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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 askepri@epri.com 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 EPRIs 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.

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

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 EPRIs 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. INPOs 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 INPOs 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 utilitys maintenance program, consisting of: The Management Teams support of the program and the Work Culture promoted within the organization The Maintenance Process The Maintenance Staff and Crafts 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 plants 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 plants latest technologies. In order for the utility to learn from other plants within the utility, it is to the utilitys 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 utilitys organization. In addition, the plants 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 EPRIs, the power industrys, and other commercial industrys 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 utilitys 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.

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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 utilitys 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.

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Plant Maintenance Effectiveness (Best Practices)

Category

Element
Benchmarking Goals/Business Plan Organization Within Industry Org Perf Goals Roles & Respons. Direction Ops,Maint, Eng Overall Goals Personnel Performance Self-Assessment Outside Industry Maint Dept. Goals Specialty Teams Policies & Processes Mangers to Workforce Maintenance Dept. Goals Bus. Plan Adherence Change Mgmt Prog.

Sub-Element
N/A Individual Goals Contract Mngmt Discipline Workforce to Mgmt Plant Goals System/ Comp Own Process Improvement N/A Business Planning Facilities Empowermt Peer Group Meetings Customer Satisfaction Craft Owership Use of OE N/A N/A N/A Motivation Wrkr - Wrkr Comm. N/A N/A CAP Program N/A N/A N/A N/A N/A N/A N/A R&D Activities Proactive Maintenance Planning N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A Empl Ideas Solicited N/A N/A N/A N/A N/A N/A N/A Team Prob Solving

1.0 Management & Work Culture

Leadership Communication Metrics Accountability/ Ownership Continuous Improvement Work Identification Work Control

Work ID Procedures Work Mangement Process & Procedures Work Exec Procedures

Maintenance Basis Outage Mgmt Process & Procedures Equip Clearance & Tagging Post Maint Testing

Corrective Maintenance Prioritize Work

Preventive Maintenance Risk Assessment

Predictive Maintenance Stores/Inv. Management

Work Order Generation Scheduling

N/A

N/A

Contract Mngmt

N/A

2.0 Maintenance Processes

Work Execution

Tools/Mat. Control/Staging Post Job Critique

Pre-Job Briefs Data Capture & Utilization Mgmt /Spvr. development Productivity / Metrics Peer Check Contractor Quals

Perform Maint. Tasks

Work Quality Return Equip to service Contractor Training N/A Conflict Resolution Succession Planning

Safety

N/A

N/A

Work Closeout

Work Close Procedures

House Keeping

N/A

N/A

N/A

Training Utilization Human Performance Qualifications

Processes & Policies Mgmt/Union Interaction Behaviors & Values Personnel Selection

Personnel Skills Dvlpmnt Multi - Discipline Procedure Use Qualification Process

Plant Systems Mbl/Shared Workforce Self Check Re-Qualification Process

Business Literacy N/A CAP Prog Utilization Qual Tracking Program

N/A N/A N/A N/A

Specialty Training N/A N/A N/A

Training Facilities N/A N/A N/A

3.0 People Skills/ Human Resources

Maintenance Management System

CMMS

Risk Assmnt Tools

Scheduling Tools

Reporting & Decision

N/A

N/A

N/A

N/A

N/A

4.0 Technologies

Maintenance & Diagnostic Technology Information Integration System

Execution Tools

Cond Mon. On-line

Cond. Mon. Periodic Equipment Condition Data

Technology Software

Process Data Utilization

Equip Perf Mon. Tools Equip Tech. Documents

N/A

N/A

N/A

Financial

Budget & Schedule

Dispatch System

Industry Database

N/A

N/A

N/A

Figure 2-1 Maintenance Excellence Matrix

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Plant Maintenance Effectiveness (Best Practices)

The Matrix represents all aspects of maintenance from the managers 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

Element

Sub-element 1. Attribute 2. Attribute 3. Attribute 4. -----5. ------

Sub-element 1. Attribute 2. Attribute 3. Attribute 4. -----5. ------

Sub-element 1. Attribute 2. Attribute 3. Attribute 4. -----5. ------

Sub-element 1. Attribute 2. Attribute 3. Attribute 4. -----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

Plant Maintenance Effectiveness (Best Practices)

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.

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Plant Maintenance Effectiveness (Best Practices)

Category

Element
Benchmarking Goals/Business Plan

Sub-Element
Within Industry Org Perf Goals Roles & Respons. Direction Ops,Maint, Eng Overall Goals Personnel Performance Self-Assessment Outside Industry Maint Dept. Goals Specialty Teams Policies & Processes Mangers to Workforce Maintenance Dept. Goals Bus. Plan Adherence Change Mgmt Prog N/A Individual Goals Contract Mngmt Discipline Workforce to Mgmt Plant Goals System/ Comp Own Process Improvement N/A Business Planning Facilities Empowermt N/A N/A N/A Motivation N/A N/A N/A N/A N/A N/A N/A R&D Activities

1.0 Management & Work Culture

Organization Leadership Communication Metrics Accountability/ Ownership Continuous Improvement

Peer Group Meetings Wrkr - Wrkr Comm. Customer Satisfaction Craft Owership Use of OE N/A N/A CAP Program

Attributes

Figure 2-3 Management and Work Culture

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Plant Maintenance Effectiveness (Best Practices)

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 A2 A clear and distinct set of high level maintenance policies is established 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 A set of values and expected behaviors for the maintenance organization has been jointly established among the leadership, maintenance management and workers Specific written procedures for administrative maintenance functions and maintenance sub-processes are available The organization's goals and business plan are provided to maintenance management and supervisors with clear expectations of what is to be done A clear set of maintenance task definitions exists Management communicates individual roles, responsibilities, expected behaviors, results, and standards in clear, unmistakable terms

A3

A4 A5 A6 A7

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

Plant Maintenance Effectiveness (Best Practices)

Identifying the Right Work


PM Scheduled, Preventive CM Equipment Failure

Accomplishing the Work


Work Control Work Execution Work Close-out

Maintenance Basis ID of Maintenance Task Type

PdM Condition Directed

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.

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Plant Maintenance Effectiveness (Best Practices)

Category Element
Work Identification Work Control Work ID Procedures Work Mangement Process & Procedures Work Exec Procedures Maintenance Basis

2.0 Maintenance Processes

Sub-Element
Corrective Maintenance Prioritize Work Preventive Maintenance Risk Assessment Predictive Maintenance Stores/Inv. Management Proactive Maintenance Planning Work Order Generation Scheduling N/A N/A Outage Mgmt Process & Procedures Equip Clearance & Tagging Post Maint Testing

Contract Mngmt.

N/A

Work Execution

Tools/Mat. Control/Staging Post Job Critique

Pre-Job Briefs Data Capture & Utilization

Perform Maint. Tasks

Work Quality Return Equip to service

Safety

N/A

N/A

Work Closeout

Work Close Procedures

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. INPOs 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.
3.0 People Skills/ Human Resources

Category Element
Training Utilization Human Performance Qualifications Processes & Policies Mgmt/Union Interaction Behaviors & Values Personnel Selection Personnel Skills Dvlpmnt Multi - Discipline Procedure Use Qualification Process

Sub-Element
Plant Systems Mbl/Shared Workforce Self Check Re-Qualification Process Mgmt /Spvr development Productivity / Metrics Peer Check Contractor Quals Business Literacy N/A CAP Prog Utilization Qual Tracking Program Contractor Training N/A Conflict Resolution Succession Planning Specialty Training N/A N/A N/A Training Facilities N/A N/A N/A

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

Plant Maintenance Effectiveness (Best Practices)

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 Element
Maintenance Management System Maintenance & Diagnostic Technology Information Integration System CMMS Risk Assmnt Tools Scheduling Tools

4.0 Technologies

Sub-Element
Reporting & Decision N/A N/A N/A N/A N/A

Execution Tools

Cond Mon. On-line

Cond. Mon. Periodic Equipment Condition Data

Technology Software

Process Data Utilization

Equip Perf Mon. Tools Equip Tech. Documents

N/A

N/A

N/A

Financial

Budget & Schedule

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: 3-2 Obtain management sponsorship Establish goals for the Assessment Prepare Assessment objectives Form an Assessment Team Train the Team Obtain plant data Conduct interviews

Self-Assessment Approach

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 Managements 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

Self-Assessment Approach

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

Self-Assessment Approach

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: 3-6 Examination of plant information for reference and review Performing plant interviews

Self-Assessment Approach

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 units forced outage rate percentages for the last 3 years Each units availability factor for the last 3 years Each units 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 persons burdened hourly cost Description of any major capital expenditure projects Replacement power costs

3-7

Self-Assessment Approach

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

Self-Assessment Approach

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 members 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

Self-Assessment Approach

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

Self-Assessment Approach

Benchmarking Goals/Business Plan Organization 1.0 Management & Work Culture Leadership Communication Metrics
Accountability/ Ownership

Within Industry Org Perf Goals

Outside Industry

N/A

N/A Business Planning Facilities Empowermt Peer Group Meetings Customer Satisfaction Craft Owership Use of Industry OE Preventive Maint. Risk Assessment

N/A N/A N/A Motivation Wrkr - Wrkr Comm.

N/A N/A N/A N/A N/A

N/A N/A N/A N/A N/A

N/A N/A N/A N/A N/A N/A N/A Empl Ideas Solicited N/A Contract Mngmt ALARA N/A Training Facilities N/A N/A N/A

Maint Dept. Goals Individual Goals Contract Mngmt Discipline Workforce to Mgmt Plant Goals System/ Comp Own Process Improvement Corrective Maint.

Roles & Respons. Specialty Teams Direction Ops,Maint, Eng Policies & Processes Mangers to Workforce Maintenance Dept. Goals Bus. Plan Adherence Change Mgmt Prog Maint. Basis

Overall Goals Personnel Performance SelfAssessment Work ID Procedures Work Mgmt Process & Work Exec Procedures Work Close Procedures Processes & Policies
Mgmt/Union Interaction

Cont. Improvement Work Identification 2.0 Maintenance Processes Work Control Work Execution Work Closeout Training 3.0 People Skills/ Human Resources Utiliz ation

Predictive N/A N/A N/A Maintenance N/A N/A N/A Program Prob Team CAP Program R&D Activities
Solving Predictive Maint. Stores/Inv. Management Perform Maint Tasks Proactive Maint. Planning Work Quality Work Order Generation Scheduling Safety N/A

Outage Mgmt Prioritize Work Process & Equipment Clear Tools/Mat Pre-Job Briefs Control/Stage & Tag Post Maint Data Capture & Post Job Critique Testing Utilization Personnel Skills Dvlpmnt Plant Systems Mbl/Shared Workforce Self Check Re-Qual Process Mgmt /Spvr development Productivity / Metrics Peer Check Contractor Quals

Return Equip to House Keeping service Business Literacy N/A CAP Prog Utilization Qual Tracking Program N/A
Process Data Utilization

Contractor Training N/A Conflict Resolution Succession Planning N/A Equip Perf Mon. Tools Equip Tech. Documents

ACAD Training N/A N/A N/A

Multi - Discipline Maintenance & Behaviors & Procedure Use Human Performance Values Diagnostic Personnel Qualification Qualifications Selection Process Technologies Maintenance Management System Maintenance & Diagnostic Tech Information Integration System CMMS

Risk Assmnt Tools Scheduling Tools

4.0 Technologies

Cond Mon. OnExecution Tools line Budget & Financial Schedule

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

N/A N/A N/A

N/A N/A N/A

Industry Equip databases

Figure 3-1 PdM Related Sub-Elements Evaluated

3-11

Self-Assessment Approach

A team consisting of utility maintenance and engineering personnel and EPRI PdM process experts developed a one-day agenda to evaluate the organizations attributes with the industrys 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

Self-Assessment Approach

Continuous Improvement Customer Satisfaction WORLD CLASS Metrics/Cost Benefit Tracking

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 Organization\Roles and Responsibility

Financial Basis/Plan

Quantifiable Goals Schedules Training Program

Communication Formats Equipment Condition Status Report

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 # 1 2 3 4 1 2 3 4 5 6 7 8 P7 P12 P14 P4 P1 P2 P8 P16 P3 P11 P13 P9 Issue Description E&CI Matrix needs work and needs to be communicated Reactive culture is preventing us from focusing on PdM activities PdM process is not well integrated into overall maintenance process No cost avoidance evaluated and measured Roles and responsibilities are not clear Resource allocation to PdM programmatic activities Lack of management (resources and focus) Incomplete PdM critical component list with failure modes Communication between Maintenance/Engineering/Operations No integrated report of E&CI Component ownership is unclear/fragmented PdM data used as reactive versus proactive/ not given enough forecast Lack of communication from other groups PdM awareness low LTA PdM group not clearly defined No unexpected failure is an unreasonable expectation. We do not have all the skills needed to meet this expectation Priority 165 102 85 80 70 60 60 60 45 45 40 35

9 10 11 12

P5 P6 P10 P15

25 15 10 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

Self-Assessment Approach

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 Communication Inter Metrics Leadership

Information Integration Tools

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 # P3 P4 P5 P6 P7 P8 P9 P10 Issue Description Interruption to the defined work process causes inefficiencies Lack of procedures (work ID/work execution) Lack of identifying component criticality causes prioritization problems Not enough budget for current workload or future plans Craft ownership/accountability for specific maintenance projects is inadequate Training for craft skills development is less than adequate After design change-lack of configuration control Financial systems to support maintenance cost tracking are inadequate (loose) Documenting the history and details of failure is inadequate Communications of equipment failures between regions is inadequate Predictive maintenance data utilization is poor Change management program across the organization is inadequate Lack of use of the Computerized Maintenance Management System (CMMS) Lack of benchmarking (decisions made on not enough data) No clear maintenance strategy for electrical equipment testing program Maintenance history data is not being used in a proactive manner Differences in planning processes across the four regions Continuous improvement (acting on employee ideas) is less than adequate Priority 82 75 70 60 57 55 45 35

P11 P12 P13 P14 P15 P16 P17 P18 P19 P20

33 30 27 25 17 17 15 7 5 0

A 1 day workshop was developed to allow for an organizations 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 industrys 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

Self-Assessment Approach

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 Element
Benchmarking Goals/Business Plan Organization Within Industry Org Perf Goals Roles & Respons. Direction Ops,Maint, Eng

Sub-element
Outside Industry Maint Dept. Goals Specialty Teams Policies & Processes Mangers to Workforce Department Goals N/A Individual Goals Contract Mngmt Discipline Workforce to Mgmt Plant Goals N/A Business Planning Facilities Empowermt Peer Group Meetings Customer Satisfaction N/A Use of OE N/A N/A N/A Motivation Wrkr - Wrkr Comm. N/A N/A CAP Program N/A N/A N/A N/A N/A N/A N/A R&D Activities N/A N/A N/A N/A N/A N/A N/A Empl Ideas Solicited Work Order Generation Scheduling N/A N/A N/A N/A N/A N/A N/A Team Prob Solving Equipment Reliability Contract Mngmt

1.0 Management & Work Culture

Leadership Communication Metrics Accountability Cont. Improvement

Overall Goals Personnel Performance SelfAssessment

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

Work Identification

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

Maint. Basis Outage Mgmt Process & Procedures Equip Clearance & Tagging Post Maint Testing

Corrective Maint. Prioritize Work Tools/Mat. Control/Staging Post Job Critique

Preventive Maint. Risk Assessment

Predictive Maint. Stores/Inv. Management Perform Maint Tasks House Keeping

Proactive Maint. Planning

2.0 Maintenance Process

Work Control

Work Execution

Pre-Job Briefs Data Capture & Utilization

Work Quality Return Equip to service

Safety

N/A

Work Closeout

N/A

N/A

Training

Processes & Policies Mgmt/Union Interaction Behaviors & Values

Personnel Skills Dvlpmnt Multi - Discipline Procedure Use Qualification Process

Plant Systems Mbl/Shared Workforce Self Check

Mgmt /Spvr development Productivity / Metrics Peer Check

Business Literacy

Contractor Training N/A Conflict Resolution Succession Planning

Specialty Training N/A N/A

Training Facilities N/A N/A

3.0 People Skills/ Human Resources

Utilization Human Performance

N/A CAP Prog Utilization Qual Tracking Program

Qualifications

Personnel Selection

Re-Qual Process

Contractor Quals

N/A

N/A

Maintenance Management System Maintenance & Diagnostic Tech Information Integration System

CMMS

Risk Assmnt & Sched.Tools

Scheduling Tools

Reporting & Decision tls Technology Software Dispatch System

N/A Process Data Utilization

N/A Equip Perf Mon. Tools

N/A

N/A

4.0 Technologies

Execution Tools Financial

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

N/A N/A

N/A N/A

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

Elements
Benchmarking Goals/Business Plan Within Industry Org Perf Goals Roles & Respons. Direction Ops,Maint, Eng Overall Goals Personnel Performance Self-Assessment

Sub-elements
Outside Industry Maint Dept. Goals Specialty Teams Policies & Processes Mangers to Workforce Maintenance Dept. Goals Bus. Plan Adherence Change Mgmt Prog N/A Individual Goals Contract Mngmt Discipline Workforce to Mgmt Plant Goals System/ Comp Own Process Improvement N/A Business Planning Facilities Empowermt Peer Group Meetings Customer Satisfaction Craft Owership Use of OE N/A N/A N/A Motivation N/A N/A N/A CAP Program N/A N/A N/A N/A N/A N/A N/A R&D Activities N/A N/A N/A N/A N/A N/A N/A Empl Ideas Solicited N/A N/A N/A N/A N/A N/A N/A Team Prob Solving

1.0 Management & Work Culture

Organization Leadership Communication Metrics Accountability/ Ownership Continuous Improvement

2.0 Maintenance Processes

Work Identification Work Control Work Execution Work Closeout

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

Maint. Basis Outage Mgmt Process Equip Clearance & Tagging Post Maint Testing

Corrective Maint. Prioritize Work Tools/Mat. Control/Staging Post Job Critique

Preventive Maint. Risk Assessment Pre-Job Briefs Data Capture & Utilization

Predictive Maint. Stores/Inv. Management Perform Maint Tasks House Keeping

Proactive Maint. Planning Work Quality Return Equip to service

Work Order Generation Scheduling Safety N/A

N/A Contract Mngmt N/A N/A

Training

Processes & Policies Mgmt/Union Interaction Behaviors & Values Personnel Selection

