2).

3-12


Equipment Condition Indicator Matrix 10.00 Technology Applications 9.00 8.00 7.00 PDM Process/Work Flow Diagrams 6.00 5.00 4.00 3.00 PDM supervisor 2.00 1.00 0.00

Continuous Improvement Customer Satisfaction WORLD CLASS Metrics/Cost Benefit Tracking

Organization\Roles and Responsibility

Financial Basis/Plan

Communication Formats

Quantifiable Goals

Equipment Condition Status Report

Schedules Training Program

Figure 3-2 Example of PdM Program Assessment (Spider Chart Evaluation)

To complete the morning portion of the agenda, the key stakeholders participated in a ‘Brainstorming’ session. This was to capture and prioritize all of the issues that were preventing the station from becoming a ‘World Class Performer’ in the PdM process. These prioritized issues (Table 3-4) provided the basis for the organization to propose solutions and develop actions to close the gap between the current performance and that of ‘World Class.’

3-13

Self-Assessment Approach Table 3-4 Prioritized Issue List Issue Id #

Issue Description

Priority

1

P7

E&CI Matrix needs work and needs to be communicated

165

2

P12

Reactive culture is preventing us from focusing on PdM activities

102

3

P14

PdM process is not well integrated into overall maintenance process

85

4

P4

No cost avoidance evaluated and measured

80

1

P1

Roles and responsibilities are not clear

70

2

P2

Resource allocation to PdM programmatic activities

60

3

P8

Lack of management (resources and focus)

60

4

P16

Incomplete PdM critical component list with failure modes

60

5

P3

Communication between Maintenance/Engineering/Operations

45

6

P11

No integrated report of E&CI

45

7

P13

Component ownership is unclear/fragmented

40

8

P9

PdM data used as reactive versus proactive/ not given enough forecast

35

9

P5

Lack of communication from other groups

25

10

P6

PdM awareness low – LTA

15

11

P10

PdM group not clearly defined

10

12

P15

No unexpected failure is an unreasonable expectation. We do not have all the skills needed to meet this expectation

5

The afternoon session of this assessment technique involved various interviews with operations, maintenance, and the engineering personnel with each interview lasting approximately 30 to 40 minutes in duration. The interviews consisted of converting various attributes from a statement format to a question format and having the interviewees qualitatively discuss the specific attribute and provide a score from 0 to 10 for each attribute associated with the PdM process. The input gathered from these interviews was integrated into the PdM Spider Chart scoring that was previously generated by the key stakeholders during the morning session. These interviews also provided information to the station management regarding the performance of the sub-elements, and assisted in the ‘buyin’ for the recommended improvements.

3-14


It is highly recommended that the One-Day Workshop-Style Assessment be facilitated by an EPRI experts or specific subject matter experts who are familiar with the sub-element being assessed. Maintenance Optimization Workshop to Develop a Self-Evaluation Maintenance Matrix Over the past decade numerous Maintenance Optimization Workshops have been conducted by EPRI for the utility maintenance organizations. Typically these workshops have resulted in providing: 1) a ‘Maintenance Spider Chart’ (Figure 3-3) depicting the utility identified score for each of the 19 maintenance elements; and, 2) a list of prioritized maintenance issues (Table 3-5).

Personnel Skills Qualification 10.00 9.00 Human Performance 8.00 7.00 6.00 Utilization 5.00 4.00 3.00 Training 2.00 1.00 0.00 Benchmarking

Work Identification Work Control

Work Processes

Work Execution Work Close Out

World Class

Work Management Systems

M&D Technologies

Setting Goals

Information Integration Tools

Communication Inter Metrics Leadership

Technology Continuous Improvement Accountability Organization

Management & Work Culture

Figure 3-3 Example of Composite Diagram (Spider Chart)

3-15

Self-Assessment Approach Table 3-5 Prioritization Maintenance Issues List Issue Id #

Issue Description

Priority

P3

Interruption to the defined work process causes inefficiencies

82

P4

Lack of procedures (work ID/work execution)

75

P5

Lack of identifying component criticality causes prioritization problems

70

P6

Not enough budget for current workload or future plans

60

P7

Craft ownership/accountability for specific maintenance projects is inadequate

57

P8

Training for craft skills development is less than adequate

55

P9

After design change-lack of configuration control

45

P10

Financial systems to support maintenance cost tracking are inadequate (loose)

35

P11

Documenting the history and details of failure is inadequate

33

P12

Communications of equipment failures between regions is inadequate

30

P13

Predictive maintenance data utilization is poor

27

P14

Change management program across the organization is inadequate

25

P15

Lack of use of the Computerized Maintenance Management System (CMMS)

17

P16

Lack of benchmarking (decisions made on not enough data)

17

P17

No clear maintenance strategy for electrical equipment testing program

15

P18

Maintenance history data is not being used in a proactive manner

7

P19

Differences in planning processes across the four regions

5

P20

Continuous improvement (acting on employee ideas) is less than adequate

0

A 1 ½ day workshop was developed to allow for an organization’s maintenance leadership to quickly be able to identify those areas within maintenance that are self perceived to be weaknesses and those areas that are self perceived as areas of strength. A trial workshop was recently conducted at a member utility with numerous utility leadership, maintenance supervisors, maintenance craft, and engineering personnel. The typical approach to this workshop, which has been performed at numerous fossil generating stations over the past ten years, did not change. The morning session involved EPRI maintenance experts defining the four major maintenance categories and their specific 19 elements. Examples of industry’s ‘Best Practices’ with many of the elements were also presented. In the afternoon of the first day the typical guided exercises used to score the 19 maintenance elements were adjusted by utilizing the definitions of each of the 103 maintenance sub-elements in an interactive scoring session with the utility group. A blank Maintenance Excellence Matrix was provided (Figure 3-4). Each of the 19 elements was addressed by using the definitions for 3-16


each sub-element included in Appendices A thru D. The workshop attendees applied individual values to each sub-element and then averaged the scores for the respective sub-elements to provide the element ranking. Category



Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A


Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Department Goals

Plant Goals


Leadership Communication

2.0 Maintenance Process


4.0 Technologies

Sub-element

Ops,Maint,

Eng

Metrics

Overall Goals

N/A

N/A

N/A

N/A

Accountability


Bus. Plan Adherence System/ Comp Own

N/A

N/A

N/A

N/A

N/A

Cont. Improvement

SelfAssessment

Change Mgmt Prog Process Improvement

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.


Equipment Reliability

Work Control

Work Mgmt Process & Procedures


Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Work Execution




Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Closeout


Post Maint Testing

Post Job Critique


House Keeping


N/A

N/A

Training



Plant Systems


Business Literacy

Contractor Training

Specialty Training

Training Facilities

Utilization


Multi - Discipline



N/A

N/A

N/A

N/A

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A

Qualifications

Personnel Selection


Re-Qual Process

Contractor Quals


Succession Planning

N/A

N/A


CMMS

Risk Assmnt & Sched.Tools

Scheduling Tools

N/A

N/A

N/A

N/A

Maintenance & Diagnostic Tech

Execution Tools



N/A

N/A

N/A

N/A


Financial

Cond Mon. On-line Cond. Mon. Periodic Budget & Schedule Equip Cond. Data

Reporting & Decision tls Technology Software Dispatch System

Equip Tech. Industry Database Documents

Figure 3-4 Example of Maintenance Excellence Matrix

Conducting the guided exercise in this manner took slightly more time than normal to accomplish; however, by providing this level of definition detail to guide the scoring of each element resulted in more pointed issues being identified in the subsequent ‘brainstorming’ session of the workshop. This enabled the attendees to capture and prioritize the issues that prevented the utility from attaining maintenance excellence. The format for the morning of the second day was not changed; and, a briefing of the results by the EPRI maintenance experts to the utility leadership was given. The interaction among the utility leaders was also more pointed due to the level of definition provided during this modified workshop Maintenance Excellence Matrix scoring exercise. It is highly recommended that the One and one half day Maintenance Workshop-Style Assessment be facilitated by an EPRI experts or specific subject matter experts who are familiar with the sub-element being assessed. 3-17

4 GAP ANALYSIS The next step of the Assessment Process is to determine the ‘as found’ condition of each Category, Element, and Sub-element. The ‘as found’ condition is then compared to the ‘Best Practices’ to establish a ranking. This process can be accomplished by using the documentation review and the information learned during the interviews; and, by analyzing this data to obtain the ‘as found’ condition of the existing maintenance program. By comparing this result with the Maintenance Excellence Matrix, specifically the Sub-element Attributes, a ranking can be established. Since the Attributes are generally subjective, the ranking process utilizes colors for each Sub-element. Elements are ranked by summarizing the status of all of its Sub-elements; and finally, the Categories are ranked based on the evaluation of its Elements. The following colors have been selected (refer to Figure 4-1) to rate each Category, Element, and Sub-element: •

RED – Significant Weakness Significant Weakness for a Sub-element, indicated by RED on the Maintenance Matrix, implies that some or all of the following has occurred: – – – – –

•

The Sub-element has experienced multiple occurrences of events A substantially declining trend in performance for the Sub-element has been identified Action plans have not been developed for previously identified weaknesses in the Sub-element Progress on action plans to correct previously identified weaknesses have fallen substantially behind schedule Attributes within the Sub-element do not comply with regulations

YELLOW – Some Improvement is Needed Improvement needed for a Sub-element, indicated by YELLOW, implies that some or all of the following has occurred: – – – – –

The Sub-element has experienced and identified an event A declining trend in performance for the Sub-element has been identified Actions to correct identified weaknesses in the sub-element are in progress but have not been completed Progress on action plans to correct previously identified weaknesses have fallen behind schedule Attributes within the Sub-element comply with regulations, but have weaknesses, which could result in a violation 4-1

Gap Analysis

Categories




4.0 Technologies

Elements Benchmarking

Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A

Communication

Ops,Maint, Eng


Workforce to Mgmt

Peer Group Meetings

N/A

N/A

N/A

N/A

Metrics

Overall Goals


Plant Goals


N/A

N/A

N/A

N/A



Bus. Plan Adherence

System/ Comp Own

Craft Owership

N/A

N/A

N/A

N/A


Self-Assessment

Change Mgmt Prog

Process Improvement

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.


N/A

Planning

Scheduling

Contract Mngmt

Work Control

Work Mgmt Process

Outage Mgmt Process

Prioritize Work

Risk Assessment


Work Execution




Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Closeout


Post Maint Testing

Post Job Critique


House Keeping


N/A

N/A

Training



Plant Systems


Business Literacy

Contractor Training

Specialty Training

Training Facilities

Utilization


Multi - Discipline



N/A

N/A

N/A

N/A

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A

Contractor Quals


Succession Planning

N/A

N/A


N/A

N/A

N/A

N/A

Technology Software



N/A

N/A

Dispatch System

Industry Equip Databases


N/A

N/A

Qualifications

Personnel Selection



Maintenance Mgmt System

CMMS

Risk Assmnt Tools

Scheduling Tools

Maint. & Diagnostic Technology Information Integration System

Figure 4-1 Gap Analysis Matrix

4-2

Sub-elements

Execution Tools Financial

Cond Mon. On-line Budget & Schedule

Cond. Mon. Periodic Equip Cond. Data

Gap Analysis

•

WHITE – Satisfactory Performance Satisfactory performance for a Sub-element, indicated by WHITE, implies that most of the following have occurred:

•

–

The Sub-element has not experienced an event

–

No evidence of a declining trend in performance for the Sub-element has been observed

–

Progress on action plans to correct previously identified weaknesses are on or ahead of schedule

–

Attributes within the Sub-element comply with regulations, and have no identified weaknesses

GREEN – Significant Strength Significant strength for a Sub-element, indicated by GREEN, implies that most of the following have occurred:

•

–

The Sub-element has not experienced an event

–

There is evidence of an improving trend in performance for the Sub-element

–

All action plans to correct previously identified weaknesses are complete and evaluated as effective

–

Attributes within the Sub-elements comply with regulations, and have appropriate components to ensure no violations

BLUE – Not Enough Data to Evaluate No data available for a Sub-element, indicated by BLUE: –

Indicates that no observations were made for that Sub-element during the past quarter

–

Is appropriate for situations where the data is too sparse to draw any conclusion

An example of the Gap Analyses methodology is shown in Figure 4-2 on the following page. In this example, the Team has reviewed the data and the conducted interviews related to the Category Maintenance Processes, the Work Identification Element, and the Sub-element Maintenance Basis. Upon review of the data and utilizing the Maintenance Basis Attributes, the Team determined that Attribute A1 had not been established to firmly determine the criticality of all of the plant systems and equipment. Instead a cursory approach was utilized to establish criticality. Also, there was only an informal review of the Maintenance Basis in response to Attribute A-8. The other Attributes for the Maintenance Basis Sub-element were satisfactory. After reviewing all of the Attributes, the Team ranked the Maintenance Basis Sub-element as YELLOW. Upon review of all of the Sub-elements it was determined that three additional Subelements had a rating of YELLOW; and, one Sub-element (Proactive Maintenance) was considered RED and two were GREEN, as illustrated in Figure 4-2.

4-3

Gap Analysis

Work Identification


Work Control

Work Execution

Work Closeout

Figure 4-2 Example of Matrix Analysis

4-4

Work ID Procedures

Maint. Basis

Work Mgmt Process & Outage Mgmt Process & Procedures Procedures Work Exec Procedures


Equip Clearance & Tagging Post Maint Testing

Preventive Maint.

Predictive Maint.

Proactive Maint.


N/A

N/A

Risk Assessment


Planning

Scheduling

Contract Mngmt

N/A


Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

N/A

Post Job Critique


House Keeping


N/A

N/A

N/A

Corrective Maint. Prioritize Work

A1

Criteria is established in order to determine the criticality of plant Systems and Equipment, including importance of safety, environmental, reliability, cost and efficiency

A2

Plant systems and equipment are ranked in accordance with the criteria in A1 above

A3

Non-critical (run-to-failure) equipment has been determined in the ranking process

A4

Failure modes and causes of the critical equipment have been determined

A5

Maintenance tasks have been established that address the failure modes determined in A4 above, including preventive, predictive and proactive maintenance tasks

A6

Frequencies of performing the preventive maintenance tasks have been established

A7

Maintenance basis is managed in compliance with the Maintenance Basis procedure

A8

Periodic reviews of the maintenance basis are conducted

A9

Equipment that will be monitored in the PdM program has been determined

A10

Clear ownership of the maintenance basis exists

Gap Analysis

Although two of the Sub-elements were GREEN, which indicates considerable strength, the Team placed more emphasis on the RED Sub-element and the four YELLOW Sub-elements, and gave the Work Identification Element a RED. The Category was also considered RED because of the needed improvement in the Work Identification Element, and some improvement is needed in the Work Closeout process.

4-5

5 IMPROVEMENT PROCESS

There are a number of approaches that utilities employ to improve their management processes, skills, or technologies. This may be addressed by an existing program, or may need a new program with enough management support to effectively change broad work culture and work process issues. Many utilities have a Correction Action Program (CAP) process with an existing procedure. Some utilities have an Excellence or Station Improvement Plan for event tracking and managing improvement. Whatever process a utility employs it should contain these basic elements: •

Form a temporary Team to correct problems; and, once a problem is corrected this Team would be disbanded. The Team size would depend on the magnitude of the problem, but should be kept as small as possible and focused on the specific problem. The Team size could be one person if that is all that is needed

•

Roles and responsibilities for the Team members

•

Statement of the problem and what specific areas need improvement

•

What indicators were used to detect the problem (e.g. Excellence Matrix, Sub-elements and their Attributes used to make the evaluation)

•

Establish steps required to correct the problem

•

Establish a time frame (schedule) to complete each step

•

Establish metrics to measure progress

•

Share findings and the Improvement Plan with other plants and other utilities to accomplish the following: –

Learn from their experience with similar problems to help adjust the Improvement Plan, if needed

–

Share the Plan with others so that they can utilize it to compare with their evaluations of similar problem areas or help them to avoid the problem

Either using an existing improvement process or developing as new, the findings of the maintenance self-assessment need to be addressed. Once the self-assessment process, including the Gap Analysis, is complete, the resulting Maintenance Excellence Matrix needs to be used to develop a specific action plan for those areas on the Matrix that need improvement. Subelements that are either RED or YELLOW must have an action plan to correct those specific areas. It will be the responsibility of the Owners of those Sub-elements to develop the Improvement Process Plan. For Elements that need improvement it is the responsibility of the Element Owners to develop the plan utilizing the specific plans from the Sub-element Owners. This hierarchal process follows on to the Categories. Owners of the Category areas would utilize 5-1

Improvement Process

the Element Owner’s plans. By following this process, accountability is maintained throughout the organization. This process allows the plan to be flexible, containing detailed information from the Sub-element Owners based on the needs obtained from the Sub-element Attributes that were deficient. The Element Owners plans can be less specific, utilizing input from the specific Sub-elements, but need to take into account the improvements needed to link the Sub-element plans for their particular Elements. The Category Owners plan could be even less specific, focusing on Management issues that are needed to improve their areas of responsibility, but would also include the details from the Element and Sub-element plans. As previously indicated, the RED and YELLOW Matrix boxes must implement an improvement process. Once these have been resolved, the WHITE (satisfactory) color matrix boxes should be examined until all of the matrix boxes are GREEN. Finally the plant/utility should be moving towards ‘Best Practices,’ which will be documented and shared. For those cases where not enough data is available, a plan needs to be developed to obtain the missing data and then a reassessment of those areas should be performed. Once the Improvement Process has been completed, the Self-assessment process for that Category, Element, and Sub-element should be accomplished periodically to evaluate the success of the improvement process and, if necessary, make adjustments to the process. For other plants within the utility, insist that the information be used as ‘Operating Experience’ and insist that the Improvement Plan be reviewed and an action plan be developed to prevent similar problems from occurring at their plant. If all plants in the utility use the Maintenance Excellence Matrix approach, and it is shared on the utility’s intranet, this review process will be straightforward and it will become a learning experience throughout the utility. If these Assessment and Improvement Processes are adopted by a number of utilities and put on the Internet for all to share, a consistent uniform approach would be established. EPRI or a similar non-biased organization could monitor and act as a gatekeeper. This collection of SelfAssessment and Improvement Processes could be used to: •

Share experiences and learn from those experiences

•

Obtain, develop, or enhance ‘Best Practices’ for each maintenance item in the Excellence Matrix

•

Prevent problems happening at your plant because of the knowledge learned at other utilities

•

Based on the collected input each maintenance area can be kept up-to-date by adding new or modifying existing Sub-element Attributes

Some of the approaches that utilities have taken to implement their continuous improvement processes are: •

5-2

The Corrective Action Process (CAP) that identifies, categorizes, and tracks deficiencies and improvement.

Improvement Process

•

Periodic Self-Assessments of many forms generating corrective actions and improvement recommendations.

•

Quality assurance activities reviewing quality, or implementation/application of policies and procedures, and the utilization of appropriate materials in maintenance.

•

External Assessments by contractors that have special expertise and can generate recommendations for improvement.

•

Utilization of industry operating experience reports identifying deficiencies and causes that occur at industry peer facilities.

This Guideline includes a review of many industry processes, practices, and Standards in an attempt to create a comprehensive maintenance matrix that addresses all elements of the business of maintenance. By identifying each of these Categories, Elements, Sub-elements, and Attributes an industry Standard can be created by which each organization can organize their findings and recommendations from each of the process improvement activities into manageable ‘Bins.’ This allows for direct comparison to other maintenance organizations within or among all utilities, which assist substantially when executing an effective continuous improvement process that can be extended indefinitely. By creating this comprehensive maintenance Matrix and Standard Attributes by which to assess maintenance, special industry ‘Best Practices’ can be constantly evaluated very specifically, and can be used by all to continually target specific performance improvements of the appropriate elements of maintenance. This will also assist the Maintenance Director/Manager with ensuring that multiple common corrective actions do not exist for the same deficiency, and will help increase the efficiency of the process of continually improving maintenance.

5-3

6 REFERENCES

A number of industry experiences went into developing this Self-Assessment Guideline, and the following references indicate what sources were used. Numerous inputs came from utility experiences, EPRI PMO Maintenance Reports, INPO, and EPRI expertise. These organizations had a major impact on developing the Attributes. Figures 6-1 through 6-10 illustrate the areas on the Excellence Matrix where specific attributes were obtained from these organizations. The following list includes all non-EPRI PMO Target References that were used to prepare this document. Specific references for each Attribute can be found in Appendices A through D. 1. INPO-Excellence in Human Performance, September 1997 2. INPO-Principles for Effective Self-Assessment and Corrective Action Process, December 1999 3. INPO 97-013-Guidelines for the Conduct of Maintenance at Nuclear Stations, December 1997 4. EPRI TEAM-Guidelines and Templates for Maintenance Effectiveness 5. EPRI NMAC TR107042-Improving Maintenance Effectiveness Guidelines, March 1998 6. INPO AP-913-Equipment Reliability Process Description, March 2000 7. EPRI NMAC TR107759-Assessing Maintenance Effectiveness, December 1996 8. INPO 928-Work Management Process Description, December 2000 9. INPO 98-06-Predictive Maintenance Activities to Improve Equipment Performance, December 1998 10. NUMARC 93-01 Rev 3-Industry Guidelines for Monitoring The Effectiveness of Maintenance at Nuclear Power Plants, July 2000 11. IAEA-Good Practices for Cost Effective Maintenance of Nuclear Power Plants 12. EPRI TEAM TR1001032-Predictive Maintenance Self-Assessment Guidelines for Nuclear Power Plants, EPRI Technical Report, December 2000 13. Utility’s-Maintenance Standards Manuals and Conduct of Maintenance Documents

6-1

References

Over the past decade the EPRI Fossil PMO Target has performed a significant amount of base funded and collaborative work in the maintenance area. This work has generated over 100 documents that could influence improvements for the user of this Guideline. Table 6-1 lists pertinent references and cross-references for each report to the primary elements and or subelements for which they provide assistance to improvement initiatives. Table 6-1 Plant Maintenance Optimization Target, Publication List (July 2002) Foundation 69.0 Report Number

Title

Date

Element/SubElement Nos.

NL-110767

Technology Center Newsletter, Spring 1998

4/98

4.2

NL-111243

Technology Center Newsletter, Fall 1998

8/98

4.2

NL-112053

Technology Center Newsletter, Winter 1998

12/98

4.2

NL-112883


4/99

4.2

NL-113462


8/99

4.2

NL-114518


12/99

4.2

1000049


4/00

4.2

1000855


8/00

4.2

1001283


12/00

4.2

1006129


6/01

4.2

1006644


11/01

4.2


4.2

AP-101840-V1

Diagnostics Monitoring Products Guides Volume 1

1992

4.2

AP-101840-V2


1993

4.2

AP-101840-V3


1995

4.2

AP-101840-V4


1996

4.2

AP-101840-V5


1997

4.2

AP-101840-V6


1998

4.2

TR-109511

EPRI M&D Center Course Catalog (1998)

11/97

4.2

TR-109511-R1

EPRI M&D Course Catalog (1999)

11/98

4.2

TR-109511-R2


11/99

4.2

6-2

References Foundation 69.0 Report Number

Title

Date


1001423


3/01

4.2

WM-113677

Thermography Interest Group Mtg. Min. (July 1999)

9/99

4.2.3

1000964

Thermography Interest Group Mtg. Min. (July 2000)

8/00

4.2.3

WM-112482

PDM Advisory Group Meeting Minutes (Nov 1998)

1/99

2.15, 3.1, 3.4, 4.2, 4.3

WM-113678

PDM Advisory Group Meeting Minutes (June 1999)

9/99

2.15, 3.1, 3.4, 4.2, 4.3

1000042

PDM Advisory Group Meeting Minutes (Nov. 1999)

4/00

2.15, 3.1, 3.4, 4.2, 4.3

TR-106753

Proceedings: 1996 EPRI Fossil Plant Maint. Conf.

7/96

1.1, 1.6, 2.1, 2.2, 4.1, 4.2

TR-113534-CD

EPRI 1999 Maintenance Conference Proceedings

6/99

1.2.4, 2.1, 2.2, 3.1, 3.3, 4.2.

1001423

2001 EPRI International Maintenance Conference

7/01

1.8, 2.1, 2.2, 3.3, 4.1, 4.2

TB-113351

Lube Oil Monitoring

7/99

4.2.3

TB-113905

Acoustic Monitoring Techniques and Applications

10/99

4.2.3

TE-114093

Infrared Thermography for Thermal Loss Mgmt.

