Integrated Maintenance Planning in Manufacturing PDF

SPRINGER BRIEFS IN APPLIED SCIENCES AND
TECHNOLOGY MANUFACTURING AND SURFACE ENGINEERING
Umar M. Al-Turki Tahir Ayar

Bekir Sami Yilbas
Ahmet Ziyaettin Sahin
Integrated
Maintenance
Planning in
Manufacturing
Systems
SpringerBriefs in Applied Sciences

and Technology
Manufacturing and Surface Engineering
Series editor
Joao Paulo Davim, Aveiro, Portugal
For further volumes:

http://www.springer.com/series/10623
Umar M. Al-Turki Tahir Ayar

Bekir Sami Yilbas Ahmet Ziyaettin Sahin
Integrated Maintenance
Planning in Manufacturing
Systems
123
Umar M. Al-Turki
Tahir Ayar
Ahmet Ziyaettin Sahin
King Fahd University of Petroleum
and Minerals
Dhahran
Saudi Arabia
Bekir Sami Yilbas

Mechanical Engineering Department
King Fahd University of Petroleum
and Minerals
Dhahran
Saudi Arabia
ISSN 2191-530X
ISSN 2191-5318 (electronic)
ISBN 978-3-319-06289-1
ISBN 978-3-319-06290-7 (eBook)
DOI 10.1007/978-3-319-06290-7
Springer Cham Heidelberg New York Dordrecht London
Library of Congress Control Number: 2014936869
The Author(s) 2014
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Preface
Traditionally, maintenance is viewed as the necessary challenge that needs to be

controlled and shrunk down to an affordable size. This view is wide spread in all
sectors, manufacturing and service, public and private, small and large organizations. Only when an asset is acquired or constructed the maintenance role starts
with the objective of keeping the asset available for operation as much as possible.
The role of maintenance is complete when the decision of disposing or demolishing the asset is made. This view has changed since the last decade and will
continue to change in the coming years driving a change in the way maintenance is
planned, managed, and executed.
The manufacturing sector is the first to realize the major role maintenance can
play in increasing the competitive edge of the organization in a globally competitive market. It is recognized that maintenance should play a role in the whole
life cycle of the asset from procurement and installation stage to operational stage
to its decommissioning stage. In addition, it is realized that maintenance is the
major contributor to the safety of the working environment as well as the global
environment. Maintenance is becoming involved in strategic decisions related to
asset acquisition, product design, customer satisfaction, and manufacturing
sustainability.
As the scope of maintenance widens to encompass larger responsibilities, its
planning process moved from a local functional planning to a more strategic
planning linked to corporate business strategies. Plans that are horizontally integrated with other functional units such as production and quality are vertically and
strategically integrated with corporate business units. High level of coordination
with external contractors, spare part suppliers, and even business partners is
becoming essential in a global business environment.
This emerging view of maintenance has generated a wave of research and the
best practices in the area of integrated maintenance manufacturing planning.
Integrated strategic planning methodologies are adopted for generating long-term
and short-term plans. New optimization models are developed that integrate
resources and objectives across functional units. Supply chain methodologies are
adopted for maintenance of logistics across vendor and material inventories.
The aim of this book is to introduce the reader to this new global view of
maintenance as a strategic role player in modern manufacturing systems. It briefly
surveys the components of maintenance systems, including traditional and recent
v
vi
Preface
maintenance concepts and strategies in light of this view. The book gives the
reader an insight into the integrated planning process at a global level starting from
the business level and ending with the operational level where the plan is
implemented and controlled. The result would be a maintenance plan integrated
with a production plan that maintains quality and accompanied by a safety system
and code of ethics. Usually, these issues are dealt with in an independent manner
that might result in semi-optimum results at the implementation stage. Latest
studies and reports related to maintenance planning are utilized in shaping up the
contents of this book to make it as useful and practical as possible for all types of
readers.
Acknowledgments
We would like to acknowledge the role of King Fahd University of Petroleum and
Minerals in extending strong support from beginning to end facilitating every
means during the preparation of the book. The authors wish to thank their colleagues who contributed to the work presented in the book through previous
cooperation with the authors and particular thanks to all their graduate students.
vii
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Maintenance in Manufacturing Environment: An Overview

2.1 Types of Manufacturing Systems. . . . . . . . . . . . . . . . . .
2.2 Maintenance in Manufacturing . . . . . . . . . . . . . . . . . . .
2.3 Maintenance Management . . . . . . . . . . . . . . . . . . . . . .
2.4 Maintenance Concepts and Strategies. . . . . . . . . . . . . . .
2.4.1 Total Productive Maintenance . . . . . . . . . . . . . .
2.4.2 Reliability Centered Maintenance . . . . . . . . . . . .
2.4.3 Maintenance Strategies . . . . . . . . . . . . . . . . . . .
2.5 E-Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.6 Intelligent Prognostics . . . . . . . . . . . . . . . . . . . . . . . . .
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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Integrated Maintenance Planning . . . . . . .