Personnel Skills Dvlpmnt Multi - Discipline Procedure Use Qualification Process

Plant Systems Mbl/Shared Workforce Self Check Re-Qualification Process

Mgmt /Spvr development Productivity / Metrics Peer Check Contractor Quals

Business Literacy N/A CAP Prog Utilization Qual Tracking Program

Contractor Training N/A Conflict Resolution Succession Planning

Specialty Training N/A N/A N/A

Training Facilities N/A N/A N/A

3.0 People Skills/ Human Resources

Utilization Human Performance Qualifications

Maintenance Mgmt System

CMMS Execution Tools Financial

Risk Assmnt Tools Cond Mon. On-line Budget & Schedule

Scheduling Tools Cond. Mon. Periodic Equip Cond. Data

Reporting & Decision Technology Software Dispatch System

N/A Process Data Utilization Industry Equip Databases

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

N/A N/A N/A

N/A N/A N/A

4.0 Technologies

Maint. & Diagnostic Technology Information Integration System

Figure 4-1 Gap Analysis Matrix

4-2

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 ID Procedures

Maint. Basis

Corrective Maint. Prioritize Work Tools/Mat. Control/Staging Post Job Critique

Preventive Maint. Risk Assessment

Predictive Maint. Stores/Inv. Management Perform Maint Tasks

Proactive Maint. Planning

Work Order Generation Scheduling

N/A Contract Mngmt

N/A N/A

2.0 Maintenance Processes

Work Control

Work Mgmt Process & Outage Mgmt Process & Procedures Procedures Work Exec Procedures Equip Clearance & Tagging Post Maint Testing

Work Execution

Pre-Job Briefs Data Capture & Utilization

Work Quality Return Equip to service

Safety

N/A N/A

N/A

Work Closeout

Work Close Procedures

House Keeping

N/A

N/A

A1 A2 A3 A4 A5 A6 A7 A8 A9 A10

Criteria is established in order to determine the criticality of plant Systems and Equipment, including importance of safety, environmental, reliability, cost and efficiency Plant systems and equipment are ranked in accordance with the criteria in A1 above Non-critical (run-to-failure) equipment has been determined in the ranking process Failure modes and causes of the critical equipment have been determined Maintenance tasks have been established that address the failure modes determined in A4 above, including preventive, predictive and proactive maintenance tasks Frequencies of performing the preventive maintenance tasks have been established Maintenance basis is managed in compliance with the Maintenance Basis procedure Periodic reviews of the maintenance basis are conducted Equipment that will be monitored in the PdM program has been determined Clear ownership of the maintenance basis exists

Figure 4-2 Example of Matrix Analysis

4-4

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

5-2

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. Utilitys-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 NL-110767 NL-111243 NL-112053 NL-112883 NL-113462 NL-114518 1000049 1000855 1001283 1006129 1006644 Element/SubElement Nos. 4.2 4.2 4.2 4.2 4.2 4.2 4.2 4.2 4.2 4.2 4.2 4.2 1992 1993 1995 1996 1997 1998 11/97 11/98 11/99 4.2 4.2 4.2 4.2 4.2 4.2 4.2 4.2 4.2

Title Technology Center Newsletter, Spring 1998 Technology Center Newsletter, Fall 1998 Technology Center Newsletter, Winter 1998 Technology Center Newsletter, Spring 1999 Technology Center Newsletter, Fall 1999 Technology Center Newsletter, Winter 1999 Technology Center Newsletter, Spring 2000 Technology Center Newsletter, Fall 2000 Technology Center Newsletter, Winter 2000 Technology Center Newsletter, Spring 2001 Technology Center Newsletter, Fall 2001 Technology Center Newsletter, Winter 2001

Date 4/98 8/98 12/98 4/99 8/99 12/99 4/00 8/00 12/00 6/01 11/01

AP-101840-V1 AP-101840-V2 AP-101840-V3 AP-101840-V4 AP-101840-V5 AP-101840-V6 TR-109511 TR-109511-R1 TR-109511-R2

Diagnostics Monitoring Products Guides Volume 1 Diagnostics Monitoring Products Guides Volume 2 Diagnostics Monitoring Products Guides Volume 3 Diagnostics Monitoring Products Guides Volume 4 Diagnostics Monitoring Products Guides Volume 5 Diagnostics Monitoring Products Guides Volume 6 EPRI M&D Center Course Catalog (1998) EPRI M&D Course Catalog (1999) EPRI M&D Center Course Catalog (2000)

6-2

References Foundation 69.0 Report Number 1001423 WM-113677 1000964 WM-112482 WM-113678 1000042 TR-106753 TR-113534-CD 1001423 TB-113351 TB-113905 TE-114093 BR-114214 TR-114910 1006366, 67, 68, 69, 70 & 71 1000870 1000963 1004621 Element/SubElement Nos. 4.2 4.2.3 4.2.3 2.15, 3.1, 3.4, 4.2, 4.3 2.15, 3.1, 3.4, 4.2, 4.3 2.15, 3.1, 3.4, 4.2, 4.3 1.1, 1.6, 2.1, 2.2, 4.1, 4.2 1.2.4, 2.1, 2.2, 3.1, 3.3, 4.2. 1.8, 2.1, 2.2, 3.3, 4.1, 4.2 4.2.3 4.2.3 4.2.3

Title EPRI M&D Center Course Catalog (2001) Thermography Interest Group Mtg. Min. (July 1999) Thermography Interest Group Mtg. Min. (July 2000) PDM Advisory Group Meeting Minutes (Nov 1998) PDM Advisory Group Meeting Minutes (June 1999) PDM Advisory Group Meeting Minutes (Nov. 1999) Proceedings: 1996 EPRI Fossil Plant Maint. Conf. EPRI 1999 Maintenance Conference Proceedings 2001 EPRI International Maintenance Conference Lube Oil Monitoring Acoustic Monitoring Techniques and Applications Infrared Thermography for Thermal Loss Mgmt. Power Generation Services: Enhancing the Value of Technology Productivity Improvement Handbook for Fossil Steam Power Plants: Second Edition Productivity Improvement Handbook for Fossil Steam Power Plants, Chapters 1-6 High Temperature Infrared Thermography Applied to Boilers Global Coal Initiative: Executive Summary Predictive Maintenance Level of Awareness Training Code, Version 1.0

Date 3/01 9/99 8/00 1/99 9/99 4/00 7/96 6/99 7/01 7/99 10/99 11/99 11/99 12/99 6/00 9/00 10/00 5/02

4.2.6 4.2.6 4.2.3

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 TR/SW/AP107902 TR-106430 Element/SubElement Nos. 2.1.5

Title CBAM Cost Benefit Analysis Module Version 2.0 Maintenance Work Management Practices Assessment A Guide for Work Process Improvement and Best-In-Class Benchmarking in Fossil Power Plants Value-Based Maintenance Grid for Assessing Work Management Plant Maintenance Optimization Work Management Assessment and Improvement CMMS Selection at Wisconsin P.S. Computerized Maintenance Management System CMMS Selection at Cinergy (Computerized Maintenance Management System) Maintenance Work Management Improvement

Date 12/96

12/96

TR-107071

3/97

TR-108937

8/97

Refer to Figure 6-2

TB-108949-R1

9/97

TR-108938

10/97

4.1.1

TR-109728

12/97

4.1.1

TR-109734

12/97

Refer to Figure 6-3

TR-109968

Maintenance Work Management Best Practices Guidelines: Maint. Assessment and Improvement Computerized Maintenance Management System and Maintenance Work Process Integration Plant Maintenance Optimization Target Enhances Nevada Powers Performance Improvement Program

1/98

TR-110272

3/98

Refer to Figure 6-5

IN-112089

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 4.1.1

TR-111464

Computerized Maintenance Management System Best Practices Guideline Maintenance Optimization Project at Merom Volume 1: Work Culture and Process Improvements

9/98

TR-111897-V1

2/99

6-4

References Target 69.1 Report Number TR-111897-V2 Element/SubElement Nos.

Title Maintenance Optimization Project at Merom Volume 2: Heat Rate Improvement CMMS Implementation at Cinergy Guide for Building a High Performance Generation Plant: A Systematic People-Based Approach Work Culture and Process Improvement Predictive Maintenance Project

Date 2/99

TR-111151 TR-114002

7/98 12/99 Refer to Figure 6-4

TR-114324

12/99

1.4.4, 1.4.5, 1.8.2, 1.8.3, 4.2.2, 4.2.3, 4.2.4 2.2.6, 2.2.7

1000320

Best Practice Guideline for Maintenance Planning and Scheduling Plant Maintenance Optimization Assessment Guideline Work Management Improvement at Burlington Generating Station

12/00

1000321

12/00

Refer to Figure 6-1 1.6.2, 1,8.2, 1.8.3, 2.2.1 thru 2.2.7, 3.2.4, 4.1.1 Refer to Figure 6-2 Refer to Figure 6-6

1004591

11/01

1006517

Work Management Improvement at Louisa Generating Station Guideline on Proactive Maintenance

11/01

1004015

11/01

1004014 1004017

Effectiveness Audit Guideline Guidelines on the Effects of Cycling Operation on Maintenance Activities

11/01 12/01 1.8, 2.1,2.2, 2.3

Target 69.2 Maintenance Task Selection Target 69.2 Report Number TR-105582 Element/SubElement Nos. 2.1.2

Title Streamlined Reliability Centered Maintenance at PG&Es Moss Landing Plant TU Electric Identifies Maintenance Cost Saving with Stream-Lined RCM Process Pilot Application of Streamlined ReliabilityCentered Maintenance at TU Electric' Fossil Power Plants

Date 9/95

IN-106321

12/96

2.1.2

TR-106503

12/96

2.1.2

6-5

References

Target 69.2 Report Number TR-109795

Title Streamlined Reliability-Centered Maintenance (SRCM) Program for Fossil-Fired Power Plants Streamlined Reliability Centered Maintenance at MidAmerican Energys Council Bluffs Energy Center, Unit 3 Streamlined Reliability Centered Maintenance at Montana Power Companys Colstrip Unit 1 Streamlined Reliability Centered Maintenance (SRCM) Implementation Guidelines SRCM Implementation Guide (Including software description for system analysis templates: Task Selection Templates, Task Implementation Template, and Living Program Module) Cost Benefit Analysis for Maintenance Optimization EPRIs Streamlined RCM Implementation Support Equipment Maintenance Optimization Manuals (2) Boiler Reliability Optimization Guideline Streamlined Reliability Centered Maintenance Analysis Application Update EPRI Boiler Reliability Optimization Program: Case Studies from 1998-2001

Date 12/97

Element/SubElement Nos. 2.1.2

TR-109989

12/97

2.1.2

TR-109990

3/98

2.1.2

TR-109795-V2

10/98

2.1.2

TR-109795-V3

10/99

2.1.2

TR-107902

12/99

1.6.2

SO-114286

11/99

2.1.2

TP-114094

12/99

2.1.2

1004018 1004016

0/01 10/01

2.1.2 2.1.2

1006537

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 TR-103374 Element/SubElement Nos. 2.15, 3.1, 3.4, 4.2, 4.3 2.15, 3.1, 3.4, 4.2, 4.3 2.15, 3.1, 3.4, 4.2, 4.3

Title Predictive Maintenance Guidelines - Volume 1

Date 8/94

TR-103374-V2

Predictive Maintenance Guidelines - Volume 2

10/97

TR-103374-V3

Predictive Maintenance Guidelines - Volume 3

10/98

6-6

References Target 69.3 Report Number TR-103374-V4 Element/SubElement Nos. 2.15, 3.1, 3.4, 4.2, 4.3 2.15

Title PDM Guidelines: Volume 4: PDM Best Practices Predictive Maintenance Program: Development and Implementation Predictive Maintenance Assessment Guidelines Predictive Maintenance Program Implementation Experience Duquesne Light, PECO Energy, and SC Electric & Gas Implement Substation Predictive Maintenance Infrared Thermography Anomalies Manual Infrared Thermography Anomaly Assessment Infrared Thermography Developments for Boiler, Condenser, and Steam Cycle Operations & Maintenance Workstation: Users Manual Operations & Maintenance Workstation: Administration Manual O&M Workstation - V.2 Reference Manual Implementing Predictive Maintenance Across the Fossil Division Saves ComEd over 7 Million Dollars in 18 Months NYPAs Use of High-Temperature Lenses for Infrared Thermography Leads to Reduced Tube Metal Temperatures Plant Maintenance Optimization (PMO) Target Enhances Nevada Powers Performance Improvement Program

Date 12/99

TR-108936

9/97

TR-109241 TR-111915

11/97 10/98

2.15 2.15, 3.1, 3.4, 4.2, 4.3 2.15, 3.1, 3.4, 4.2, 4.3

IN-103282

2/96

TR-108935 TR-111916 TR-109529

8/97 10/98 12/97

4.2.3 4.2.3 4.2.3

TR-109729-V1

3/98

4.2, 4.3

TR-109729-V2

3/98

4.2, 4.3

CM-114214 IN-111104

12/99 10/98

4.2, 4.3 2.15, 3.1, 3.4, 4.2, 4.3

IN-111720

2/99

4.2.3

IN-112089

5/99

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

TE-114093

Infrared Thermography for Plant Thermal Loss Management Predictive Maintenance Guidelines: Volume 4: PdM Best Practices Boiler Reliability Optimization Interim Guideline

10/99

TR-103374-V4

10/99

2.1.5

TR-113997

10/99

2.1.2, 2.1.5

6-7

References

Target 69.3 Report Number TR-114283

Title Remote Equipment Diagnostics: Infrastructure Description EPRIs Predictive Maintenance (PdM) Implementation Support Operations and Maintenance Workstation, Version 2.0 Reference Manual Equipment Maintenance Optimization Manual Prototypes Remote Equipment Diagnostics: Infrastructure Description PlantView/PdM: Software for Predictive Maintenance Process Automation Condition Status Report, Version 3, User Manual Integration of Plant Operations Data into the Equipment Condition Status Report Infrared Thermography Surveys and Database Development Infrared Thermography Report Software Evaluation Infrared Thermography Electronic Performance Support System Maintenance Application Guide

Date 11/99

Element/SubElement Nos. 4.2.2

SO-114285

11/99

2.15, 3.1, 3.4, 4.2, 4.3 4.2, 4.3

CM-114214

11/99

TP-114094

11/99

2.1.2

TR-114283

12/99

4.2.2, 4.2.4, 4.3.3 2.15, 4.2, 4.3

TP-114487

12/99

TP-114718

12/99

2.15

TP-114721

1/00

2.15

1000947

10/00

4.2.3,4.2.4

1000948

10/00

4.2.3, 4.2.4

1004547 1004013

12/01 6/02

4.2.3 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

Element
Benchmarking Goals/Business Plan Organization Leadership
Within Industry

Sub-element
Outside Industry

N/A Individual Goals


Contract Mngmt Discipline Workforce to Mgmt Plant Goals

N/A Business Planning Facilities


Empowermt Peer Group Meetings Customer Satisfaction

N/A N/A N/A


Motivation Wrkr - Wrkr Comm. N/A

N/A

N/A

N/A

Org Perf Goals


Roles & Respons. Direction

Maint Dept. Goals


Specialty Teams Policies & Processes

N/A N/A
N/A N/A N/A

N/A N/A
N/A N/A N/A

N/A N/A
N/A N/A N/A

1.0 Management & Work Culture

Communication Metrics Accountability Cont. Improvement

Ops,Maint,

Eng

Mangers to Workforce Department Goals

Overall Goals Personnel Performance


SelfAssessment

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

N/A
Use of OE

N/A
CAP Program

N/A
R&D Activities

N/A
Empl Ideas Solicited Work Order Generation

N/A
Team Prob Solving Equipment Reliability

Work Identification
2.0 Maintenance Processes

Work ID Procedures Work Mgmt Process & Procedures

Maint. Basis

Corrective Maint.

Preventive Maint.

Predictive Maint. Stores/Inv. Management

Proactive Maint.

Work Control

Outage Mgmt Process & Procedures Equip Clearance & Tagging Post Maint Testing

Prioritize Work

Risk Assessment

Planning

Scheduling

Contract Mngmt

Work Execution

Work Exec Procedures Work Close Procedures

Tools/Mat. Control/Staging Post Job Critique

Pre-Job Briefs Data Capture & Utilization

Perform Maint Tasks


House Keeping

Work Quality Return Equip to service

Safety

N/A

Work Closeout

N/A

N/A

Training

Processes & Policies

Personnel Skills Dvlpmnt


Multi - Discipline

Plant Systems

Mgmt /Spvr development Productivity / Metrics Peer Check

Business Literacy

Contractor Training N/A Conflict Resolution Succession Planning

Specialty Training N/A N/A

Training Facilities N/A N/A

Utilization
3.0 People Skills/Human Reources

Mgmt/Union Interaction
Behaviors & Values

Mbl/Shared Workforce

N/A CAP Prog Utilization Qual Tracking Program

Human Performance

Procedure Use
Qualification Process

Self Check

Qualifications

Personnel Selection

Re-Qual Process

Contractor Quals

N/A

N/A

Maintenance Management System


4.0 Technologies

CMMS

Risk Assmnt & Sched.Tools

Scheduling Tools

Reporting & Decision tls Technology Software Dispatch System

N/A Process Data Utilization Industry Database

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

N/A

N/A

Maintenance & Diagnostic Tech Information Integration System

Execution Tools Financial

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

N/A N/A

N/A N/A

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

6-9

References

Category

Element
Benchmarking
Goals/Business Plan Organization Leadership

Sub-element
Within Industry Org Perf Goals
Roles & Respons. Direction Ops,Maint,

Outside Industry Maint Dept. Goals


Specialty Teams

N/A Individual Goals


Contract Mngmt

N/A
Business Planning Facilities

N/A
N/A

N/A
N/A

N/A
N/A

N/A N/A

N/A Motivation
Wrkr - Wrkr Comm. N/A

N/A N/A
N/A N/A

N/A N/A
N/A N/A

N/A N/A
N/A N/A

Policies & Processes Eng


Mangers to Workforce

Discipline
Workforce to Mgmt Plant Goals

Empowermt
Peer Group Meetings Customer Satisfaction

1.0 Management & Work Culture

Communication Metrics Accountability

Overall Goals
Personnel Performance

Department Goals

Bus. Plan Adherence System/ Comp Own Process Improvement

Craft Ownership

N/A

N/A

N/A
Empl Ideas Solicited Work Order Generation Scheduling

N/A
Team Prob Solving Equipment Reliability Contract Mngmt

Cont. Improvement

SelfAssessment

Change Mgmt Prog

Use of OE

CAP Program

R&D Activities

Work Identification 2.0 Maintenance Processes

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

Maint. Basis Outage Mgmt Process & Procedures Equip Clearance & Tagging Post Maint Testing

Corrective Maint.

Preventive Maint.

Predictive Maint. Stores/Inv. Management Perform Maint Tasks House Keeping

Proactive Maint.