11/99

4.2.3

BR-114214

Power Generation Services: Enhancing the Value of Technology

11/99

TR-114910

Productivity Improvement Handbook for Fossil Steam Power Plants: Second Edition

12/99

4.2.6

1006366, 67, 68, 69, 70 & 71

Productivity Improvement Handbook for Fossil Steam Power Plants, Chapters 1-6

6/00

4.2.6

1000870

High Temperature Infrared Thermography Applied to Boilers

9/00

4.2.3

1000963

Global Coal Initiative: Executive Summary

10/00

1004621

Predictive Maintenance Level of Awareness Training Code, Version 1.0

5/02

1.5, 2.15, 3.1, 3.4, 4.2, 4.3

6-3

References Target 69.1 Work Process Improvement Target 69.1 Report Number

Title

Date

Element/SubElement Nos. 2.1.5

TR/SW/AP107902

CBAM – Cost Benefit Analysis Module Version 2.0

12/96

TR-106430

Maintenance Work Management Practices Assessment

12/96

TR-107071

A Guide for Work Process Improvement and Best-In-Class Benchmarking in Fossil Power Plants

3/97

TR-108937

Value-Based Maintenance Grid for Assessing Work Management

8/97

TB-108949-R1

Plant Maintenance Optimization Work Management Assessment and Improvement

9/97

TR-108938

CMMS Selection at Wisconsin P.S. Computerized Maintenance Management System

10/97

4.1.1

TR-109728

CMMS Selection at Cinergy (Computerized Maintenance Management System)

12/97

4.1.1

TR-109734

Maintenance Work Management Improvement

12/97

Refer to Figure 6-3

TR-109968

Maintenance Work Management Best Practices Guidelines: Maint. Assessment and Improvement

1/98

TR-110272

Computerized Maintenance Management System and Maintenance Work Process Integration

3/98

Refer to Figure 6-5

IN-112089

Plant Maintenance Optimization Target Enhances Nevada Power’s Performance Improvement Program

5/98

1.4.1, 1.4.3, 1.4.4, 1.4.5, 1.5.1,1.5.2, 1.5.3, 1.5.4, 1.5.5,1.8.1,1.8. 2,1.8.3,1.8.7. 1.8.8, 3.3.1

TR-111464

Computerized Maintenance Management System Best Practices Guideline

9/98

4.1.1

TR-111897-V1

Maintenance Optimization Project at Merom Volume 1: Work Culture and Process Improvements

2/99

6-4

Refer to Figure 6-2

References Target 69.1 Report Number

Title

Date


TR-111897-V2

Maintenance Optimization Project at Merom Volume 2: Heat Rate Improvement

2/99

TR-111151

CMMS Implementation at Cinergy

7/98

TR-114002

Guide for Building a High Performance Generation Plant: A Systematic People-Based Approach

12/99

Refer to Figure 6-4

TR-114324

Work Culture and Process Improvement Predictive Maintenance Project

12/99

1.4.4, 1.4.5, 1.8.2, 1.8.3, 4.2.2, 4.2.3, 4.2.4

1000320

Best Practice Guideline for Maintenance Planning and Scheduling

12/00

2.2.6, 2.2.7

1000321

Plant Maintenance Optimization Assessment Guideline

12/00

Refer to Figure 6-1

1004591

Work Management Improvement at Burlington Generating Station

11/01

1.6.2, 1,8.2, 1.8.3, 2.2.1 thru 2.2.7, 3.2.4, 4.1.1

1006517

Work Management Improvement at Louisa Generating Station

11/01

Refer to Figure 6-2

1004015

Guideline on Proactive Maintenance

11/01

Refer to Figure 6-6

1004014

Effectiveness Audit Guideline

11/01

1004017

Guidelines on the Effects of Cycling Operation on Maintenance Activities

12/01

1.8, 2.1,2.2, 2.3

Target 69.2 Maintenance Task Selection Target 69.2 Report Number

Title

Date


TR-105582

Streamlined Reliability Centered Maintenance at PG&E’s Moss Landing Plant

9/95

2.1.2

IN-106321

TU Electric Identifies Maintenance Cost Saving with Stream-Lined RCM Process

12/96

2.1.2

TR-106503

Pilot Application of Streamlined ReliabilityCentered Maintenance at TU Electric'’ Fossil Power Plants

12/96

2.1.2

6-5

References

Target 69.2 Report Number

Title

Date


TR-109795

Streamlined Reliability-Centered Maintenance (SRCM) Program for Fossil-Fired Power Plants

12/97

2.1.2

TR-109989

Streamlined Reliability Centered Maintenance at MidAmerican Energy’s Council Bluffs Energy Center, Unit 3

12/97

2.1.2

TR-109990

Streamlined Reliability Centered Maintenance at Montana Power Company’s Colstrip Unit 1

3/98

2.1.2

TR-109795-V2

Streamlined Reliability Centered Maintenance (SRCM) Implementation Guidelines

10/98

2.1.2

TR-109795-V3

SRCM Implementation Guide (Including software description for system analysis templates: Task Selection Templates, Task Implementation Template, and Living Program Module)

10/99

2.1.2

TR-107902

Cost Benefit Analysis for Maintenance Optimization

12/99

1.6.2

SO-114286

EPRI’s Streamlined RCM Implementation Support

11/99

2.1.2

TP-114094

Equipment Maintenance Optimization Manuals (2)

12/99

2.1.2

1004018

Boiler Reliability Optimization Guideline

0/01

2.1.2

1004016

Streamlined Reliability Centered Maintenance Analysis Application Update

10/01

2.1.2

1006537

EPRI Boiler Reliability Optimization Program: Case Studies from 1998-2001

12/01

1.2, 1.6.1.8, 2.1. 2.2, 3.1 4.2

Target 69.3 Predictive Maintenance Target 69.3 Report Number

Title

Date


TR-103374

Predictive Maintenance Guidelines - Volume 1

8/94

2.15, 3.1, 3.4, 4.2, 4.3

TR-103374-V2


10/97

2.15, 3.1, 3.4, 4.2, 4.3

TR-103374-V3


10/98

2.15, 3.1, 3.4, 4.2, 4.3

6-6

References Target 69.3 Report Number

Title

Date


TR-103374-V4

PDM Guidelines: Volume 4: PDM Best Practices

12/99

2.15, 3.1, 3.4, 4.2, 4.3

TR-108936

Predictive Maintenance Program: Development and Implementation

9/97

2.15

TR-109241

Predictive Maintenance Assessment Guidelines

11/97

2.15

TR-111915

Predictive Maintenance Program Implementation Experience

10/98

2.15, 3.1, 3.4, 4.2, 4.3

IN-103282

Duquesne Light, PECO Energy, and SC Electric & Gas Implement Substation Predictive Maintenance

2/96

2.15, 3.1, 3.4, 4.2, 4.3

TR-108935

Infrared Thermography Anomalies Manual

8/97

4.2.3

TR-111916

Infrared Thermography Anomaly Assessment

10/98

4.2.3

TR-109529

Infrared Thermography Developments for Boiler, Condenser, and Steam Cycle

12/97

4.2.3

TR-109729-V1

Operations & Maintenance Workstation: User’s Manual

3/98

4.2, 4.3

TR-109729-V2

Operations & Maintenance Workstation: Administration Manual

3/98

4.2, 4.3

CM-114214

O&M Workstation - V.2 Reference Manual

12/99

4.2, 4.3

IN-111104

Implementing Predictive Maintenance Across the Fossil Division Saves ComEd over 7 Million Dollars in 18 Months

10/98

2.15, 3.1, 3.4, 4.2, 4.3

IN-111720

NYPA’s Use of High-Temperature Lenses for Infrared Thermography Leads to Reduced Tube Metal Temperatures

2/99

4.2.3

IN-112089

Plant Maintenance Optimization (PMO) Target Enhances Nevada Power’s Performance Improvement Program

5/99

1.4.4, 1.4.5, 1.8.2, 1.8.3, 4.2.2, 4.2.3, 4.2.4

TE-114093

Infrared Thermography for Plant Thermal Loss Management

10/99

4.2.3

TR-103374-V4

Predictive Maintenance Guidelines: Volume 4: PdM Best Practices

10/99

2.1.5

TR-113997

Boiler Reliability Optimization Interim Guideline

10/99

2.1.2, 2.1.5

6-7

References

Target 69.3 Report Number

Title

Date


TR-114283

Remote Equipment Diagnostics: Infrastructure Description

11/99

4.2.2

SO-114285

EPRI’s Predictive Maintenance (PdM) Implementation Support

11/99

2.15, 3.1, 3.4, 4.2, 4.3

CM-114214

Operations and Maintenance Workstation, Version 2.0 – Reference Manual

11/99

4.2, 4.3

TP-114094

Equipment Maintenance Optimization Manual Prototypes

11/99

2.1.2

TR-114283

Remote Equipment Diagnostics: Infrastructure Description

12/99

4.2.2, 4.2.4, 4.3.3

TP-114487

PlantView/PdM: Software for Predictive Maintenance Process Automation

12/99

2.15, 4.2, 4.3

TP-114718

Condition Status Report, Version 3, User Manual

12/99

2.15

TP-114721

Integration of Plant Operations Data into the Equipment Condition Status Report

1/00

2.15

1000947

Infrared Thermography Surveys and Database Development

10/00

4.2.3,4.2.4

1000948

Infrared Thermography Report Software Evaluation

10/00

4.2.3, 4.2.4

1004547

Infrared Thermography

12/01

4.2.3

1004013

Electronic Performance Support System Maintenance Application Guide

6/02

4.2, 4.3

Ten key references were utilized that provided numerous definitions and attributes to support the Maintenance Excellence Matrix. The following figures graphically depict these ten references and the respective elements and sub-elements that each reference provides the user with guidance for improvement.

6-8

References

Category



3.0 People Skills/Human Reources

4.0 Technologies

Element

Sub-element

Benchmarking

Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A

Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Plant Goals


N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Communication

Ops,Maint,

Eng


Metrics

Overall Goals

Accountability


Cont. Improvement

SelfAssessment

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.



Work Control



Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Work Execution




Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Closeout


Post Maint Testing

Post Job Critique


House Keeping


N/A

N/A

Training



Plant Systems


Business Literacy

Contractor Training

Specialty Training

Training Facilities

Utilization


Multi - Discipline



N/A

N/A

N/A

N/A

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A

Qualifications

Personnel Selection


Re-Qual Process

Contractor Quals


Succession Planning

N/A

N/A


CMMS


Scheduling Tools

N/A

N/A

N/A

N/A


Execution Tools



N/A

N/A


N/A

N/A


Financial

Department Goals

Bus. Plan Adherence System/ Comp Own Change Mgmt Prog Process Improvement

Cond Mon. On-line Cond. Mon. Periodic Budget & Schedule

Equip Cond. Data


Industry Database

Figure 6-1 EPRI PMO Target TR1000321 – Plant Maintenance Optimization Assessment Guideline, December 2000

6-9

References

Category




4.0 Technologies

Element

Sub-element

Benchmarking

Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A

Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Plant Goals


N/A

N/A

N/A

N/A

Craft Ownership

N/A

N/A

N/A

N/A

Communication

Ops,Maint,

Eng

Metrics

Overall Goals

Accountability


Cont. Improvement

SelfAssessment

Change Mgmt Prog

Process Improvement

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.



Work Control



Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Work Execution




Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Closeout


Post Maint Testing

Post Job Critique


House Keeping


N/A

N/A

Training



Plant Systems


Business Literacy

Contractor Training

Specialty Training

Training Facilities

Utilization


Multi - Discipline



Department Goals

N/A

N/A

N/A

N/A

Conflict Resolution

N/A

N/A


Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Qualifications

Personnel Selection


Re-Qual Process

Contractor Quals


Succession Planning

N/A

N/A


CMMS


Scheduling Tools

N/A

N/A

N/A

N/A


Execution Tools



N/A

N/A


N/A

N/A


Financial

Figure 6-2 EPRI TR 108937 Value Based Maintenance Grid

6-10


Reporting & Decision tls

Cond Mon. On-line Cond. Mon. Periodic Technology Software

Budget & Schedule

Equip Cond. Data

Dispatch System

Industry Database

References Category



Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A


Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Plant Goals


N/A

N/A

N/A

N/A

Craft Ownership

N/A

N/A

N/A

N/A Team Prob Solving

Communication Metrics Accountability



4.0 Technologies

Sub-element

Ops,Maint,

Eng

Overall Goals

Department Goals

Personnel Performance Bus. Plan Adherence System/ Comp Own

Cont. Improvement

SelfAssessment

Change Mgmt Prog

Process Improvement

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.




Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Control

Work Mgmt Process Procedures

&

Use of OE

CAP Program

R&D Activities


Work Execution


Equip Clearance & Tools/Mat. Control/ Tagging Staging

Work Closeout


Post Maint Testing

Post Job Critique


House Keeping


N/A

N/A

Training



Plant Systems


Business Literacy

Contractor Training

Specialty Training

Training Facilities

Utilization


Multi - Discipline



N/A

N/A

N/A

N/A

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A

Qualifications

Personnel Selection


Re-Qual Process

Contractor Quals


Succession Planning

N/A

N/A


CMMS


Scheduling Tools

N/A

N/A

N/A

N/A


Execution Tools

Cond Mon. On-line

Cond. Mon. Periodic



N/A

N/A


N/A

N/A


Financial

Budget & Schedule

Equip Cond. Data


Industry Database

Figure 6-3 EPRI TR 109734 Maintenance Work Management Improvement

6-11

References

Category




4.0 Technologies

Element

Sub-element

Benchmarking

Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A

Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Plant Goals


N/A

N/A

N/A

N/A

Craft Ownership

N/A

N/A

N/A

N/A

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Communication

Ops, Maint,

Eng


Metrics

Overall Goals

Accountability


Cont. Improvement

SelfAssessment

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.



Work Control



Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Work Execution



Tools/Mat. Control/ Staging

Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Closeout


Post Maint Testing

Post Job Critique


House Keeping


N/A

N/A

Training



Plant Systems


Business Literacy

Contractor Training

Specialty Training

Training Facilities

Utilization


Multi - Discipline



N/A

N/A

N/A

N/A

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A

Qualifications

Personnel Selection


Re-Qual Process

Contractor Quals


Succession Planning

N/A

N/A


CMMS


Scheduling Tools

N/A

N/A

N/A

N/A


Execution Tools



N/A

N/A


N/A

N/A


Financial

Department Goals


Change Mgmt Prog Process Improvement

Cond Mon. On-line Cond. Mon. Periodic

Budget & Schedule

Equip Cond. Data


Figure 6-4 EPRI TR 114002 Guide for Building a High Performance Generating Plant

6-12

Industry Database

References Category



3.0 People Skills/Human Resources

4.0 Technologies

Element

Sub-element

Benchmarking

Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A


Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

Department Goals

Plant Goals


N/A

N/A

N/A

N/A

Craft Ownership

N/A

N/A

N/A

N/A

Communication

Ops,Maint,

Eng

Metrics

Overall Goals

Accountability


Cont. Improvement

SelfAssessment

Change Mgmt Prog

Process Improvement

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.



Work Control



Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A


Work Execution



Work Closeout


Post Maint Testing

Post Job Critique


House Keeping


N/A

N/A

Training



Plant Systems


Business Literacy

Contractor Training

Specialty Training

Training Facilities

Utilization


Multi - Discipline



N/A

N/A

N/A

N/A

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A

Qualifications

Personnel Selection


Re-Qual Process

Contractor Quals


Succession Planning

N/A

N/A


CMMS


Scheduling Tools

N/A

N/A

N/A

N/A


Execution Tools

Cond Mon. On-line

Cond. Mon. Periodic



N/A

N/A


N/A

N/A


Financial

Budget & Schedule

Equip Cond. Data


Industry Database

Figure 6-5 EPRI TR 110272 CMMS and Maintenance Work Process Integration Guide

6-13

References Category



Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A

Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Plant Goals


N/A

N/A

N/A

N/A

Craft Ownership

N/A

N/A

N/A

N/A

Communication Metrics Accountability



4.0 Technologies

Sub-element

Ops,Maint,

Eng

Overall Goals


Department Goals


Cont. Improvement

SelfAssessment

Change Mgmt Prog

Process Improvement

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.



Work Control



Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Work Execution


Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Closeout

Work Close Procedures Post Maint Testing

Post Job Critique


House Keeping


N/A

N/A


Training



Plant Systems


Business Literacy

Contractor Training

Specialty Training

Training Facilities

Utilization


Multi - Discipline



N/A

N/A

N/A

N/A

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A

Qualifications

Personnel Selection


Re-Qual Process

Contractor Quals


Succession Planning

N/A

N/A


CMMS


Scheduling Tools

N/A

N/A

N/A

N/A


Execution Tools

Cond Mon. On-line

Cond. Mon. Periodic



N/A

N/A


N/A

N/A


Financial

Budget & Schedule

Figure 6-6 EPRI TR 1004015 Guideline on Proactive Maintenance

6-14

Equip Cond. Data


Industry Database

References Category




Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Communication

4.0 Technologies

Ops,Maint,

Eng

Discipline

Empowermt

Motivation

N/A

N/A

N/A


Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Metrics

Overall Goals

Department Goals

Plant Goals


N/A

N/A

N/A

N/A

Accountability


Bus. Plan Adherence

System/ Comp Own

N/A

N/A

N/A

N/A

N/A

Cont. Improvement

SelfAssessment

Change Mgmt Prog

Process Improvement

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.




Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Work Control

Work Mgmt Process Procedures

&

Work Execution




Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Closeout


Post Maint Testing

Post Job Critique


House Keeping


N/A

N/A

Training



Plant Systems


Business Literacy

Contractor Training

Specialty Training

Training Facilities

Multi - Discipline



N/A

N/A

N/A

N/A

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A

Contractor Quals


Succession Planning

N/A

N/A

N/A

N/A

N/A

N/A



N/A

N/A


N/A

N/A

Utilization 3.0 People Skills/Human Reources

Sub-element

Human Performance


Behaviors & Values

Qualifications

Personnel Selection


Re-Qual Process


CMMS


Scheduling Tools


Execution Tools

Cond Mon. Online

Cond. Mon. Periodic


Financial

Budget & Schedule

Equip Cond. Data

Reporting & Decision Tls Technology Software

Dispatch System

Industry Database

Figure 6-7 EPRI TR 107759 Assessing Maintenance Effectiveness (Nuclear, NMAC)

6-15

References Category



Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A


Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Plant Goals


N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Communication Metrics

Accountability


Overall Goals

Department Goals


Change Mgmt Prog

Process Improvement

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.



Work Control



Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Work Execution


Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Closeout


Post Job Critique


House Keeping


N/A

N/A

Plant Systems


Business Literacy

Contractor Training

Specialty Training

Training Facilities



N/A

N/A

N/A

N/A




Mgmt/Union Interaction Multi - Discipline

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A

Qualifications

Personnel Selection


Re-Qual Process

Contractor Quals


Succession Planning

N/A

N/A


CMMS


Scheduling Tools

N/A

N/A

N/A

N/A


Execution Tools

Cond Mon. On-line

Cond. Mon. Periodic



N/A

N/A


N/A

N/A


Figure 6-8 Utility Maintenance Documents

6-16

Eng

SelfAssessment

Utilization

4.0 Technologies

Ops,Maint,

Cont. Improvement

Training


Sub-element

Financial

Budget & Schedule

Equip Cond. Data


Industry Database

References Category



Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A


Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Department Goals

Plant Goals


N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Communication

Metrics Accountability



4.0 Technologies

Sub-element

Ops,Maint,

Eng

Overall Goals


Cont. Improvement

SelfAssessment

Change Mgmt Prog

Process Improvement

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.



Work Control



Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Work Execution


Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Closeout


Post Job Critique


House Keeping


N/A

N/A

Business Literacy

Contractor Training

Specialty Training

Training Facilities


Training



Plant Systems


Utilization


Multi - Discipline



N/A

N/A

N/A

N/A

Conflict Resolution

N/A

N/A

Human Performance

Behaviors & Values

Procedure Use

Self Check

Peer Check


Qualifications

Personnel Selection


Re-Qual Process

Contractor Quals


Succession Planning

N/A

N/A


CMMS


Scheduling Tools

N/A

N/A

N/A

N/A


Execution Tools

Cond Mon. On-line

Cond. Mon. Periodic



N/A

N/A


N/A

N/A


Financial

Budget & Schedule

Equip Cond. Data


Industry Database

Figure 6-9 INPO 97-013: Guidelines for the Conduct of Maintenance at Nuclear Stations, December 1997

6-17

References Category


Element

Sub-element

Benchmarking

Within Industry

Outside Industry

N/A

N/A

N/A

N/A

N/A

N/A

Goals/Business Plan

Org Perf Goals

Maint Dept. Goals

Individual Goals

Business Planning

N/A

N/A

N/A

N/A

Organization

Roles & Respons.

Specialty Teams

Contract Mngmt

Facilities

N/A

N/A

N/A

N/A

Leadership

Direction


Discipline

Empowermt

Motivation

N/A

N/A

N/A


Workforce to Mgmt

Peer Group Meetings

Wrkr - Wrkr Comm.

N/A

N/A

N/A

Department Goals

Plant Goals


N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Communication

Ops,Maint,

Metrics

Accountability



SelfAssessment

Change Mgmt Prog

Process Improvement

Use of OE

CAP Program

R&D Activities


Team Prob Solving

Work Identification

Work ID Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.



Work Control



Prioritize Work

Risk Assessment


Planning

Scheduling

Contract Mngmt

Work Execution


Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

ALARA

Post Job Critique


House Keeping


N/A

N/A


Plant Systems


Business Literacy

Contractor Training

INPO ACAD

Specialty Training

Multi - Discipline



N/A

N/A

N/A

N/A

Procedure Use

Self Check

Peer Check


Conflict Resolution

N/A

N/A

Contractor Quals


Succession Planning

N/A

N/A

N/A

N/A

N/A

N/A



N/A

N/A


N/A

N/A

Training

Utilization

4.0 Technologies

Overall Goals

Cont. Improvement

Work Closeout


Human Performance




Mgmt/Union Interaction Behaviors & Values

Qualifications

Personnel Selection


Re-Qual Process


CMMS


Scheduling Tools


Execution Tools

Cond Mon. On-line

Cond. Mon. Periodic


Financial

Figure 6-10 INPO Excellence in Human Performance

6-18

Eng

Budget & Schedule

Equip Cond. Data


Industry Database

A MANAGEMENT AND WORK CULTURE

A-1


1.0 Management and Work Culture This category includes the maintenance organization's processes for managing its business, and creating a productive work environment and healthy work culture. This environment allows the organization to perform maintenance effectively and with high safety standards. The elements of this category include benchmarking, business planning, and leadership, as well as how effective communication drives the organization's accountability, and continuous improvement effort..

RNWF EPRI Maintenance Consulting Experience

1.1 Benchmarking This element addresses the maintenance organization's process and proficiency, with benchmarking of the plant performance to allow for a direct comparison of the organizational practices with the best-in-class within the utility industry and among all other industries.

EPRI Maintenance Consulting Experience

1.1.1 Within Industry This sub-element addresses the benchmarking process and proficiency within the utility industry.


1.1.2 Outside Industry This sub-element addresses the benchmarking process and proficiency among all other industries.


1.2 Goals/Business Plan This element addresses the maintenance organization's process for creating a business plan. It is important for the maintenance department to be very clear on the magnitude of what they are planning to undertake and what they hope to accomplish with their business plan. The staff must believe that the potential outcome is worth the effort, that there is benefit to the individuals, and that management is wholly committed to providing the resources and support that are necessary to accomplish the goals within the business plan.

A-2


Management and Work Culture 1.2.1 Overall Performance Goals This sub-element addresses how management performs in setting overall (all facilities, stations, units, etc.) maintenance goals and clearly conveys their expectations. These expectations are conveyed to the organization as goals that align directly to the corporate mission, vision, and goals.

TR 1000321 EPRI PMO Assessment Guideline

A1

Goals targeting high quality product at minimum cost are established


A2

Customer satisfaction goals are established


A3

Product and service reliability and availability goals are established


A4

Workforce effectiveness goals are established


A5

Capital and Asset management cost goals are established


1.2.2 Maintenance Department Goals This sub-element addresses how management performs at setting specific maintenance department goals for individual facilities, stations, units, etc. and clearly conveys their expectations. These expectations are conveyed to the individual maintenance departments as goals that align directly to the mission and vision. They include all general goals and maintenance process (Work Identification, Work Control, Work Execution, and Work Closeout) goals.


A1

Goals targeting a high quality product at minimum cost are established

TR1000321 EPRI PMO Assessment Guideline

A2

Customer satisfaction goals are established


A3

Product and service reliability and availability goals are established


A-3

Management and Work Culture A4

Workforce effectiveness goals are established


A5

Maintenance cost target goals are established


A6

Specific work identification goals are established


A7

Specific work control goals are established


A8

Specific work execution goals are established


A9

Specific work closeout goals are established


1.2.3 Individual Goals This sub-element addresses the effectiveness of the organization's process for setting individual maintenance personnel goals on an annual/semi-annual basis.

Industry experts experience

A1

Personnel performance assessment/appraisal process exists and is used by the organization


A2

Managers and Supervisors work in cooperation with personnel to set individual goals using a performance assessment/appraisal procedure


1.2.4 Business Planning This sub-element addresses the maintenance organization's formal process for creating and obtaining management approval of a detailed business plan for the short term (1 year), intermediate term (3-5 years), and long term (10 years).

A-4


A1

Formal Business process/procedure plan exists and is used by the maintenance organization


A2

Business plan alignment is obtained from other facilities, stations, etc., and from Operations, Engineering, etc.