3.1 Global Maintenance System . . . . . . . .
3.2 Strategic Planning in Maintenance. . . .
3.3 The Strategic Planning Process . . . . . .
3.3.1 Key Success Factors . . . . . . . .
3.3.2 Strategic Issues in Maintenance
3.4 Integrated Maintenance Scheduling . . .
3.4.1 Scheduling Techniques . . . . . .
3.5 Performance Measurement System. . . .
3.5.1 Performance Indicators . . . . . .
References . . . . . . . . . . . . . . . . . . . . . . . .
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Health, Safety and Sustainability in Maintenance . . . . . .

4.1 Maintenance and Safety . . . . . . . . . . . . . . . . . . . . . .
4.1.1 Maintenance for Safety . . . . . . . . . . . . . . . . .
4.1.2 Methods for Maintenance Safety Improvement .
4.1.3 Safety Measurement . . . . . . . . . . . . . . . . . . .
4.1.4 Safety Legislations . . . . . . . . . . . . . . . . . . . .
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ix
Contents
4.2
Maintenance and Sustainability .

4.2.1 Sustainable Maintenance
4.3 Conclusion . . . . . . . . . . . . . . .
References . . . . . . . . . . . . . . . . . . .
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Ethics in Maintenance . . . . . . . .
5.1 Maintenance Code of Ethics .
5.1.1 Pre-task Checklist . . .
5.1.2 Post-task Checklist . .
5.2 Conclusion . . . . . . . . . . . . .
Reference . . . . . . . . . . . . . . . . . .
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Recent and Future Trends in Maintenance . . . . . . . . . . . . . . . . . .
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Chapter 1
Introduction
Abstract Maintenance involves multidisciplinary arrangements covering planning to execution and it is one of the essential activities of asset management and
engineering. Although arrangements pertinent to maintenance in manufacturing
can be simplified depending on the line of interest in the engineering field, at the
same time, it is getting complicated because of globalization and the involvement
of multi-national industries. In this chapter, a general introduction to maintenance
planning and engineering, and its contribution to business success are given.
Keyword Maintenance planning
Maintenance strategies
Manufacturing systems
Globalization
Maintenance is defined as the set of activities, technical, administrative, and managerial, performed during the life cycle of an item, workplace, work equipment, or
means of transport, to preserve the value of an asset. The value includes its reliability, availability, productivity and market value. Activities include planning,
coordination, financing, and operations. It involves multidisciplinary activities
involving people machines equipment spare parts and information. For these reasons, it is difficult to identify the exact number of workers involved in maintenance
activities. Data from France and Spain indicate that about 6 % of the working
population is involved in maintenance tasks. According to a survey conducted in
2005 in France, maintenance is the most subcontracted function in industry. In
Spain, maintenance workers are most often found in the services sector (70 % in
2004), followed by industry (19 %), and construction (10 %). In summary, maintenance is quite complex and globalization made it even more complicated, where
multinational companies are interacting to make and maintain a single machine.
Companies and governments spend a large portion of their budget in maintenance for reliable, safe, and cost effective operations and services. The consequence of an ill maintained plane or bridge is catastrophic. Ill maintained machine
in a manufacturing facility results in significant loss of profit. Inefficient shutdown
maintenance for a petrochemical plant costs millions of dollars of production loss
and a sudden breakdown of a desalination plant in a city endangers lives of the
population.
U. M. Al-Turki et al., Integrated Maintenance Planning in Manufacturing Systems,
SpringerBriefs in Manufacturing and Surface Engineering,
DOI: 10.1007/978-3-319-06290-7_1, The Author(s) 2014
1 Introduction
Traditionally, maintenance is studied in isolation of other functions within an