Work Control

Prioritize Work Tools/Mat. Control/Staging

Risk Assessment

Planning

Work Execution

Pre-Job Briefs Data Capture & Utilization

Work Quality Return Equip to service

Safety

N/A

Work Closeout

Post Job Critique

N/A

N/A

Training

Processes & Policies Mgmt/Union Interaction Behaviors & Values

Personnel Skills Dvlpmnt Multi - Discipline Procedure Use Qualification Process

Plant Systems Mbl/Shared Workforce Self Check

Mgmt /Spvr development Productivity / Metrics Peer Check

Business Literacy

Contractor Training N/A Conflict Resolution Succession Planning

Specialty Training N/A N/A

Training Facilities N/A N/A

Utilization 3.0 People Skills/Human Reources Human Performance

N/A CAP Prog Utilization Qual Tracking Program

Qualifications

Personnel Selection

Re-Qual Process

Contractor Quals

N/A

N/A

Maintenance Management System 4.0 Technologies Maintenance & Diagnostic Tech Information Integration System

CMMS

Risk Assmnt & Sched.Tools

Scheduling Tools

Reporting & Decision tls

N/A

N/A

N/A

N/A

Execution Tools

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

Process Data Utilization

Equip Perf Mon. Tools Equip Tech. Documents

N/A

N/A

Financial

Budget & Schedule

Equip Cond. Data

Dispatch System

Industry Database

N/A

N/A

Figure 6-2 EPRI TR 108937 Value Based Maintenance Grid

6-10

References
Category Element
Benchmarking
Goals/Business Plan Organization Leadership 1.0 Management & Work Culture Communication Metrics Accountability Cont. Improvement

Sub-element
Within Industry
Org Perf Goals Roles & Respons. Direction Ops,Maint, Eng Outside Industry Maint Dept. Goals Specialty Teams Policies & Processes Mangers to Workforce Department Goals

N/A
Individual Goals Contract Mngmt Discipline Workforce to Mgmt Plant Goals

N/A Business Planning Facilities Empowermt Peer Group Meetings Customer Satisfaction

N/A N/A N/A Motivation Wrkr - Wrkr Comm. N/A

N/A N/A N/A N/A N/A N/A

N/A N/A N/A N/A N/A N/A

N/A N/A N/A N/A N/A N/A

Overall Goals

Personnel Performance Bus. Plan Adherence System/ Comp Own SelfAssessment

Craft Ownership
Use of OE

N/A CAP Program

N/A R&D Activities

N/A
Empl Ideas Solicited Work Order Generation

N/A
Team Prob Solving Equipment Reliability Contract Mngmt

Change Mgmt Prog

Process Improvement Corrective Maint. Prioritize Work

Work Identification 2.0 Maintenance Processes

Work ID Procedures
Work Mgmt Process Procedures &

Maint. Basis
Outage Mgmt Process & Procedures

Preventive Maint. Risk Assessment

Predictive Maint. Stores/Inv. Management Perform Maint Tasks House Keeping

Proactive Maint. Planning

Work Control

Scheduling

Work Execution

Work Exec Procedures

Equip Clearance & Tools/Mat. Control/ Tagging Staging Post Maint Testing Post Job Critique

Pre-Job Briefs Data Capture & Utilization

Work Quality Return Equip to service

Safety

N/A

Work Closeout

Work Close Procedures

N/A

N/A

Training

Processes & Policies

Personnel Skills Dvlpmnt Multi - Discipline Procedure Use Qualification Process

Plant Systems Mbl/Shared Workforce Self Check

Mgmt /Spvr development Productivity / Metrics Peer Check

Business Literacy

Contractor Training N/A Conflict Resolution Succession Planning

Specialty Training N/A N/A

Training Facilities N/A N/A

Utilization
3.0 People Skills/Human Reources

Mgmt/Union Interaction Behaviors & Values

N/A CAP Prog Utilization Qual Tracking Program

Human Performance

Qualifications

Personnel Selection

Re-Qual Process

Contractor Quals

N/A

N/A

Maintenance Management System


4.0 Technologies

CMMS

Risk Assmnt & Sched.Tools Cond Mon. On-line

Scheduling Tools Cond. Mon. Periodic Equip Cond. Data

Reporting & Decision tls Technology Software Dispatch System

N/A Process Data Utilization Industry Database

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

N/A

N/A

Maintenance & Diagnostic Tech Information Integration System

Execution Tools

N/A

N/A

Financial

Budget & Schedule

N/A

N/A

Figure 6-3 EPRI TR 109734 Maintenance Work Management Improvement

6-11

References

Category

Element
Benchmarking
Goals/Business Plan Organization Leadership Within Industry Org Perf Goals

Sub-element
Outside Industry
Maint Dept. Goals N/A Individual Goals N/A Business Planning N/A N/A N/A Motivation Wrkr - Wrkr Comm. N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Roles & Respons.


Direction Ops, Maint, Eng

Specialty Teams
Policies & Processes Mangers to Workforce

Contract Mngmt
Discipline Workforce to Mgmt Plant Goals

Facilities
Empowermt Peer Group Meetings Customer Satisfaction Craft Ownership

1.0 Management & Work Culture

Communication

N/A
N/A N/A Empl Ideas Solicited Work Order Generation Scheduling

N/A
N/A N/A Team Prob Solving Equipment Reliability Contract Mngmt

Metrics Accountability

Overall Goals

Department Goals

Personnel Performance
SelfAssessment

Bus. Plan Adherence System/ Comp Own

Cont. Improvement

Change Mgmt Prog Process Improvement

Use of OE

CAP Program

R&D Activities

Work Identification

Work ID Procedures

Maint. Basis Outage Mgmt Process & Procedures

Corrective Maint.

Preventive Maint.

Predictive Maint. Stores/Inv. Management Perform Maint Tasks

Proactive Maint.

2.0 Maintenance Processes

Work Control

Work Mgmt Process & Procedures

Prioritize Work

Risk Assessment

Planning

Work Execution

Work Exec Procedures Work Close Procedures

Equip Clearance & Tagging

Tools/Mat. Control/ Staging

Pre-Job Briefs

Work Quality

Safety

N/A

Work Closeout

Post Maint Testing

Post Job Critique

Data Capture & Utilization

House Keeping

Return Equip to service

N/A

N/A

Training

Processes & Policies

Personnel Skills Dvlpmnt

Plant Systems

Mgmt /Spvr development Productivity / Metrics Peer Check

Business Literacy

Contractor Training

Specialty Training

Training Facilities

Utilization
3.0 People Skills/Human Reources

Mgmt/Union Interaction Behaviors & Values

Multi - Discipline Procedure Use

Mbl/Shared Workforce Self Check

N/A CAP Prog Utilization Qual Tracking Program

N/A Conflict Resolution Succession Planning

N/A N/A

N/A N/A

Human Performance

Qualifications

Personnel Selection

Qualification Process
Risk Assmnt & Sched.Tools

Re-Qual Process

Contractor Quals

N/A

N/A

Maintenance Management System


4.0 Technologies

CMMS

Scheduling Tools

Reporting & Decision tls Technology Software Dispatch System

N/A Process Data Utilization Industry Database

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

N/A

N/A

Maintenance & Diagnostic Tech Information Integration System

Execution Tools

Cond Mon. On-line Cond. Mon. Periodic

N/A

N/A

Financial

Budget & Schedule

Equip Cond. Data

N/A

N/A

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

6-12

References
Category Element
Benchmarking Within Industry

Sub-element
Outside Industry N/A N/A N/A N/A N/A N/A

Goals/Business Plan Organization Leadership

Org Perf Goals Roles & Respons. Direction Ops,Maint, Eng

Maint Dept. Goals Specialty Teams Policies & Processes Mangers to Workforce Department Goals

Individual Goals Contract Mngmt Discipline Workforce to Mgmt Plant Goals

Business Planning Facilities Empowermt Peer Group Meetings Customer Satisfaction Craft Ownership

N/A N/A Motivation Wrkr - Wrkr Comm. N/A N/A

N/A N/A N/A

N/A N/A N/A N/A

N/A N/A N/A N/A N/A N/A Team Prob Solving Equipment Reliability Contract Mngmt

1.0 Management & Work Culture

Communication Metrics Accountability

Overall Goals Personnel Performance SelfAssessment

N/A N/A

N/A N/A Empl Ideas Solicited Work Order Generation Scheduling

Bus. Plan Adherence System/ Comp Own Process Improvement

Cont. Improvement

Change Mgmt Prog

Use of OE

CAP Program

R&D Activities

Work Identification

Work ID Procedures Work Mgmt Process & Procedures

Maint. Basis Outage Mgmt Process & Procedures

Corrective Maint.

Preventive Maint.

Predictive Maint. Stores/Inv. Management Perform Maint Tasks House Keeping

Proactive Maint.

2.0 Maintenance Processes

Work Control

Prioritize Work

Risk Assessment

Planning

Work Execution

Work Exec Procedures Work Close Procedures

Equip Clearance & Tools/Mat. Control/ Tagging Staging Post Maint Testing Post Job Critique

Pre-Job Briefs Data Capture & Utilization Mgmt /Spvr development Productivity / Metrics Peer Check

Work Quality Return Equip to service Contractor Training N/A Conflict Resolution Succession Planning

Safety

N/A

Work Closeout

N/A

N/A

Training

Processes & Policies Mgmt/Union Interaction Behaviors & Values

Personnel Skills Dvlpmnt Multi - Discipline Procedure Use Qualification Process

Plant Systems Mbl/Shared Workforce Self Check

Business Literacy

Specialty Training N/A N/A

Training Facilities N/A N/A

Utilization

N/A CAP Prog Utilization Qual Tracking Program

3.0 People Skills/Human Resources

Human Performance

Qualifications

Personnel Selection

Re-Qual Process

Contractor Quals

N/A

N/A

Maintenance Management System

CMMS

Risk Assmnt & Sched.Tools Cond Mon. On-line Budget & Schedule

Scheduling Tools Cond. Mon. Periodic Equip Cond. Data

Reporting & Decision tls Technology Software Dispatch System

N/A Process Data Utilization Industry Database

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

N/A

N/A

4.0 Technologies

Maintenance & Diagnostic Tech Information Integration System

Execution Tools Financial

N/A N/A

N/A N/A

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

6-13

References
Category Element
Benchmarking Goals/Business Plan
Organization

Sub-element
Within Industry Org Perf Goals
Roles & Respons. Direction

Outside Industry Maint Dept. Goals


Specialty Teams Policies & Processes

N/A Individual Goals Contract Mngmt Discipline Workforce to Mgmt Plant Goals

N/A Business Planning Facilities


Empowermt

N/A N/A N/A


Motivation Wrkr - Wrkr Comm. N/A

N/A N/A N/A


N/A

N/A N/A N/A


N/A

N/A N/A N/A


N/A

Leadership Communication Metrics Accountability Cont. Improvement

1.0 Management & Work Culture

Ops,Maint,

Eng

Mangers to Workforce

Peer Group Meetings Customer Satisfaction Craft Ownership Use of OE

N/A
N/A

N/A
N/A N/A Empl Ideas Solicited

N/A N/A
N/A Team Prob Solving

Overall Goals

Department Goals

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

N/A CAP Program

N/A R&D Activities

Work Identification

Work ID Procedures Work Mgmt Process & Procedures

Maint. Basis Outage Mgmt Process & Procedures

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.

Work Order Generation


Scheduling

Equipment Reliability
Contract Mngmt

2.0 Maintenance Processes

Work Control

Prioritize Work

Risk Assessment

Stores/Inv. Management
Perform Maint Tasks

Planning

Work Execution

Work Exec Procedures

Equip Clearance & Tools/Mat. Control/ Tagging Staging

Pre-Job Briefs

Work Quality

Safety

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

Training

Processes & Policies

Personnel Skills Dvlpmnt


Multi - Discipline Procedure Use

Plant Systems

Mgmt /Spvr development

Business Literacy

Contractor Training N/A

Specialty Training N/A

Training Facilities

Utilization
3.0 People Skills/Human Reources

Mgmt/Union Interaction Behaviors & Values

Mbl/Shared Workforce
Self Check

Productivity / Metrics
Peer Check

N/A CAP Prog Utilization

N/A
N/A

Human Performance

Conflict Resolution Succession Planning

N/A

Qualifications

Personnel Selection

Qualification Process

Re-Qual Process

Contractor Quals

Qual Tracking Program

N/A

N/A

Maintenance Management System Maintenance & Diagnostic Tech Information Integration System

CMMS

Risk Assmnt & Sched.Tools


Cond Mon. On-line

Scheduling Tools Cond. Mon. Periodic Equip Cond. Data

Reporting & Decision tls Technology Software Dispatch System

N/A Process Data Utilization Industry Database

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

N/A

N/A

4.0 Technologies

Execution Tools

N/A

N/A

Financial

Budget & Schedule

N/A

N/A

Figure 6-6 EPRI TR 1004015 Guideline on Proactive Maintenance

6-14

References
Category Element
Benchmarking Goals/Business Plan Organization Leadership
1.0 Management & Work Culture

Sub-element
Within Industry Org Perf Goals Roles & Respons. Direction Ops,Maint,
Eng

Outside Industry
Maint Dept. Goals Specialty Teams

N/A
Individual Goals Contract Mngmt

N/A
Business Planning Facilities

N/A N/A N/A Motivation Wrkr - Wrkr Comm. N/A N/A

N/A N/A N/A N/A N/A N/A N/A

N/A N/A N/A N/A N/A N/A N/A Empl Ideas Solicited Work Order Generation Scheduling

N/A N/A N/A N/A N/A N/A N/A Team Prob Solving Equipment Reliability Contract Mngmt

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

Discipline Workforce to Mgmt Plant Goals System/ Comp Own Process Improvement

Empowermt Peer Group Meetings Customer Satisfaction N/A

Communication Metrics Accountability Cont. Improvement

Overall Goals Personnel Performance

SelfAssessment

Use of OE

CAP Program

R&D Activities

Work Identification
2.0 Maintenance Processes

Work ID Procedures Work Mgmt Process Procedures


&

Maint. Basis
Outage Mgmt Process & Procedures Equip Clearance & Tagging Post Maint Testing Personnel Skills Dvlpmnt

Corrective Maint.

Preventive Maint.

Predictive Maint. Stores/Inv. Management


Perform Maint Tasks

Proactive Maint.

Work Control Work Execution

Prioritize Work

Risk Assessment

Planning

Work Exec Procedures

Tools/Mat. Control/Staging

Pre-Job Briefs

Work Quality

Safety

N/A

Work Closeout

Work Close Procedures

Post Job Critique

Data Capture & Utilization Mgmt /Spvr development Productivity / Metrics


Peer Check

House Keeping

Return Equip to service Contractor Training

N/A

N/A

Training Utilization
3.0 People Skills/Human Reources

Processes & Policies

Plant Systems

Business Literacy

Specialty Training

Training Facilities

Mgmt/Union Interaction

Multi - Discipline

Mbl/Shared Workforce
Self Check

N/A

N/A Conflict Resolution Succession Planning

N/A

N/A

Human Performance Qualifications

Behaviors & Values

Procedure Use Qualification Process Risk Assmnt & Sched.Tools Cond Mon. Online Budget & Schedule

CAP Prog Utilization

N/A

N/A

Personnel Selection

Re-Qual Process

Contractor Quals

Qual Tracking Program

N/A

N/A

Maintenance Management System 4.0 Technologies Maintenance & Diagnostic Tech Information Integration System

CMMS

Scheduling Tools Cond. Mon. Periodic Equip Cond. Data

Reporting & Decision Tls


Technology Software

N/A

N/A Equip Perf Mon. Tools


Equip Tech. Documents

N/A

N/A

Execution Tools

Process Data Utilization

N/A

N/A

Financial

Dispatch System

Industry Database

N/A

N/A

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

6-15

References
Category Element
Benchmarking Within Industry

Sub-element
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 1.0 Management & Work Culture

Direction

Policies & Processes


Mangers to Workforce Department Goals

Discipline

Empowermt Peer Group Meetings


Customer Satisfaction

Motivation Wrkr - Wrkr Comm.


N/A

N/A

N/A

N/A

Communication Metrics

Ops,Maint,

Eng

Workforce to Mgmt
Plant Goals

N/A N/A

N/A N/A

N/A N/A

Overall Goals

Accountability

Personnel Performance Bus. Plan Adherence System/ Comp Own Process Improvement

N/A

N/A

N/A

N/A
Empl Ideas Solicited

N/A
Team Prob Solving

Cont. Improvement

SelfAssessment

Change Mgmt Prog

Use of OE

CAP Program

R&D Activities

Work Identification

Work ID Procedures Work Mgmt Process & Procedures

Maint. Basis Outage Mgmt Process & Procedures

Corrective Maint.

Preventive Maint.

Predictive Maint.

Proactive Maint.

Work Order Generation

Equipment Reliability

2.0 Maintenance Processes

Work Control

Prioritize Work

Risk Assessment

Stores/Inv. Management Perform Maint Tasks

Planning

Scheduling

Contract Mngmt

Work Execution

Work Exec Procedures

Equip Clearance & Tools/Mat. Control/ Tagging Staging

Pre-Job Briefs

Work Quality

Safety

N/A

Work Closeout

Work Close Procedures Post Maint Testing

Post Job Critique

Data Capture & Utilization Mgmt /Spvr development Productivity / Metrics

House Keeping

Return Equip to service Contractor Training N/A Conflict Resolution Succession Planning

N/A

N/A

Training

Processes & Policies

Personnel Skills Dvlpmnt

Plant Systems Mbl/Shared Workforce

Business Literacy

Specialty Training N/A

Training Facilities

Utilization 3.0 People Skills/Human Reources

Mgmt/Union Interaction Multi - Discipline

N/A CAP Prog Utilization Qual Tracking Program

N/A

Human Performance

Behaviors & Values

Procedure Use
Qualification Process Risk Assmnt & Sched.Tools Cond Mon. On-line Budget & Schedule

Self Check

Peer Check

N/A

N/A

Qualifications

Personnel Selection

Re-Qual Process

Contractor Quals

N/A

N/A

Maintenance Management System 4.0 Technologies Maintenance & Diagnostic Tech Information Integration System

CMMS

Scheduling Tools Cond. Mon. Periodic Equip Cond. Data

Reporting & Decision tls Technology Software Dispatch System

N/A Process Data Utilization Industry Database

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

N/A

N/A

Execution Tools Financial

N/A N/A

N/A N/A

Figure 6-8 Utility Maintenance Documents

6-16

References
Category Element
Benchmarking
Within Industry

Sub-element
Outside Industry N/A N/A N/A

N/A

N/A

N/A

Goals/Business Plan Organization

Org Perf Goals Roles & Respons.