Management and Work Culture 1.3 Organization This element includes the organizational structure in place to provide for coordinated maintenance decision- making, and successfully accomplishing plant maintenance (e.g. process teams, component ownership, process ownership, fix-it-now, etc.). Clearly defined lines of reporting, responsibility, and accountability are evident in a well-organized maintenance organization. The appropriate facilities exist to support maintenance in accomplishing the identification, control, execution, and closeout of work.

EPRI Maintenance Consultants experience

1.3.1 Roles and Responsibilities This sub-element addresses the organization's processes and policies for documenting and communicating individuals specific roles and responsibilities.


A1

Defined jobs, tasks, skill levels, and responsibilities exist for individuals in each unique position

INPO 97-013

A2

Defined training and qualification requirements exist for each position

INPO 97-013

A3

Each maintenance worker is knowledgeable of their specific role and responsibilities

INPO 97-013

1.3.2 Specialty Teams This sub-element addresses the maintenance department's approach to creating unique organizations to accomplish specialty maintenance tasks (plant outage maintenance, switchyard maintenance, complex equipment), and/or to share resources among multiple locations.


A1

Mobile maintenance groups are utilized where appropriate


A2

Dedicated shared resources are utilized for tasks requiring unique skills


A3

Functional teams composed of Operations, Maintenance, Engineering, etc. are utilized for tasks requiring cross-organizational activities


A-5


1.3.3 Contract Management This sub-element addresses the organization's approach to utilizing contracted resources for specialty or infrequent tasks, and/or for resource leveling.


A1

Specialty tasks are identified which require unique contracted worker skills


A2

Base levels of manpower are established to provide the basis for what level of work will be contracted


A3

Contract management procedures are established


A4

Contract management responsibilities are clearly established


1.3.4 Facilities This sub-element addresses the quality of all maintenance-related work spaces including management and supervisors areas, workshop/machine shop areas, satellite work areas, etc.

INPO 97-013

1.3.4.1 Shops-Satellite Work Areas

A-6

A1

An area layout designed to support worker safety and efficiency is established

INPO 97-013

A2

The location and type of work performed is considered in determining the types and level of environmental controls and services to be included I

INPO 97-013

A3

Supervisors maintain workplace environmental controls conducive to maintenance quality and work efficiency

INPO 97-013

A4

Storage facilities convenient to work areas are established, and workers keep the areas neat and clean

INPO 97-013

Management and Work Culture 1.3.4.2 Laydown and Staging Areas A1

Authorizations for access, with provisions for security and fire protection, are in place

INPO 97-013

A2

Operating access to equipment is maintained

INPO 97-013

A3

Labeling of facilities to designate responsibility and entry authorization is established

INPO 97-013

A4

Temporary storage of parts with controls commensurate with each part's requirements is established

INPO 97-013

A5

Personnel plans for movement into and out of the staging areas during planned outages that have assigned areas for equipment, special tools, rigs, and parts are understood and in place

INPO 97-013

1.3.4.3 Temporary Facilities A1

Areas needed for supporting activities during outages are established

INPO 97-013

A2

Necessary services such as communications, electrical power, compressed air, water, environmental controls, and lighting are provided

INPO 97-013

1.3.4.4 Management and Supervisor Facilities A1

Manager and supervisor facilities are adequate to perform Management tasks such as interviews, work meetings, counseling, etc.


1.4 Leadership Management should provide direction for the organization by clearly defining expectations and providing the necessary support and budgets for initiatives to be successful. Leadership also includes the discipline to adhere to the business plan. Workers must be empowered to make decisions, and adherence to the plan and schedule should be monitored.


A-7


1.4.1 Direction This sub-element addresses the mechanisms that maintenance and plant management have established for providing the organization with direction regarding how to operate the business of maintenance. The Direction sub-element includes the existence of clear/distinct policies, written maintenance process descriptions, and guidance for the requirements/thresholds for maintenance procedures. This Direction includes the link of polices, processes, and procedures to be implemented that will allow the organization to attain the specific business plan goals addressed in the goals/business plan sub-element.

Various Leadership Publications

A1

A clear and distinct set of high level maintenance policies is established


A2

A documented set of maintenance process descriptions for major maintenance processes is established including: work identification and work management which includes work control (planning and scheduling), work execution, and work closeout


A3

A set of values and expected behaviors for the maintenance organization has been jointly established among the leadership, maintenance management and workers

TR114002 Guide for building a high performance Generating plant

A4

Specific written procedures for administrative maintenance functions and maintenance sub-processes are available


A5

The organization's goals and business plan are provided to maintenance management and supervisors with clear expectations of what is to be done


A6

A clear set of maintenance task definitions exists


A7

Management communicates individual roles, responsibilities, expected behaviors, results, and standards in clear, unmistakable terms

INPO 97-013

1.4.2 Policies and Processes This sub-element includes the existence of clear/distinct policies, written maintenance process descriptions, and guidance for the requirements/thresholds for maintenance procedures and processes, and revisions to these procedures and processes.

A-8

INPO 97-013


A Management Model exists which provides guidance for the requirements of maintenance policies, process descriptions and procedures

INPO 97-013

A2

A conduct of Maintenance document exists which describes the high level guidance for conducting and managing maintenance

INPO 97-013

A3

Maintenance managers and workers create process descriptions for critical maintenance processes

INPO 97-013

A4

Policy guidance provides procedures that include: verification and validation; approval; control; periodic review; use; and, revisions and changes

INPO 97-013

A5

Procedure identification and status (titling and numbering, page and revision identification, and originator) is provided

INPO 97-013

A6

Procedure purpose, scope, applicability, and impact on other system's operational impact of activity is provided

INPO 97-013

A7

Consistent format (for organization, instructional step format, instructional step designation, caution and note format, and page format) is provided

INPO 97-013

A8

Clearly understood text, using standard grammar and punctuation; appropriate level of detail; concise instructional steps in logical sequence; proper arrangement of multiple verb objects; specific nomenclature; quantitative and compatible values; referencing and branching methods; coordination of multiple actions; warning and caution location; effective formatting; and clear table, graph, and data sheet layout is provided

INPO 97-013

A9

Consistent use of illustrations (i.e. preparation, compatibility, views, level of detail, legibility when reproduced) is provided

INPO 97-013

A10

Clear indication of hold points, independent verification requirements, or data to be recorded is provided

INPO 97-013

A11

Systematic station and system prerequisites, precautions, and limitations are provided

INPO 97-013

A12

Clear indication of acceptance criteria, follow-on steps, and restoration instructions are provided

INPO 97-013

A-9


A13

Steps that inform control room operators of expected alarms or equipment operations are provided

INPO 97-013

A14

Guidance to workers to expeditiously notify control room operators of maintenance that cannot be completed as originally planned, or will be delayed and extended past the anticipated schedule, is provided

INPO 97-013

A15

Applicable operating experience information is provided

INPO 97-013

A16

Procedure development and preparation using personal computer desktop publishing and computer-aided writing programs, in easy-to-read text with clear illustrations, is provided

INPO 97-013

A17

Other administrative requirements for successful task completion are available

INPO 97-013

1.4.2.1 Procedure Control A1

Responsibilities for procedure administration are clearly defined

INPO 97-013

A2

Control procedures in accordance with administrative requirements are provided

INPO 97-013

A3

Vendor manuals, or portions used as reference in support of maintenance, are technically accurate, up-to-date, and controlled

INPO 97-013

A4

Controls on troubleshooting to prevent unauthorized work and equipment modifications are provided

INPO 97-013

A1

All procedures are periodically reviewed (i.e. every two years or before use for infrequently used procedures) for changes affecting content, such as reference material revisions, permanent incorporation of changes, incorporation of industry and in-house experience, format enhancements, and human factor considerations

INPO 97-013

A2

Checklists for the review, ensuring that the scope and depth of the review is consistent and adequate, are used

INPO 97-013

1.4.2.1.1 Review

A-10

Management and Work Culture Vendor manuals receive the same review and approval as station maintenance procedures. When there is a conflict with maintenance experience and vendor recommendations, a documented engineering evaluation may be required

INPO 97-013

A1

Procedure revisions are given the same review and approval as new procedures. Significant revisions are reviewed to determine potential impact on initial and continuing training programs

INPO 97-013

A2

Reviews to evaluate the qualifications of personnel presently performing the tasks are in place

INPO 97-013

A3

1.4.2.1.2 Revision

1.4.3 Discipline This sub-element addresses the effectiveness of management in establishing a professional environment where people can be held accountable but also see a path to learn from their experiences.


A1

Managers are held accountable to the maintenance business plan


A2

Supervisors are held accountable to specific preset performance expectations consistent with the Maintenance business plan


A3

One and three year maintenance business plan goals are appropriately incorporated into the individual performance goals of each maintenance manager, supervisor, and worker


A4

Non- management personnel are held accountable for their roles & responsibilities and their performance goals


1.4.4 Empowerment This sub-element addresses the effectiveness of an organization in providing the appropriate level of authority to individuals within the organization, to allow them to accomplish those goals for which they are responsible.


A-11


A1

Responsibilities are clearly presented to the manager, supervisor, and worker with the appropriate authority to accomplish the task


A2

Authority for budget is provided to the manager, supervisor, worker responsible for accomplishing the task


1.4.5 Motivation This sub-element addresses the timeliness and effectiveness of an organization in providing the appropriate level of feedback (positive and negative) to individuals within the organization regarding their performance. Also, this sub-element includes the organization's methods for providing compensation as motivation directly tied to individual performance.

A-12


A1

The performance of managers, supervisors, engineers, planners, craftsmen, warehouse personnel, and other personnel who support maintenance, particularly those doing superior performance, are recognized

1.50

INPO 97-013

A2

An environment in which feedback and communication are continuously encouraged is present

1.00

INPO 97-013

A3

All information necessary for the worker to perform a quality job is provided

1.00

Industry Expert experience

A4

Employees are publicly recognized for good performance (tie to A1)

1.00


A5

Managers provide the appropriate amount of 'one-on-one' time with workers

1.00


A6

Group successes are celebrated (least important)

1.00


A7

Progression paths for workers, supervisors and managers are clearly established

1.50


A8

Financial rewards based on performance to preset goals are an integral part of maintenance workers compensation

2.00


Management and Work Culture 1.5 Communication This element includes the quality (formal and informal) of communications and information exchange between Maintenance, Management, Operations, Engineering, and others within the organization. Specifically, this element addresses the existing methods and quality of communication for management-to-workforce, workforce-to-management, worker-to-worker, and management peer communications.


1.5.1 Operations, Maintenance, Engineering This sub-element addresses the communication both formal and non-formal between groups. A1

A communication method for advising each maintenance , engineering and operations of short- and long-range maintenance schedules is established

INPO 97-013

A2

Communication of maintenance business plan performance throughout the year from maintenance to Operations and engineering is strong

TR1000321 EPRI PMO Assessment Guidelines

A3

System and Component performance/condition information is exchanged among these groups to help make the right maintenance decisions


1.5.2 Management to Workforce This sub-element addresses the communication both formal and non-formal from management to the worker. A1

Standards for equipment performance and material condition to all personnel, with managers and supervisors assessing adherence to these standards, is effectively communicated

INPO 97-013

A2

Communication of Maintenance business plan from management to workforce is strong

Utilities Maintenance Documents

A3

Communication of individual expectations from management to workforce is strong


A-13


A4

Supervisors meet with their teams on a periodic basis to ensure effective dissemination of management expectations, and to provide a forum for technicians to surface issues to management


1.5.3 Workforce to Management This sub-element addresses the communication, both formal and non-formal, C140 from the worker to management. A1

The principle of solving problems at the lowest possible level is confirmed. Potential grievance issues are discussed with the first line supervisor


A2

Maintenance personnel discuss concerns with their Supervisors, then their Managers, when they feel that they have not been dealt with properly by their direct foreman/supervisor


A3

Questions or concerns in regard to a technician's qualification for an assigned task are discussed and resolved with the first line supervisor prior to the start of the job


1.5.4 Peer Group Meetings This sub-element addresses the effective, open communication that is essential for the safe and efficient performance of plant maintenance. Clear and unambiguous communication is an integral part of procedure compliance and safe work practice.

A-14


A1

Repeat backs are used to ensure accurate communication, especially when portable radios, headsets, or telephones are being used


A2

Three-way (repeat back) communication is used to ensure that the message is received and understood. It is mandatory for all orders/directions that involve operation of plant equipment, or the exchange of critical information related to the plant or plant equipment (this is not limited to radio or telephone communications)



Three-way (repeat back) communication is used to: report an event (e.g. fire, man down, hazmat event, significant component malfunction, etc.); exchange critical information or data (e.g. during valve diagnostic testing); and, perform equipment configuration changes or alterations (e.g. lifted leads, installing jumpers, changing valve positions, etc.)


A4

Three-way (repeat back) is used while communicating in areas with high background noise, or when using radios, sound-powered headsets, page systems or telephones


A5

Three-way (repeat back) is used when verifying equipment out-of-service (OOS) that involves some personal safety risk (e.g. confirming that a component is electrically de-energized)


A6

Three-way (repeat back) is used when communicating between departments related to plant equipment


A7

Individuals regularly use repeat backs

INPO 97-013

A8

When communicating, such as in a job or shift turnover, individuals pass on relevant and accurate information carefully, verifying the other individual's understanding

INPO 97-013

A9

Workers inform coworkers, supervisors, or managers when there is a potential problem with performing a task

INPO 97-013

1.6 Metrics This element addresses the quality and effectiveness of a maintenance organization's performance indicators/metrics. It includes global goal measurements, such as: capacity factor; cost and reliability; maintenance department goal measurements (maintenance budget versus cost, maintenance induced plant downtime, etc.); and, all specified work identification, work control, work execution, and work closeout activity metrics. This element does not address worker productivity metrics (refer to 'People Skills' category, the 'Utilization' element, and the 'Productivity' sub-element for worker productivity metrics).

TR1077595 EPRI Assessing Maintenance Effectiveness

A-15


1.6.1 Overall Goals This sub-element addresses Metrics for measuring the effectiveness of the maintenance organization in supporting the overall goals of the organization. Total maintenance budget dollars across multiple sites, if applicable, are calculated, trended and available to maintenance management


A1

Components and systems requiring corrective maintenance more than a designated number of times within a given interval are tracked

INPO 97-013

A2

Number of equipment failures are tracked

INPO 97-013

A3

Mean times between failures are tracked

INPO 97-013

A4

Preventive maintenance tasks that are overdue are tracked

INPO 97-013

A5

Number of overdue preventive maintenance tasks accepted with technical justification are tracked

INPO 97-013

A6

Historical equipment data that indicates high maintenance cost are tracked

INPO 97-013

A7

Components and systems with high unavailability or low reliability are tracked

INPO 97-013

A8

Analysis reports of component performance that indicate failure rates greater than industry-wide averages are generated

INPO 97-013

A9

Performance Indicators for all the sub-elements of Work Identification are established


A10

Performance indicators are tracked


A11

Appropriate action based on the results of the performance indicator tracking are recommended

INPO 97-013

A1

1.6.1.1 General

A-16


Number of power reductions attributable to maintenance program deficiencies are tracked

INPO 97-013

A13

Equipment deficiencies that adversely impact the operators' ability to effectively operate the plant are tracked

INPO 97-013

A14

Goals that are challenging but achievable are established

INPO 97-013

A15

Actions to support the goals that are determined with input from personnel involved in conducting maintenance activities are established

INPO 97-013

A16

The status of meeting goals is established and given frequently and with wide dissemination through station information centers (using bar graphs, etc.), providing the personnel with timely information on goals and their status

INPO 97-013

A17

Maintenance backlog to verify that important jobs are not being delayed unnecessarily, and that the amount of work in the backlog is controlled, is monitored

INPO 97-013

A18

Not-in-stock, on-demand (percent of stock items not available on request) are tracked

INPO 97-013

A19

Scheduled work requests delayed because of parts unavailability are tracked

INPO 97-013

A20

Work requests in progress with material restraints are tracked

INPO 97-013

A21

Quantity of discontinued and infrequently used inventory are tracked

INPO 97-013

A22

Summaries of items scheduled versus items completed are tracked

INPO 97-013

A23

Number and duration of unplanned outages are tracked

INPO 97-013

A24

Timeliness of scheduled surveillances, preventive maintenance activities, and predictive maintenance activities are tracked

INPO 97-013

A25

Management of the maintenance backlog is tracked

TR109968 EPRI Maintenance Work Mgmt. Best Practices

A26

Work delays and their contributors are tracked

INPO 97-013

A-17


A-18

A27

Actions to support the goals that are determined with input from personnel involved in conducting maintenance activities are in place

INPO 97-013

A28

Number of unplanned unit trips caused by maintenance activities are tracked

INPO 97-013

A29

Corrective maintenance recurring within a specific period (i.e. 12 months or during a refuel cycle) is monitored

INPO 97-013

A30

Additional maintenance required during or following completion of maintenance activities, possibly involving: incorrect reassembly; damage to other components during maintenance; and, post maintenance test failure, is monitored

INPO 97-013

A31

Backlog management of Corrective Maintenance is established


A32

Backlog management of Preventive Maintenance is established


A33

Work Identification metrics of CM ratio (CM/total work) and Emergency work (Emergency hours/total hours) are established


A34

Work Control metric of Schedule compliance (Planned hours/total hours) is established


A35

Work Control metric of Planning effectiveness (Estimated/Actual hours) is established


A36

Work Control metric of PM compliance (Completed PMs/Scheduled PMs) is established


A37

Work Control metric of Sponsored work (Sponsored hours/Total hours) is established


A38

Work Execution metric of Rework (Rework hours/Total hours) is established


A39

Productivity metric of Resource Utilization (Complete WOs hrs./Total period hrs.) is established



The utilization of the craft resources is determined by the man-hours for selected equipment type


A41

Maintenance man-hours expended for a selected equipment type are tracked


A42

Economic objective is the percentage of contracted maintenance and is tracked


A43

Maintenance-induced plant trips that are directly attributable to a maintenance action are tracked


A44

Procedure change percentage per period provides information of systemic problems in the adequacy of procedures, is measured by dividing the number of procedures subject to change during the period by the total number of maintenance and surveillance procedures and multiplying the answer by 100, and is tracked


A45

The percent of contracted maintenance is obtained by dividing the total expenditure for contracted maintenance (including the in-house maintenance staff support for the same) by the total budget for maintenance and multiplying the answer by 100, and is tracked


A46

Staff productivity measures the craft to staff man-hours and is tracked


A47

Staff productivity measures the Work Orders per staff week and is tracked


1.6.1.2 Work Identification A1

Component count included in the maintenance program for safety and nonsafety equipment (periodic, corrective, and predictive maintenance) is available


A2

Percent of non-outage maintenance (this relates to the amount of periodic, predictive, and corrective maintenance performed during non-outage periods for safety/non-safety equipment) is tracked


A-19


A3

Work Order count comparison (this relates to the total number of WOs serviced over a monitoring period and their breakdown) is tracked


A4

Component availability is determined by the number of hours a component is available to perform divided by the total number of hours in a given period and is tracked


A5

Component reliability is determined by the number of hours a component operates satisfactorily divided by the number of hours a component is called for to run and is tracked


A6

Cost of preventive maintenance activities is expressed as a percentage of the overall maintenance budget and is tracked


A7

Cost of corrective maintenance activities is expressed as a percentage of the overall maintenance budget and is tracked


A8

Percentage of man-hours expended on preventive maintenance as a percentage of the total man-hours is calculated and is tracked


A9

Percentage of man-hours expended on corrective maintenance as a percentage of the total man-hours is calculated and is tracked


A1

The quality of planning is established (e.g. ratio of estimated to actual labor and materials, completeness and accuracy of jobs steps, parts, permits, tools)

Various EPRI PMO Technical Report

A2

Planning productivity exists as a percent of equipment for which Bills of Materials (BOMs) are constructed


A3

Planning productivity exists as the number or BOMs prepared per year


A4

Planning productivity exists as a percentage of Work Orders with BOMs


1.6.1.3 Work Control

A-20


Planning productivity exists as a percentage of equipment covered by standard job plans


A6

Planning productivity exists as a percentage of Work Orders using standard job plans


A7

Planning productivity exists as a number of jobs approved but not planned


A8

Planning productivity exists as planning backlog size


A9

Planning productivity exists as planning backlog input rate and trends


A10

Planning productivity exists as the number of Work Orders planned per day


A11

Planning productivity exists as the ratio of planners to maintenance crafts


A12

Planning productivity exists as the ratio of planners to maintenance supervisors


A13

Planning productivity exists as responsibility for assembling the critical defined path


A14

Inventory turns by part type (activity-frequency), identification, and total


A15

Percentage of inventory accuracy is measured/tracked


A16

Inventory aging is measured/tracked


A17

Inventory value is measured/tracked


A-21


A18

Dollars of inventory stocked is measured/tracked.


A19

Dollars of safety stock maintained is measured/tracked


A20

Dollars of obsolete/excess parts identified this period (written off) is measured/tracked


A21

Dollars of percentage obsolete/excess parts is measured/tracked


A22

Dollars of percentage stock versus non-stock parts is measured/tracked


A23

Quality assurance and control by number of items received in a QA/QC program is measured/tracked


A24

Quality assurance and control by number of errors in delivered items is measured/tracked


A25

Quality assurance and control by number of percentage of stock items in a QA/QC program is measured/tracked


A26

Vendor stocking is by number of percentage of vendor stocked items


A27

Vendor stocking is percentage of orders delivered as requested


A28

Vendor stocking is the average delivery time of vendor stocked materials


1.6.1.4 Work Execution A1

A-22

Loss-of-time accidents caused by maintenance activities are tracked



Cost of maintenance training is expressed as a percentage of the overall maintenance budget and is tracked


A3

Percentage of man-hours expended on maintenance training as a percentage of the total man-hours is tracked


A4

Utilization of the craft resources as determined by the craft man-hours by maintenance type and discipline is tracked


A5

Number of maintenance-induced plant trips are tracked


A6

Number of maintenance-induced violations and Licensee Event Reports (LERs) are tracked


A7

Personal safety objects are lost man-hours due to injuries and are tracked


A8

Craft productivity measures the percent of Work Orders attributable to rework and is tracked


A9

Craft productivity measures the craft man-hours by maintenance type and discipline for mechanical, electrical, and instrumentation and control groups and is tracked


1.6.1.5 Work Closeout A1

Quantity of maintenance task types, CM- Expected (or elective maintenance), CM-Unexpected, PM -Restore/Replace, PM -Condition Monitoring Task, Condition Directed Maintenance (from PM -CMT), or Proactive tasks (PAM)

TR1004015 EPRI Guideline for Proactive Maintenance

A2

Number of work orders reviewed are tracked


A3

‘As Found’ condition code types are applied and tracked


A4

Number of PM changes influenced by work close-out are tracked


A-23


A5

Number of events analyzed for root cause are tracked


1.6.2 Plant Goals This sub-element addresses the metrics required to assure the alignment and tracking of the maintenance goals with the plant goals. A1

The status of meeting goals are established and given frequently and with wide dissemination through station information centers (using bar graphs, etc.) providing the personnel with timely information on goals and their status

INPO 97-013

A2

Key high level indicators such as overall maintenance budget as a percentage of total O&M budget are tracked

Various EPRI PMO Technical reports

A3

Total Maintenance overtime hours and costs are measured and tracked

Various EPRI PMO Technical reports

1.6.3 Customer Satisfaction Every department, Maintenance, Operations, and Engineering is always both a customer and a supplier. All departments have internal customers; and, this internal customer satisfaction is a process of identifying, understanding, measuring, and meeting the needs of other work groups within the organization, in order to best meet the needs of ultimate customers outside the organization. This sub-element addresses the organization's methods and practices for measuring and ensuring that customer needs are met.

A-24


A1

Specific inter-departmental needs are identified

Various EPRI PMO Technical Reports

A2

The status of meeting goals is communicated provided frequently and with wide dissemination through station information centers (using bar graphs, etc.), providing the personnel and customers with timely information on goals and their status

INPO 97-013

A3

Need for service to internal customers is acknowledged and the term is current in plant vocabulary



Formal process is in place for internal customer satisfaction measurement/management


1.7 Accountability/Ownership This element addresses how all personnel recognize what is expected of them, and how they perform accordingly. This includes how managers and supervisors are held accountable, and the level of craft ownership of the overall operation and performance of the plant (i.e. Ownership of systems and components, reliability, maintenance work and quality, and cost expenditures) on an individual basis.

Various EPRI and INPO Documents

1.7.1 Personnel Performance This sub-element addresses the effectiveness of an organization's personnel development, and periodic performance appraisal of individual maintenance workers.

Industry expert experience

A1

Personnel involved in significant or frequent violations of maintenance requirements are encouraged to improve through counseling, remedial training, or disciplinary measures, where appropriate

INPO 97-013

A2

Feedback is used through measures such as personal performance appraisals to improve maintenance personnel performance

INPO 97-013

A3

Individuals take full responsibility and ownership for all aspects of the individual's job tasks and goals


A4

All maintenance personnel hold both their peers and themselves accountable for required support


1.7.2 Business Plan Adherence This sub-element addresses the effectiveness of the maintenance organization's process for periodically reviewing its short and long-term business plan goals. These reviews include budget performance, schedule adherence, and goals achieved. A1

Various Industry Publications

All managers and first-line supervisors are involved in periodically updating the business plan item performance

A-25


A2

All managers and first-line supervisors are involved in periodically reviewing and critiquing the business plan adherence

A3

Crew-level involvement is included in the business plan reviews

1.7.3 System/Component Ownership This sub-element addresses the need for ownership at the component and/or the system level. Owners have the responsibility for the overall performance of their equipment.