Maint Dept. Goals

Individual Goals

Business Planning

N/A N/A

N/A N/A

N/A N/A

N/A
N/A

Specialty Teams

Contract Mngmt

Facilities

Leadership
1.0 Management & Work Culture

Direction

Policies & Processes


Mangers to Workforce

Discipline

Empowermt
Peer Group Meetings Customer Satisfaction N/A

Motivation
Wrkr - Wrkr Comm. N/A N/A

N/A

N/A

N/A

Communication

Ops,Maint,

Eng

Workforce to Mgmt

N/A

N/A

N/A

Metrics Accountability

Overall Goals

Department Goals

Plant Goals

N/A
N/A

N/A N/A Empl Ideas Solicited Work Order Generation Scheduling

N/A
N/A Team Prob Solving Equipment Reliability Contract Mngmt

Personnel Performance Bus. Plan Adherence System/ Comp Own


Process Improvement

Cont. Improvement

SelfAssessment

Change Mgmt Prog

Use of OE

CAP Program

R&D Activities

Work Identification
2.0 Maintenance Processes

Work ID Procedures Work Mgmt Process & Procedures

Maint. Basis Outage Mgmt Process & Procedures

Corrective Maint.

Preventive Maint.

Predictive Maint.
Stores/Inv. Management

Proactive Maint.

Work Control

Prioritize Work

Risk Assessment

Planning

Work Execution

Work Exec Procedures

Equip Clearance & Tools/Mat. Control/ Tagging Staging

Pre-Job Briefs

Perform Maint Tasks

Work Quality

Safety

N/A

Work Closeout

Work Close Procedures Post Maint Testing

Post Job Critique

Data Capture & Utilization Mgmt /Spvr development Productivity / Metrics Peer Check

House Keeping

Return Equip to service Contractor Training N/A


Conflict Resolution

N/A

N/A

Training

Processes & Policies Mgmt/Union Interaction Behaviors & Values

Personnel Skills Dvlpmnt Multi - Discipline


Procedure Use

Plant Systems Mbl/Shared Workforce


Self Check

Business Literacy

Specialty Training
N/A N/A

Training Facilities N/A


N/A

Utilization
3.0 People Skills/Human Reources

N/A

Human Performance

CAP Prog Utilization Qual Tracking Program

Qualifications

Personnel Selection

Qualification Process Risk Assmnt & Sched.Tools Cond Mon. On-line Budget & Schedule

Re-Qual Process

Contractor Quals

Succession Planning

N/A

N/A

Maintenance Management System


4.0 Technologies

CMMS

Scheduling Tools Cond. Mon. Periodic Equip Cond. Data

Reporting & Decision tls Technology Software Dispatch System

N/A Process Data Utilization Industry Database

N/A Equip Perf Mon. Tools


Equip Tech. Documents

N/A

N/A

Maintenance & Diagnostic Tech Information Integration System

Execution Tools Financial

N/A N/A

N/A N/A

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

6-17

References
Category Element
Benchmarking
Goals/Business Plan Organization Leadership 1.0 Management & Work Culture

Sub-element
Within Industry
Org Perf Goals

Outside Industry
Maint Dept. Goals Specialty Teams

N/A Individual Goals Contract Mngmt Discipline

N/A
Business Planning

N/A
N/A

N/A N/A N/A


N/A

N/A
N/A

N/A N/A N/A


N/A

Roles & Respons. Direction

Facilities
Empowermt

N/A
Motivation

N/A
N/A

Policies & Processes Mangers to Workforce


Department Goals

Communication

Ops,Maint,

Eng

Workforce to Mgmt Plant Goals

Peer Group Meetings Customer Satisfaction N/A

Wrkr - Wrkr Comm. N/A

N/A N/A

N/A N/A

N/A N/A

Metrics

Overall Goals

Accountability

Personnel Performance Bus. Plan Adherence System/ Comp Own

N/A

N/A

N/A

N/A

Cont. Improvement

SelfAssessment

Change Mgmt Prog

Process Improvement

Use of OE

CAP Program

R&D Activities

Empl Ideas Solicited Work Order Generation Scheduling

Team Prob Solving Equipment Reliability Contract Mngmt

Work Identification
2.0 Maintenance Processes

Work ID Procedures Work Mgmt Process & Procedures

Maint. Basis Outage Mgmt Process & Procedures

Corrective Maint.

Preventive Maint.

Predictive Maint. Stores/Inv. Management Perform Maint Tasks

Proactive Maint.

Work Control

Prioritize Work

Risk Assessment

Planning

Work Execution

Work Exec Procedures

Equip Clearance & Tools/Mat. Control/ Tagging Staging

Pre-Job Briefs

Work Quality

Safety

ALARA

Work Closeout

Work Close Procedures Post Maint Testing

Post Job Critique

Data Capture & Utilization Mgmt /Spvr development Productivity / Metrics Peer Check Contractor Quals Reporting & Decision tls Technology Software Dispatch System

House Keeping

Return Equip to service Contractor Training

N/A

N/A

Training

Processes & Policies

Personnel Skills Dvlpmnt

Plant Systems

Business Literacy

INPO ACAD

Specialty Training

Utilization
3.0 People Skills/Human Reources

Mgmt/Union Interaction Behaviors & Values Personnel Selection

Multi - Discipline

Mbl/Shared Workforce Self Check Re-Qual Process

N/A CAP Prog Utilization Qual Tracking Program N/A Process Data Utilization Industry Database

N/A Conflict Resolution Succession Planning N/A Equip Perf Mon. Tools Equip Tech. Documents

N/A

N/A

Human Performance Qualifications Maintenance Management System

Procedure Use Qualification Process Risk Assmnt & Sched.Tools Cond Mon. On-line Budget & Schedule

N/A N/A

N/A N/A

CMMS

Scheduling Tools Cond. Mon. Periodic Equip Cond. Data

N/A

N/A

4.0 Technologies

Maintenance & Diagnostic Tech Information Integration System

Execution Tools Financial

N/A N/A

N/A N/A

Figure 6-10 INPO Excellence in Human Performance

6-18

A
MANAGEMENT AND WORK CULTURE

A-1

Management and Work Culture

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

RNWF
EPRI Maintenance Consulting Experience

EPRI Maintenance Consulting Experience

EPRI Maintenance Consulting Experience

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

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. EPRI Maintenance Consulting Experience

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. A1 A2 A3 A4 A5 Goals targeting high quality product at minimum cost are established Customer satisfaction goals are established Product and service reliability and availability goals are established Workforce effectiveness goals are established Capital and Asset management cost goals are established TR 1000321 EPRI PMO Assessment Guideline

TR 1000321 EPRI PMO Assessment Guideline TR 1000321 EPRI PMO Assessment Guideline TR 1000321 EPRI PMO Assessment Guideline TR 1000321 EPRI PMO Assessment Guideline TR 1000321 EPRI PMO Assessment Guideline

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 A2 A3 Goals targeting a high quality product at minimum cost are established Customer satisfaction goals are established Product and service reliability and availability goals are established EPRI Maintenance Consulting Experience

TR1000321 EPRI PMO Assessment Guideline TR1000321 EPRI PMO Assessment Guideline TR1000321 EPRI PMO Assessment Guideline

A-3

Management and Work Culture A4 A5 A6 A7 A8 A9 Workforce effectiveness goals are established Maintenance cost target goals are established Specific work identification goals are established Specific work control goals are established Specific work execution goals are established Specific work closeout goals are established TR1000321 EPRI PMO Assessment Guideline TR1000321 EPRI PMO Assessment Guideline TR1000321 EPRI PMO Assessment Guideline TR1000321 EPRI PMO Assessment Guideline TR1000321 EPRI PMO Assessment Guideline TR1000321 EPRI PMO Assessment Guideline

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. A1 A2 Personnel performance assessment/appraisal process exists and is used by the organization Managers and Supervisors work in cooperation with personnel to set individual goals using a performance assessment/appraisal procedure Industry experts experience Industry experts experience Industry experts experience

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). A1 A2 Formal Business process/procedure plan exists and is used by the maintenance organization Business plan alignment is obtained from other facilities, stations, etc., and from Operations, Engineering, etc. Industry experts experience

Industry experts experience Industry experts experience

A-4

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. 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 Defined training and qualification requirements exist for each position Each maintenance worker is knowledgeable of their specific role and responsibilities TR1000321 EPRI PMO Assessment Guideline INPO 97-013 EPRI Maintenance Consultants experience

A2 A3

INPO 97-013 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 A2 A3 Mobile maintenance groups are utilized where appropriate Dedicated shared resources are utilized for tasks requiring unique skills Functional teams composed of Operations, Maintenance, Engineering, etc. are utilized for tasks requiring cross-organizational activities Industry experts experience

Industry experts experience Industry experts experience Industry experts experience

A-5

Management and Work Culture

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 TR1000321 EPRI PMO Assessment Guideline EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience

A2

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

A3

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 A1 An area layout designed to support worker safety and efficiency is established The location and type of work performed is considered in determining the types and level of environmental controls and services to be included I Supervisors maintain workplace environmental controls conducive to maintenance quality and work efficiency Storage facilities convenient to work areas are established, and workers keep the areas neat and clean INPO 97-013

A2

INPO 97-013

A3

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A4

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A-6

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 Operating access to equipment is maintained Labeling of facilities to designate responsibility and entry authorization is established Temporary storage of parts with controls commensurate with each part's requirements is established 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

A2 A3

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A4

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A5

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1.3.4.3 Temporary Facilities A1 A2 Areas needed for supporting activities during outages are established Necessary services such as communications, electrical power, compressed air, water, environmental controls, and lighting are provided INPO 97-013 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. Industry experts experience

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. Industry experts experience

A-7

Management and Work Culture

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. A1 A2 A clear and distinct set of high level maintenance policies is established 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 A set of values and expected behaviors for the maintenance organization has been jointly established among the leadership, maintenance management and workers Specific written procedures for administrative maintenance functions and maintenance sub-processes are available The organization's goals and business plan are provided to maintenance management and supervisors with clear expectations of what is to be done A clear set of maintenance task definitions exists Management communicates individual roles, responsibilities, expected behaviors, results, and standards in clear, unmistakable terms Various Leadership Publications

Various Leadership Publications Various Leadership Publications

A3

TR114002 Guide for building a high performance Generating plant

A4

Various Leadership Publications

A5

Various Leadership Publications

A6 A7

Various Leadership Publications 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. INPO 97-013

A-8

Management and Work Culture A1 A Management Model exists which provides guidance for the requirements of maintenance policies, process descriptions and procedures A conduct of Maintenance document exists which describes the high level guidance for conducting and managing maintenance Maintenance managers and workers create process descriptions for critical maintenance processes Policy guidance provides procedures that include: verification and validation; approval; control; periodic review; use; and, revisions and changes Procedure identification and status (titling and numbering, page and revision identification, and originator) is provided Procedure purpose, scope, applicability, and impact on other system's operational impact of activity is provided Consistent format (for organization, instructional step format, instructional step designation, caution and note format, and page format) is provided 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 Consistent use of illustrations (i.e. preparation, compatibility, views, level of detail, legibility when reproduced) is provided Clear indication of hold points, independent verification requirements, or data to be recorded is provided Systematic station and system prerequisites, precautions, and limitations are provided Clear indication of acceptance criteria, follow-on steps, and restoration instructions are provided INPO 97-013

A2

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A11

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A-9

Management and Work Culture Steps that inform control room operators of expected alarms or equipment operations are provided 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 Applicable operating experience information is provided Procedure development and preparation using personal computer desktop publishing and computer-aided writing programs, in easy-to-read text with clear illustrations, is provided Other administrative requirements for successful task completion are available

A13

INPO 97-013

A14

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A15 A16

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A17

INPO 97-013

1.4.2.1 Procedure Control A1 A2 Responsibilities for procedure administration are clearly defined Control procedures in accordance with administrative requirements are provided Vendor manuals, or portions used as reference in support of maintenance, are technically accurate, up-to-date, and controlled Controls on troubleshooting to prevent unauthorized work and equipment modifications are provided INPO 97-013 INPO 97-013

A3

INPO 97-013

A4

INPO 97-013

1.4.2.1.1 Review 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 Checklists for the review, ensuring that the scope and depth of the review is consistent and adequate, are used INPO 97-013

A2

INPO 97-013

A-10

Management and Work Culture A3 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

1.4.2.1.2 Revision 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 Reviews to evaluate the qualifications of personnel presently performing the tasks are in place INPO 97-013

A2

INPO 97-013

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 EPRI Maintenance Consulting Experience

EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience

A2

Supervisors are held accountable to specific preset performance expectations consistent with the Maintenance business plan One and three year maintenance business plan goals are appropriately incorporated into the individual performance goals of each maintenance manager, supervisor, and worker Non- management personnel are held accountable for their roles & responsibilities and their performance goals

A3

A4

EPRI Maintenance Consulting Experience

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. Various Leadership Publications

A-11

Management and Work Culture Responsibilities are clearly presented to the manager, supervisor, and worker with the appropriate authority to accomplish the task Authority for budget is provided to the manager, supervisor, worker responsible for accomplishing the task

A1

Various Leadership Publications

A2

Various Leadership Publications

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. A1 The performance of managers, supervisors, engineers, planners, craftsmen, warehouse personnel, and other personnel who support maintenance, particularly those doing superior performance, are recognized An environment in which feedback and communication are continuously encouraged is present All information necessary for the worker to perform a quality job is provided Employees are publicly recognized for good performance (tie to A1) Managers provide the appropriate amount of 'one-on-one' time with workers Group successes are celebrated (least important) Progression paths for workers, supervisors and managers are clearly established Financial rewards based on performance to preset goals are an integral part of maintenance workers compensation 1.50 Various Leadership Publications

INPO 97-013

A2

1.00

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A3 A4 A5 A6 A7

1.00 1.00 1.00 1.00 1.50

Industry Expert experience Industry Expert experience Industry Expert experience Industry Expert experience Industry Expert experience

A8

2.00

Industry Expert experience

A-12

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 Communication of maintenance business plan performance throughout the year from maintenance to Operations and engineering is strong System and Component performance/condition information is exchanged among these groups to help make the right maintenance decisions INPO 97-013 TR1000321 EPRI PMO Assessment Guideline

A2

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

A3

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 Communication of Maintenance business plan from management to workforce is strong Communication of individual expectations from management to workforce is strong INPO 97-013

A2

Utilities Maintenance Documents

A3

Utilities Maintenance Documents

A-13

Management and Work Culture 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

A4

Utilities Maintenance Documents

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 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 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 Utilities Maintenance Documents

A2

Utilities Maintenance Documents

A3

Utilities Maintenance Documents

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. A1 Repeat backs are used to ensure accurate communication, especially when portable radios, headsets, or telephones are being used 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) Utilities Maintenance Documents

Utilities Maintenance Documents

A2

Utilities Maintenance Documents

A-14

Management and Work Culture A3 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.) 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 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) Three-way (repeat back) is used when communicating between departments related to plant equipment Individuals regularly use repeat backs When communicating, such as in a job or shift turnover, individuals pass on relevant and accurate information carefully, verifying the other individual's understanding Workers inform coworkers, supervisors, or managers when there is a potential problem with performing a task Utilities Maintenance Documents

A4

Utilities Maintenance Documents

A5

Utilities Maintenance Documents

A6

Utilities Maintenance Documents

A7 A8

INPO 97-013 INPO 97-013

A9

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

Management and Work Culture

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. A1 Total maintenance budget dollars across multiple sites, if applicable, are calculated, trended and available to maintenance management TR1077595 EPRI Assessing Maintenance Effectiveness

1.6.1.1 General A1 Components and systems requiring corrective maintenance more than a designated number of times within a given interval are tracked Number of equipment failures are tracked Mean times between failures are tracked Preventive maintenance tasks that are overdue are tracked Number of overdue preventive maintenance tasks accepted with technical justification are tracked Historical equipment data that indicates high maintenance cost are tracked Components and systems with high unavailability or low reliability are tracked Analysis reports of component performance that indicate failure rates greater than industry-wide averages are generated Performance Indicators for all the sub-elements of Work Identification are established Performance indicators are tracked INPO 97-013

A2 A3 A4 A5

INPO 97-013 INPO 97-013 INPO 97-013 INPO 97-013

A6 A7 A8

INPO 97-013 INPO 97-013 INPO 97-013

A9

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines INPO 97-013

A10

A11

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

A-16

Management and Work Culture A12 Number of power reductions attributable to maintenance program deficiencies are tracked Equipment deficiencies that adversely impact the operators' ability to effectively operate the plant are tracked Goals that are challenging but achievable are established Actions to support the goals that are determined with input from personnel involved in conducting maintenance activities are established 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 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 Not-in-stock, on-demand (percent of stock items not available on request) are tracked Scheduled work requests delayed because of parts unavailability are tracked Work requests in progress with material restraints are tracked Quantity of discontinued and infrequently used inventory are tracked Summaries of items scheduled versus items completed are tracked Number and duration of unplanned outages are tracked Timeliness of scheduled surveillances, preventive maintenance activities, and predictive maintenance activities are tracked Management of the maintenance backlog is tracked INPO 97-013

A13

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A14 A15

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A16

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A18

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A19 A20 A21 A22 A23 A24

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A25

TR109968 EPRI Maintenance Work Mgmt. Best Practices INPO 97-013

A26

Work delays and their contributors are tracked

A-17

Management and Work Culture Actions to support the goals that are determined with input from personnel involved in conducting maintenance activities are in place Number of unplanned unit trips caused by maintenance activities are tracked Corrective maintenance recurring within a specific period (i.e. 12 months or during a refuel cycle) is monitored 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 Backlog management of Corrective Maintenance is established

A27

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A28 A29

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A30

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A31

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

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 Work Control metric of Schedule compliance (Planned hours/total hours) is established Work Control metric of Planning effectiveness (Estimated/Actual hours) is established Work Control metric of PM compliance (Completed PMs/Scheduled PMs) is established Work Control metric of Sponsored work (Sponsored hours/Total hours) is established Work Execution metric of Rework (Rework hours/Total hours) is established

A34

A35

A36

A37

A38

A39

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

A-18

Management and Work Culture A40 The utilization of the craft resources is determined by the man-hours for selected equipment type Maintenance man-hours expended for a selected equipment type are tracked TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness

A41

A42

Economic objective is the percentage of contracted maintenance and is tracked Maintenance-induced plant trips that are directly attributable to a maintenance action are tracked 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 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 Staff productivity measures the craft to staff man-hours and is tracked

A43

A44

A45

TR1077595 EPRI Assessing Maintenance Effectiveness

A46

TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness

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 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 TR1077595 EPRI Assessing Maintenance Effectiveness

A2

TR1077595 EPRI Assessing Maintenance Effectiveness

A-19

Management and Work Culture Work Order count comparison (this relates to the total number of WOs serviced over a monitoring period and their breakdown) is tracked 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 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 Cost of preventive maintenance activities is expressed as a percentage of the overall maintenance budget and is tracked Cost of corrective maintenance activities is expressed as a percentage of the overall maintenance budget and is tracked Percentage of man-hours expended on preventive maintenance as a percentage of the total man-hours is calculated and is tracked Percentage of man-hours expended on corrective maintenance as a percentage of the total man-hours is calculated and is tracked TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness

A3

A4

A5

TR1077595 EPRI Assessing Maintenance Effectiveness

A6

TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness

A7

A8

A9

1.6.1.3 Work Control 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) Planning productivity exists as a percent of equipment for which Bills of Materials (BOMs) are constructed Planning productivity exists as the number or BOMs prepared per year Various EPRI PMO Technical Report

A2

Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report

A3

A4

Planning productivity exists as a percentage of Work Orders with BOMs

A-20

Management and Work Culture A5 Planning productivity exists as a percentage of equipment covered by standard job plans Planning productivity exists as a percentage of Work Orders using standard job plans Planning productivity exists as a number of jobs approved but not planned Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report

A6

A7

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 Planning productivity exists as responsibility for assembling the critical defined path Inventory turns by part type (activity-frequency), identification, and total

A13

A14

A15

Percentage of inventory accuracy is measured/tracked

A16

Inventory aging is measured/tracked

A17

Inventory value is measured/tracked

A-21

Management and Work Culture Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report Various EPRI PMO Technical Report

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 Dollars of percentage obsolete/excess parts is measured/tracked

A21

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 Quality assurance and control by number of errors in delivered items is measured/tracked Quality assurance and control by number of percentage of stock items in a QA/QC program is measured/tracked Vendor stocking is by number of percentage of vendor stocked items

A24

A25

A26

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 Loss-of-time accidents caused by maintenance activities are tracked TR1077595 EPRI Assessing Maintenance Effectiveness

A-22

Management and Work Culture A2 Cost of maintenance training is expressed as a percentage of the overall maintenance budget and is tracked Percentage of man-hours expended on maintenance training as a percentage of the total man-hours is tracked Utilization of the craft resources as determined by the craft man-hours by maintenance type and discipline is tracked Number of maintenance-induced plant trips are tracked TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness

A3

A4

A5

A6

Number of maintenance-induced violations and Licensee Event Reports (LERs) are tracked Personal safety objects are lost man-hours due to injuries and are tracked

A7

A8

Craft productivity measures the percent of Work Orders attributable to rework and is tracked Craft productivity measures the craft man-hours by maintenance type and discipline for mechanical, electrical, and instrumentation and control groups and is tracked

A9

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) Number of work orders reviewed are tracked TR1004015 EPRI Guideline for Proactive Maintenance

A2

TR1004015 EPRI Guideline for Proactive Maintenance TR1004015 EPRI Guideline for Proactive Maintenance TR1004015 EPRI Guideline for Proactive Maintenance

A3

As Found condition code types are applied and tracked

A4

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

A-23

Management and Work Culture TR1004015 EPRI Guideline for Proactive Maintenance

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 Key high level indicators such as overall maintenance budget as a percentage of total O&M budget are tracked Total Maintenance overtime hours and costs are measured and tracked INPO 97-013

A2

Various EPRI PMO Technical reports Various EPRI PMO Technical reports

A3

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. A1 Specific inter-departmental needs are identified TR1000321 EPRI PMO Assessment Guidelines

Various EPRI PMO Technical Reports INPO 97-013

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

A3

TR114002 Guide for building a high performance Generating plant

A-24

Management and Work Culture A4 Formal process is in place for internal customer satisfaction measurement/management Various EPRI PMO Technical Reports

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. 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. A1 Personnel involved in significant or frequent violations of maintenance requirements are encouraged to improve through counseling, remedial training, or disciplinary measures, where appropriate Feedback is used through measures such as personal performance appraisals to improve maintenance personnel performance Individuals take full responsibility and ownership for all aspects of the individual's job tasks and goals All maintenance personnel hold both their peers and themselves accountable for required support Industry expert experience Various EPRI and INPO Documents

INPO 97-013

A2

INPO 97-013

A3

Utilities Maintenance Documents

A4

Utilities Maintenance Documents

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

A-25

Management and Work Culture All managers and first-line supervisors are involved in periodically reviewing and critiquing the business plan adherence Crew-level involvement is included in the business plan reviews

A2

A3

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 System and/or Component reliability and availability are owned by maintenance assigned personnel The system/component owner is responsible for learning from maintenance history and proactively making adjustments for future improvement in maintenance and or equipment reliability The maintenance basis is owned by the assigned system/component owner EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience

A2

A3

A4

EPRI Maintenance Consulting Experience

1.7.4 Craft Ownership This sub-element addresses the leadership role that the craft have in the success of the plant. A1 A2 A3 A4 Craft act as human-performance lead in each shop Craft personnel participate on projects (lead if possible) Craft act as mentors to identify successors in their areas of expertise Craft participate in training material development and/or training advisory committees Craft review appropriate corrective action responses 0.50 0.50 0.50 0.50 INPO Craft Ownership Documents INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document

A5

0.50

INPO Craft Ownership Document

A-26

Management and Work Culture A6 A7 A8 A9 A10 A11 A12 A13 A14 A15 A16 A17 A18 A19 A20 CM backlogs are assigned to craft or craft teams Craft perform peer field observations Craft are assigned as owners for specific equipment (system or components) Craft perform rework evaluations Craft perform walk-downs of assigned work from work control scheduled Craft are participate in component/system health teams when applicable Craft are involved in conducting pre-job briefings/post-job reviews Craft are responsible for maintenance work execution procedure quality Craft/supervisors conduct workweek critiques on improving ownership Craft are involved in outage scope decisions Craft serves as Subject Matter Expert instructors Craft make work package closeout and feedback a part of their job Craft own the troubleshooting process Craft participate on benchmarking assignments Craft write corrective action reports 0.50 0.50 0.50 0.50 0.50 0.50 0.50 0.50 0.50 0.50 0.50 0.50 0.50 0.50 0.50 INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document INPO Craft Ownership Document

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

Management and Work Culture

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. A1 Is conducted in response to a performance shortfall, such as root cause analysis Is continuous-conducted on a routine basis to identify performance strengths and shortfalls; for example, manager in-field observations, workweek critiques, and self-checking Is periodic-conducted on an event-dependent or periodic basis, such as a post-outage critique and scheduled program assessments 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. 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 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.) 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 Maintenance organization has established an ownership for resolving issues developed in the self-assessment, with a specific time frame for resolution INPO Principles for Effective SelfAssessment and CA Program

INPO 97-013

A2

INPO 97

A3

INPO 97

A4

INPO 97

A5

INPO 97

A6

INPO 97

A7

INPO 97

A8

INPO 97-013

A-28

Management and Work Culture A9 Maintenance organization uses trends in maintenance-related industry events to initiate self-assessment Task, process, and organization self-assessments are performed in accordance with divisional self-assessment schedules Is performed by personnel with the necessary expertise to conduct these activities INPO 97-013

A10

Utilities Maintenance Documents

A11

Utilities Maintenance Documents

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 Change management plans are expected and approved by maintenance management for any significant maintenance program changes TR1000321 EPRI PMO Assessment Guidelines INPO 97-013

A2

TR1000321 EPRI PMO Assessment Guidelines

1.8.3 Process Improvement This sub-element addresses an organization's policies and procedures for managing the improvement processes within the maintenance organization. A1 A formal process for managing "process improvement is established EPRI Process Improvement Documents EPRI Process Improvement Documents TR114002 Guide for building a high performance Generating plant TR114002 Guide for building a high performance Generating plant TR114002 Guide for building a high performance Generating plant

A2

All Maintenance personnel continuously look for and are involved in improving maintenance processes (e.g. work execution, work planning, etc. Workers think in terms of working on the process rather than doing a task

A3

A4

Workers understand interfaces between their process and those of others

A-29

Management and Work Culture Recommended process improvement initiatives are tracked through completion by the management team All Maintenance personnel are trained on the process improvement techniques EPRI Process Improvement Documents EPRI Process Improvement Documents

A5

A6

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. A1 Sources of operating experience: Personal experience; Station Event Reports; Event Reports from other facilities within the company (including non-nuclear) Sources from EPRI and Vendor Correspondence During the work package planning process, sources of Operating Experience are reviewed and applicable items included in the package Discussion of operating experience during shift briefings with Operations personnel is encouraged During 'Pre-Job' briefings, Operating Experience is interactively reviewed by the members of the group planning to perform the work Experienced team members discuss the potential error which could occur to heighten the awareness of less experienced team members to 'Error Likely Situations' Vendor Notices applicable to the associated components are reviewed 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 Utilities Maintenance Documents

Utilities Maintenance Documents

A2 A3

Utilities Maintenance Documents Utilities Maintenance Documents

A4

Utilities Maintenance Documents

A5

Utilities Maintenance Documents

A6

Utilities Maintenance Documents

A7 A8

Utilities Maintenance Documents Utilities Maintenance Documents

A-30

Management and Work Culture A9 All efforts are made to capture low level events which could be trended, and corrective actions implemented to prevent more serious events Utilities Maintenance Documents

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. A1 A2 A corrective action process exists The expectation for using self-evaluations for continuous improvement is communicated to all station personnel. Self-evaluations are driven from within (self-driven) Ownership of the CAP process has been established The corrective action process for maintenance addresses specific events that impact safety, environment, MW production (availability) and cost CAP criteria have been set and if exceeded will trigger an event Corrective Actions adequately address the fundamental cause of problems, rather than the symptoms Employees at all levels are self identify events and report problems in accordance with CAP program criteria Cap Program Owner documents events and presents to management review team for approval, prioritization and event ownership assignment 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 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 INPO

Utilities Maintenance Documents INPO 97-002

A3 A4

Utilities Maintenance Documents Utilities Maintenance Documents

A5 A6

Utilities Maintenance Documents INPO 97-002

A7

INPO 97-002

A8

Utilities Maintenance Documents

A9

Utilities Maintenance Documents

A10

Utilities Maintenance Documents

A-31

Management and Work Culture The action plan progress, including comments from others, are tracked and periodically reviewed and for timeliness and effectiveness at the Manager's level 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 Corrective action effectiveness is also validated through meaningful indicators and follow-up monitoring Employees who identify problems receive prompt feedback concerning corrective actions Events and associated causes are trended to identify repeat occurrences, generic issues and vulnerabilities at a low level before significant problems result Corrective actions to prevent recurrence of significant problems are reviewed for effectiveness Corrective action program is periodically assessed for overall effectiveness

A11

INPO 97-002

A12

Utilities Maintenance Documents

A13

Utilities Maintenance Documents

A14

Utilities Maintenance Documents

A15

Utilities Maintenance Documents

A16

Utilities Maintenance Documents

A17

Utilities Maintenance Documents

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. 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) Maintenance organization actively participates in EPRI. TR1000321 EPRI PMO Assessment Guidelines

EPRI Maintenance Consulting Experience

A2

EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience

A3

Plant has representative on EPRI working/user groups

A-32

Management and Work Culture A4 Maintenance representatives have EPRI User Ids EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience

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

Maintenance Processes

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. 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. 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.). A1 A2 A3 A4 A5 A6 Maintenance Basis determination procedures exist Preventive Maintenance Program Procedure exists Predictive Maintenance Program Procedure exists Proactive Maintenance Program Procedure exists Corrective Maintenance Process Procedure exists Work Order Generation Policy and /or Procedure exists

RNWF
N/A

N/A

TR1000321 EPRI PMO Assessment Guidelines

1.00

TR1000321 EPRI PMO Assessment Guidelines

3.00 1.50 1.50 1.50 1.50 1.00

EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience

EPRI Maintenance Consulting Experience

B-2

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. A1 Criteria is established in order to determine the criticality of plant Systems and Equipment, including importance of safety, environmental, reliability, cost and efficiency Plant systems and equipment are ranked in accordance with the criteria in A1 above Non-critical (run-to-failure) equipment has been determined in the ranking process Failure modes and causes of the critical equipment have been determined 3.00 TR1000321 EPRI PMO Assessment Guidelines

1.00

TR1000321 EPRI PMO Assessment Guidelines

A2

1.00

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

A3

1.00

A4

1.00

A5

Maintenance tasks have been established that address the failure modes determined in A4 above, including preventive, predictive and proactive maintenance tasks Frequencies of performing the preventive maintenance tasks have been established Maintenance basis is managed in compliance with the Maintenance Basis procedure Periodic reviews of the maintenance basis are conducted

1.00

A6

1.00

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines EPRI Maintenance Consulting Experience

A7

1.00

A8

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

Maintenance Processes

2.1.3 Corrective Maintenance (CM) The required maintenance needed to restore equipment or components that are degraded or not performing the intended functions. A1 Corrective maintenance Work Orders are distinguished between expected (Run-to-Failure equipment) and unexpected (E.g. CM-E and CM-U) CM-U and CM-E Work Orders in the maintenance management system are categorized 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 Maintenance condition/Condition Codes are identified in the Computerized Maintenance Management System (CMMS) Run-to-failure components are identified in the CMMS system 1.50 INPO AP 928

2.00

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines INPO 97-013

A2

2.00

A3

4.00

A4

1.00

TR1000321 EPRI PMO Assessment Guidelines EPRI Maintenance Consulting Experience

A5

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. A1 Ownership of the Preventive maintenance program has been assigned 1.50

1.00

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

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 Preventive Maintenance task frequencies have been identified

1.00

A3

1.00

TR1000321 EPRI PMO Assessment Guidelines

B-4

Maintenance Processes A4 Preventive Maintenance tasks (PM-RR and PM-CMT) and frequencies have been categorized in the Maintenance Management System Routes for preventive maintenance condition monitoring tasks, including inspections, predictive maintenance data collection tasks, operator rounds, and surveillance have been established Preventive maintenance process is managed in accordance with the PM procedure Work Orders (CDMs) resulting from a preventive maintenance tasks are identified and categorized 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) Preventive maintenance task performance including schedule compliance and quality of work performed are tracked 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 Level of review for different types of equipment in the station procedures used to implement the preventive maintenance program are identified Reviews for safety-related or operationally important equipment have sufficient technical input to ensure that any potential consequences are recognized and addressed Station management periodically reviews the statistics on deferred or missed preventive maintenance actions 1.00 TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

A5

1.00

A6

1.00

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

A7

0.50

A8

0.50

A9

1.00

TR1000321 EPRI PMO Assessment Guidelines INPO 97

A10

0.50

A11

0.50

INPO 97

A12

0.50

INPO 97

A13

0.50

INPO 97

B-5

Maintenance Processes

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. A1 Predictive maintenance process is developed 1.50

0.33

TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4

A2

Predictive maintenance program including the organizational structure is developed Roles and responsibilities for the plant organization concerning the predictive maintenance program are established Coordinator, whose primary function is focused on managing the predictive maintenance program and supporting the maintenance basis and proactive processes, has been assigned System/equipment owners as part of the roles and responsibilities efforts have been assigned Condition indicator (technology) owners as part of the roles and responsibilities efforts have been assigned 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 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.

0.33

A3

0.33

A4

0.33

A5

1.00

TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4

A6

0.33

A7

1.00

A8

0.33

TR103374 EPRI PdM Guidelines V1-V4

B-6

Maintenance Processes A9 Frequencies of the data collection have been determined (should be part of the Maintenance Basis) Routes for predictive maintenance condition monitoring tasks have been established (should be part of Preventive Maintenance) Predictive maintenance process is managed in accordance with the PdM procedure 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 Condition Directed Maintenance (CDM) Work Orders resulting from an integrated analyses are identified and categorized Maintenance task codes for PM-CMT and CDM Work Orders are assigned in the CMMS A comprehensive equipment condition assessment status report is regularly provided and used to drive timely condition based maintenance decisions. Avoided cost benefit status report is regularly provided TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4

0.33

A10

0.33

A11

0.33

A12

0.33

A13

0.33

TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1 TR103374 EPRI PdM Guidelines V1 TR103374 EPRI PdM Guidelines V1 TR103374 EPRI PdM Guidelines V1-V4 Various EPRI PMO Technical Reports TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4

A14

0.33

A15

1.00

A16

0.33

A17

High priority Work Orders resulting from predictive maintenance tasks that could not be scheduled because of their urgency are tracked Condition monitoring task schedule compliance is tracked

0.33

A18

0.33

A19

Operations has and uses routes that define the order and frequency of equipment checks PdM Program goals have been established

0.33

A20

0.33

A21

PdM Program Performance Indicators are established and tracked

0.33

B-7

Maintenance Processes TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4 TR103374 EPRI PdM Guidelines V1-V4

A22

Customers of the PDM process are clearly identified

0.33

A23

Customer satisfaction of the PDM program is monitored

0.33

A24

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

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). A1 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 Proactive maintenance program including its organizational structure has been established Roles and responsibilities for the plant organization concerning the Proactive maintenance program have been established Ownership of Proactive maintenance program has been assigned 1.50

TR1000321 EPRI PMO Assessment Guidelines 0.50

A2

0.50

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

A3

0.50

A4

0.50

A5

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

0.50

B-8

Maintenance Processes A6 Criteria for initiating a root cause analysis has been determined TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

0.50

A7

An overall organizational Corrective Action Program (CAP) has been established Criteria for initiating Corrective Action Program has been determined

0.50

A8

0.50

A9

Proactive maintenance procedure has been established

0.50

A10

PAM Work Orders resulting from proactive maintenance tasks are identified and categorized Maintenance task codes for Work Orders resulting from the Proactive Maintenance Program are assigned (e.g. PAM) 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 Feedback to the initiator resulting from actions taken from the review are provided Recommendations to initiate modifications to the maintenance basis are provided Recommendations to initiate a root cause analysis are provided

0.50

A11

0.50

A12

0.50

A13

0.50

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

A14

0.50

A15

0.50

A16

Condition assessment status reports from resulting root cause analysis are readily available to maintenance staff PAM program performance indicators are monitored by maintenance management Status of the actions taken resulting from proactive maintenance recommendations are tracked

0.50

A17

0.50

A18

0.50

B-9

Maintenance Processes 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

A19

INPO 97-013 0.50

A20

0.50

TR1000321 EPRI PMO Assessment Guidelines

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. A1 Approach where anyone can initiate a Work Order is established 1.50

0.50

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines INPO 97

A2

Process where Work Orders are approved by the supervisor is established

0.50

A3

Maintenance task codes to the Work Orders are assigned when initiated

0.50

A4

Recommended priorities to the Work Orders by the initiator are established

0.50

A5

Plant condition and safety considerations control are identified

0.50

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 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)

0.50

A7

INPO 97 1.50

B-10

Maintenance Processes A8 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 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 Work Order number and record are available to allow effective cost and historical data to be stored and be retrievable Work identification date is on the Work Order INPO 97 0.50

A9

INPO 97 1.00

A10

0.50

INPO 97-013

A11

0.50

Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A12

All appropriate work activities have a Work Order

1.00

A13

Work Order has a space for a problem description, and clearly communicates symptoms observed and any special Operations considerations Organization places emphasis on early identification of the work to allow the routine work management process to plan and execute the work Identifiers of the Work Order documents the work themselves

0.50

A14

1.00 0.50

A15 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. 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.