A1

Ownership of equipment/systems is formally assigned by leadership and/or maintenance management


A2

System and/or Component reliability and availability are owned by maintenance assigned personnel


A3

The system/component owner is responsible for learning from maintenance history and proactively making adjustments for future improvement in maintenance and or equipment reliability


A4

The maintenance basis is owned by the assigned system/component owner


1.7.4 Craft Ownership This sub-element addresses the leadership role that the craft have in the success of the plant.

A-26

A1

Craft act as human-performance lead in each shop

0.50

INPO Craft Ownership Documents

A2

Craft personnel participate on projects (lead if possible)

0.50

INPO Craft Ownership Document

A3

Craft act as mentors to identify successors in their areas of expertise

0.50


A4

Craft participate in training material development and/or training advisory committees

0.50


A5

Craft review appropriate corrective action responses

0.50



CM backlogs are assigned to craft or craft teams

0.50


A7

Craft perform peer field observations

0.50


A8

Craft are assigned as owners for specific equipment (system or components)

0.50


A9

Craft perform rework evaluations

0.50


A10

Craft perform walk-downs of assigned work from work control scheduled

0.50


A11

Craft are participate in component/system health teams when applicable

0.50


A12

Craft are involved in conducting pre-job briefings/post-job reviews

0.50


A13

Craft are responsible for maintenance work execution procedure quality

0.50


A14

Craft/supervisors conduct workweek critiques on improving ownership

0.50


A15

Craft are involved in outage scope decisions

0.50


A16

Craft serves as Subject Matter Expert instructors

0.50


A17

Craft make work package closeout and feedback a part of their job

0.50


A18

Craft own the troubleshooting process

0.50


A19

Craft participate on benchmarking assignments

0.50


A20

Craft write corrective action reports

0.50


1.8 Continuous Improvement This element addresses the organization's ability to be a 'Learning' organization that is able to avoid repetitive mistakes. This includes evaluation of activities such as performing selfassessments, continually improving processes by utilizing industry experience and applying new industry techniques.

EPRI Maintenance Consultant experience

A-27


1.8.1 Self-Assessment This sub-element addresses the organization's effective use of self-assessments (activities aimed at comparing existing performance to established standards to determine areas in need of improvement) to provide a self-evaluation and corrective action program to compare actual divisional performance to Management expectations and industry standards. Periodic reports to management include trends, a brief explanation for trends that appear to be unusual (positively or negatively), and corrective measures where warranted.

A-28

INPO Principles for Effective SelfAssessment and CA Program

A1

Is conducted in response to a performance shortfall, such as root cause analysis

INPO 97-013

A2

Is continuous-conducted on a routine basis to identify performance strengths and shortfalls; for example, manager in-field observations, workweek critiques, and self-checking

INPO 97

A3

Is periodic-conducted on an event-dependent or periodic basis, such as a post-outage critique and scheduled program assessments

INPO 97

A4

Is proactive-conducted to identify improvements needed to move performance to levels that exceed current expectations, or to prepare for performance of an evolution; for example, infrequently performed tests.

INPO 97

A5

Maintenance organization includes performance-based review of maintenance field activities that evaluates program implementation, rather than a programmatic review of maintenance procedures and policies for compliance with governing documentation

INPO 97

A6

Maintenance organization has sufficient resources, both personnel and time, allocated for self-assessment activities. An unbiased input can be achieved by involving personnel from external organizations (e.g. the corporate office, a sister plant, outside experts, etc.)

INPO 97

A7

Maintenance organization has developed an agenda for the self-assessment with specific areas to examine, and a clear definition of standards that are expected to be met in each area

INPO 97

A8

Maintenance organization has established an ownership for resolving issues developed in the self-assessment, with a specific time frame for resolution

INPO 97-013


Maintenance organization uses trends in maintenance-related industry events to initiate self-assessment

INPO 97-013

A10

Task, process, and organization self-assessments are performed in accordance with divisional self-assessment schedules


A11

Is performed by personnel with the necessary expertise to conduct these activities


1.8.2 Change Management Program This sub-element addresses an organization's policies and procedures for managing change within the maintenance organization.


A1

Guidance training for changes to processes, procedures, and equipment; industry and in-house operating experience; and, lessons learned from outage critiques are established

INPO 97-013

A2

Change management plans are expected and approved by maintenance management for any significant maintenance program changes


1.8.3 Process Improvement This sub-element addresses an organization's policies and procedures for managing the improvement processes within the maintenance organization.

EPRI Process Improvement Documents

A1

A formal process for managing "process improvement is established


A2

All Maintenance personnel continuously look for and are involved in improving maintenance processes (e.g. work execution, work planning, etc.


A3

Workers think in terms of working on the process rather than doing a task


A4

Workers understand interfaces between their process and those of others


A-29


A5

Recommended process improvement initiatives are tracked through completion by the management team


A6

All Maintenance personnel are trained on the process improvement techniques


1.8.4 Use of Operating Experience This sub-element addresses a maintenance organization's application of Operating Experience (OE). Few events have occurred at plants that reveal a completely new cause or failure mechanism. Most investigations find that industry-operating experience was available which, if used effectively, could have prevented recurrence of the event.

A-30


A1

Sources of operating experience: Personal experience; Station Event Reports; Event Reports from other facilities within the company (including non-nuclear)


A2

Sources from EPRI and Vendor Correspondence


A3

During the work package planning process, sources of Operating Experience are reviewed and applicable items included in the package


A4

Discussion of operating experience during shift briefings with Operations personnel is encouraged


A5

During 'Pre-Job' briefings, Operating Experience is interactively reviewed by the members of the group planning to perform the work


A6

Experienced team members discuss the potential error which could occur to heighten the awareness of less experienced team members to 'Error Likely Situations'


A7

Vendor Notices applicable to the associated components are reviewed


A8

Post job briefings are conducted (when appropriate) to critique how the job went, and to determine if improvements can be made and documented as Operating Experiences



All efforts are made to capture low level events which could be trended, and corrective actions implemented to prevent more serious events


1.8.5 Corrective Action Process (CAP) This sub-element addresses the process in place to manage corrective actions resulting from deficiencies identified while performing any maintenance activity.

INPO

A1

A corrective action process exists


A2

The expectation for using self-evaluations for continuous improvement is communicated to all station personnel. Self-evaluations are driven from within (self-driven)

INPO 97-002

A3

Ownership of the CAP process has been established


A4

The corrective action process for maintenance addresses specific events that impact safety, environment, MW production (availability) and cost


A5

CAP criteria have been set and if exceeded will trigger an event


A6

Corrective Actions adequately address the fundamental cause of problems, rather than the symptoms

INPO 97-002

A7

Employees at all levels are self identify events and report problems in accordance with CAP program criteria

INPO 97-002

A8

Cap Program Owner documents events and presents to management review team for approval, prioritization and event ownership assignment


A9

Event owner develops an action plan, which includes: the corrective action team, steps required to correct the problem, root cause analysis if required, and time schedule when specific tasks will be accomplished


A10

The event action plan is provided to other plants and other utilities using the intranet and internet for review and comment. This provides an alert to others and others could provide added recommendations


A-31


A11

The action plan progress, including comments from others, are tracked and periodically reviewed and for timeliness and effectiveness at the Manager's level

INPO 97-002

A12

Corrective actions are tracked through completion using an electronic tracking system. The Maintenance Managers review outstanding events regularly, at staff meetings, to verify that corrective actions stay on schedule


A13

Corrective action effectiveness is also validated through meaningful indicators and follow-up monitoring


A14

Employees who identify problems receive prompt feedback concerning corrective actions


A15

Events and associated causes are trended to identify repeat occurrences, generic issues and vulnerabilities at a low level before significant problems result


A16

Corrective actions to prevent recurrence of significant problems are reviewed for effectiveness


A17

Corrective action program is periodically assessed for overall effectiveness


1.8.6 Research and Development Activities This sub-element addresses an organization's activities associated with performing Research and Development to improve or advance maintenance processes through the application of technologies.

A-32


A1

The maintenance organization is involved in R&D activities to improve/advance the maintenance processes and technologies (e.g. formal corporate R&D efforts, EPRI or other collaborative organization participation)


A2

Maintenance organization actively participates in EPRI.


A3

Plant has representative on EPRI working/user groups



Maintenance representatives have EPRI User Ids


A5

An EPRI coordinator has been assigned for maintenance related R&D activities


1.8.7 Employee Ideas Solicited An environment is established that promotes input from all levels within an organization. Employees are encouraged to provide feedback and a process is in place to facilitate the capture of this data. A1

Management solicits and acts on feedback from workers about problems that may lead to error, or an adverse condition affecting the meeting of maintenance goals

INPO 97-013

1.8.8 Team Problem Solving Problems are addressed in a timely manor and solutions are sought form knowledgeable personnel. Teams are formed temporarily to address specific problems. Once resolved the team is disbanded. A1

All maintenance personnel participate in maintenance department problemsolving and decision-making task forces

INPO 97-013

A-33

B MAINTENANCE PROCESSES

B-1


2.0 Maintenance Processes The maintenance processes defines the methods, which govern the business of maintenance. These processes cover how work is identified, how it is planned and scheduled, how it is executed and the how the organization learns form the work accomplished. These processes include day-to-day work, both planned and unplanned outage work and work resulting from proactive activities such as engineering projects.

RNWF N/A

2.1 Work Identification/Maintenance Basis This element identifies the strategies applied to determine what specific task(s) will be required to ensure that the appropriate work is performed to achieve high levels of equipment reliability. It addresses the process of determining and documenting an organizations bases for maintenance tasks and the four sub-processes that identify which maintenance work is to be accomplished: Preventive, Corrective, Predictive, or Proactive Maintenance.

N/A


1.00


2.1.1 Work Identification Procedures This sub-element addresses the administrative procedures and policies in place to govern and guide the four major work identification processes (Corrective, Preventive, Predictive, and Proactive Maintenance). It also includes procedures and guidelines governing the overall equipment reliability process and maintenance basis determination processes (i.e. RCM, SRCM, MBO etc.).

B-2

A1

Maintenance Basis determination procedures exist

3.00


A2

Preventive Maintenance Program Procedure exists

1.50


A3

Predictive Maintenance Program Procedure exists

1.50


A4

Proactive Maintenance Program Procedure exists

1.50


A5

Corrective Maintenance Process Procedure exists

1.50

A6

Work Order Generation Policy and /or Procedure exists

1.00


Maintenance Processes 2.1.2 Maintenance Basis This sub-element addresses the process for determining the basis for identifying the optimum maintenance work task balance, and determines the strategy for maintaining plant equipment reliability.

3.00


A1

Criteria is established in order to determine the criticality of plant Systems and Equipment, including importance of safety, environmental, reliability, cost and efficiency

1.00


A2

Plant systems and equipment are ranked in accordance with the criteria in A1 above

1.00


A3

Non-critical (run-to-failure) equipment has been determined in the ranking process

1.00


A4

Failure modes and causes of the critical equipment have been determined

1.00


A5

Maintenance tasks have been established that address the failure modes determined in A4 above, including preventive, predictive and proactive maintenance tasks

1.00


A6

Frequencies of performing the preventive maintenance tasks have been established

1.00


A7

Maintenance basis is managed in compliance with the Maintenance Basis procedure

1.00


A8

Periodic reviews of the maintenance basis are conducted

1.00


A9

Equipment that will be monitored in the PdM program has been determined

1.00


A10

Clear ownership of the maintenance basis exists

1.00


B-3


2.1.3 Corrective Maintenance (CM) The required maintenance needed to restore equipment or components that are degraded or not performing the intended functions.

1.50

INPO AP 928

A1

Corrective maintenance Work Orders are distinguished between expected (Run-to-Failure equipment) and unexpected (E.g. CM-E and CM-U)

2.00


A2

CM-U and CM-E Work Orders in the maintenance management system are categorized

2.00


A3

Maintenance backlog is monitored to verify that important jobs are not being delayed unnecessarily, and that the amount of work in the backlog is controlled

4.00

INPO 97-013

A4

Maintenance condition/Condition Codes are identified in the Computerized Maintenance Management System (CMMS)

1.00


A5

Run-to-failure components are identified in the CMMS system

1.00


2.1.4 Preventive Maintenance (PM) This sub-element includes periodic condition monitoring and periodic time-based actions taken to maintain a piece of equipment within design operating conditions and/or to extend its life. It is normally performed before equipment failure or to reduce the likelihood of equipment failure.

B-4

1.50

A1

Ownership of the Preventive maintenance program has been assigned

1.00


A2

Preventive Maintenance tasks, including predictive maintenance data collection tasks (PM-CMT), inspections (PM-CMT), and repair and replace tasks (PM-RR) have been identified

1.00


A3

Preventive Maintenance task frequencies have been identified

1.00


Maintenance Processes A4

Preventive Maintenance tasks (PM-RR and PM-CMT) and frequencies have been categorized in the Maintenance Management System

1.00


A5

Routes for preventive maintenance condition monitoring tasks, including inspections, predictive maintenance data collection tasks, operator rounds, and surveillance have been established

1.00


A6

Preventive maintenance process is managed in accordance with the PM procedure

1.00


A7

Work Orders (CDMs) resulting from a preventive maintenance tasks are identified and categorized

0.50


A8

Maintenance task codes when performing preventive maintenance Work Orders are assigned (e.g. PM tasks to restore replace - PM-RR's, PM tasks to perform condition monitoring task - PM-CMTs)

0.50


A9

Preventive maintenance task performance including schedule compliance and quality of work performed are tracked

1.00


A10

Management reviews and approves, at a level appropriate to the importance of the equipment, any preventive maintenance that was missed or deferred past an established grace period

0.50

INPO 97

A11

Level of review for different types of equipment in the station procedures used to implement the preventive maintenance program are identified

0.50

INPO 97

A12

Reviews for safety-related or operationally important equipment have sufficient technical input to ensure that any potential consequences are recognized and addressed

0.50

INPO 97

A13

Station management periodically reviews the statistics on deferred or missed preventive maintenance actions

0.50

INPO 97

B-5


2.1.5 Predictive Maintenance (PdM) This sub-element addresses the systematic approach for determining the need for equipment repair or replacement, and limiting maintenance activities to only those that are required to prevent costly major repairs or unscheduled downtime. Predictive Maintenance is a process that integrates all equipment condition data such as diagnostics, process, operator logs, maintenance histories, etc. resulting in timely maintenance decisions/corrective actions based maintenance on the condition of the equipment.

0.33

TR103374 EPRI PdM Guidelines V1-V4

Predictive maintenance program including the organizational structure is developed

0.33


A3

Roles and responsibilities for the plant organization concerning the predictive maintenance program are established

0.33


A4

Coordinator, whose primary function is focused on managing the predictive maintenance program and supporting the maintenance basis and proactive processes, has been assigned

0.33

A5

System/equipment owners as part of the roles and responsibilities efforts have been assigned

1.00


A6

Condition indicator (technology) owners as part of the roles and responsibilities efforts have been assigned

0.33


A7

An equipment condition indicator matrix has been established. The matrix identifies/documents all of the condition indicators for the selected equipment, including diagnostic technologies, performance (efficiency) testing, process data, NDE, Maintenance, Operations, and Engineering observations, Ops rounds, other surveillance tasks, equipment specific testing, and other appropriate condition indicators to be monitored

A1

Predictive maintenance process is developed

A2

A8

B-6

1.50

Predictive maintenance data (condition indicators) collection tasks are categorized in the Maintenance Management System as PM - CMTs. All monitoring tasks have been identified as a result of the Maintenance Basis determination process.


TR103374 EPRI PdM Guidelines V1-V4 1.00

0.33



Frequencies of the data collection have been determined (should be part of the Maintenance Basis)

0.33


A10

Routes for predictive maintenance condition monitoring tasks have been established (should be part of Preventive Maintenance)

0.33


A11

Predictive maintenance process is managed in accordance with the PdM procedure

0.33


A12

Integrated analysis utilizing results from the analysis of the condition indicator data and the experience of the system/equipment owner, operations, maintenance and engineering/technical staff are conducted

0.33

A13

Condition Directed Maintenance (CDM) Work Orders resulting from an integrated analyses are identified and categorized

0.33


A14

Maintenance task codes for PM-CMT and CDM Work Orders are assigned in the CMMS

0.33


A15

A comprehensive equipment condition assessment status report is regularly provided and used to drive timely condition based maintenance decisions.

1.00

TR103374 EPRI PdM Guidelines V1

A16

Avoided cost benefit status report is regularly provided

0.33


A17

High priority Work Orders resulting from predictive maintenance tasks that could not be scheduled because of their urgency are tracked

0.33


A18

Condition monitoring task schedule compliance is tracked

0.33


A19

Operations has and uses routes that define the order and frequency of equipment checks

0.33


A20

PdM Program goals have been established

0.33


A21

PdM Program Performance Indicators are established and tracked

0.33



B-7


A22

Customers of the PDM process are clearly identified

A23

Customer satisfaction of the PDM program is monitored

A24

Continuous improvement of the PDM process is managed through industry peer group participation and application of industry Operating Experience (OE)

0.33


0.33


0.33


2.1.6 Proactive Maintenance (PAM) This sub-element addresses the maintenance organization's process for 'Learning from the Experience' of performing maintenance work. This includes the closeout of work, maintenance feedback capture, analysis of maintenance history, and making appropriate adjustments to the maintenance task balance to eliminate failures or deficiencies in the future. Incidents that require root cause analysis are identified in a PAM process based on incident type and performance trends. (The incident or event is important to the degree that action to preclude repetition is deemed appropriate by the maintenance manager). Proactive maintenance process which includes Root Cause analysis, Corrective Action Program, O&M and Capital projects that relate to equipment deficiencies, and a review of the unexpected corrective maintenance tasks, is managed in accordance with the Proactive Maintenance Procedure

0.50

A2

Proactive maintenance program including its organizational structure has been established

0.50


A3

Roles and responsibilities for the plant organization concerning the Proactive maintenance program have been established

0.50


A4

Ownership of Proactive maintenance program has been assigned

0.50


A5

Root cause failure analysis process that covers both detailed and nondetailed approaches has been established

0.50


A1

B-8

1.50



0.50


0.50


0.50


0.50


PAM Work Orders resulting from proactive maintenance tasks are identified and categorized

0.50


A11

Maintenance task codes for Work Orders resulting from the Proactive Maintenance Program are assigned (e.g. PAM)

0.50


A12

All completed Work Orders are reviewed for suspected cause of failure when applicable and repetitive equipment failures are reviewed for potential initiation of the CAP process

0.50

A13

Feedback to the initiator resulting from actions taken from the review are provided

0.50


A14

Recommendations to initiate modifications to the maintenance basis are provided

0.50


A15

Recommendations to initiate a root cause analysis are provided

0.50


A16

Condition assessment status reports from resulting root cause analysis are readily available to maintenance staff

0.50


A17

PAM program performance indicators are monitored by maintenance management

0.50


A18

Status of the actions taken resulting from proactive maintenance recommendations are tracked

0.50


A6

Criteria for initiating a root cause analysis has been determined

A7

An overall organizational Corrective Action Program (CAP) has been established

A8

Criteria for initiating Corrective Action Program has been determined

A9

Proactive maintenance procedure has been established

A10


B-9


A19

A20

Periodic and systematic reviews of maintenance histories are performed to identify any trends of degraded equipment performance, including the performance of similar components installed in other locations, to obtain the best information available on the performance of specific components. All work orders are screened to allow for identifying PAM opportunities

INPO 97-013 0.50

0.50


2.1.7 Work Order Generation This sub-element addresses how a request to perform work is initiated and administered at the facility. This includes all basic attributes associated with having a documented and consistent process for creating a work request with a unique identifier, and recording the appropriate level of description for the work.

0.50


0.50


0.50


0.50


0.50


A1

Approach where anyone can initiate a Work Order is established

A2

Process where Work Orders are approved by the supervisor is established

A3

Maintenance task codes to the Work Orders are assigned when initiated

A4

Recommended priorities to the Work Orders by the initiator are established

A5

Plant condition and safety considerations control are identified

A6

Detailed master list of equipment, components, and structures to be included in the maintenance program, including both critical and non-critical equipment, has been developed

0.50

Equipment is labeled with its number for consistent and accurate identification of work (Operations sometimes uses different terms to identify equipment than those used by Maintenance or the ‘Master Equipment List’)

1.50

A7

B-10

1.50

INPO 97

INPO 97

Maintenance Processes Maintenance Request (MR) form (and/or work packages) for directing and documenting maintenance activities that help to control maintenance activities by providing appropriate reviews and approvals and establishing necessary work controls for personnel safety, plant conditions, proper conduct of maintenance, and post maintenance testing is established

0.50

Maintenance requests are screened to determine if detailed planning and scheduling (into work management system) are required, or if the work can be performed directly by a fix-it-now or similar expedited work control process

1.00

A10

Work Order number and record are available to allow effective cost and historical data to be stored and be retrievable

0.50

A11

Work identification date is on the Work Order

A12

All appropriate work activities have a Work Order

A13

A8

A9

INPO 97

INPO 97

INPO 97-013

0.50


1.00


Work Order has a space for a problem description, and clearly communicates symptoms observed and any special Operations considerations

0.50


A14

Organization places emphasis on early identification of the work to allow the routine work management process to plan and execute the work

1.00


A15

Identifiers of the Work Order documents the work themselves

0.50

2.2 Work Control This element addresses the process and procedures of 'How' an organization accomplishes maintenance tasks. This includes prioritization, risk assessment, planning and scheduling of maintenance work. Also included in this sub-element are the processes of acquiring parts, inventory management, and contract management for maintenance work activities.

N/A


2.2.1 Work Management Process/Procedures This element addresses the organization's formal policies and procedures in place to manage 'How' maintenance is accomplished while the plant is on-line. This includes work initiation, planning and scheduling, work execution, and work completion.

1.00


B-11


2.2.1.1 Process Description/Policies A1

Contains planning and preparing work

0.42

INPO 97

A2

Contains scheduling and coordinating work

0.42

INPO 97

A3

Conditions to perform work is established

0.42

INPO 97

A4

Contains the conducting of work activities

0.42

INPO 97

A5

Contains the controlling of work during emergencies

0.42

INPO 97

A6

Contains the performing of emergent work

0.42

INPO 97

A7

Contains the evaluating of the impact of work activities on risk assessment

0.42

INPO 97

A8

Controlling of non-station utility and contractor personnel working at the station is established

0.42

A9

Completed work documentation requirements are established

0.42

INPO 97

A10

Contains post-maintenance testing of work

0.42

INPO 97

A11

Implementing removal/return-to-service procedures is established

0.42

INPO 97

A12

Contains reviewing completed work records

0.42

INPO 97

A13

No single department or position is solely responsible for writing work requests

0.42


Personnel responsibilities for identifying deficiencies and initiating Maintenance Requests (MRs) that adequately describe the symptoms of problems are established

0.42

Supervisory responsibilities for controlling the conduct of maintenance activities and processing MRs are established

0.42

INPO 97

2.2.1.2 Procedure A1

A2

B-12

INPO 97

INPO 97


Description of the process for initiating and processing the MR, including the pre-job review, approval cycle, and post-job review is established

0.42

A4

Definition of the priorities used to schedule work is established

0.42

INPO 97

A5

Resource loading of the schedule is established

0.42

INPO 97

A6

Determination of the impact of maintenance activities on Operations is established

0.42

A7

Work plan and schedule is established

0.42

A8

Requirements for personnel and equipment safety and (i.e. confined space entry permits, welding and burning permits, clearance tag-outs, work permits, etc.) are established

0.42

A9

Post maintenance testing/operability testing is established

0.42

A10

Method for collection of maintenance history and equipment failure data is established

0.42

A11

Applicable cross-reference to outage scheduling and management procedures is established

0.42

INPO 97

INPO 97

INPO 97 INPO 97

INPO 97 INPO 97

INPO 97

2.2.2 Outage Management Process/Procedures This sub-element addresses the organization's formal policies and procedures in place to manage 'How' maintenance is accomplished while the plant is off-line for a planned outage, maintenance outage, or refueling outage. This includes work initiation, planning and scheduling, work execution, and work completion.

1.00

A

All attributes of Section 2.2.1 apply

A1

Coordination of common resources used for outages with other plants is established

0.38

A2

Contractor and corporate support roles and responsibilities for outage planning, scheduling, and execution are established

0.38

INPO 97-013

.38/ea INPO 97-013

INPO 97-013

B-13


2.2.3 Prioritize Work This element addresses the process of 'How' an organization screens, and determines and tracks the priority of all work requests identified.

1.00


Personnel with a strong knowledge of plant operations review each MR to determine its impact on Operations: and, they set meaningful priorities that determine how soon an MR needs to be worked based primarily on nuclear safety, personnel safety, station reliability, and repair costs, including generation losses

2.00

A2

Communication among cognizant departments to set priorities properly is established

1.00

A3

Priority system that is simple and flexible to enhance its use and accuracy is in existence and is proceduralized

1.00

A4

Impacts on plant safety or reliability until repairs are completed are tracked

1.00

INPO 97-013

A5

Availability of redundant equipment is established

1.00

INPO 97-013

A6

Licensing commitments (i.e. limiting conditions for Operations) are established

1.00

A7

Equipment and conditions required for equipment repair are established

1.00

INPO 97-013

A8

Clear priority system is documented and utilized (e.g. emergent, work within X days, routine PM, as available, etc.)

1.00


A9

Authority for assigning priority is documented and enforced

1.00


1.00


A1

INPO 97-013

INPO 97-013

INPO 97-013

INPO 97-013

2.2.4 Risk Assessment This sub-element addresses the process of establishing the risk associated with planning and execution of work. Safety and reliability concerns are addressed in the risk assessment process.

B-14

Maintenance Processes Methods to ensure that safety and risk significance are considered when planning maintenance on safety systems and balance-of-plant equipment that affects safety and reliability, resulting in establishing a balance between maximizing reliability and minimizing unavailability, are established

5.00

A2

Impacts on plant safety or reliability until repairs are completed are established

2.50

A3

Work activities on safety systems to minimize out-of-service time, including multiple technical disciplines working simultaneously and providing aroundthe-clock job coverage, are coordinated

2.50

A1

INPO 97-013

INPO 97-013

INPO 97-013

2.2.5 Stores/Inventory Management This sub-element includes an organization's proficiency with ordering, handling, storing, and issuing all parts and materials for the maintenance tasks.

1.00


A1

Engineering and technical specifications for parts exists and is accessible

0.16

INPO 97-013

A2

Work requests in progress with material restraints are tracked

0.16

INPO 97-013

A3

Quantity of discontinued and infrequently used inventory is tracked

0.16

INPO 97-013

A4

Reliability of supplier performance by audits, inspections, or surveillances of supplier facilities, processes, methods, or records relevant to the part, material, or service provided is verified

0.16

Deficient or nonconforming items are segregated from accessible conforming materials and deficiencies resolved in an effective and timely manner; promptly initiates technical reviews to aid in the resolution of these items

0.16

Quality assurance records are controlled and maintained to provide documentation of acceptability for qualified parts and materials to ensure tractability of parts and materials

0.16

Appropriate personnel review design requirements to ensure that upgraded or substitute parts are consistent with the application of the part and component

0.16

A5

A6

A7

INPO 97-013

INPO 97-013

INPO 97-013

INPO 97-013

B-15


A8

A9

0.16

When developing minimum/maximum levels, identifies and considers parts or materials that have multiple applications or are used in more than one system or piece of equipment

0.16

INPO 97-013

INPO 97-013

The station Stores Group and other User groups track procurement progress and take necessary measures to meet maintenance and outage schedules by tracking the status of a part from the time need is identified by the maintenance request until the part is made available to the craftsmen; thereby, tractability to the maintenance request is maintained

0.16

A11

Need for specialized services from vendors early to provide for timely submittal of bid proposals and contract awards is identified

0.16

A12

Where applicable general service agreements are in place so that services can be supplied on short notice

0.16

A13

Upon receipt, qualified materials management personnel inspect parts, materials, and equipment before acceptance for storage or use to verify: that the material delivered agrees with the approved purchase documentation; is packaged in accordance with the purchase order specifications; has the necessary product control requirements furnished by the vendor, such as special storage or shelf-life information; and, appears to be in good condition

0.16

Engineering staff and quality control personnel approve any deviation from design specifications of material or equipment received before it is accepted or returned to the Stores system

0.16

A15

Separate receiving and inspection area and a separate hold area are provided

0.16

A16

Nonconforming material is clearly tagged or labeled and segregated to prevent inadvertent issue, and a tracking or follow-up system is established to promptly resolve nonconformance problems

0.16

A10

A14

B-16

Emergency procurement and an expediting process to obtain parts, materials, and services that are needed immediately to support safe and reliable operation are developed

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Method to accept material that has been repaired or reworked by the maintenance department has been developed

0.16

A18

Whenever materials or parts have been repaired or reworked, suitable testing, and inspection requirements were specified by Engineering to ensure that the materials or parts will perform acceptably when placed into service

0.16

A19

Procedures for items requiring special handling instructions are prepared

0.16

A20

Corrosive chemicals are segregated or not stored near equipment or metal stock

0.16

A21

Flammables are stored in appropriate containers and fire-rated cabinets

0.16

A22

Stainless steel components are protected from direct contact with other metals, particularly carbon steel

0.16

A23

Relief valves, motors, and other equipment are stored on their bases

0.16

A24

Elastomers and polypropylene parts are properly stored in areas not exposed to light

0.16

A25

Machined surfaces are protected

0.16

A26

Hazardous chemicals or solvents are stored in accordance with Material Safety Data Sheet instructions

0.16

A27

Equipment internals are protected from intrusion of foreign materials

0.16

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A28

Accurate and organized inventory exists for all parts and materials to support maintenance tasks

0.16


A29

Storage areas/bins are well marked

0.16


A30

Up-to-date and accessible parts numbering system exists

0.16


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B-18

0.16


0.16


Bar coding is applied, where applicable, to resolve errors and speed transactions

0.16


A34

All items available for use are on the system, including remote storage, sister plants, and lay-down yards

0.16


A35

Procedures are defined and followed, limiting access to inventory

0.16


A36

Inventory is accurately tracked and reported

0.16


A37

Computer system is integrated with the Work Order system and purchasing

0.16


A38

Customer satisfaction is monitored and continuously enhanced

0.16


A39

Issues and returns are tied to Work Order number and equipment number, where applicable

0.16


A40

Need dates and priorities are identified on the material bill (requisition)

0.16


A41

Materials issued/returned are tracked and reported

0.16


A42

Non-stock material issues and returns are marked

0.16


A43

Procedures for non-stock orders are defined and monitored

0.16


A31

Storage areas are kept neat and clean

A32

Records monitoring usage and inventory levels are continuously updated

A33


Checks are in place to avoid orders for stocked items, or for non-stock items on-hand or available from sister locations

0.16


A45

Prompt return for credit of unused material

0.16


A46

Emergency deliver charges are tracked and reported (stock and non-stock)

0.16


A47

Shipping and receiving of materials and other parts/tools are coordinated with the storeroom

0.16


A48

Receiving notifies appropriate user (Maintenance, Planning, Operations, etc.) of material received

0.16


A49

Adequate and secure shipping and receiving areas exist

0.16


A50

Procedures for ordering, receiving, notification/delivery, and returns are established

0.16


A51

Order status tracking system exists

0.16


A52

Quality Assurance/Quality Control function (QA/QC) inspects selected, received materials for correspondence to the materials ordered

0.16


A53

QA/QC maintains, inspects, and ensures proper storage of materials that can degrade in storage (i.e. large shafts can sag if not rotated, and critical surfaces-pumps, motors, fan blades-can corrode if the protective lubricant and sheathing are somehow compromised. This also includes procedures for materials with finite shelf life such as chemicals, additives, and some gaskets)

A54

Vendor stocking for fast-moving or agreed-upon items is utilized/controlled

A55

Vendor stocking agreements exist

Various EPRI PMO Technical Reports 0.16

0.16


0.16


B-19


A56

Automated communication, ordering, and stock queries to vendor are in place

0.16


A57

Vendor certification and performance is managed

0.16


A58

Formal vendor notification process for non-compliance exists

0.16


A59

QA/QC program exists focusing only on safety, regulatory, and error-prone items and vendors

0.16


A60

QA/QC program is audited periodically by the technical staff

0.16


A61

Participation in a pooled spare parts system with other stations within the utility or with other utilities (additionally, informal communications with other utilities to establish commonality of stocked items is a method to avoid overstocking) is established

0.16

A62

Not-in-stock, on-demand (percent of stock items not available on request) is tracked

0.16

A63

Scheduled work requests delayed because of parts unavailability are tracked

0.16

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This element addresses the organization's proficiency and effectiveness of work activity planning. This includes determining what activities will involve detailed planning (infrequently performed work, complex tasks, work requiring specialty resources, work requiring post maintenance testing, etc.), and to what level of detail planning will be performed for the specified tasks.

2.00


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2.2.6 Planning

A1

B-20

Planning personnel clearly identify responsibilities and specific craft type required for various types of work, such as packing adjustments, equipment lubrication, instrumentation, calibrations, etc.

0.30



Planning packages adequately address temporary repairs (modifications) to the plant that allow equipment to remain in, or be returned to, service in a condition that is not the same as the original design specification

INPO 97-013 0.14

The maintenance planning organization defines the problem and identifies the work scope (i.e. by work site inspection, by review of preventive maintenance activities, and by other corrective maintenance that should or could be worked within the tag-out boundary for the equipment)

0.30

A4

Risks associated with on-line maintenance and applicable contingency plans are identified

0.14

A5

Necessary procedures, drawings, vendor manuals, and maintenance histories are identified and reviewed

0.30

A6

Needed and available data for use in the analysis of a maintenance problem are identified

0.14

A7

In-house and industry experience are reviewed for possible generic implications related to safety-related or reliability-related maintenance

0.14

A8

Field job walk-downs to accurately define the work scope and special conditions are performed for all jobs Including special conditions, FME requirements, safety precautions, etc.

0.14

A9

Procurement of necessary repair parts, materials, tools, equipment, and service is established

0.30

A10

Assessment of manpower and skill requirements for station, non-station utility, and contractor personnel with work instruction or work package detail tailored to the results of this assessment is established

0.14

A11

Resources including other tasks scheduled to occur in the immediate area during the same period are identified and reviewed

0.14

A12

Initial conditions and prerequisites, including applicable technical specifications and limiting conditions of operation, are identified

0.14

A13

Industrial safety concerns are identified

0.14

A3

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B-22

A14

Quality control inspection, code, and technical specification requirements are identified

0.14

A15

Equipment restoration and post maintenance inspection or testing requirements are established

0.14

A16

Work instructions or work packages are reviewed for completeness

0.14

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A17

Staging and special permits are established

0.14

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A18

Document and configuration control are maintained

0.14


A19

Estimated or planned labor hours and material costs are identified on all Work Orders

0.14


A20

Planning process is defined and followed, with the highest priority work planned first

0.14


A21

There is an organized, accessible backlog of unplanned Work Orders

0.14


A22

Labor hours are estimated and planned for each unique Craft type for all Work Orders

0.14


A23

Sequence of Crafts needed for the work to be executed smoothly are planned for each Work Order

0.14


A24

All materials, parts and services required for a maintenance Work Order are identified and communicated to materials procurement personnel

0.14


A25

A bill of materials is developed for all jobs

0.14


A26

Quality of the job plan is reviewed, evaluated, measured, and improved

0.14


A27

Standard job plans exist for recurring maintenance tasks

0.30


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Planning effectiveness indicators exist and are utilized to monitor and improve planning

0.14


A29

Maintenance Craft actively participate in, or have sole responsibility for, job planning

0.30


0.25


0.25

Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

2.2.6.1 Outage Planning A1

Planning is performed at the appropriate level for all non-forced outages

A2

Per-outage meetings are conducted in a standard format and documented

A3

Pre-outage meetings on management responsibility are defined, participation is comprehensive

0.25

A4

Pre-outage meetings take into account what may have been learned from previous outages on the same or similar equipment (post-outage meeting results)

0.25

A5

Pre-outage meetings are used to refine critical paths, establish labor and contractor requirements, specify special coordination with parts of the plant not involved with the outage, and ensure that long lead-time parts and materials are/will be available

A6

Contract levels and staffing requirements are determined

A7

Material availability and lead-time are determined for the outage-related work

A8

Outage work packages are constructed and distributed to maintenance supervisors for review

A9

Outage plan is communicated to all affected

0.25



0.25


0.25


0.25


0.25


B-23


0.25


0.25


0.25


All functions of the organization involved in the outage share responsibility for accurate information being fed into the critical path assembly

0.25


A14

Project management software is used to generate the critical path and overall outage schedule

0.25


A15

Critical path is published prior to the outage

0.25


A16

Critical path is reviewed with all involved parties prior to the outage

0.25


A17

Critical path is updated frequently throughout the outage, and any changes are communicated to all parties involved

0.25


A18

Critical path includes shutdown and start-up

0.25


A19

Number of add-on jobs identified after the outage begins is measured and the reasons sought

0.25


A20

OEM supplies information (work identification) based on other installations

0.25


2.00


A10

Only outage-required work is done

A11

Critical Path Scheduling is used for all planned outages

A12

Responsibility for assembling the critical path is defined

A13

2.2.7 Scheduling This element addresses an organization's proficiency and effectiveness with scheduling of maintenance tasks, resource loading and monitoring schedule adherence throughout the work control, execution, and closeout processes.

B-24


Adequate resources to perform the work are ensured

0.39

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A2

Tests and inspection activities are integrated

0.39

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A3

Status of MRs on hold for planning, parts, material dedication, engineering, or other constraints is established

0.39

A4

Tracking system to maintain the status of MRs currently being worked is established

0.39

A5

Tracking system to verify required post-maintenance and post-modification testing is accomplished before the return of a piece of equipment, or a system to service (especially important following outages where many jobs may be performed on a system that is removed from service for an extended period, or where several jobs are done under one clearance), is established

0.39

A6

Communication method for advising all groups of short-and long-range maintenance schedules is established

0.39

A7

Elective maintenance activities (CM tasks for run-to-failure components) are grouped and performed during periods of unplanned unavailability, rather than scheduling unavailability

0.39

Elective activities that result in little or no gain in system reliability are performed during periods when the availability of the system is not important (i.e. selected times during plant outages).

0.39

A9

Station personnel are apprised of scheduled maintenance activities that affect them to ensure proper activity coordination

0.39

A10

Short-duration rolling schedule covering approximately three days is published and updated, and scheduled activities for the next one to two days and planned activities for the remaining days are identified; thereafter, it is updated either daily or every other day following the routine planning meeting

0.39

Responsible maintenance supervisor is provided with work packages in time for adequate shop-level preparation before starting the job

0.39

A8

A11

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B-25


A12

A13

A14

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Schedule allows for unexpected, higher priority emergent work requirements, and identifies maintenance requests that could be postponed or stopped; or, use some similar method to allow the work force to accomplish emergent work per the appropriate manager's approval of such postponements and work stoppages to ensure that emergent work has a higher priority

0.39

After jobs have been assigned and scheduled on the rolling schedule, the responsibility for support coordination is assumed by the group having responsibility for the most significant portion of the job (lead group)

0.39

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Lead group is responsible for coordinating activities such as verifying that clearance tag-outs are available as requested, quality control inspectors are available as required, work permits are available as required, parts are available at the job site, and turnovers among work groups and different shifts are properly performed

0.39

A16

Ongoing review of schedule effectiveness is performed

0.39

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A17

Daily schedules exist by Craft type

0.39


A18

Daily schedules include all appropriate entries, both when shift begins and when shift ends

0.39


A19

Schedules are prepared in advance of shifts

0.39


A20

Schedules are communicated to Crafts and customers, and schedules are used for assignment and follow-up

0.39


A21

Schedule compliance data is recorded and reported

0.39


A22

Compliance data is reviewed jointly

0.39


A15

B-26

Each supervisor has sufficient fill-in work assigned to maintain crew productivity; and, when feasible, the fill-in work is independent of station condition requirements, is easily coordinated, and is easily initiated

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Schedule compliance corrective actions are developed and implemented jointly

0.39


A24

Backlog work is considered and integrated in the daily/weekly schedule

0.39


A25

Formal work scheduling meetings are conducted with appropriate participants and standing agendas

0.39


A26

Responsibilities of meeting leader and participants are defined

0.39

2.2.8 Contract Management This element addresses the organizations methods and practices associated with managing contractors used to complete specific maintenance work. This includes oversight/supervision of contractor crews for safety, quality, housekeeping, and productivity. Also this element addresses coordination of work schedules of contractors with each other when multiple contractors are on site, and with regular maintenance and operating crews to eliminate competition for space, time, tools, and equipment.

1.00


Control of non-station utility personnel and contractors conducting maintenance to ensure they are held accountable to the same policies and procedures as station personnel, or that their procedures are reviewed and approved by station quality assurance, is established

2.00

A2

Program is in place to ensure that contractor qualifications and training are adequate to support safety and high quality work

1.00


A3

Criteria for using contractors is defined and followed

1.00


A4

Notification of contractor presence is provided to the appropriate work group

1.00


A5

Contractor oversight responsibility is assigned

1.00


A6

Contractors document and hand-off work

1.00


A1

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B-27


A7

Coordination problems are reviewed and corrective actions are recorded, reported, and followed up

1.00


A8

Contractor performance is evaluated and the results are reported to the plant and to the contractor

1.00


A9

All contracted work is adequately integrated into the maintenance work schedule

1.00


2.3 Work Execution Work execution is the actual performance of work and includes execution procedures, clearance of equipment for performing maintenance, staging of materials, pre- job briefing, QA and QV programs, safety practices, and post-job critiques.

N/A


2.3.1 Work Execution Procedures This sub-element addresses the existence and quality of work execution procedures that an organization uses to ensure the safe and effective operation and maintenance of the plant. This includes evaluation of how well the procedures are designed to establish consistent methods and to reduce human performance errors.

B-28

1.75

A1

A process exists for determining the appropriate level of work execution procedural guidance is required for performing maintenance tasks

2.00

A2

All required work execution procedures are of high quality and well maintained

2.00

A3

Procedures exist that govern the process of temporary changes to plant configurations to allow performance of work on operating equipment

2.00

A4

Workers perform all manipulations of plant components per approved procedures, work instructions, or with specific approval from Operations

2.00

A5

Procedures exist that governing safety requirements

2.00







Maintenance Processes 2.3.2 Equipment Clearance and Tagging This sub-element addresses the process of clearing and tagging out equipment in a timely manor in preparation for maintenance work to be performed. A1

Maintenance personnel are made cognizant of activities that could impact the design configuration of the plant, been established

A2

Clearance procedures are defined, accessible, and followed

A3

Clearances are performed prior to expected maintenance job start

A4

1.75

INPO 97-013

1.00


2.00


1.00


Proper use of process status and tag-out procedures are applied

2.00

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A5

Clearance issues are discussed on a timely basis between Operations and Maintenance (during scheduling meetings)

1.00


A6

Equipment is sufficiently clean enough at the time of clearance to make the working environment safe and effective

1.00


A7

Clearance of equipment/equipment configuration changes are communicated among operations, maintenance supervisors, and maintenance craft

2.00


2.3.3 Tools/Material Control/Staging This sub-element addresses the accessibility of hand tools, and M&TE needed to execute maintenance tasks effectively. Hand tools, specialty tools, and M&TE equipment must be readily accessible in good condition and maintained within calibration tolerances to ensure that work can be executed in a timely manner. This sub-element also includes the issue and effective staging (the collection of materials needed for maintenance prior to the start of work) of materials. A1

Parts, materials, or equipment removed from storage receives the same care as when stored; and, procedures established to control parts, toxic or hazardous chemicals, solvents, materials, and equipment after issue to ensure proper chemical control, including use in the correct application, and to maintain tractability

Various EPRI PMO Technical Reports 1.75

INPO 97-013 1.66

B-29


A2

Prior to use in the plant, all extraneous packing material is removed from items to reduce FME intrusion.

1.66

A3

Collection of material needed for maintenance work is available prior to the start of work

1.66


A4

Secure staging areas exist

1.66


A5

Procedures are established and followed for staging

1.66


A6

Delivery of materials, tools and M&TE to the staging area is coordinated with scheduled maintenance work

1.66


INPO 97-013

2.3.3.1 Special Tools, Measurement and Test Equipment A1

Early identification of 'long lead-time' specialty tools and M&TE items is established

0.29

A2

Selection of procurement sources for specialty tools and M&TE based on approved vendors and past vendor performance is established

0.29

A3

Review of 'like-for-like' or similar tolls or M&TE for replacement of obsolete, unavailable components, including technical evaluation of such tools, is established

0.29

A4

A5

A6

B-30

Update of special tools and M&TE information and/or stocking levels following design modifications, including removal from stock, vendor notifications, of any items made obsolete by design modifications, is established

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Participation in a pooled M&TE system with other stations within the utility or with other utilities (additionally, informal communications with other utilities to establish commonality of stocked items is a method to avoid overstocking) is established

0.29

Comparison of usage rate and lead time to ensure adequate stock and to avoid inappropriate (too high or low) inventory of an item is established

0.29

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Identification of proper handling and storage provisions during shipping to avoid damage is established

A8

Tools and M&TE catalogs exist that allow personnel to determine what is available for issue. These include a cross-reference listing that provides information such as the manufacturer's part number, station or utility part number, noun name, and component or system for which the tool is used

A9

Tools and M&TE used for maintenance are approved for the job. Use of substitute materials will be allowed only after the proper evaluation and authorization has been obtained. Replacement tools shall be compared to the old tools and verified to be like-for-like prior to installation

0.29

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INPO 97-013 0.29

Utilities Maintenance Documents 0.29

0.29


Calibration procedure for M&TE is established

0.29

INPO 97-013

A12

Calibration frequency M&TE is established

0.29

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A13

Specified department responsible special tools and/or M&TE is established

0.29

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A14

Procedure for any unique consideration, such as storage requirements and training and qualification requirements, is established

0.29

A15

Only calibration Standards set by the National Institute of Standards and Technology, or other nationally recognized Standards, to calibrate measurement and test equipment are used

0.29

A16

Calibration Standards are kept at the station in appropriately designed and maintained calibration facilities and label them appropriately

0.29

A17

When calibration Standards are issued for field use, the supervisor responsible for the Standard authorizes and minimizes the period of issue

0.29

A18

Calibration Standards on frequencies consistent with the vendor recommendations and the utility experience are established

0.29

A10

Tools available for all tasks are established

A11

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B-31


A19

Approved procedures with appropriate acceptance criteria and tolerances for the calibration of measurement and test equipment are used

0.29

A20

Calibration frequency based on the manufacturer's recommendations, usage, historical reliability, and consequences of being out of calibration is determined

0.29

Amount and type of measurement and test equipment available for use, compared to the equipment needed to support peak activity periods such as outages, is considered

0.29

A22

Operational tests, functional checks, or battery checks have clearly specified desired response or acceptance criteria, or are indicated on the equipment

0.29

A23

New measurement and test equipment is calibrated before use to verify that it meets acceptance criteria, is functional, and is safe to use

0.29

A24

Equipment is clearly labeled that it has special uses, limitations, or restrictions to describe its applications or limitations

0.29

A25

Special equipment is segregated, when possible, to avoid inadvertent use or possible misapplication

0.29

A26

Labels or tags, per equipment, note the scales or ranges that are inaccurate or inoperable, including some indication of the amount of inaccuracy

0.29

A27

Labels or tags, per equipment, note the calibrations that do not include the full indicating range

0.29

A28

Labels or tags, per equipment, note any limited or restricted use such as on oil, oxygen, saltwater, or de-mineralized water system

0.29

A29

A recall system is implemented to ensure that measurement and test equipment is removed from service before or at the expiration of its calibration

0.29

Attach a sticker or some other means to the equipment, as a minimum, that includes the date that the recalibration is required

0.29

A21

A30

B-32

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Responsibility for the proper storage and issuance of both stationary and portable tools and equipment is assigned

0.29

A32

The responsibilities of maintaining tools to individuals or groups who are issued tools permanently, or those who routinely use them, are established

0.29

A33

Procedure to segregate worn, defective, or otherwise unusable tools so that only safe, usable tools are available for use is established

0.29

A34

Procedure to dispose of non-repairable tools in a timely manner is established

0.29

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2.3.4 Pre-job Briefs This sub-element addresses the guidance for the performance of routine pre-job briefings for maintenance activities.

1.75

A1

Pre-job briefings are conducted using the approved maintenance pre-job checklist

A2

The impact of maintenance activities on plant operations is explained as part of the pre-job brief and thoroughly understood by all involved parties. Maintenance technicians and supervisors are responsible for communicating and understanding the potential impact of work to Operations, Engineering, Chemistry, and other personnel as necessary prior to commencement of the work

1.50

Briefings include: what are the critical steps of the tasks; what could go wrong and what contingency actions exist; what are the barriers that prevent failure; and, what are the potential human traps/errors that are likely to occur

1.50

A4

Participants are prompted to ask questions on any job-specific items that require clarification

1.00

A5

Personnel that will be directly involved in performing the evolution participate in the briefing. If this is not possible, a personal briefing for the affected individuals shall be conducted, and for personnel having minor supporting roles (exceptions should be minimized)

A3

1.00

EPRI Maintenance Consulting Experience Utilities Maintenance Documents





B-33


A6

Work Package is required during Pre-Job briefing

1.00


A7

The Work Package, or a copy thereof, is available at the work location and referred to as often as necessary to perform the task properly

1.00

A8

All instructions given in the Work Package are followed

1.00


A9

Measuring and Test Equipment (M&TE) usage in Work Order is recorded

1.00



2.3.5 Perform Maintenance Tasks This sub-element addresses the actual performance of the maintenance task. This includes receipt/ownership of equipment to be maintained by supervisors and workers, pre-job preparations/walk-downs, workers attention to detail, supervisor effectiveness and use of proper work practices and standards.