N/A

TR1000321 EPRI PMO Assessment Guidelines

1.00

Various EPRI PMO Technical Reports

B-11

Maintenance Processes

2.2.1.1 Process Description/Policies A1 A2 A3 A4 A5 A6 A7 A8 Contains planning and preparing work Contains scheduling and coordinating work Conditions to perform work is established Contains the conducting of work activities Contains the controlling of work during emergencies Contains the performing of emergent work Contains the evaluating of the impact of work activities on risk assessment Controlling of non-station utility and contractor personnel working at the station is established Completed work documentation requirements are established Contains post-maintenance testing of work Implementing removal/return-to-service procedures is established Contains reviewing completed work records No single department or position is solely responsible for writing work requests 0.42 0.42 0.42 0.42 0.42 0.42 0.42 0.42 0.42 0.42 0.42 0.42 0.42 INPO 97 INPO 97 INPO 97 INPO 97 INPO 97 INPO 97 INPO 97 INPO 97

A9 A10 A11 A12 A13

INPO 97 INPO 97 INPO 97 INPO 97 Various EPRI PMO Technical Reports

2.2.1.2 Procedure A1 Personnel responsibilities for identifying deficiencies and initiating Maintenance Requests (MRs) that adequately describe the symptoms of problems are established Supervisory responsibilities for controlling the conduct of maintenance activities and processing MRs are established INPO 97 0.42

A2

0.42

INPO 97

B-12

Maintenance Processes A3 Description of the process for initiating and processing the MR, including the pre-job review, approval cycle, and post-job review is established Definition of the priorities used to schedule work is established Resource loading of the schedule is established Determination of the impact of maintenance activities on Operations is established Work plan and schedule is established 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 Post maintenance testing/operability testing is established Method for collection of maintenance history and equipment failure data is established Applicable cross-reference to outage scheduling and management procedures is established INPO 97

0.42 0.42 0.42 0.42 0.42

A4 A5 A6

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A7 A8

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0.42

A9 A10

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A11

0.42

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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. A A1 All attributes of Section 2.2.1 apply Coordination of common resources used for outages with other plants is established Contractor and corporate support roles and responsibilities for outage planning, scheduling, and execution are established

1.00

INPO 97-013

.38/ea 0.38 INPO 97-013

A2

0.38

INPO 97-013

B-13

Maintenance Processes

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. A1 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 Communication among cognizant departments to set priorities properly is established Priority system that is simple and flexible to enhance its use and accuracy is in existence and is proceduralized Impacts on plant safety or reliability until repairs are completed are tracked Availability of redundant equipment is established Licensing commitments (i.e. limiting conditions for Operations) are established Equipment and conditions required for equipment repair are established Clear priority system is documented and utilized (e.g. emergent, work within X days, routine PM, as available, etc.) Authority for assigning priority is documented and enforced 1.00 EPRI Maintenance Consulting Experience INPO 97-013 2.00

A2

1.00

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A3

1.00 1.00 1.00 1.00 1.00 1.00

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A4 A5 A6

INPO 97-013 INPO 97-013 INPO 97-013

A7 A8

INPO 97-013 Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A9

1.00

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. Various EPRI PMO Technical Reports

1.00

B-14

Maintenance Processes A1 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 Impacts on plant safety or reliability until repairs are completed are established 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 INPO 97-013 5.00

A2

2.50

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A3

INPO 97-013 2.50

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. A1 A2 A3 A4 Engineering and technical specifications for parts exists and is accessible Work requests in progress with material restraints are tracked Quantity of discontinued and infrequently used inventory is tracked 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 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 Quality assurance records are controlled and maintained to provide documentation of acceptability for qualified parts and materials to ensure tractability of parts and materials Appropriate personnel review design requirements to ensure that upgraded or substitute parts are consistent with the application of the part and component 1.00 0.16 0.16 0.16 Various EPRI PMO Technical Reports INPO 97-013 INPO 97-013 INPO 97-013 INPO 97-013 0.16

A5

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A6

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A7

INPO 97-013 0.16

B-15

Maintenance Processes Emergency procurement and an expediting process to obtain parts, materials, and services that are needed immediately to support safe and reliable operation are developed 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 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 Need for specialized services from vendors early to provide for timely submittal of bid proposals and contract awards is identified Where applicable general service agreements are in place so that services can be supplied on short notice 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 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 Separate receiving and inspection area and a separate hold area are provided 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

A8

INPO 97-013 0.16

A9

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A10

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A11

0.16

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A12

0.16

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A13

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A14

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A15

0.16

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A16

INPO 97-013 0.16

B-16

Maintenance Processes A17 Method to accept material that has been repaired or reworked by the maintenance department has been developed 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 Procedures for items requiring special handling instructions are prepared Corrosive chemicals are segregated or not stored near equipment or metal stock Flammables are stored in appropriate containers and fire-rated cabinets Stainless steel components are protected from direct contact with other metals, particularly carbon steel Relief valves, motors, and other equipment are stored on their bases Elastomers and polypropylene parts are properly stored in areas not exposed to light Machined surfaces are protected Hazardous chemicals or solvents are stored in accordance with Material Safety Data Sheet instructions Equipment internals are protected from intrusion of foreign materials Accurate and organized inventory exists for all parts and materials to support maintenance tasks Storage areas/bins are well marked INPO 97-013

0.16

A18

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A19 A20

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A21 A22

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A23 A24

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A25 A26

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A27 A28

INPO 97-013 Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A29

0.16

A30

Up-to-date and accessible parts numbering system exists

0.16

B-17

Maintenance Processes Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A31

Storage areas are kept neat and clean

0.16

A32

Records monitoring usage and inventory levels are continuously updated

0.16

A33

Bar coding is applied, where applicable, to resolve errors and speed transactions All items available for use are on the system, including remote storage, sister plants, and lay-down yards Procedures are defined and followed, limiting access to inventory

0.16

A34

0.16

A35

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

0.16

A40

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

B-18

Maintenance Processes A44 Checks are in place to avoid orders for stocked items, or for non-stock items on-hand or available from sister locations Prompt return for credit of unused material Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports 0.16

0.16

A45

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 Receiving notifies appropriate user (Maintenance, Planning, Operations, etc.) of material received Adequate and secure shipping and receiving areas exist

0.16

A48

0.16

A49

0.16

A50

Procedures for ordering, receiving, notification/delivery, and returns are established Order status tracking system exists

0.16

A51

0.16

A52

Quality Assurance/Quality Control function (QA/QC) inspects selected, received materials for correspondence to the materials ordered 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) Vendor stocking for fast-moving or agreed-upon items is utilized/controlled

0.16

A53

A54

0.16

Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A55

Vendor stocking agreements exist

0.16

B-19

Maintenance Processes Automated communication, ordering, and stock queries to vendor are in place Vendor certification and performance is managed Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports INPO 97-013 0.16

A56

0.16

A57

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 QA/QC program is audited periodically by the technical staff

0.16

A60

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 Not-in-stock, on-demand (percent of stock items not available on request) is tracked Scheduled work requests delayed because of parts unavailability are tracked

A62

0.16 0.16

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A63 2.2.6 Planning

INPO 97-013

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. A1 Planning personnel clearly identify responsibilities and specific craft type required for various types of work, such as packing adjustments, equipment lubrication, instrumentation, calibrations, etc.

2.00

Various EPRI PMO Technical Reports

0.30

Various EPRI PMO Technical Reports

B-20

Maintenance Processes A2 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 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) Risks associated with on-line maintenance and applicable contingency plans are identified Necessary procedures, drawings, vendor manuals, and maintenance histories are identified and reviewed Needed and available data for use in the analysis of a maintenance problem are identified In-house and industry experience are reviewed for possible generic implications related to safety-related or reliability-related maintenance 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. Procurement of necessary repair parts, materials, tools, equipment, and service is established 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 Resources including other tasks scheduled to occur in the immediate area during the same period are identified and reviewed Initial conditions and prerequisites, including applicable technical specifications and limiting conditions of operation, are identified Industrial safety concerns are identified INPO 97-013 0.14

A3

INPO 97-013 0.30

A4

0.14

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A5

0.30

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A6

0.14

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A7

0.14

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A8

0.14

Various EPRI PMO Technical Reports

A9

0.30

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A10

INPO 97-013 0.14

A11

0.14

INPO 97-013

A12

0.14 0.14

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A13

INPO 97-013

B-21

Maintenance Processes Quality control inspection, code, and technical specification requirements are identified Equipment restoration and post maintenance inspection or testing requirements are established Work instructions or work packages are reviewed for completeness Staging and special permits are established Document and configuration control are maintained

A14

0.14

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A15

0.14 0.14 0.14 0.14

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A16 A17 A18

INPO 97-013 INPO 97-013 TR1000321 EPRI PMO Assessment Guidelines Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A19

Estimated or planned labor hours and material costs are identified on all Work Orders Planning process is defined and followed, with the highest priority work planned first There is an organized, accessible backlog of unplanned Work Orders

0.14

A20

0.14

A21

0.14

A22

Labor hours are estimated and planned for each unique Craft type for all Work Orders Sequence of Crafts needed for the work to be executed smoothly are planned for each Work Order All materials, parts and services required for a maintenance Work Order are identified and communicated to materials procurement personnel A bill of materials is developed for all jobs

0.14

A23

0.14

A24

0.14

A25

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

B-22

Maintenance Processes A28 Planning effectiveness indicators exist and are utilized to monitor and improve planning Maintenance Craft actively participate in, or have sole responsibility for, job planning Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

0.14

A29

0.30

2.2.6.1 Outage Planning A1 Planning is performed at the appropriate level for all non-forced outages 0.25 Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A2

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

0.25

A3

Pre-outage meetings on management responsibility are defined, participation is comprehensive Pre-outage meetings take into account what may have been learned from previous outages on the same or similar equipment (post-outage meeting results) 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 Contract levels and staffing requirements are determined

0.25

A4

0.25

A5

0.25

Various EPRI PMO Technical Reports

A6

0.25

Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A7

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

0.25

A8

Outage work packages are constructed and distributed to maintenance supervisors for review Outage plan is communicated to all affected

0.25

A9

0.25

B-23

Maintenance Processes Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A10

Only outage-required work is done

0.25

A11

Critical Path Scheduling is used for all planned outages

0.25

A12

Responsibility for assembling the critical path is defined

0.25

A13

All functions of the organization involved in the outage share responsibility for accurate information being fed into the critical path assembly Project management software is used to generate the critical path and overall outage schedule Critical path is published prior to the outage

0.25

A14

0.25

A15

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 Critical path includes shutdown and start-up

0.25

A18

0.25

A19

Number of add-on jobs identified after the outage begins is measured and the reasons sought OEM supplies information (work identification) based on other installations

0.25

A20

0.25

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. EPRI Maintenance Consulting Experience

2.00

B-24

Maintenance Processes A1 A2 A3 Adequate resources to perform the work are ensured Tests and inspection activities are integrated Status of MRs on hold for planning, parts, material dedication, engineering, or other constraints is established Tracking system to maintain the status of MRs currently being worked is established 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 Communication method for advising all groups of short-and long-range maintenance schedules is established Elective maintenance activities (CM tasks for run-to-failure components) are grouped and performed during periods of unplanned unavailability, rather than scheduling unavailability 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). Station personnel are apprised of scheduled maintenance activities that affect them to ensure proper activity coordination 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 Responsible maintenance supervisor is provided with work packages in time for adequate shop-level preparation before starting the job 0.39 0.39 0.39 INPO 97-013 INPO 97-013 INPO 97-013

A4

0.39

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A5

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A6

0.39

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A7

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A8

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A9

0.39

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A10

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A11

0.39

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B-25

Maintenance Processes 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 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 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) 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 Ongoing review of schedule effectiveness is performed Daily schedules exist by Craft type

A12

INPO 97-013 0.39

A13

INPO 97-013 0.39

A14

INPO 97-013 0.39

A15

INPO 97-013 0.39

A16 A17

0.39 0.39

INPO 97-013 Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A18

Daily schedules include all appropriate entries, both when shift begins and when shift ends Schedules are prepared in advance of shifts

0.39

A19

0.39

A20

Schedules are communicated to Crafts and customers, and schedules are used for assignment and follow-up Schedule compliance data is recorded and reported

0.39

A21

0.39

A22

Compliance data is reviewed jointly

0.39

B-26

Maintenance Processes A23 Schedule compliance corrective actions are developed and implemented jointly Backlog work is considered and integrated in the daily/weekly schedule Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

0.39

A24

0.39

A25

Formal work scheduling meetings are conducted with appropriate participants and standing agendas Responsibilities of meeting leader and participants are defined

0.39 0.39

A26

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. A1 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 Program is in place to ensure that contractor qualifications and training are adequate to support safety and high quality work Criteria for using contractors is defined and followed

1.00

EPRI Maintenance Consulting Experience

INPO 97-013 2.00

A2

1.00

TR1000321 EPRI PMO Assessment Guidelines Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A3

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

B-27

Maintenance Processes Coordination problems are reviewed and corrective actions are recorded, reported, and followed up Contractor performance is evaluated and the results are reported to the plant and to the contractor All contracted work is adequately integrated into the maintenance work schedule Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A7

1.00

A8

1.00

A9

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. 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. A1 A process exists for determining the appropriate level of work execution procedural guidance is required for performing maintenance tasks All required work execution procedures are of high quality and well maintained Procedures exist that govern the process of temporary changes to plant configurations to allow performance of work on operating equipment Workers perform all manipulations of plant components per approved procedures, work instructions, or with specific approval from Operations Procedures exist that governing safety requirements EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience

N/A

1.75

2.00

Utilities Maintenance Documents

A2

2.00

Utilities Maintenance Documents

A3

2.00

Utilities Maintenance Documents

A4

2.00 2.00

Utilities Maintenance Documents

A5

Utilities Maintenance Documents

B-28

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 Clearance procedures are defined, accessible, and followed 1.75 INPO 97-013

1.00

Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports INPO 97-013 Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A2

2.00

A3

Clearances are performed prior to expected maintenance job start

1.00 2.00 1.00

A4 A5

Proper use of process status and tag-out procedures are applied Clearance issues are discussed on a timely basis between Operations and Maintenance (during scheduling meetings) Equipment is sufficiently clean enough at the time of clearance to make the working environment safe and effective Clearance of equipment/equipment configuration changes are communicated among operations, maintenance supervisors, and maintenance craft

A6

1.00

A7

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

Maintenance Processes Prior to use in the plant, all extraneous packing material is removed from items to reduce FME intrusion. Collection of material needed for maintenance work is available prior to the start of work Secure staging areas exist

A2

1.66

INPO 97-013

A3

1.66

Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A4

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

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 Selection of procurement sources for specialty tools and M&TE based on approved vendors and past vendor performance is established 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 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 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 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 INPO 97-013

A2

0.29

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A3

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A4

INPO 97-013 0.29

A5

INPO 97-013 0.29

A6

0.29

INPO 97-013

B-30

Maintenance Processes A7 Identification of proper handling and storage provisions during shipping to avoid damage is established 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 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 Tools available for all tasks are established INPO 97-013

0.29

A8

INPO 97-013 0.29

A9

Utilities Maintenance Documents 0.29

A10

0.29 0.29 0.29 0.29 0.29

TR1000321 EPRI PMO Assessment Guidelines INPO 97-013 INPO 97-013 INPO 97-013 INPO 97-013

A11 A12 A13 A14

Calibration procedure for M&TE is established Calibration frequency M&TE is established Specified department responsible special tools and/or M&TE is established Procedure for any unique consideration, such as storage requirements and training and qualification requirements, is established 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 Calibration Standards are kept at the station in appropriately designed and maintained calibration facilities and label them appropriately When calibration Standards are issued for field use, the supervisor responsible for the Standard authorizes and minimizes the period of issue Calibration Standards on frequencies consistent with the vendor recommendations and the utility experience are established

A15

INPO 97-013 0.29

A16

0.29

INPO 97-013

A17

0.29

INPO 97-013

A18

0.29

INPO 97-013

B-31

Maintenance Processes Approved procedures with appropriate acceptance criteria and tolerances for the calibration of measurement and test equipment are used Calibration frequency based on the manufacturer's recommendations, usage, historical reliability, and consequences of being out of calibration is determined 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 Operational tests, functional checks, or battery checks have clearly specified desired response or acceptance criteria, or are indicated on the equipment New measurement and test equipment is calibrated before use to verify that it meets acceptance criteria, is functional, and is safe to use Equipment is clearly labeled that it has special uses, limitations, or restrictions to describe its applications or limitations Special equipment is segregated, when possible, to avoid inadvertent use or possible misapplication Labels or tags, per equipment, note the scales or ranges that are inaccurate or inoperable, including some indication of the amount of inaccuracy Labels or tags, per equipment, note the calibrations that do not include the full indicating range Labels or tags, per equipment, note any limited or restricted use such as on oil, oxygen, saltwater, or de-mineralized water system A recall system is implemented to ensure that measurement and test equipment is removed from service before or at the expiration of its calibration Attach a sticker or some other means to the equipment, as a minimum, that includes the date that the recalibration is required

A19

0.29

INPO 97-013

A20

INPO 97-013 0.29

A21

INPO 97-013 0.29

A22

0.29

INPO 97-013

A23

0.29

INPO 97-013

A24

0.29

INPO 97-013

A25

0.29

INPO 97-013

A26

0.29

INPO 97-013

A27

0.29

INPO 97-013

A28

0.29

INPO 97-013

A29

INPO 97-013 0.29

A30

0.29

INPO 97-013

B-32

Maintenance Processes A31 Responsibility for the proper storage and issuance of both stationary and portable tools and equipment is assigned The responsibilities of maintaining tools to individuals or groups who are issued tools permanently, or those who routinely use them, are established Procedure to segregate worn, defective, or otherwise unusable tools so that only safe, usable tools are available for use is established Procedure to dispose of non-repairable tools in a timely manner is established INPO 97-013

0.29

A32

0.29

INPO 97-013

A33

0.29

INPO 97-013

A34

0.29

INPO 97-013

2.3.4 Pre-job Briefs This sub-element addresses the guidance for the performance of routine pre-job briefings for maintenance activities. A1 Pre-job briefings are conducted using the approved maintenance pre-job checklist 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 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 Participants are prompted to ask questions on any job-specific items that require clarification 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) 1.75 EPRI Maintenance Consulting Experience Utilities Maintenance Documents

1.00

A2

Utilities Maintenance Documents 1.50

A3

Utilities Maintenance Documents 1.50

A4

1.00

Utilities Maintenance Documents

A5

Utilities Maintenance Documents 1.00

B-33

Maintenance Processes

A6 A7

Work Package is required during Pre-Job briefing 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 All instructions given in the Work Package are followed Measuring and Test Equipment (M&TE) usage in Work Order is recorded