B-34

1.75

A1

The Work Package, or a copy thereof, is available at the work location and referred to as often as necessary to perform the task properly

0.29

A2

All instructions given in the Work Package are followed

0.29

A3

A basic expectation of all site personnel is to use procedures and human performance techniques to operate error-free

0.29

A4

Properly-sized box-end or open-end wrenches are used. The use of adjustable wrenches and channel locks is minimized

0.29

A5

Strap wrenches instead of pipe wrenches are used, whenever possible, to avoid damage to pipes or threads

0.29

A6

Workers do not step or climb on snubbers, pipe hangers, plant equipment, insulation, copper piping, hoses, tubing, instrument racks, conduit or cables

0.29

A7

Portable tools are inspected for damage or frayed wires prior to use to prevent electrical shock

0.29

A8

Tools and equipment are checked out and returned to the Tool and M&TE rooms. Damaged equipment is reported to the Tool Room to have replacement equipment ordered

0.29



Utilities Maintenance Documents Utilities Maintenance Documents






Maintenance Processes Ground fault circuit interrupters are used at the power source on all 120 VAC receptacle circuits when using portable electrical tools, cords, and drop lights, or when outdoors, in wet environments, or inside confined spaces

0.29

A10

Proper safety lines and harnesses are worn by personnel when climbing

0.29

A11

Air flow breakers are used on all pneumatic tools to ensure both personnel and equipment safety

0.29

A12

All gas and electric welding equipment is inspected prior to use, periodically during use, and at the start of work after breaks (i.e. electric inspect weld leads, gas inspect hose lines)

0.29

A9


0.29

A14

Equipment is verified to have been properly taken out of service and isolated, or otherwise prepared for the work

0.29

A15

Supervision ensures accomplishment of the work that is scheduled for their worker, and are accountable for their worker's daily activities

0.29

A16

Supervisors allow adequate time for procedure/work package reviews and briefings prior to the start of all work assignments

0.29

A17

Pre-job walk-downs of jobs are performed as necessary to ensure that the work is ready to be performed as scheduled

0.29

A18

If work planning and coordination do not support the efficient completion of assigned work activities, feedback should be provided to supervision. As a guideline, if the delay is greater than 10 minutes, the supervisor should be contacted. If the delay exceeds one-half hour, the Work Week Manager or Outage Control Center should be contacted

0.29

Delay codes are entered into the CMMS to provide for trending of delays

0.29

A19



All work on Structures/Systems/Components is performed using the appropriate Work Control Process documents. If during performance of work unexpected conditions develop, conflicts arise, or the activity cannot be performed as described, work will be stopped by the worker. Supervision will be informed and corrective actions initiated to resolve all problems

A13









B-35

Maintenance Processes Equipment is properly isolated, tagged and drained, or otherwise placed in a safe working condition. Parts shall be properly identified for reassembly. For work in progress, work areas and equipment carts shall be properly maintained, tagged and restrained. Tools shall be controlled at the work-site

0.29

Work is controlled through line-supervision as they are responsible for the job. Personnel requiring technician support, must work through the appropriate line supervisor

0.29

A22

Supervisors frequent job sites to ensure that the work progresses safely and efficiently

0.29

A23

Supervisors address problems brought to their attention by technicians, relaying problems to upper management as necessary

0.29

A24

Technical specification and equipment operability concerns are promptly communicated by Maintenance personnel to Operations

0.29

A25

Turnover of maintenance is sufficient for oncoming personnel to carry on without undue delay. On-coming and off-going crews are both 100% responsible for the timely and accurate exchange of information

0.29

A26

A lay-down area, if required, is established for equipment disassembly. Parts shall be properly identified for reassembly

0.29

A27

Hard copy documentation, such as completed procedure steps and Surveillance Test steps are completed in accordance with usage level requirements. Steps not applicable to work being performed are N/A to indicate that the steps were not inadvertently missed

0.29

A28

Supervisors have the responsibility to ensure their team's knowledge of, and compliance with, all applicable administrative procedures and guidelines

0.29

A29

Verification points are strictly adhered to. Verification sign-off, self-checking, and other maintenance sign-offs are used to ensure that tasks are completed correctly the first time

0.29

Prior to being taken into the field, all controlled documents are be verified as being the current revision

0.29

A20

A21

A30

B-36












Maintenance Processes When procedures cannot be performed as written, work is stopped and the supervisor notified of the situation so that the necessary steps can be taken to correct the procedure

0.29

A32

Supervision allows time for procedure review prior to the start of all work assignments

0.29

A33

No one at the site has the authority to authorize deviation from a procedure without instituting the approved procedure change control processes. Procedure errors (which prevent proper use of the procedure) identified during review or performance shall be corrected prior to continuing

0.29

Work progress and time required to perform the job, especially if time-critical maintenance is involved for equipment vital to plant operations, is established

0.29

A31

A34




INPO 97-013

2.3.6 Work Quality This sub-element addresses the process of assuring that the work performed maintains a high standard and that all aspects of ensuring quality of maintenance work performed are employed.


A1

Field observations are routinely conducted

0.20

INPO 97-013

A2

Work in progress is routinely monitored to determine ways to improve maintenance, and to verify that maintenance activities are conducted in accordance with policies and procedures

0.20

A3

Quality of workmanship, material, and parts is established

0.20

INPO 97-013

A4

Accountability for tools, chemicals, and materials is established

0.20

INPO 97-013

A5

Correct tools are available and used for the job

0.20

INPO 97-013

A6

Maintenance of clean and orderly work sites is established

0.20

INPO 97-013

A7

Work progress and time required to perform the job, especially if time-critical maintenance is involved for equipment vital to plant operations, is established

0.20

INPO 97-013

INPO 97-013

B-37

Maintenance Processes Supervisory review of MRs is conducted following completion of maintenance to verify that the activity was completed satisfactorily in accordance with station procedures and standards, and to capture maintenance history data

0.20

All personnel assume responsibility for preventing the introduction of foreign material into systems and all components including electrical, mechanical, and instrumentation

0.20

A11

If temporary dams are installed which will NOT be readily visible upon system closure, verification of removal is included in the Work Orders

0.20

A12

Missing parts upon initial breach of a system or component are identified

0.20

A13

Necessary actions are taken to maintain system/component cleanliness (i.e. uses special cutting methods when breaching a system, vacuums, covers unattended openings or equipment, installs temporary dams, secures tools with lanyards, identifies location of lost or dropped items, etc.)

0.20

Protective coatings on floors, walls, equipment, etc. are protected in the course of work, including erection of scaffolds and transportation of equipment through the plant

0.20

A8

A10

A14

A15

A16

B-38

Worker Verification (WV) is the first level of quality verification provided by the qualified individual who performed the task that is documented within the work package, working instruction, procedure or drawings. This is the practice of signing off performed steps of a procedure or work package. Inherent in this sign-off is a fundamental awareness of the importance of the signature, only signing for actions that have been taken by the performing individual, or proper notation when signing off for others at their direction Worker Verification (WV) is applied when applicable. WV is the first level of quality verification provided by the qualified individual who performed the task that is documented within the work package, working instruction, procedure or drawings. This is the practice of signing off performed steps of a procedure or work package. Inherent in this sign-off is a fundamental awareness of the importance of the signature, only signing for actions that have been taken by the performing individual, or proper notation when signing off for others at their direction)

INPO 97-013






0.20


0.20

Maintenance Processes Independent Verification (IV) is performed for all appropriate tasks (such as relay contact boot removal; jumper removal: valve repositioning; locked valves; removal of a Temporary Plant Alteration/Temporary Modification; activities that will return a safety-related system or component to service; and, an activity that is not complex or is performed frequently and can be verified after completion

0.20

A18

Supervisor Verification (SV) is performed when applicable as an additional level of verification performed by a technically cognizant supervisor

0.20

A19

Individuals avoid hurrying through any phase of a task

0.20

A20

Factors that promote time pressures are carefully considered by managers and supervisors for potential influences on behavior and are eliminated, if possible

0.20

This sub-element addresses the awareness of the personnel of the importance of safety. Processes and procedures are in place and are being followed that cover safety concerns and what steps need to be followed if safety issues arise.

1.75

A17



INPO 97-013 INPO 97-013

2.3.7 Safety

Readily accessible supply of personal protective equipment is available, such as various types of work gloves, eye and hearing protection, and fall protection devices such as harnesses

1.00

A2

Safety signs, signals, tags, and barricades are managed and kept current

0.40

A3

Safety meetings are conducted periodically and attended by all technicians and supervisors

1.00

A4

Supervisors and technicians are knowledgeable of, and comply with, the requirements of all applicable corporate safety manuals

1.00

A5

Maintenance personnel comply with all confined space entry requirements when entering confined spaces

0.40

A6

MSDS and hazardous materials program is in place, well known to all workers through training, and procedures are followed

0.40

A1

INPO 97-013





B-39


A7

All deviations from safe work practices are immediately addressed and brought to the attention of supervision

0.40

A8

Any equipment (i.e. welding machines, stress relief equipment, etc.) is deenergized when leaving the job site unattended (i.e. breaks, lunch, etc.)

0.40

A9

The supervisor is immediately apprised of any and all safety concerns

0.40

A10

Procedural safety precautions or requirements are reviewed prior to commencing work

0.40

A11

Work is planned to identify and eliminate potential hazards

0.40

A12

Required protective safety equipment is worn (i.e. eye glasses, safety shoes when required, hard hats, hearing protection, etc.) unless specifically waived by the supervisor

0.40

A13

Supervision is immediately informed in the event of personnel injury

0.40


A14

Supervisors or managers notify Management of injuries and near misses

0.40


A15

The maintenance organization tracks and monitors near misses and uses this information to proactively improve safety

0.40

A16

Accident reports are submitted within 24 hours of the event, or the first working day following a weekend or holiday

0.40

A17

Supervisors and managers spend adequate time in the field to re-enforce safety awareness and understanding safety challenges for the craft

1.00

A18

Maintenance work orders addressing equipment that impacts worker or environmental safety are prioritized appropriately with all other maintenance tasks

0.40

Managers conduct immediate fact-finding investigations for all near misses that could have caused personnel injury

0.40

A19

B-40










Maintenance Processes 2.4 Work Closeout This element includes the maintenance organization's proficiency with prescribing and performing of post maintenance testing, housekeeping practices upon completion of work, transfer of equipment ownership to operations for return to service, the capture of ‘as-found’ and ‘as-left’ information and the effective utilization of the information to proactively improve future maintenance and equipment reliability.


2.4.1 Work Closeout Procedures This sub-element addresses the administrative procedures and policies in place to govern and guide the maintenance work closeout processes.

2.00


A2

Procedures exist that govern the appropriate capture of ‘as-found’ and ‘asleft’ data upon completion of as Work Order

2.00


A1

Guidance for capturing actual labor and material costs for all work orders is included in the Work Closeout procedures

2.00


A3

Procedures include guidance for the timely capture of maintenance history

2.00


A4

Organizational responsibilities for overall control of the PMT is clearly established

2.00


A5

Guidance for providing maintenance craft feedback to inform them of the value and reason for providing quality work closeout remarks is included in the Work Closeout procedures

2.00


2.4.2 Post-Maintenance Testing (PMT) This element addresses post-maintenance or post-modification testing, inspection, or surveillance performed following maintenance or modification installation to verify that performance is based on design criteria, that the original deficiency was corrected, and that no new deficiencies were introduced due to maintenance.

2.00

PMT is recommended when maintenance or modification affects the integrity or operation of a system

0.75

A1

INPO 97-013

INPO 97-013

B-41


A2

PMT is recommended when maintenance or modification affects the mechanical strengths of components or fittings

0.75

A3

PMT is recommended when equipment is included in special programs, such as the in-service inspection and environmental qualification programs

0.75

A4

PMT is recommended when maintenance or modification affects or removes design-approved temporary installations

0.75

A5

PMT is recommended when temporary systems have been installed as substitutes for normally operational systems or portions of systems

0.75

A6

PMT is recommended with modified computer program software

0.75

A7

After Preventive or Corrective maintenance is performed, a particular piece of equipment or system is verified through performance testing that it performs its intended function based on its design criteria

0.75

A8

Verification is made that the original deficiency was corrected

0.75

A9

Verification is made that new deficiencies were not introduced as a result of the repair or modification

0.75

A10

Work Orders received for planning are reviewed to determine test requirements, and whether the proposed repair is to equipment covered by applicable codes or technical specifications

0.75

A11

Tests of any equipment affected by code or technical specification requirements are reviewed by cognizant personnel

0.50

A12

PMT reviews ensure the incorporation of testing required by the applicable code and technical specifications, and any additional testing, data recording, or special documentation requirements

0.50

Technical support department or vendor support is used when required on PMTs tasks that are complex, even though no code or technical specification requirements apply

0.50

A13

B-42

INPO 97-013

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INPO 97-013 INPO 97-013

INPO 97-013 INPO 97-013

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INPO 97-013


The designated organization responsible for the PMT reviews the total work scope to minimize redundant testing

A15

The department performing or having the lead for performing the PMT assigns an individual with overall responsibility for conducting the test, and an individual for reviewing the test data and determining the acceptability of equipment

0.50

INPO 97-013

INPO 97-013 0.50

2.4.3 Post-Job Critique A supervisory review compares the work accomplished to the post-maintenance testing or inspection performed to determine that work is acceptable before the equipment or system is returned to normal service. A1

A2


Maintenance department personnel review completed Work Orders for the adequacy of repair, completeness of documentation, and identification of rework

5.00

Post-job briefing or critiques are conducted among supervisors and maintenance crews to develop lessons learned to improve future activities are performed for jobs that significantly exceed schedule

5.00

INPO 97-013


2.4.4 Data Capture and Utilization This sub-element addresses the effective capture of equipment maintenance history, performance, and reference information. Maintenance history includes documentation of component identification and description, vendor reference information and correspondence, diagnostic monitoring data, corrective and preventive maintenance or modification information, and spare parts information. A1

A2

Work documents are completed to include all appropriate information to help reconstruct the activity, and to accurately identify the 'as found' and 'as left' condition of equipment Work Order Completion remarks are thoroughly and clearly written to describe maintenance activities with sufficient detail to aid further problem analysis and troubleshooting. This information provides a basis for traceable, auditable Work Orders

EPRI Maintenance Consulting Experience 3.00



B-43


A3

Detailed maintenance history is captured in a timely manner

A4

Feedback is provided to planning to improve future work packages. Feedback includes: special tools; socket sizes; scaffolding requirements; any problems encountered with the work package; unit or equipment identification; or clearance; any special documentation needs not included in the package; and, parts not identified in the package

INPO 97-013 Utilities Maintenance Documents

0.75

Special tools and parts are logged where appropriate and the completion remarks include: the 'as found' condition; activities required to make the repair (parts replaced, what adjustments were needed, what nonconformance were found and resolved); and, the 'as left' condition

0.50

A6

Calibration sheets, where appropriate, are completed with 'as found' and 'as left' calibration data, as well as M&TE usage

0.50

A7

Appropriate preventive and predictive maintenance records and design modification packages are included

0.50

A8

'As-found' conditions during corrective and preventive maintenance are captured

0.50

A9

'As-found' condition codes are applied

0.75

INPO 97-013

A10

Maintenance Task Type Codes are verified (e.g. CM -Expected, PMRestore/Replace, PM-Condition Monitoring Task, etc.)

0.75


A11

Vendor repair information (i.e. correspondence on component repairs and modification bulletins) are included

0.50

A12

Work histories are provided for single and multi-craft jobs

A13

Actual labor hours and material costs are captured for each Work Order

A14 A15

A5

B-44

0.75



INPO 97-013

INPO 97-013

INPO 97-013

0.50


0.50


Startup tests and other baseline data are captured

0.50

INPO 97-013

Appropriate test data are included in Work Order closeout information

0.50

INPO 97-013


Applicable industry experience information is included

0.25

INPO 97-013

A17

Closeout feedback to the initiator is performed

0.50

INPO 97-013

A18

Closeout approval is acquired

0.25

INPO 97-013

2.4.5 Housekeeping This sub-element addresses the material conditions, cleanliness, and housekeeping of facilities, systems, and equipment upon completion of work activities.

1.00


Tools and equipment are properly stored when work is completed. The location of the work in progress is posted with signage indicating the work group, contact person, and phone extension

2.00

A2

The location of the work in progress is posted with signage indicating the work group, contact person, and phone extension

0.50

A3

Work incomplete tags, work in progress signs, or copies of Work Orders attached to tools or equipment are for identifying continuing work only and are not used to create a freestanding storage area

0.50

A4

General plant areas are NOT used as storage areas

0.50


A5

Walkways and equipment accesses are maintained free from obstructions

0.50


A6

Shop areas are kept clean, neat, orderly, and professional looking

0.50


A7

Knowledgeable individuals who are alert to deficiencies with plant housekeeping, take pride in the plant's overall condition, and assume ownership of cleanliness and appearance of facilities, systems, and equipment

1.00

A8

Machine tools are maintained in accordance with vendor manuals and cleaned after use

0.50

A9

Maintenance personnel are responsible for checking out, the proper use, and the return of tools, M&TE, and other equipment

0.50

A1







B-45


A10

A11

After completion of a job, the affected work areas will be left clean of debris, tools, parts, and any miscellaneous materials. Professionalism dictates that the work area be left cleaner than it was found

2.00

Work site clean-up expectations are communicated to Operations and Maintenance Craft

0.50



2.4.6 Return Equipment to Service This sub-element addresses the processes required to return equipment to service. These processes assure that the proper testing has been accomplished and operations participates and accepts the equipment as ready for service.

B-46

INPO 97-013 1.00

A1

Satisfactory and expeditious return to service of the equipment or system is established

1.00

A2

Operational acceptance of the equipment, based on satisfactory test completion, is verified by the Operations department by signature on the Work Order or other reference document

1.00

A3

Acceptance criteria are generated and available before the test and are included or referenced as part of the test instructions

1.00

A4

Verification is made from objective evidence such as conducting or witnessing the post-maintenance test or reviewing completed procedures and documented test results

1.00

A5

Test data and its acceptability are entered or cross-referenced to maintenance history

1.00

A6

Deficiencies identified during testing are documented and corrected on the original Work Order or control document, by a new MR or control document, or on another reporting system before the original Work Order is accepted as complete by Operations; and, the original documents reference follow-up actions

INPO 97-013

INPO 97-013

INPO 97-013

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INPO 97-013 1.00


If a PMT fails and the equipment or system cannot be repaired and tested satisfactorily in a short period of time (normally, before the next shift change), the degraded or inoperable status of the equipment is documented so that operators understand the limitations of this equipment and/or system

INPO 97-013 1.00

A8

Initiator's satisfaction to the Work Order is measured

A9

Equipment is released back and accepted by Operations

1.00

A10

Completed work is clearly defined and documented, and communicated to plant operations and the work originator

1.00

1.00



B-47

C PEOPLE SKILLS AND HUMAN RESOURCES

C-1

People Skills and Human Resources

3.0 People Skills/Human Resources This Category addresses the Elements of maintenance associated with the level of skills that are needed to accomplish maintenance. This includes the training and qualification of all personnel for all activities and tasks within maintenance. This Category also includes the Elements of Human Performance that affect the successful execution of maintenance, as well as the methods of utilizing Management and Craft (union and non-union) in accomplishing maintenance.

RNWF EPRI Maintenance Consulting Experience

3.1 Training This element addresses the quality and application of the training program to ensure that personnel are prepared with the skills necessary to support all maintenance functions.


3.1.1 Processes and Policies This element addresses the policies, processes and procedures in place to govern the maintenance Training and Qualification program, this includes the provision of training and the management of qualifications to ensure that the appropriate technical knowledge and skills to conduct safe, efficient, and effective maintenance in the plant. The program includes 'initial' and 'continuing' training, On-the-Job Training (OJT), classroom and laboratory work, etc.

C-2

INPO 97-013

A1

Policy/procedural guidance is provided for determining and supports training schedules

INPO 97-013

A2

Policy/procedural guidance is provided for determining the training needs of each individual based on job classification, previous education, training, experience, and skill level

INPO 97-013

A3

Policy/procedural guidance is provided for utilizing subject-matter experts, instructors, and trainers

INPO 97-013

A4

Training policies and procedures clearly define the responsibilities for establishing, maintaining, and implementing the maintenance training and qualification programs departments

INPO 97-013

A5

Policy/procedural guidance is provided for initial training to provide personnel with the knowledge and skills necessary to perform work

INPO 97-013

People Skills and Human Resources A6

Policy and procedural guidance is established for cross-discipline/multiple task training to develop worker knowledge and improve productivity

INPO 97-013

A7

Policy and procedural guidance is established for plant systems and component training for infrequently performed or difficult tasks

INPO 97-013

A8

Policy and procedural guidance is established for fundamentals refresher training to maintain and improve maintenance personnel knowledge and skills of academic principles

INPO 97-013

A9

Policy and procedural guidance is established for training to reinforce management standards and expectations, such as self-checking, procedure adherence, and tool use

INPO 97-013

A10

Qualified technicians and management personnel work together to periodically review, update, and enhance the training policies and procedures and opportunities for all section personnel


A11

The trainee, immediate supervisor, and OJT Coordinator work together to coordinate opportunities


A12

OJT activities are monitored by Maintenance management to facilitate OJT program improvement


3.1.2 Process Personnel Skills Development This sub-element addresses the training requirements necessary for personnel to satisfactorily accomplish their tasks and to provide a path for professional growth.

Various EPRI Technical Reports

A1

A career development plan implemented for professional growth, and to develop a source of potential supervisors and managers is established

INPO 97-013

A2

Maintenance staff work for short periods in other functional areas in the organization to broaden their perspective and understanding of overall plant functions (i.e. Operations, Engineering, and Outage)

INPO 97-013

A3

On-the-Job training and task performance evaluation is implemented to teach and evaluate job-related knowledge and skills within the job environment, and to develop an understanding of management standards and expectations

INPO 97-013

C-3


A4

Basic planning and scheduling skills used at the station to include familiarity with the content of work packages, scheduling tools, and computer-based information management systems

INPO 97-013

A5

Continuing training verification is employed to ensure that workers' knowledge and skills needed to successfully perform assigned maintenance tasks are maintained and enhanced

INPO 97-013

A6

Maintenance personnel are held accountable for their personal performance and professional conduct in training, including classroom and laboratory performance


A7

Maintenance personnel are required to maintain their designated training current, this is a joint responsibility with the training organization.


A8

Training is performed for all maintenance personnel that includes the changes in plant configurations and procedures, regulatory requirements, and applicable lessons learned from industry and in-house operating experiences

INPO 97-013

3.1.3 Plant Systems This sub-element includes the training in place to provide an in-depth knowledge of system function, how these functions relate to other systems, and how to perform maintenance to keep it functioning at its optimum

C-4


A1

Specific system/component training to provide the maintenance worker with in-depth knowledge and skills required to maintain the equipment

INPO 97-013

A2

Has configuration control training to sensitize maintenance personnel to maintenance activities that could change the design configuration of the plant

INPO 97-013

A3

Maintenance workers, supervisors, and managers are provided with basic plant operations and system functionality training


People Skills and Human Resources 3.1.4 Management/Supervisor Development This sub-element addresses the training requirements necessary for management/supervisor to satisfactorily accomplish their responsibilities. This training includes both technical and personnel. A1

Training includes scheduling the visiting of other generating stations to broaden the individual's perspective of maintenance activities, and to stimulate comparison and emulation of good practices

INPO 97-013

A2

Training includes having staff work for short periods in other functional areas in the organization to broaden their perspective and understanding of overall plant functions (i.e. Operations, Engineering, and Outage)

INPO 97-013

A3

Managers and supervisors actively participate in the development and implementation of training, and periodically attend classes to ensure a welltrained, professional work force


A4

Managers observe training activities and attend training interface meetings


3.1.5 Business Literacy This sub-element addresses the training necessary so that the personnel have a basic understanding of the business of maintenance. Business terminology is included.


A1

Basic industry literacy training is provided to all maintenance personnel


A2

Maintenance managers and supervisors are trained on business processes and business related system tools


3.1.6 Contractor Training This sub-element addresses the training program and standards of all maintenance contractors performing work within the plant. A1

Training for contracted maintenance workers is managed to the same quality standards as company personnel

TR1000321 EPRI PMO Assessment Guideline Utilities Maintenance Documents

C-5


A2

The maintenance training organization is responsible and accountable to ensure properly trained maintenance personnel are used to perform maintenance work within the plant


3.1.7 Specialty Training This sub-element addresses the organizations training programs provided for those specific jobs that require a unique skill such as planning, scheduling, welding, I&C testing, PdM technology applications, NDE applications, etc.


3.1.7.1 Planning Personnel

C-6

A1

Determine applicable safety, administrative, and technical procedures necessary to perform the maintenance tasks

INPO 97-013

A2

Identify current revisions to procedures, vendor manuals, drawings, and other plant policies related to maintenance tasks

INPO 97-013

A3

Determine safety classification and environmental qualification requirements for replacement parts or component assemblies

INPO 97-013

A4

Determine quality assurance inspection requirements and hold points

INPO 97-013

A5

Understand plant system interactions and component isolation capabilities since this knowledge is required for initiating risk assessments and contingency plans for online maintenance and other high risk activities

INPO 97-013

A6

Understand integrated scheduling techniques to evaluate how a specific work plan could affect another

INPO 97-013

A7

Understand plant and equipment design for identification of large equipment transport paths, overhead lift capabilities, floor loading limits, and potential effects of a maintenance activity on surrounding equipment and systems

INPO 97-013

A8

Determine the impact of the maintenance activity in the design configuration of the plant

INPO 97-013


Understand technical aspects and support activities required for the maintenance activity

INPO 97-013

A10

Determine maintenance task schedule duration and resource requirements

INPO 97-013

A11

Understand functional verification and the retest program

INPO 97-013

A12

Understand the work management process

INPO 97-013

A1

Determine resource requirements (worker hours and task qualification requirements) for schedule resource loading

INPO 97-013

A2

Understand system interactions and operability requirements for schedule sequencing determinations

INPO 97-013

A3

Understand parts inventory systems for parts availability verification before scheduling

INPO 97-013

A4

Understand total activity duration as planned and contingency plans for job scope changes

INPO 97-013

A5

Understand critical path identification and scheduling methods

INPO 97-013

3.1.7.2 Schedulers

3.1.7.3 Unique Work Execution Tasks A1

A program is in place that identifies unique work execution tasks and documents and provides the required specific task training (e.g. welding, NDE, condition monitoring technologies, I&C testing, etc.)

Utility Maintenance Documents

A2

Individual training curriculum for each identified unique skill is established and implemented


3.1.8 Training Facilities This sub-element addresses the organization's facilities for conducting both classroom and hands-on training.


C-7


A1

Training facilities to accommodate all identified training are adequately configured at the company site or adequate vendor supplied facilities are utilized.


3.2 Utilization This element addresses the organization's effectiveness with Management/Craft (union or non-union) interactions and ability to utilize multi-disciplined craft personnel for the various maintenance activities. This element also includes Productivity of the Craft.


3.2.1 Management/Union Interaction This sub-element addresses the relationship between the union and management. This includes the environment created to establish an interaction where both parties see value and benefit.


Management works side by side with union officials in developing policies and direction.


A1

3.2.2 Multi-Discipline This sub-element addresses the use of a workforce that has multiple skills, which allows more flexibility and backup when scheduling and accomplishing the work. A1

The maintenance organization employs multi-discipline workers to maximize knowledge and utilization of the workforce.



3.2.3 Mbl/Shared Workforce This sub-element addresses the ability to utilize workers from other organizations and plants for more effectively utilizing maintenance personnel during peak and off peak maintenance demand periods. A1

C-8

A process is established to utilize a mobile/shared workforce to maximize knowledge and utilization of the workforce



People Skills and Human Resources 3.2.4 Productivity This sub-element addresses the effective and efficient use of resources in the planning and execution of maintenance work activities.


A1

Maintenance craft schedule jobs, pre-stage parts, tools, and equipment, as necessary, and adequately review all work package documents before the start of the job so that technicians are at the job site and working without losing time


A2

Maintenance craft ensure that adequate pre-job reviews are performed to identify the most efficient means of accomplishing tasks


A3

Maintenance craft ensure that the schedule accurately reflects expected durations, manning levels, and start and complete dates


A4

Maintenance supervisors determine and staff jobs appropriately with qualified personnel, while maintaining safety and efficiency


A5

Maintenance supervisors review jobs during actual performance and adjust staffing levels as necessary


A6

Maintenance supervisors critique significant jobs at closure to identify productivity issues, and act upon and share such knowledge


A7

Maintenance supervisors provide adequate direction for 'fill-in' work should a team accomplish their scheduled work early


A8

Maintenance craft follow and support the station's work control process


A9

Maintenance supervisors ensure that Maintenance personnel understand the need to be available for support of plant operation, and that unscheduled absences result in challenges to support scheduled work activities


A10

Upon completion of a task, technicians report job completion to their supervisor, and seek additional assignments


A11

Maintenance management measures Craft productivity in man-hours used by maintenance type and discipline


C-9


A12

Maintenance management measures manpower utilization by general tasks expressed as a percentage of total man-hours


A13

The effectiveness of the Craft utilization is determined by the Craft resource utilization factor [The Craft resource utilization factor is determined by dividing the sum of the reported actual on the job (wrench time) hours for the period by the total Craft man-hours at work for the period, and multiplying the answer by 100]


A14

Maintenance management measures man-hours expended per work item, particularly repetitive tasks

INPO 97-013

A15

The effectiveness of Craft utilization is determined by the Work Orders per Craft period


A16

The Work Orders per wrench week is determined by multiplying the total number of Work Orders processed in the monitoring period by the number of hours in a normal workweek, and dividing this product by the sum of the reported actual on the job (wrench time) hours for the period


A17

Work Orders per staff week is measured by multiplying the total number of Work Orders processed in the monitoring week times the number of hours in the normal workweek, and dividing the product by the sum of the support staff hours for the period


3.3 Human Performance This element includes the evaluation of maintenance leadership desired behaviors for maintenance personnel that will ensure the appropriate level of professionalism by all workers. Excellence in human performance results in minimization of human error in support of safe, high quality maintenance work personnel, and higher levels of equipment reliability at minimum cost. The workers should set their behaviors and values to the policies and procedures of the leadership standards. 3.3.1 Behaviors and Values Execution of work by individuals is the product of mental processes influenced by diverse factors related to the work environment and the demands of the task, as well as the capabilities of each individual.

C-10


Maintenance Workers strive to present a workplace that is free from intimidation and harassment of others


A2

Employees are expected to report to work Fit for Duty. In the event of an unscheduled call-out, any consumption of alcohol is to be identified during the call-out to allow determination of the need for testing upon arrival


A3

Maintenance Workers meet commitments with quality work


A4

Maintenance Workers set high standards of performance and hold themselves to those standards


A5

Maintenance Workers are organized and mentally ready to do the job throughout their assigned shift


A6

Maintenance Workers consider themselves part of a professional team that meets company objectives


A7

Maintenance Workers exhibit professional conduct


A8

Maintenance Workers have respect for fellow employees


A9

Maintenance Workers work together to correct problems, and bring concerns to the attention of supervision


A10

Employees share their knowledge with each other


A11

Maintenance Workers want to grow and develop technically


A12

Maintenance Workers are self-critical, looking for ways to improve performance


A13

Maintenance Workers are friendly, courteous, and motivate each other


A14

Maintenance Workers wear protective equipment


A15

Technicians and supervision cooperate to eliminate barriers to human performance improvements


C-11


C-12

A16

Teamwork is a fundamental way of doing business


A17

Supervision and technicians take the time to reinforce desired behaviors


A18

Maintenance personnel contribute to the ability of employees to routinely exhibit the following behaviors at the job site: focus and concentrate on the task at hand; expect to self-check and be checked by others (Peer Inspection); work in a cautious, questioning manner, particularly when faced with uncertain or degrading conditions involving personnel safety or other critical tasks; and, take the time needed to 'do the job right the first time'


A19

Maintenance Workers determine ahead of time, usually through pre-job briefings but also through self-questioning, where the most likely error could occur (think 'worst case', 'what if') and expect success but plan for failure


A20

Human Performance Enhancement techniques are implemented through various programs to raise awareness of human fallibility. These programs provide individuals with tools to recognize and correct potential human performance error, likely situations to occur, and to take preventive actions


A21

Management encourages individuals to identify weaknesses with organizational processes, such as training program deficiencies, or an inadequate labeling process that could create the conditions for error

INPO 97-013

A22

Management cultivates an atmosphere of open communication

INPO 97-013

A23

Individuals develop a strong sense of personal ownership of their jobs, careers, and the plant

INPO 97-013

A24

Employees consider the implications of their actions on others

INPO 97-013

A25

Individuals exercise their authority to 'stop work' if unanticipated conditions arise

INPO 97-013

A26

Individuals take time to think about the task and to ensure that their attention is appropriately focused according to the safety-significance of the task

INPO 97-013

A27

Individuals are alert to the potential impact of distractions to themselves as well as to others

INPO 97-013


Individuals specifically consider their personal abilities to meet mental, physical, and team requirements of the task

INPO 97-013

A29

Individuals approach each job with a questioning attitude, thinking through the steps and key decision points of a task before acting

INPO 97-013

A30

Individuals routinely ask 'what if' and are conscious of the expected results and potential consequences of each action

INPO 97-013

A31

Individuals work in a cautious, questioning manner and do not hesitate to call a time-out (stopping work) to regroup

INPO 97-013

A32

Team members at all levels practice effective communication techniques to create understanding

INPO 97-013

A33

Work teams inquire regularly to obtain necessary information

INPO 97-013

A34

Work teams regularly resolve conflicts to achieve the best solution

INPO 97-013

A35

Open communications are facilitated by managers

INPO 97-013

A36

Teamwork is promoted to eliminate error-likely situations and to strengthen defenses

INPO 97-013

A37

Management searches for, and eliminates, organizational weaknesses that create conditions for error

INPO 97-013

A38

Management reinforces desired job-site behaviors

INPO 97-013

A39

Management values the prevention of errors

INPO 97-013

A40

Management fosters a culture that values prevention of events

INPO 97-013

A41

Workers communicate to create shared understanding

INPO 97-013

A42

Workers anticipate error-likely situations

INPO 97-013

A43

Workers confirm the integrity of defenses

INPO 97-013

C-13


A44

Workers improve personal capabilities

INPO 97-013

3.3.2 Procedure Use This sub-element addresses how individuals adhere to procedures in a deliberate, conscientious fashion even when other, quicker methods exist.

C-14

A1

Maintenance Workers have use of and adherence to procedures and policies

INPO 97-013

A2

Maintenance supervisors have procedures readily available and clearly identified to ensure that the user can determine the purpose, applicability, and physical completeness

INPO 97-013

A3

Maintenance Workers check procedures before use to ensure that the correct revision is being used

INPO 97-013

A4

Maintenance Workers continuously use procedures for activities having direct impact on nuclear safety and reliability or difficult, complex tasks independent of the frequency performed

INPO 97-013

A5

Maintenance Workers use references for tasks easily accomplished from memory, or for tasks for which improper actions pose no immediate consequences to workers or equipment

INPO 97-013

A6

When using a procedure, individuals recall and thoughtfully consider knowledge of fundamental theories and bases

INPO 97-013

A7

Procedure deficiencies are identified for correction, even seemingly minor ones, before proceeding

INPO 97-013

A8

Individuals effectively apply their knowledge of fundamentals and are sensitive to cues and important decision points of a task

INPO 97-013

A9

All work on plant Structures/Systems/Components (SSC) is performed using appropriate documentation such as Work Orders, Action Requests, or applicable Troubleshooting Process Control Forms


A10

The work package, or a copy thereof, is available and is used at the work location


People Skills and Human Resources 3.3.3 Self Check This sub-element addresses the maintenance organizations proficiency with the use of selfchecking. [Self -Checking is a self-verification by the worker as a step or action is performed to ensure that the intended action is correctly and positively performed on the right equipment. Consistently applied, self -checking will minimize error by forming a barrier against complacency and overconfidence]. A1

Maintenance Workers ensure that the work is being performed on the correct component, train, system, and unit

INPO 97-013

A2

All technicians are responsible for conducting self-checking prior to manipulating a component or device, or altering an equipment configuration (e.g. positioning switches, breakers or valves, lifting/landing leads, connecting test equipment, removing or installing fuses, etc.)


A3

Self-checking encompasses the following (STAR): Stop (S)-pause before performing a task; Think (T)-understand exactly what is to be done before taking any action; Act (A)-touch the component without actuating it, asking “Am I doing the right thing,” then do it; Review (R)-verify that the actual response is the expected response


A4

Individuals identify the actual responses of the systems, components, or processes and compare them to expected outcomes

INPO 97-013

A5

Individuals anticipate error-likely situations

INPO 97-013

A6

Individuals make necessary checks of an activity before performing manipulations that can change the state of the plant, identify correct components, and ensure that the correct procedures, tools, and resources are used appropriately

INPO 97-013

A7

Individuals verify instructions, equipment, locations, and time constraints, and determine contingency actions for unexpected plant responses

INPO 97-013

3.3.4 Peer Check This sub-element addresses how individuals actively monitor and challenge each other's actions and thought processes as they perform maintenance work.


C-15


A1

The peer checker simultaneously witnesses and verifies the activity PRIOR to the performance, e.g. assures that the correct component will be manipulated


A2

The peer checker is qualified to perform the assigned task or should have sufficient knowledge to evaluate the task


A3

The peer checker has access to the document or management direction that is providing direction to the task performer for task performance (i.e. the performer shall not be the source for telling the peer checker what is to be checked)


A4

Peer checks are performed completely for tasks, which have multiple actions (e.g. Install a jumper from terminal point A to terminal point B. The act of installing a jumper is not the only action occurring in the step. The terminal points, panel number and room must also be checked/verified to be correct prior to and during the task)


A5

Management monitors trends and human performance in the plant

INPO 97-013

A6

Management verifies that individuals possess capabilities to achieve task requirements

INPO 97-013

A7

Maintenance managers and supervisors continually monitor organizational processes, values, and problem-solving methods to detect organizational weaknesses that could affect the workplace

INPO 97-013

A8

Individuals realize their dependence on each other to recognize error-likely situations before problems arise

INPO 97-013

3.3.5 CAP Program Utilization This sub-element addresses the use of the CAP Program. The CAP Procedures and the process are used regularly and the CAP Program is an integral part of the maintenance program.

INPO 97-002

Individuals at all levels of the organization use self-evaluations to identify areas for improvement

INPO 97-002

A1

C-16


Managers frequently monitor and influence personnel performance improvement by observing work activities and training

INPO 97-002

A3

Managers initiate self-evaluations to identify adverse cultural symptoms, such as complacency.

INPO 97-002

A4

The results of quality program reviews and of reviews by knowledgeable interdisciplinary groups, such as independent safety review groups, are used to improve station performance

INPO 97-002

3.3.6 Conflict Resolution This sub-element addresses the use on a process that resolves personnel issues that could be between individuals or working groups. A1

Maintenance supervisors and managers resolve conflicts between individuals or among work groups

INPO 97-013

A2

Workers and managers communicate regularly to obtain necessary information to resolve conflicts

INPO 97-013

3.4 Qualifications This element addresses the maintenance organization's methods associated with the qualifications and skills of functions within the organization, with a focus on whether qualifications and skills are capable of supporting program goals. This element also includes the use of a qualification matrix that identifies the unique skills required to perform various maintenance functions.


3.4.1 Personnel Selection This sub-element addresses the Maintenance organization's process used to select new employees. A1

Initial screening of applicants for maintenance positions is performed, and takes into account the importance and potential impacts of tasks that personnel are likely to perform

INPO 97-013

C-17


A2

A selection process that verifies that applicants have the aptitude to develop the skills and knowledge to perform assigned duties is established

INPO 97-013

A3

A screening process that includes verification of educational and professional background, suitability for the utility's culture and environment, ability to perform maintenance tasks, and potential for success in the selection process, is established

INPO 97-013

A4

Pre-selection testing and candidate interviews are used to determine the candidate's potential for success in the selection process

INPO 97-013

A5

The selection process assesses the individual's potential for development into other positions

INPO 97-013

A6

An evaluation is performed for manager and supervisor applicants that considers the candidate's maturity, judgment, and ability to perform manager duties

INPO 97-013

A7

The screening process addresses integrity, leadership, management capabilities, and technical competency

INPO 97-013

3.4.2 Qualification Process This sub-element addresses the process that is in place to determine the skill set of new employees or existing employees performing maintenance tasks.

C-18


A1

A Maintenance panel or qualified maintenance supervisor or manager approves the qualification of maintenance personnel

INPO 97-013

A2

The maintenance organization clearly defines the responsibilities for establishing, maintaining, and implementing the maintenance training and qualification programs

INPO 97-013

A3

All personnel are held accountable for their individual qualifications as tracked by the training coordinators and training staff, qualification of personnel is treated as a joint responsibility


A4

Close coordination between the managers and supervisors of the maintenance and training departments is established to manage personnel qualifications

INPO 97-013

People Skills and Human Resources 3.4.3 Re-Qualification Process This sub-element addresses the process that is in place to determine the current skill set of the employees. If required, it will determine the refresher training necessary to maintain current skill sets A1

A maintenance panel or qualified maintenance supervisor or manager approves the re-qualification of maintenance personnel

INPO 97-013

A2

The maintenance organization clearly defines the responsibilities for establishing, maintaining, and implementing the maintenance training and requalification program’s departments

INPO 97-013

A3

All personnel are held accountable for their individual re-qualifications as tracked by the training coordinators and training staff, qualification of personnel is treated as a joint responsibility


A4

Close coordination between the managers and supervisors of the maintenance and training departments is established to manage personnel re-qualifications


3.4.4 Contractor Qualifications This sub-element addresses the process of determine the capabilities of contractors to perform the specific work function. A1

All contractors performing maintenance work at the company facilities are held accountable to the same quality standards as company employees


3.4.5 Qualification Tracking Program This sub-element addresses the process of ensuring that skill set of workers is maintain and meets the standards set down by the maintenance organization. A1

A system is employed to manage personnel qualifications and requalifications


A2

The qualification tracking program is integrated with the CMMS to ensure that maintenance work is not assigned to unqualified workers


C-19


3.4.6 Succession Planning This sub-element addresses the process that is utilized to retain the skill sets through attrition of the workforce and as older employees reach retirement.

C-20


A1

A maintenance/leadership panel periodically addresses and maintains a succession planning list that includes internal and external potential candidates


A2

Maintenance Leadership and senior managers are personally responsible and held accountable for identifying, assessing, and developing a pool of qualified replacements for senior nuclear manager positions

INPO - Management and Leadership Development 1994

A3

Senior managers actively and systematically identify individuals with strong management and leadership potential. Emphasis is placed on early identification, considering individuals several levels down in the organization


A4

Senior managers place high priority on the timely development of the needed competencies of high-potential individuals. Varied and challenging assignments are used with emphasis on plant operational experience


A5

Individuals who aspire to management positions exhibit a strong sense of responsibility for their own development


A6

The development needs and the progress of Assessment of those individuals identified as having management and leadership potential are assessed on an ongoing basis, and their readiness and potential for future management and leadership positions are systematically re-evaluated


A7

Human resource and training professionals serve as advisors and facilitators, as needed, in the development, implementation, and periodic review of the management and leadership development process and assessment of individuals


D TECHNOLOGIES

D-1

Technologies

4.0 Technologies

RNWF

This Category includes the technologies required to support the workforce in the maintenance optimization process, which includes all technical advances such as: automation, condition monitoring technologies, maintenance management systems, process data historians and distributed control systems. This element also includes process improvement tools that support the Maintenance Basis, PdM, and PAM processes and financial, budget and metrics tracking. 4.1 Maintenance Management System This element addresses the maintenance organization effectiveness with utilizing tools for managing the work identification, planning, scheduling, execution, and closeout of maintenance activities, and processes. This includes tools that support the risk and decision assessments and the capabilities to report on maintenance activities and effectiveness. 4.1.1 Computer Maintenance Management System (CMMS) This sub element addresses the effectiveness of the Computerized Maintenance Management System (CMMS) used to support the organization's daily and outage work management process. This sub-element includes the evaluation of the system's capabilities for automating this process and the organization's proficiency with the application of the CMMS.

D-2

A1

The organization has a CMMS

INPO 97-013

A2

The CMMS is user friendly and is accessible to plant personnel

INPO 97-013

A3

The CMMS is used for daily and outage work

INPO 97-013

A4

The CMMS is effectively used by plant and central support personnel especially, operators, planners, engineering, and maintenance craft

INPO 97-013

A5

The CMMS has the ability for any plant personnel to log work (maintenance) requests that contain: equipment identification codes, a description of the problem, recommended priority, and the time frame when work should be initiated. It provided easy access to supervisors or management to approve work requests, set priorities and convert work requests to work orders


Technologies A6

The CMMS has work request/order codes that classifies corrective maintenance as: unexpected, expected (work on equipment that was established as run-to-failure), condition-directed (work resulting from PMs, or engineering projects), etc.


A7

The CMMS has work request/order codes that classifies preventive maintenance (PM) tasks as inspections, surveillances and condition directed)


A8

Preventive Maintenance (PM) tasks are automatically generated at the prescribed time and are provided to scheduling for proper inclusion.


A9

Work Orders can be placed in backlog (daily, short outage, major outage) and tracked


A10

CMMS automatically searches for duplicate Work Orders


A11

The CMMS for any given Work Order includes: standard work packages, skill requirements, parts, clearance requirements, drawings, procedures, special tools, special instructions, post maintenance testing requirements, time constraints, and associated limiting conditions for operation, time constraints, estimated planned labor hours and material costs, etc.


A12

Work Order indicates personnel safety and protection requirements or permits (i.e. confined space entry permit; welding and burning permit; clearance tag-out; isolation; draining; depressurization of the component; etc.)

INPO 97-013

A13

Work Order has identification of qualification requirements (i.e. environmental and seismic qualifications)

INPO 97-013

A14

Work Order has potential impact of maintenance activity on plant operations

INPO 97-013

A15

Work Order has results of evaluation of risks to safe plant operation

INPO 97-013

A16

Work Order includes inspection, safety, or specific hold points associated with the work

INPO 97-013

D-3

Technologies

D-4

A17

Work Order includes documentation of measurement and test equipment used and applicable ranges

INPO 97-013

A18

The CMMS can track work order status (backlog, work progress, waiting on parts, completed, closed-out, etc.)

INPO 97-013

A19

CMMS has as a tracking system to verify that required post-maintenance and post-modification testing is accomplished before the return of a piece of equipment or a system to service (especially important following outages where many jobs may be performed on a system that is removed from service for an extended period, or where several jobs are done under one clearance)

INPO 97-013

A20

Work Orders have a field where the person) who did the work can signoff that it is completed and the completion date is automatically set

INPO 97-013

A21

Worker using the CMMS documents the equipment condition as he found it and a description of the work performed. Must be accomplished before Work Order can be completed

INPO 97-013

A22

The CMMS has condition codes (C1-C8 used to adjust the PM tasks) that establish the condition of the equipment when worker performs a PM tasks. The code has to be entered before a Work Order can be completed

INPO 97-013

A23

CMMS has post maintenance critique questions (primarily yes/no answers) that are used to evaluate: description of the work needed to be performed, the completeness of the work package, parts availability, job safety, etc. Questions have to be answered before the Work Order can be completed

INPO 97-013

A24

Using the CMMS actual labor hours and material costs are captured for each Work Order

INPO 97-013

A25

CMMS automatically informs Work Order originator when the Work Order has been completed

INPO 97-013

A26

Work Order includes acceptance of the equipment by Operations

INPO 97-013

A27

Work Order contains closeout fields for final reviews and signoffs by maintenance and, when applicable, by other groups involved in the work

INPO 97-013

Technologies A28

Work Order documentation of lessons learned that would benefit the next individual assigned to perform the task

INPO 97-013

A29

All Work Orders are filed in a usable, retrievable system for future reference. Maintenance histories are easily obtained


4.1.2 Risk Assessment Tools This sub-element addresses the software tools that will support the risk assessment process. A1

Risk assessment tools exist

INPO 97-013

A2

Tools are easy to use and used effectively


A3

Risk assessment tools track and support the safety requirements and procedures

INPO 97-013

A4

A tool exist that support the evaluation of the risk associated with not doing maintenance. This tool is based on the impact on safety, regulatory requirements, plant/unit reliability, cost and labor resources


A5

Risk tools are accessible over the intranet and internet


4.1.3 Scheduling Tools This sub-element addresses the software tools that will support the day-to-day (daily) scheduling process (i.e. 13-week, 4-3-2-1-week, etc.), and the outage scheduling process. A1

Scheduling tool exists for the daily scheduling process (13 week, 4 week, etc.)


A2

Tool (daily) is easy to use and used effectively when scheduling work


A3

Tool (daily) is part of or linked to the CMMS


D-5

Technologies

D-6

A4

Tool (daily) has ability to assign crews, track availably hours for work [excluding vacation, meetings, training, known sick leave, FIN (Fix It Now) work etc.]


A5

Tool (daily) has capability to schedule and track contracted work


A6

Tool (daily) has the ability to schedule work at any time in a calendar year or greater


A7

Tool (daily) can assign work to backlog, short outage, unplanned outage, or major planned outage.