1.00 1.00 1.00 1.00

Utilities Maintenance Documents Utilities Maintenance Documents

A8 A9

Utilities Maintenance Documents Utilities Maintenance Documents

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. 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 All instructions given in the Work Package are followed A basic expectation of all site personnel is to use procedures and human performance techniques to operate error-free Properly-sized box-end or open-end wrenches are used. The use of adjustable wrenches and channel locks is minimized Strap wrenches instead of pipe wrenches are used, whenever possible, to avoid damage to pipes or threads Workers do not step or climb on snubbers, pipe hangers, plant equipment, insulation, copper piping, hoses, tubing, instrument racks, conduit or cables Portable tools are inspected for damage or frayed wires prior to use to prevent electrical shock 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 EPRI Maintenance Consulting Experience

1.75

0.29 0.29 0.29

Utilities Maintenance Documents

A2 A3

Utilities Maintenance Documents Utilities Maintenance Documents

A4

0.29

Utilities Maintenance Documents

A5

0.29

Utilities Maintenance Documents

A6

0.29

Utilities Maintenance Documents

A7

0.29

Utilities Maintenance Documents

A8

Utilities Maintenance Documents 0.29

B-34

Maintenance Processes A9 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 Proper safety lines and harnesses are worn by personnel when climbing Air flow breakers are used on all pneumatic tools to ensure both personnel and equipment safety 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) 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 Equipment is verified to have been properly taken out of service and isolated, or otherwise prepared for the work Supervision ensures accomplishment of the work that is scheduled for their worker, and are accountable for their worker's daily activities Supervisors allow adequate time for procedure/work package reviews and briefings prior to the start of all work assignments Pre-job walk-downs of jobs are performed as necessary to ensure that the work is ready to be performed as scheduled 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 Delay codes are entered into the CMMS to provide for trending of delays Utilities Maintenance Documents 0.29

A10 A11

0.29 0.29

Utilities Maintenance Documents Utilities Maintenance Documents

A12

Utilities Maintenance Documents 0.29

A13

Utilities Maintenance Documents 0.29

A14

0.29

Utilities Maintenance Documents

A15

0.29

Utilities Maintenance Documents

A16

0.29

Utilities Maintenance Documents

A17

0.29

Utilities Maintenance Documents

A18

Utilities Maintenance Documents 0.29

A19

0.29

Utilities Maintenance Documents

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 Work is controlled through line-supervision as they are responsible for the job. Personnel requiring technician support, must work through the appropriate line supervisor Supervisors frequent job sites to ensure that the work progresses safely and efficiently Supervisors address problems brought to their attention by technicians, relaying problems to upper management as necessary Technical specification and equipment operability concerns are promptly communicated by Maintenance personnel to Operations 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 A lay-down area, if required, is established for equipment disassembly. Parts shall be properly identified for reassembly 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 Supervisors have the responsibility to ensure their team's knowledge of, and compliance with, all applicable administrative procedures and guidelines 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 Prior to being taken into the field, all controlled documents are be verified as being the current revision

A20

Utilities Maintenance Documents 0.29

A21

Utilities Maintenance Documents 0.29

A22

0.29

Utilities Maintenance Documents

A23

0.29

Utilities Maintenance Documents

A24

0.29

Utilities Maintenance Documents

A25

Utilities Maintenance Documents 0.29

A26

0.29

Utilities Maintenance Documents

A27

Utilities Maintenance Documents 0.29

A28

0.29

Utilities Maintenance Documents

A29

Utilities Maintenance Documents 0.29

A30

0.29

Utilities Maintenance Documents

B-36

Maintenance Processes A31 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 Supervision allows time for procedure review prior to the start of all work assignments 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 Work progress and time required to perform the job, especially if time-critical maintenance is involved for equipment vital to plant operations, is established Utilities Maintenance Documents 0.29

A32

0.29

Utilities Maintenance Documents

A33

Utilities Maintenance Documents 0.29

A34

0.29

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 A2 Field observations are routinely conducted 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 Quality of workmanship, material, and parts is established Accountability for tools, chemicals, and materials is established Correct tools are available and used for the job Maintenance of clean and orderly work sites is established Work progress and time required to perform the job, especially if time-critical maintenance is involved for equipment vital to plant operations, is established Utilities Maintenance Documents 1.75

0.20

INPO 97-013 INPO 97-013

0.20

A3 A4 A5 A6 A7

0.20 0.20 0.20 0.20 0.20

INPO 97-013 INPO 97-013 INPO 97-013 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 All personnel assume responsibility for preventing the introduction of foreign material into systems and all components including electrical, mechanical, and instrumentation If temporary dams are installed which will NOT be readily visible upon system closure, verification of removal is included in the Work Orders Missing parts upon initial breach of a system or component are identified 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.) 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 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)

A8

INPO 97-013 0.20

A10

Utilities Maintenance Documents 0.20

A11

0.20 0.20

Utilities Maintenance Documents

A12 A13

Utilities Maintenance Documents Utilities Maintenance Documents

0.20

A14

Utilities Maintenance Documents 0.20

A15

Utilities Maintenance Documents

0.20

A16

Utilities Maintenance Documents

0.20

B-38

Maintenance Processes A17 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 Supervisor Verification (SV) is performed when applicable as an additional level of verification performed by a technically cognizant supervisor Individuals avoid hurrying through any phase of a task Factors that promote time pressures are carefully considered by managers and supervisors for potential influences on behavior and are eliminated, if possible Utilities Maintenance Documents 0.20

A18

0.20 0.20

Utilities Maintenance Documents

A19 A20

INPO 97-013 INPO 97-013

0.20

2.3.7 Safety 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. A1 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 Safety signs, signals, tags, and barricades are managed and kept current Safety meetings are conducted periodically and attended by all technicians and supervisors Supervisors and technicians are knowledgeable of, and comply with, the requirements of all applicable corporate safety manuals Maintenance personnel comply with all confined space entry requirements when entering confined spaces MSDS and hazardous materials program is in place, well known to all workers through training, and procedures are followed

1.75

INPO 97-013 1.00

A2 A3

0.40 1.00

Utilities Maintenance Documents Utilities Maintenance Documents

A4

1.00

Utilities Maintenance Documents

A5

0.40

Utilities Maintenance Documents

A6

0.40

Utilities Maintenance Documents

B-39

Maintenance Processes All deviations from safe work practices are immediately addressed and brought to the attention of supervision Any equipment (i.e. welding machines, stress relief equipment, etc.) is deenergized when leaving the job site unattended (i.e. breaks, lunch, etc.) The supervisor is immediately apprised of any and all safety concerns Procedural safety precautions or requirements are reviewed prior to commencing work Work is planned to identify and eliminate potential hazards 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 Supervision is immediately informed in the event of personnel injury Supervisors or managers notify Management of injuries and near misses The maintenance organization tracks and monitors near misses and uses this information to proactively improve safety Accident reports are submitted within 24 hours of the event, or the first working day following a weekend or holiday Supervisors and managers spend adequate time in the field to re-enforce safety awareness and understanding safety challenges for the craft Maintenance work orders addressing equipment that impacts worker or environmental safety are prioritized appropriately with all other maintenance tasks Managers conduct immediate fact-finding investigations for all near misses that could have caused personnel injury

A7

0.40

Utilities Maintenance Documents

A8

0.40 0.40 0.40 0.40

Utilities Maintenance Documents

A9 A10

Utilities Maintenance Documents Utilities Maintenance Documents

A11 A12

Utilities Maintenance Documents Utilities Maintenance Documents

0.40

A13 A14 A15

0.40 0.40 0.40

Utilities Maintenance Documents Utilities Maintenance Documents Utilities Maintenance Documents

A16

0.40

Utilities Maintenance Documents

A17

1.00

Utilities Maintenance Documents

A18

Utilities Maintenance Documents 0.40

A19

0.40

Utilities Maintenance Documents

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. A2 Procedures exist that govern the appropriate capture of as-found and asleft data upon completion of as Work Order Guidance for capturing actual labor and material costs for all work orders is included in the Work Closeout procedures Procedures include guidance for the timely capture of maintenance history 2.00 EPRI Maintenance Consulting Experience Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

2.00

A1

2.00

A3

2.00

A4

Organizational responsibilities for overall control of the PMT is clearly established 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

A5

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. A1 PMT is recommended when maintenance or modification affects the integrity or operation of a system INPO 97-013 2.00

0.75

INPO 97-013

B-41

Maintenance Processes PMT is recommended when maintenance or modification affects the mechanical strengths of components or fittings PMT is recommended when equipment is included in special programs, such as the in-service inspection and environmental qualification programs PMT is recommended when maintenance or modification affects or removes design-approved temporary installations PMT is recommended when temporary systems have been installed as substitutes for normally operational systems or portions of systems PMT is recommended with modified computer program software 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 Verification is made that the original deficiency was corrected Verification is made that new deficiencies were not introduced as a result of the repair or modification 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 Tests of any equipment affected by code or technical specification requirements are reviewed by cognizant personnel 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 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

A2

0.75

INPO 97-013

A3

0.75

INPO 97-013

A4

0.75

INPO 97-013

A5

0.75 0.75

INPO 97-013

A6 A7

INPO 97-013 INPO 97-013

0.75

A8 A9

0.75 0.75

INPO 97-013 INPO 97-013

A10

INPO 97-013 0.75

A11

0.50

INPO 97-013

A12

INPO 97-013 0.50

A13

INPO 97-013 0.50

B-42

Maintenance Processes A14 The designated organization responsible for the PMT reviews the total work scope to minimize redundant testing 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 INPO 97-013

0.50

A15

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 Maintenance department personnel review completed Work Orders for the adequacy of repair, completeness of documentation, and identification of rework 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 Utilities Maintenance Documents 1.00

INPO 97-013 5.00

A2

Utilities Maintenance Documents 5.00

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 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

Utilities Maintenance Documents 0.75

A2

Utilities Maintenance Documents 0.75

B-43

Maintenance Processes

A3 A4

Detailed maintenance history is captured in a timely manner 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 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 Calibration sheets, where appropriate, are completed with 'as found' and 'as left' calibration data, as well as M&TE usage Appropriate preventive and predictive maintenance records and design modification packages are included 'As-found' conditions during corrective and preventive maintenance are captured 'As-found' condition codes are applied Maintenance Task Type Codes are verified (e.g. CM -Expected, PMRestore/Replace, PM-Condition Monitoring Task, etc.) Vendor repair information (i.e. correspondence on component repairs and modification bulletins) are included Work histories are provided for single and multi-craft jobs

0.75

INPO 97-013 Utilities Maintenance Documents

0.75

A5

Utilities Maintenance Documents 0.50

A6

0.50

Utilities Maintenance Documents

A7

0.50

INPO 97-013

A8

0.50 0.75 0.75

INPO 97-013

A9 A10

INPO 97-013 TR1000321 EPRI PMO Assessment Guidelines INPO 97-013

A11

0.50

A12

0.50

Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports INPO 97-013 INPO 97-013

A13

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

0.50 0.50 0.50

A14 A15

Startup tests and other baseline data are captured Appropriate test data are included in Work Order closeout information

B-44

Maintenance Processes A16 A17 A18 2.4.5 Housekeeping This sub-element addresses the material conditions, cleanliness, and housekeeping of facilities, systems, and equipment upon completion of work activities. A1 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 The location of the work in progress is posted with signage indicating the work group, contact person, and phone extension 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 General plant areas are NOT used as storage areas Walkways and equipment accesses are maintained free from obstructions Shop areas are kept clean, neat, orderly, and professional looking 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 Machine tools are maintained in accordance with vendor manuals and cleaned after use Maintenance personnel are responsible for checking out, the proper use, and the return of tools, M&TE, and other equipment 1.00 Utilities Maintenance Documents Applicable industry experience information is included Closeout feedback to the initiator is performed Closeout approval is acquired 0.25 0.50 0.25 INPO 97-013 INPO 97-013 INPO 97-013

Utilities Maintenance Documents 2.00

A2

0.50

Utilities Maintenance Documents

A3

Utilities Maintenance Documents 0.50

A4 A5 A6 A7

0.50 0.50 0.50

Utilities Maintenance Documents Utilities Maintenance Documents Utilities Maintenance Documents Utilities Maintenance Documents

1.00

A8

0.50

Utilities Maintenance Documents

A9

0.50

Utilities Maintenance Documents

B-45

Maintenance Processes 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 Work site clean-up expectations are communicated to Operations and Maintenance Craft Various EPRI PMO Technical Reports

A10

2.00

A11

0.50

Various EPRI PMO Technical Reports

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. A1 Satisfactory and expeditious return to service of the equipment or system is established 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 Acceptance criteria are generated and available before the test and are included or referenced as part of the test instructions Verification is made from objective evidence such as conducting or witnessing the post-maintenance test or reviewing completed procedures and documented test results Test data and its acceptability are entered or cross-referenced to maintenance history 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 1.00

1.00

INPO 97-013

A2

INPO 97-013 1.00

A3

1.00

INPO 97-013

A4

INPO 97-013 1.00

A5

1.00

INPO 97-013

A6

INPO 97-013 1.00

B-46

Maintenance Processes A7 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 Initiator's satisfaction to the Work Order is measured INPO 97-013 1.00

A8

1.00 1.00 1.00

TR1000321 EPRI PMO Assessment Guidelines

A9 A10

Equipment is released back and accepted by Operations Completed work is clearly defined and documented, and communicated to plant operations and the work originator

Various EPRI PMO Technical Reports

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. 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. A1 Policy/procedural guidance is provided for determining and supports training schedules Policy/procedural guidance is provided for determining the training needs of each individual based on job classification, previous education, training, experience, and skill level Policy/procedural guidance is provided for utilizing subject-matter experts, instructors, and trainers Training policies and procedures clearly define the responsibilities for establishing, maintaining, and implementing the maintenance training and qualification programs departments Policy/procedural guidance is provided for initial training to provide personnel with the knowledge and skills necessary to perform work

RNWF
EPRI Maintenance Consulting Experience

EPRI Maintenance Consulting Experience

INPO 97-013

INPO 97-013

A2

INPO 97-013

A3

INPO 97-013

A4

INPO 97-013

A5

INPO 97-013

C-2

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 Policy and procedural guidance is established for plant systems and component training for infrequently performed or difficult tasks Policy and procedural guidance is established for fundamentals refresher training to maintain and improve maintenance personnel knowledge and skills of academic principles Policy and procedural guidance is established for training to reinforce management standards and expectations, such as self-checking, procedure adherence, and tool use Qualified technicians and management personnel work together to periodically review, update, and enhance the training policies and procedures and opportunities for all section personnel The trainee, immediate supervisor, and OJT Coordinator work together to coordinate opportunities OJT activities are monitored by Maintenance management to facilitate OJT program improvement INPO 97-013

A7

INPO 97-013

A8

INPO 97-013

A9

INPO 97-013

A10

Utilities Maintenance Documents

A11

Utilities Maintenance Documents

A12

Utilities Maintenance Documents

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. A1 A career development plan implemented for professional growth, and to develop a source of potential supervisors and managers is established 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) 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 Various EPRI Technical Reports

INPO 97-013

A2

INPO 97-013

A3

INPO 97-013

C-3

People Skills and Human Resources 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 Continuing training verification is employed to ensure that workers' knowledge and skills needed to successfully perform assigned maintenance tasks are maintained and enhanced Maintenance personnel are held accountable for their personal performance and professional conduct in training, including classroom and laboratory performance Maintenance personnel are required to maintain their designated training current, this is a joint responsibility with the training organization. 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

A4

INPO 97-013

A5

INPO 97-013

A6

Utilities Maintenance Documents

A7

Utilities Maintenance Documents

A8

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 A1 Specific system/component training to provide the maintenance worker with in-depth knowledge and skills required to maintain the equipment Has configuration control training to sensitize maintenance personnel to maintenance activities that could change the design configuration of the plant Maintenance workers, supervisors, and managers are provided with basic plant operations and system functionality training Utilities Maintenance Documents

INPO 97-013

A2

INPO 97-013

A3

Utilities Maintenance Documents

C-4

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 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) Managers and supervisors actively participate in the development and implementation of training, and periodically attend classes to ensure a welltrained, professional work force Managers observe training activities and attend training interface meetings INPO 97-013

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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 Utilities Maintenance Documents

EPRI Maintenance Consulting Experience EPRI Maintenance Consulting Experience

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

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People Skills and Human Resources The maintenance training organization is responsible and accountable to ensure properly trained maintenance personnel are used to perform maintenance work within the plant

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Utilities Maintenance Documents

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. Utilities Maintenance Documents

3.1.7.1 Planning Personnel A1 Determine applicable safety, administrative, and technical procedures necessary to perform the maintenance tasks Identify current revisions to procedures, vendor manuals, drawings, and other plant policies related to maintenance tasks Determine safety classification and environmental qualification requirements for replacement parts or component assemblies Determine quality assurance inspection requirements and hold points 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 Understand integrated scheduling techniques to evaluate how a specific work plan could affect another 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 Determine the impact of the maintenance activity in the design configuration of the plant INPO 97-013

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People Skills and Human Resources A9 Understand technical aspects and support activities required for the maintenance activity Determine maintenance task schedule duration and resource requirements Understand functional verification and the retest program Understand the work management process INPO 97-013

A10 A11 A12 3.1.7.2 Schedulers A1

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Determine resource requirements (worker hours and task qualification requirements) for schedule resource loading Understand system interactions and operability requirements for schedule sequencing determinations Understand parts inventory systems for parts availability verification before scheduling Understand total activity duration as planned and contingency plans for job scope changes Understand critical path identification and scheduling methods

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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.) Individual training curriculum for each identified unique skill is established and implemented Utility Maintenance Documents

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Utility Maintenance Documents

3.1.8 Training Facilities This sub-element addresses the organization's facilities for conducting both classroom and hands-on training. Utility Maintenance Documents

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People Skills and Human Resources Training facilities to accommodate all identified training are adequately configured at the company site or adequate vendor supplied facilities are utilized.

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Utility Maintenance Documents

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. A1 Management works side by side with union officials in developing policies and direction. Utility Maintenance Documents Utility Maintenance Documents

Utility Maintenance Documents

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. Utility Maintenance Documents

Utility Maintenance Documents

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 A process is established to utilize a mobile/shared workforce to maximize knowledge and utilization of the workforce Utility Maintenance Documents

Utility Maintenance Documents

C-8

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 Maintenance craft ensure that adequate pre-job reviews are performed to identify the most efficient means of accomplishing tasks Maintenance craft ensure that the schedule accurately reflects expected durations, manning levels, and start and complete dates Maintenance supervisors determine and staff jobs appropriately with qualified personnel, while maintaining safety and efficiency Maintenance supervisors review jobs during actual performance and adjust staffing levels as necessary Maintenance supervisors critique significant jobs at closure to identify productivity issues, and act upon and share such knowledge Maintenance supervisors provide adequate direction for 'fill-in' work should a team accomplish their scheduled work early Maintenance craft follow and support the station's work control process 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 Upon completion of a task, technicians report job completion to their supervisor, and seek additional assignments Maintenance management measures Craft productivity in man-hours used by maintenance type and discipline Utility Maintenance Documents

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TR1077595 EPRI Assessing Maintenance Effectiveness

C-9

People Skills and Human Resources Maintenance management measures manpower utilization by general tasks expressed as a percentage of total man-hours 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] Maintenance management measures man-hours expended per work item, particularly repetitive tasks The effectiveness of Craft utilization is determined by the Work Orders per Craft period 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 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 TR1077595 EPRI Assessing Maintenance Effectiveness TR1077595 EPRI Assessing Maintenance Effectiveness

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TR1077595 EPRI Assessing Maintenance Effectiveness

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

People Skills and Human Resources A1 Maintenance Workers strive to present a workplace that is free from intimidation and harassment of others 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 Maintenance Workers meet commitments with quality work Maintenance Workers set high standards of performance and hold themselves to those standards Maintenance Workers are organized and mentally ready to do the job throughout their assigned shift Maintenance Workers consider themselves part of a professional team that meets company objectives Maintenance Workers exhibit professional conduct Maintenance Workers have respect for fellow employees Maintenance Workers work together to correct problems, and bring concerns to the attention of supervision Employees share their knowledge with each other Maintenance Workers want to grow and develop technically Maintenance Workers are self-critical, looking for ways to improve performance Maintenance Workers are friendly, courteous, and motivate each other Maintenance Workers wear protective equipment Technicians and supervision cooperate to eliminate barriers to human performance improvements Utilities Maintenance Documents

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People Skills and Human Resources

A16 A17 A18

Teamwork is a fundamental way of doing business Supervision and technicians take the time to reinforce desired behaviors 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' 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 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 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 Management cultivates an atmosphere of open communication Individuals develop a strong sense of personal ownership of their jobs, careers, and the plant Employees consider the implications of their actions on others Individuals exercise their authority to 'stop work' if unanticipated conditions arise 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 Individuals are alert to the potential impact of distractions to themselves as well as to others

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People Skills and Human Resources A28 Individuals specifically consider their personal abilities to meet mental, physical, and team requirements of the task Individuals approach each job with a questioning attitude, thinking through the steps and key decision points of a task before acting Individuals routinely ask 'what if' and are conscious of the expected results and potential consequences of each action Individuals work in a cautious, questioning manner and do not hesitate to call a time-out (stopping work) to regroup Team members at all levels practice effective communication techniques to create understanding Work teams inquire regularly to obtain necessary information Work teams regularly resolve conflicts to achieve the best solution Open communications are facilitated by managers Teamwork is promoted to eliminate error-likely situations and to strengthen defenses Management searches for, and eliminates, organizational weaknesses that create conditions for error Management reinforces desired job-site behaviors Management values the prevention of errors Management fosters a culture that values prevention of events Workers communicate to create shared understanding Workers anticipate error-likely situations Workers confirm the integrity of defenses INPO 97-013

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People Skills and Human Resources

A44 3.3.2 Procedure Use

Workers improve personal capabilities

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This sub-element addresses how individuals adhere to procedures in a deliberate, conscientious fashion even when other, quicker methods exist. A1 A2 Maintenance Workers have use of and adherence to procedures and policies Maintenance supervisors have procedures readily available and clearly identified to ensure that the user can determine the purpose, applicability, and physical completeness Maintenance Workers check procedures before use to ensure that the correct revision is being used Maintenance Workers continuously use procedures for activities having direct impact on nuclear safety and reliability or difficult, complex tasks independent of the frequency performed 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 When using a procedure, individuals recall and thoughtfully consider knowledge of fundamental theories and bases Procedure deficiencies are identified for correction, even seemingly minor ones, before proceeding Individuals effectively apply their knowledge of fundamentals and are sensitive to cues and important decision points of a task 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 The work package, or a copy thereof, is available and is used at the work location INPO 97-013 INPO 97-013

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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 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.) 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 Individuals identify the actual responses of the systems, components, or processes and compare them to expected outcomes Individuals anticipate error-likely situations 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 Individuals verify instructions, equipment, locations, and time constraints, and determine contingency actions for unexpected plant responses INPO 97-013

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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. Utilities Maintenance Documents

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People Skills and Human Resources The peer checker simultaneously witnesses and verifies the activity PRIOR to the performance, e.g. assures that the correct component will be manipulated The peer checker is qualified to perform the assigned task or should have sufficient knowledge to evaluate the task 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) 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) Management monitors trends and human performance in the plant Management verifies that individuals possess capabilities to achieve task requirements Maintenance managers and supervisors continually monitor organizational processes, values, and problem-solving methods to detect organizational weaknesses that could affect the workplace Individuals realize their dependence on each other to recognize error-likely situations before problems arise

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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. A1 Individuals at all levels of the organization use self-evaluations to identify areas for improvement INPO 97-002

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People Skills and Human Resources A2 Managers frequently monitor and influence personnel performance improvement by observing work activities and training Managers initiate self-evaluations to identify adverse cultural symptoms, such as complacency. 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

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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 Workers and managers communicate regularly to obtain necessary information to resolve conflicts INPO 97-013

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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 Utilities Maintenance Documents

C-17

People Skills and Human Resources A selection process that verifies that applicants have the aptitude to develop the skills and knowledge to perform assigned duties is established 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 Pre-selection testing and candidate interviews are used to determine the candidate's potential for success in the selection process The selection process assesses the individual's potential for development into other positions An evaluation is performed for manager and supervisor applicants that considers the candidate's maturity, judgment, and ability to perform manager duties The screening process addresses integrity, leadership, management capabilities, and technical competency

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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. A1 A2 A Maintenance panel or qualified maintenance supervisor or manager approves the qualification of maintenance personnel The maintenance organization clearly defines the responsibilities for establishing, maintaining, and implementing the maintenance training and qualification programs 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 Close coordination between the managers and supervisors of the maintenance and training departments is established to manage personnel qualifications Utilities Maintenance Documents INPO 97-013 INPO 97-013

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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 A2 A maintenance panel or qualified maintenance supervisor or manager approves the re-qualification of maintenance personnel The maintenance organization clearly defines the responsibilities for establishing, maintaining, and implementing the maintenance training and requalification programs departments 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 Close coordination between the managers and supervisors of the maintenance and training departments is established to manage personnel re-qualifications INPO 97-013 INPO 97-013

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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 Utilities Maintenance Documents

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 A2 A system is employed to manage personnel qualifications and requalifications The qualification tracking program is integrated with the CMMS to ensure that maintenance work is not assigned to unqualified workers Utilities Maintenance Documents Utilities Maintenance Documents

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People Skills and Human Resources

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. A1 A maintenance/leadership panel periodically addresses and maintains a succession planning list that includes internal and external potential candidates 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 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 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 Individuals who aspire to management positions exhibit a strong sense of responsibility for their own development 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 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 Utilities Maintenance Documents Utilities Maintenance Documents

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D
TECHNOLOGIES

D-1

Technologies

4.0 Technologies
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. A1 A2 A3 A4 The organization has a CMMS The CMMS is user friendly and is accessible to plant personnel The CMMS is used for daily and outage work The CMMS is effectively used by plant and central support personnel especially, operators, planners, engineering, and maintenance craft 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

RNWF

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TR1000321 EPRI PMO Assessment Guidelines

D-2

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. The CMMS has work request/order codes that classifies preventive maintenance (PM) tasks as inspections, surveillances and condition directed) Preventive Maintenance (PM) tasks are automatically generated at the prescribed time and are provided to scheduling for proper inclusion. Work Orders can be placed in backlog (daily, short outage, major outage) and tracked CMMS automatically searches for duplicate Work Orders TR1000321 EPRI PMO Assessment Guidelines

A7

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

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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. 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.) Work Order has identification of qualification requirements (i.e. environmental and seismic qualifications) Work Order has potential impact of maintenance activity on plant operations Work Order has results of evaluation of risks to safe plant operation Work Order includes inspection, safety, or specific hold points associated with the work

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Technologies Work Order includes documentation of measurement and test equipment used and applicable ranges The CMMS can track work order status (backlog, work progress, waiting on parts, completed, closed-out, etc.) 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) 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 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 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 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 Using the CMMS actual labor hours and material costs are captured for each Work Order CMMS automatically informs Work Order originator when the Work Order has been completed Work Order includes acceptance of the equipment by Operations Work Order contains closeout fields for final reviews and signoffs by maintenance and, when applicable, by other groups involved in the work

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Technologies A28 Work Order documentation of lessons learned that would benefit the next individual assigned to perform the task All Work Orders are filed in a usable, retrievable system for future reference. Maintenance histories are easily obtained INPO 97-013

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TR1000321 EPRI PMO Assessment Guidelines

4.1.2 Risk Assessment Tools This sub-element addresses the software tools that will support the risk assessment process. A1 A2 Risk assessment tools exist Tools are easy to use and used effectively INPO 97-013 EPRI Process Improvement Documents INPO 97-013

A3

Risk assessment tools track and support the safety requirements and procedures 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 Risk tools are accessible over the intranet and internet

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EPRI Process Improvement Documents

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EPRI Process Improvement Documents

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.) Tool (daily) is easy to use and used effectively when scheduling work EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

A2

A3

Tool (daily) is part of or linked to the CMMS

D-5

Technologies 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.] Tool (daily) has capability to schedule and track contracted work EPRI Process Improvement Documents

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EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

A6

Tool (daily) has the ability to schedule work at any time in a calendar year or greater Tool (daily) can assign work to backlog, short outage, unplanned outage, or major planned outage. 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) Tool (daily) automatically tracks work progress and maintains a rolling schedule 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 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 Tool (daily) links to the outage-scheduling tool

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EPRI Process Improvement Documents EPRI Process Improvement Documents

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A13

Scheduling tool exists for the outage scheduling process

D-6

Technologies A14 Tool (outage) is easy to use and used effectively when scheduling work EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

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 Tool (outage) can track critical path projects and provide early warning of schedule interrupts Tool (outage) has resource loading and assigns tasks based on recourse availability 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

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EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

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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 EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

A2

This maintenance basis tool is easy to update and use

A3

This maintenance basis tool supports the Reliability-Centered Maintenance (RCM) process This maintenance basis tool supports the maintenance basis part of continuous improvement process

A4

D-7

Technologies This maintenance basis tool is linked to other software systems such as, CMMS, continuous improvement, system and condition assessment tools, etc. 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 This standard work package tool is easy to update and use EPRI Process Improvement Documents

A5

A6

EPRI Process Improvement Documents

A7

EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

A8

This standard work package tool supports the work management planning process This standard work package tool supports the planning part of continuous improvement process This standard work package tool is linked to other software systems such as CMMS, continuous improvement, etc. 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 A tool exists that documents the maintenance procedures

A9

A10

A11

A12

EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

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

D-8

Technologies A16 This maintenance procedures tool is linked to other software systems such as CMMS, continuous improvement, etc. 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 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) 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 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 Continuous improvement tools are available over the LAN (local area network), WAN (wide area network), intranet, and internet EPRI Process Improvement Documents EPRI Process Improvement Documents

A17

A18

EPRI Process Improvement Documents

A19

EPRI Process Improvement Documents

A20

EPRI Process Improvement Documents

A21

EPRI Process Improvement Documents

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 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A1

Alignment tools are available and used effectively

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 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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. Vibration tool has capability of spectral analysis over a wide frequency range (0 Hz to 50 kHz)

A3

TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 A1 A water chemistry system is installed and effectively used TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A2

Chemistry tool has trending capability

A3

Chemistry tool has analysis capability that can automatically provide early warning of problems

D-12

Technologies A4 Water chemistry tool has expert system, pattern or neural net capability TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

4.2.2.5 Transformer Diagnostic A1 Continuous online transformer diagnostic system is available and used effectively on main, step-up and station transformers TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 Reporting of the transformer diagnostic findings is available over the LAN (local area network) and WAN (wide area network) TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A6

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 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 Continuous lube diagnostic system is available and used effectively on all critical equipment TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

D-14

Technologies A2 Lube oil analysis determines the condition of the oil TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 Lube oil tool has capability of automatically alerting when pre-described limits are exceeded

A5

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

4.2.2.8 Loose Parts 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) Reporting of the loose parts monitoring findings is available over the LAN (local area network) and WAN (wide area network) TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A2

D-15

Technologies TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A3

Loose parts monitoring tool is linked to equipment condition decision tools

4.2.2.9 Other A1 Other diagnostic monitoring tools that cover specific critical equipment are available and effectively used TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 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 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) 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. TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A2

D-16

Technologies A3 Periodic vibration tool has capability of spectral analysis over a wide frequency range (0 Hz to 50 kHz) TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 Vibration tool has capability of spectral analysis over a wide frequency range (0 Hz to 50 kHz) TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A2

TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A3

Vibration tool has capability of analyses that include waterfall (start-stop), bode, orbit, time wave, etc.

D-17

Technologies Vibration tool has capability of automatically alerting when pre-described limits are exceeded TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A4

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 A1 Periodic vibration diagnostic system is available and used effectively on all critical rotating machinery TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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)

D-18

Technologies A4 Periodic vibration tool has trending capability (overall value, spectrums, specific frequencies, etc.) TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 Thermography system is used for monitoring electrical; mechanical; rotating machinery; equipment that effects safety or efficiency such as valves, traps, etc. and substation equipment Thermography tool has capability of analyses based on comparative temperature profiles with baseline or similar equipment, and can also measure exact temperatures Reporting of thermography findings is available over the LAN (local area network) and WAN (wide area network) TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A2

A3

A4

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 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 Periodic leak detection system is available and used effectively. Data collection is based on some established time interval TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

D-20

Technologies A2 Periodic leak detection system is applied to valves, pipes, traps, shop air lines, etc. TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 Periodic transformer system includes for example: oil, moisture detection, partial arch, loose parts and process parameter, analyses TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A2

D-21

Technologies TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 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 Periodic circuit breaker system includes, for example, process parameter analysis TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A2

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

D-22

Technologies 4.2.3.10 Motor Diagnostics A1 Periodic Motor Diagnostic system exists and is effectively used on critical motors TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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) Motor diagnostics is also based on diagnostic monitoring (i.e. vibration, thermography, lube oil)

A4

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

4.2.3.11 Other A1 Other diagnostic monitoring tools that cover specific critical equipment are available and effectively used TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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

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 Analytical rotor dynamic analysis is used to establish baselines, design modifications and for troubleshooting evaluations Analytical rotor dynamic analysis is combined with vibration monitoring systems to support the evaluation of equipment health used to establish baselines and for troubleshooting Reporting of rotor dynamic systems findings are available over the LAN (local area network) and WAN (wide area network) The rotor dynamic system is linked to equipment condition decision tools. Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A2

A3

A4

Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A5

4.2.4.2 Finite Element Stress and Temperature A1 Analytical finite element stress and temperature analyses are available and used to determine resonant mode shapes and frequencies of all critical equipment Analytical finite element stress and temperature analyses are used to establish baselines, design modifications and for troubleshooting evaluations 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 Various EPRI PMO Technical Reports

A2

Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A3

D-24

Technologies A4 Reporting of finite element systems findings are available over the LAN (local area network) and WAN (wide area network) The finite element system is linked to equipment condition decision tools Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A5

4.2.4.3 Other A1 Other analytical tools that cover specific critical equipment are available and effectively used Reporting of other analytical findings is available over the LAN (local area network) and WAN (wide area network) Other analytical tools are linked to equipment condition decision tools Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports Various EPRI PMO Technical Reports

A2

A3

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 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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. A1 Performance system is available and is used effectively. It is applied to critical equipment and processes TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

A2

Performance tool is a continuous online system

A3

The performance tool is routinely used to assess the condition of the system and equipment

D-26

Technologies A4 The performance tool has capability of automatically alerting when predescribed limits are exceeded TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999 TR1003374PdM Guidelines Volumes 14, August 1994 December 1999

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. A1 Financial software exists and is used effectively EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

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. Financial tools tracks all costs by labor classification (management apprentice, journeyman, etc.) Financial tools tracks all costs by maintenance organization (i.e. mechanical crew 1, mechanical crew 2, electrical, I&C, engineering, PdM, etc.) Reporting of the financial performance/financial status is available over the LAN (local area network) and WAN (wide area network) Financial tools are linked to the CMMS, business plan, and equipment condition decision tools 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

A5

EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

A6

A7

A8

A9

D-28

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 EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

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. Reporting of the budget status is available over the LAN (local area network) and WAM (wide area network) Bubget tools are linked to the CMMS, business plan, and equipment condition decision tools 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. Bubget software exists and is used effectively

A6

A7

A8

A1

EPRI Process Improvement Documents

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 TR1000321 EPRI PMO Assessment Guidelines

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Technologies TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

A2

These tools are easy to use and used effectively

A3

The system and equipment assessment tools are combined into one software tool 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 This tool is linked or can access the Maintenance & Diagnostic Technology Tools (Section 4.2) (i.e. condition monitoring, execution, process, performance, technology) This tool is linked to the Maintenance Management tools (Section 4.1) such as the CMMS, risk assessment, and decision This tool is linked to the financial tools

A4

A5

TR1000321 EPRI PMO Assessment Guidelines

A6

TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

A7

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. 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. 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)

A10

TR1000321 EPRI PMO Assessment Guidelines

A11

TR1000321 EPRI PMO Assessment Guidelines

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Technologies A12 This tool utilizes Expert Systems, Pattern Recognition, Neural Nets, etc. methods to aid in the decision making 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.) This tool has the capabilities of documenting case histories for future references, access by other plants and access by other utilities and organizations 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 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 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 TR1000321 EPRI PMO Assessment Guidelines TR1000321 EPRI PMO Assessment Guidelines

A13

A14

TR1000321 EPRI PMO Assessment Guidelines

A15

TR1000321 EPRI PMO Assessment Guidelines

A16

INPO 97-013

A17

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 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 Plant maintenance requirements can be readily sent to dispatch to support their decision process EPRI Process Improvement Documents EPRI Process Improvement Documents

A2

A3

EPRI Process Improvement Documents

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Technologies Maintenance Asset management (Risk, cost, condition, life expectancy) is an integral part of the Dispatch Decision tools EPRI Process Improvement Documents

A4

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 A2 A3 EPIX is available over the Intranet and Internet EPIX is a tool that is routinely referenced by maintenance personnel EPIX cases are used to support the equipment condition assessment INPO 97-013 INPO 97-013 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. A1 Technical documentation software exists and is used effectively EPRI Process Improvement Documents EPRI Process Improvement Documents

A2

Technical documentation tools include equipment manuals, P&IDs, drawings, engineering modifications, training material, plant capability and design documents, etc. Technical documentation software is designed to be easily updated

A3

EPRI Process Improvement Documents EPRI Process Improvement Documents EPRI Process Improvement Documents

A4

These tools are available over the LAN (local area network) and WAM (wide area network) These tools are linked to the CMMS and system and equipment condition decision tools.

A5

D-32

Targets: Plant Maintenance Optimization

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