A8

Tool (daily) can indicate status of work order planning (i.e. color code work order indicating planning status such as green is fully planned, yellow waiting on parts, red not assigned to a planner, etc.) It will automatically indicate when unplanned work falls in week that should only include planned work (i.e. week when schedule is frozen)


A9

Tool (daily) automatically tracks work progress and maintains a rolling schedule


A10

Tool (daily) automatically tracks work that interrupts the schedule including high (emergency or urgent) priority work, sponsored work (important work that could wait to be scheduled), FIN, and planned work that exceeds estimate that causes a schedule interrupt


A11

Tool (daily) has built in metrics including: schedule compliance, planning effectiveness (measure of planned vs. actual hours), sponsored work, PM compliance, Contractor Schedule Compliance, etc. These metrics are tracked and presented in graphs


A12

Tool (daily) links to the outage-scheduling tool


A13

Scheduling tool exists for the outage scheduling process


Technologies A14

Tool (outage) is easy to use and used effectively when scheduling work


A15

Tool (outage) is part of, or linked to, the CMMS


A16

Tool (outage) has capability to combine all outage projects (jobs) into one comprehensive schedule in the form of a Gantt chart. This includes contracted work


A17

Tool (outage) can track critical path projects and provide early warning of schedule interrupts


A18

Tool (outage) has resource loading and assigns tasks based on recourse availability


A19

Tool (daily) has built in metrics including: schedule compliance, planning effectiveness (measure of planned vs. actual hours), sponsored work (added scope), contractor schedule compliance, etc. These metrics are tracked and presented in graphs


4.1.4 Reporting and Decision Tools This sub-element addresses software that will support the maintenance decision-making process, such as the current status of equipment condition. A1

A tool exists that documents the maintenance basis


A2

This maintenance basis tool is easy to update and use


A3

This maintenance basis tool supports the Reliability-Centered Maintenance (RCM) process


A4

This maintenance basis tool supports the maintenance basis part of continuous improvement process


D-7

Technologies

D-8

A5

This maintenance basis tool is linked to other software systems such as, CMMS, continuous improvement, system and condition assessment tools, etc.


A6

This tool is available over the wide area and local area network and over the intranet and internet. Internet access is limited based on security considerations; however, it can access industry maintenance basis databases


A7

This standard work package tool is easy to update and use


A8

This standard work package tool supports the work management planning process


A9

This standard work package tool supports the planning part of continuous improvement process


A10

This standard work package tool is linked to other software systems such as CMMS, continuous improvement, etc.


A11

This standard work package tool is available over the wide area and local area network and over the intranet and internet. Internet access is limited based on security considerations; however, it can access industry standard work packages databases


A12

A tool exists that documents the maintenance procedures


A13

This maintenance procedures tool is easy to update and use


A14

This maintenance procedures tool supports the overall maintenance process


A15

This maintenance procedures tool supports the process part of continuous improvement process


Technologies A16

This maintenance procedures tool is linked to other software systems such as CMMS, continuous improvement, etc.


A17

This tool is available over the wide area and local area network and over the intranet and internet. Internet access is limited based on security considerations; however, it can access industry maintenance procedures databases


A18

Continuous improvement tools are available and are used to support the decision process associated with improving maintenance program (management and work culture, maintenance processes, people and human resources)


A19

Continuous improvement tools, for example the maintenance excellence matrix that utilizes the metrics or attributes, are used to evaluate the current status of maintenance program


A20

Continuous improvement tool, for example the maintenance excellence matrix that utilizes the metrics or attributes, are used to evaluate the progress of the improvement of maintenance program


A21

Continuous improvement tools are available over the LAN (local area network), WAN (wide area network), intranet, and internet


4.2 Maintenance and Diagnostic Technology This element addresses the use and availability of monitoring and diagnostic technologies, including both periodic and continuous on-line systems. This element also addresses the maintenance organization's effective use of analytical modeling software systems, process data and performance tools. 4.2.1 Execution Tools This sub-element addresses products that support the recommendations coming from equipment assessment analyses. Examples include rotating machinery balancing and alignment tools, NDE, and inspection tools

D-9

Technologies

A1

Alignment tools are available and used effectively

TR1003374–PdM Guidelines Volumes 1–4, August 1994– December 1999

A2

The latest Laser alignment tools are available and used effectively


A3

Balancing tools are available and used effectively


A4

The latest multi-plain balancing tools are available and used effectively


A5

Model analysis tools are available and used to determine resonant mode shapes and frequencies


A6

NDE and inspection tools (boroscopic, eddy current etc.) exist and are used effectively


A7

Acoustic emission tools are available and in use to track propagating cracks on critical piping and vessels


4.2.2 Condition Monitoring-Continuous Online This sub-element addresses all of the technologies that have permanently installed sensors, and sends data to a computerized system for review. These systems should automatically alert the technology owner when values exceed the limits for early warning. Details of the technologies, and their use, can be located in Reference 1 and in the EPRI M&D Center technology Assessment Guides.

D-10

Technologies 4.2.2.1 Vibration A1

Continuous online vibration diagnostic system is available and used effectively on all critical rotating machinery


A2

Vibration system access sensors that are installed at each radial bearing location (horizontal and vertical) and thrust bearing. These sensor locations utilize both proximity probes that measure relative shaft vibration, and accelerometers or velocity probes that measure housing vibration.


A3

Vibration tool has capability of spectral analysis over a wide frequency range (0 Hz to 50 kHz)


A4

Vibration tool has capability of analyses that include waterfall (start-stop), bode, orbit, time wave, etc.


A5

Vibration tool has capability of automatically alerting when pre-described limits are exceeded


A6

Vibration tool has capability of supporting balancing efforts This tool would be used instead of a separate balancing tool


A7

Vibration tool has trending capability (overall value, spectrums, specific frequencies, etc)


A8

Vibration tool has expert system, pattern or neural net capability


A9

Reporting of the vibration findings is available over the LAN (local area network) and WAN (wide area network)


D-11

Technologies

A10

Vibration tool is linked to equipment condition decision tools


4.2.2.2 Leak Detection A1

Have an online leak detection system for critical valves that automatically alerts when leak is detected


A2

Valve leak detection tool has trending capability


A3

Valve leak detection tool has analysis capability that can determine seriousness of the leak


A4

Reporting of the leak detection findings is available over the LAN (local area network) and WAN (wide area network)


A5

Leak detection tool is linked to equipment condition decision tools


4.2.2.3 Water Chemistry

D-12

A1

A water chemistry system is installed and effectively used


A2

Chemistry tool has trending capability


A3

Chemistry tool has analysis capability that can automatically provide early warning of problems


Technologies A4

Water chemistry tool has expert system, pattern or neural net capability


A5

Reporting of the water chemistry findings is available over the LAN (local area network) and WAN (wide area network)


A6

The water chemistry tool is linked to equipment condition decision tools


4.2.2.4 Header Leak Detection A1

Have acoustic header leak detection that automatically alarms. This tool is used primarily for safety


4.2.2.5 Transformer Diagnostic A1

Continuous online transformer diagnostic system is available and used effectively on main, step-up and station transformers


A2

Transformer system includes for example: oil, moisture detection, partial arch, loose parts and process parameter, analyses


A3

Transformer tool has capability of automatically alerting when pre-described limits are exceeded


A4

Transformer tool has trending capability


A5

Transformer tool has expert system, pattern or neural net capability


D-13

Technologies

A6

Reporting of the transformer diagnostic findings is available over the LAN (local area network) and WAN (wide area network)


A7

Transformer tool is linked to equipment condition decision tools


4.2.2.6 Breaker Diagnostic A1

Continuous online circuit breaker diagnostic system is available and used effectively on plant critical switchyard circuit breakers


A2

Circuit breaker system includes, for example, process parameter analysis


A3

Circuit breaker tool has capability of automatically alerting when predescribed limits are exceeded


A4

Circuit breaker tool has trending capability


A5

Reporting of the Circuit breaker diagnostic findings is available over the LAN (local area network) and WAN (wide area network)


A6

Circuit breaker tool is linked to equipment condition decision tools


4.2.2.7 Lube Oil Diagnostic A1

D-14

Continuous lube diagnostic system is available and used effectively on all critical equipment


Technologies A2

Lube oil analysis determines the condition of the oil


A3

Lube oil analysis uses the oil as a sensor to determine the condition of the equipment


A4

Online continuous lube oil analyses include, determining the size and amount of foreign partials in the oil; and a combination of chemical, Ferrography, and/or spectroscopy is used


A5

Lube oil tool has capability of automatically alerting when pre-described limits are exceeded


A6

Lube oil tool has trending capability


A7

Reporting of the lube oil diagnostic findings is available over the LAN (local area network) and WAN (wide area network)


A8

Lube oil tool is linked to equipment condition decision tools


A1

Loose parts monitoring of critical equipment is available and used effectively. (Although this system is not widely used because the problems have been corrected it is still has some value for diagnostic evaluations)


A2

Reporting of the loose parts monitoring findings is available over the LAN (local area network) and WAN (wide area network)


4.2.2.8 Loose Parts

D-15

Technologies

A3

Loose parts monitoring tool is linked to equipment condition decision tools


A1

Other diagnostic monitoring tools that cover specific critical equipment are available and effectively used


A2

Reporting of other diagnostic monitoring findings is available over the LAN (local area network) and WAN (wide area network)


A3

Other diagnostic monitoring tools are linked to equipment condition decision tools


4.2.2.9 Other

4.2.3 Condition Monitoring-Periodic This sub-element covers the periodic condition monitoring technologies that are used to monitor critical equipment. The periodicity is determined in the maintenance basis development (See Block MP/WI/Maint. Basis). These systems are used to monitor equipment on a route, which is set up as a PM-CMT in the Maintenance Management System. This System should automatically alert the Technology Owner when values exceed the limit for early warning. 4.2.3.1 Vibration-Permanently Installed

D-16

A1

Periodic online vibration diagnostic system is available. It is installed and used effectively on all critical rotating machinery. Data collection is based on an established time frame (usually every 4 hrs or 8 hrs or 12 hrs)


A2

Periodic vibration system access sensors that are installed at each radial bearing location (horizontal and vertical) and thrust bearing. These sensor locations utilize both proximity probes that measure relative shaft vibration, and accelerometers or velocity probes that measure housing vibration.


Technologies A3

Periodic vibration tool has capability of spectral analysis over a wide frequency range (0 Hz to 50 kHz)


A4

Periodic vibration tool has capability of automatically alerting when predescribed limits are exceeded


A5

Periodic vibration tool has trending capability (overall value, spectrums, specific frequencies, etc)


A6

Periodic vibration tool has expert system, pattern or neural net capability


A7

Reporting of the Periodic vibration findings is available over the LAN (local area network) and WAN (wide area network)


A8

Periodic vibration tool is linked to equipment condition decision tools.


4.2.3.2 Vibration-Troubleshooting A1

Multi-channel vibration system that is used for troubleshooting is available and effectively used. This system is used for troubleshooting specific equipment problems. Sensors are temporarily installed or existing sensors are used


A2

Vibration tool has capability of spectral analysis over a wide frequency range (0 Hz to 50 kHz)


A3

Vibration tool has capability of analyses that include waterfall (start-stop), bode, orbit, time wave, etc.


D-17

Technologies

A4

Vibration tool has capability of automatically alerting when pre-described limits are exceeded


A5

Vibration tool has capability of supporting balancing efforts. This tool would be used instead of a separate balancing tool


A6

Vibration tool has short-term trending capability (overall value, spectrums, specific frequencies, etc.)


A7

Vibration tool has expert system, pattern or neural net capability


A8

Reporting of the vibration findings is available over the LAN (local area network) and WAN (wide area network)


A10

Vibration tool is linked to equipment condition decision tools


4.2.3.3 Vibration-Portable

D-18

A1

Periodic vibration diagnostic system is available and used effectively on all critical rotating machinery


A2

Periodic vibration tool is portable (usually hand-held) system. Data collection is based on some establish time interval


A3

Periodic vibration tool has capability of spectral analysis over a wide frequency range (0 Hz to 50 kHz)


Technologies A4

Periodic vibration tool has trending capability (overall value, spectrums, specific frequencies, etc.)


A5

Periodic vibration tool has expert system, pattern or neural net capability


A6

Reporting of the Periodic vibration findings is available over the LAN (local area network) and WAN (wide area network)


A7

Periodic vibration tool is linked to equipment condition decision tools


4.2.3.4 Thermography A1

Infrared Thermography diagnostic system is available and used effectively. These systems are portable and data collection is based on some established time interval


A2

Thermography system is used for monitoring electrical; mechanical; rotating machinery; equipment that effects safety or efficiency such as valves, traps, etc. and substation equipment


A3

Thermography tool has capability of analyses based on comparative temperature profiles with baseline or similar equipment, and can also measure exact temperatures


A4

Reporting of thermography findings is available over the LAN (local area network) and WAN (wide area network)


A5

The thermography tool is linked to equipment condition decision tools


D-19

Technologies

4.2.3.5 Lube Oil Diagnostics A1

Periodic Lube oil analysis is available and used effectively. Data collection is based on some established time interval and is used on all critical equipment


A2

Sampling ports are installed to obtain consist oil samples


A3

Lube oil analysis determines the condition of the oil


A4

Lube oil analysis uses the oil as a sensor to determine the condition of the equipment


A5

Lube oil analyses include: determining the size and amount of foreign partials in the oil; and a combination of chemical, Ferrography, and/or spectroscopy


A8

Lube oil tool has trending capability


A10

Reporting of the lube oil diagnostic findings is available over the LAN (local area network) and WAN (wide area network)


A11

Lube oil tool is linked to equipment condition decision tools


4.2.3.6 Leak Detection A1

D-20

Periodic leak detection system is available and used effectively. Data collection is based on some established time interval


Technologies A2

Periodic leak detection system is applied to valves, pipes, traps, shop air lines, etc.


A3

Reporting of the leak detection findings is available over the LAN (local area network) and WAN (wide area network)


4.2.3.7 Water Chemistry A1

Periodic water chemistry analysis is available and used effectively. Data collection is based on some established time interval


A2

Chemistry tool has trending capability


A3

Periodic water chemistry tool has expert system, pattern or neural net capability


A4

Reporting of the water chemistry findings is available over the LAN (local area network) and WAN (wide area network)


A5

The water chemistry tool is linked to equipment condition decision tools


4.2.3.8 Transformer Diagnostics A1

Periodic transformer diagnostic system is available and used effectively on main, step-up and station transformers. Data collection is based on established time intervals


A2

Periodic transformer system includes for example: oil, moisture detection, partial arch, loose parts and process parameter, analyses


D-21

Technologies

A3

Periodic transformer tool has trending capability


A4

Periodic transformer tool has expert system, pattern or neural net capability


A5

Reporting of the transformer diagnostic findings is available over the LAN (local area network) and WAN (wide area network)


A6

Periodic transformer tool is linked to equipment condition decision tools


4.2.3.9 Breaker Diagnostics

D-22

A1

Periodic circuit breaker diagnostic system is available and used effectively on plant critical switchyard circuit breakers. Data collection is based on established time intervals


A2

Periodic circuit breaker system includes, for example, process parameter analysis


A3

Periodic circuit breaker tool has trending capability


A4

Reporting of the Periodic circuit breaker diagnostic findings is available over the LAN (local area network) and WAN (wide area network)


A5

Periodic circuit breaker tool is linked to equipment condition decision tools


Technologies 4.2.3.10 Motor Diagnostics A1

Periodic Motor Diagnostic system exists and is effectively used on critical motors


A2

Data collection for the motor diagnostic system is based on some established time intervals


A3

Motor diagnostics is based on electrical tests (i.e. winding resistance, capacitance/dissipation factor, insulation resistance, polarization index, absorption, DC step voltage, heater and motor current signature analysis)


A4

Motor diagnostics is also based on diagnostic monitoring (i.e. vibration, thermography, lube oil)


A5

Reporting of motor diagnostic findings is available over the LAN (local area network) and WAN (wide area network)


A6

The motor diagnostic system is linked to equipment condition decision tools


A1

Other diagnostic monitoring tools that cover specific critical equipment are available and effectively used


A2

Reporting of other diagnostic monitoring findings is available over the LAN (local area network) and WAN (wide area network)


A3

Other diagnostic monitoring tools are linked to equipment condition decision tools


4.2.3.11 Other

D-23

Technologies

4.2.4 Technology Software This sub-element addresses software that supports the analysis needed to evaluate the condition or performance of equipment and/or systems. Examples would include finite element stress and thermal analysis, rotor dynamic analysis of rotating equipment, and model analysis. 4.2.4.1 Rotor Dynamics A1

Analytical rotor dynamic analysis is available and used to determine resonant mode shapes and frequencies of all critical rotating equipment


A2

Analytical rotor dynamic analysis is used to establish baselines, design modifications and for troubleshooting evaluations


A3

Analytical rotor dynamic analysis is combined with vibration monitoring systems to support the evaluation of equipment health used to establish baselines and for troubleshooting


A4

Reporting of rotor dynamic systems findings are available over the LAN (local area network) and WAN (wide area network)


A5

The rotor dynamic system is linked to equipment condition decision tools.


4.2.4.2 Finite Element Stress and Temperature

D-24

A1

Analytical finite element stress and temperature analyses are available and used to determine resonant mode shapes and frequencies of all critical equipment


A2

Analytical finite element stress and temperature analyses are used to establish baselines, design modifications and for troubleshooting evaluations


A3

Analytical finite element stress and temperature analyses are combined with temperature and stress monitoring systems to support the evaluation of equipment health used to establish baselines and for troubleshooting


Technologies A4

Reporting of finite element systems findings are available over the LAN (local area network) and WAN (wide area network)


A5

The finite element system is linked to equipment condition decision tools


A1

Other analytical tools that cover specific critical equipment are available and effectively used


A2

Reporting of other analytical findings is available over the LAN (local area network) and WAN (wide area network)


A3

Other analytical tools are linked to equipment condition decision tools


4.2.4.3 Other

4.2.5 Process Data Utilization This sub-element addresses the use of process data in the condition assessment evaluation of systems and equipment. Process information can come from the plant computer, data historians, and the control system. A1

A data historian (i.e. PI)/plant process computer, that captures process data, is available and is used effectively


A2

The process data tool is routinely used to assess the condition of the system and equipment


A3

The process data tool has capability of automatically alerting when predescribed limits are exceeded


A4

The process data tool has trending capability and plotting capability


D-25

Technologies

A5

The process data tool has expert system, pattern or neural net capability


A6

Reporting of the process data findings is available over the LAN (local area network) and WAN (wide area network)


A7

The process data tool is linked to equipment condition decision tools


A8

Process data is an integral part of the Predictive Maintenance Program


A9

System/Equipment owners utilize process information in their evaluations


4.2.6 Equipment Performance Monitoring Tools This sub-element addresses the use of performance tools in the condition assessment evaluation of systems and processes. They could be on-line continuous tools that utilize sensor information to determine process or equipment performance. Some of these systems are designed for off-line use.

D-26


A1

Performance system is available and is used effectively. It is applied to critical equipment and processes


A2

Performance tool is a continuous online system


A3

The performance tool is routinely used to assess the condition of the system and equipment


Technologies A4

The performance tool has capability of automatically alerting when predescribed limits are exceeded


A5

The performance tool has trending capability


A6

The performance tool has expert system, pattern or neural net capability


A7

Reporting of the performance findings is available over the LAN (local area network) and WAN (wide area network)


A8

The performance tool is linked to equipment condition decision tools


A9

Process data is an integral part of the Predictive Maintenance Program


A10

System/Equipment owners utilize process information in their evaluations


4.3 Information Integration System This element addresses the use of integration systems that relay on the local area networks, and web-based intranet and internet networks. These systems include financial, budgets, scheduling, equipment condition status, and equipment technical documentation. They should link to industry databases such as Equipment Performance Information Exchange (EPIX).

D-27

Technologies

4.3.1 Financial This sub-element addresses the use of software that supports the financial aspects of the maintenance organization such as material purchases, the cost of doing maintenance and tracking the return on investment as a measure of the financial success of doing maintenance.

D-28

A1

Financial software exists and is used effectively


A2

Financial tools tracks labor, material, contractor, and costs


A3

Financial tools tracks all costs by project, outage, Work Order, etc.


A4

Financial tools tracks all costs work by work order categories such as: corrective maintenance-unexpected, corrective maintenance-expected (work on equipment that was established as run-to-failure), corrective maintenancecondition directed (work resulting from PM), Fin work, engineering projects), etc.


A5

Financial tools tracks all costs by labor classification (management apprentice, journeyman, etc.)


A6

Financial tools tracks all costs by maintenance organization (i.e. mechanical crew 1, mechanical crew 2, electrical, I&C, engineering, PdM, etc.)


A7

Reporting of the financial performance/financial status is available over the LAN (local area network) and WAN (wide area network)


A8

Financial tools are linked to the CMMS, business plan, and equipment condition decision tools


A9

Financial tools are part of an enterprise system that, for example, includes: purchasing, budgeting, cost tracking, time sheets, maintenance management, business plan, etc. and, equipment condition decision tools


Technologies 4.3.2 Budget and Schedule This sub-element addresses the use of software that supports the maintenance budgeting process. A1

Bubget software exists and is used effectively


A2

Bubget tools support the business plan development


A3

Bubget tools supports the budgeting efforts, for projects, outages, etc.


A5

Bubget tools support the budgeting for the maintenance organization such as, management, mechanical, electrical, I&C, Engineering, etc.


A6

Reporting of the budget status is available over the LAN (local area network) and WAM (wide area network)


A7

Bubget tools are linked to the CMMS, business plan, and equipment condition decision tools


A8

Bubget tools are part of an enterprise system that, for example, include purchasing, budgeting, cost tracking, time sheets, maintenance management, business plan, etc., and equipment condition decision tools.


A1

Bubget software exists and is used effectively


4.3.3 Equipment Condition Data This sub-element addresses the use of networked base integration tools that support the condition process, and reports the status of the health of the equipment. Since these tools are web-based, the information can be shared with other plants and industries. A1

System and equipment condition assessment (health) tools exist


D-29

Technologies

D-30

A2

These tools are easy to use and used effectively


A3

The system and equipment assessment tools are combined into one software tool


A4

This tool is linked or can access key information from corporate and plant databases, such as drawings, equipment design manuals, and system P&IDs. Also this tool is linked to the equipment technology document software


A5

This tool is linked or can access the Maintenance & Diagnostic Technology Tools (Section 4.2) (i.e. condition monitoring, execution, process, performance, technology)


A6

This tool is linked to the Maintenance Management tools (Section 4.1) such as the CMMS, risk assessment, and decision


A7

This tool is linked to the financial tools


A8

This tool can access the industry databases such as EPIX, EPRI, etc.


A9

Tools are available over the wide area and local area network and over the intranet and internet. Internet access is limited based on security considerations.


A10

This tool supports the evaluation of the current health (condition) of plant systems and components (equipment) based on diagnostic, process, testing, operator logs/rounds, design data, and information from operators, craft, and engineering.


A11

This tool supports maintenance decisions based on: impact on plant/unit reliability and the value; current condition (health), repair history, life expectancy and age of the asset; and the availability of resources (financial and workforce)


Technologies A12

This tool utilizes Expert Systems, Pattern Recognition, Neural Nets, etc. methods to aid in the decision making


A13

Reporting capabilities of this system and equipment condition assessment tool includes: layered to satisfy management, supervisors, system and component engineers, and craft; provide the current status of overall plant, systems and component health (i.e. color codes are used to provide a quick view of this current status.)


A14

This tool has the capabilities of documenting case histories for future references, access by other plants and access by other utilities and organizations


A15

This tool is available over the wide area and local area network and over the intranet and internet with internet access is limited based on security considerations


A16

Component Health reports exist and are available over the intranet and internet. These reports would be a part of the system and equipment condition (health) assessment tool if it exists

INPO 97-013

A17

System Health reports exist and are available over the intranet and internet. These reports would be a part of the system and equipment condition (health) assessment tool if it exists

INPO 97-013

4.3.4 Dispatch System This sub-element system provides information on the current demands of the units. A1

The dispatch system information is available to maintenance personnel through the data historian and or the control system


A2

Dispatch information such as load projections, current load conditions, availability of the units, etc. is available to support the maintenance decision processes such as schedule


A3

Plant maintenance requirements can be readily sent to dispatch to support their decision process


D-31

Technologies

A4

Maintenance Asset management (Risk, cost, condition, life expectancy) is an integral part of the Dispatch Decision tools


4.3.5 Equipment Performance Information Exchange (EPIX) Industry Database This sub-element addresses the availability and use of the EPIX industry database over the internet. A1

EPIX is available over the Intranet and Internet

INPO 97-013

A2

EPIX is a tool that is routinely referenced by maintenance personnel

INPO 97-013

A3

EPIX cases are used to support the equipment condition assessment

INPO 97-013

4.3.6 Equipment Technical Documents This sub-element addresses the linking of equipment technical documents into a database that is accessible over the network.

D-32

A1

Technical documentation software exists and is used effectively


A2

Technical documentation tools include equipment manuals, P&IDs, drawings, engineering modifications, training material, plant capability and design documents, etc.


A3

Technical documentation software is designed to be easily updated


A4

These tools are available over the LAN (local area network) and WAM (wide area network)


A5

These tools are linked to the CMMS and system and equipment condition decision tools.


Targets: Plant Maintenance Optimization

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Maintenance Excellence Matrix

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