organization such as operations, marketing, etc., and in isolation of other supporting and service providing organizations. Various maintenance strategies were
developed over time such as preventive maintenance, condition based maintenance, reliability based maintenance and so forth. These strategies scored great
success in eliminating unexpected failures and unplanned unavailabilitys which
usually cause high costs of operations and restoration.
The importance of maintenance is evident in various sectors including construction, transportation, airline industry, power, and manufacturing. The later is
probably the most developed and matured maintenance application due to its
major role in modern economy and business. Modern manufacturing is becoming
more automated than ever with more flexible and reliable manufacturing technologies. As such, manufacturing assets, such as automated assembly lines, CNC
machines, automatic guided vehicles, robots, and laser based processes, are
becoming highly expensive to acquire and maintain. This rapidly changing manufacturing technology puts maintenance in great challenge for maintaining assets
in terms of its production availability, reliability, and safety in addition to its
financial value. Hence, the success of manufacturing organizations is becoming
more critically linked to maintenance.
The main purpose of maintenance is to ensure manufacturing asset (machine,
equipment or plant) availability and reliability. Availability refers to the readiness
of the equipment to operate and produce measured by the probability of being in
that status when needed. Reliability refers to its ability to function at any point of
time. This is done by carrying out various activities some of which are planned and
some are unplanned. As planned maintenance becomes dominant over other
unplanned activities, maintenance becomes more efficient and effective.
Typically, maintenance involves large number of workforce, spare parts, tools
and equipment, and financial resources. Planning for these resources to be ready at
the right time in the right quantity with the minimum cost while maintaining safe,
health and clean environment is a challenging task. This involves high level of
coordination between multiple stakeholders internal and external to the organization. Production, procurement, and quality functional areas are examples of
internal stakeholders while contractors, material and spare part suppliers, technology providers are examples of external stakeholders in addition to other
organizations within the supply chain.
Several books are available on the subject of maintenance planning and engineering. These books, in addition to introducing various maintenance policies and
implementation issues, address the traditional maintenance planning process in
relation with existing production plans. Most of these books explore the details of
the maintenance functions, from planning to implementation. However, there is a
need of a bird eye view of maintenance in relation to financial and environmental
business objectives and integrated business and operational planning. This need
has attracted the attention of researchers and practitioners and effort is put into
developing techniques and methods that considers a holistic view of maintenance.
1 Introduction
This book is intended to close that gap in maintenance book publishing with
recent advances in integrated planning and scheduling, in addition to modern
maintenance strategies, health, safety and environment issues in maintenance. The
context and focus is on manufacturing sector. Its not intended to go into details of
traditional issues and strategies as much as focusing on recent advances and
concerns of the manufacturing and production center. However, traditional topics
will be introduced as a base for issues in focus.
The aim/scope of the book is to introduce the concept of integrated planning for
maintenance and production taken into account quality, health and safety, and
environment for high global socio-economic impact. The book will provide insight
into the planning process at a global level starting from the business level and
ending with the operational level where the plan is implemented and controlled.
The result would be a maintenance plan integrated with a production plan that
maintains quality and accompanied by a safety system and code of ethics. Usually
these issues are dealt with in an independent manner that might result in semi
optimum results at the implementation stage.
This integrative planning is gaining momentum in the research arena as well as
in practice. Increasing number of practicing engineers realized the opportunity loss
resulting from disjoint planning as well as the increasing conflicts between different departments within the same organization. Researchers noted the problem
and addressed it in their research and consulting services. This book gives a
framework for planning production and maintenance taken into consideration
quality, safety and ethical issues. Putting these accumulated experience and efforts
together in a book would set the stage for further improvements and realize the full
benefit of that knowledge.
This book addresses those who are involved in production and maintenance
planning in all types of manufacturing systems. It addresses engineers and managers from industry, researchers, graduate students, and faculty from academic
institutions. It is more focused on recent development than traditional practices
and it focuses on macro level integrated approach of planning than micro level
planning and optimization.
In Chap. 2, types of manufacturing systems are briefly discussed in relation to
maintenance. Continuous type of production where plants run for long periods of
time, as it is in process industries producing chemical and petrochemical products,
needs special type of maintenance policies that take into account the high cost of
interruption. In this case plant shutdowns have to be carefully planned for the
highest possible efficient and effective implementation. Other types of discrete
manufacturing differ in their maintenance strategies depending on the type of
technology and production structure. More detailed background about manufacturing environment and manufacturing features that influences maintenance
methods is introduced in Chap. 2.
In the heart of the book is the topic of integrated maintenance planning as an
approach that links business level planning with maintenance planning. Such
planning approach smoothen operations and aligns planning at all levels for a clear
objective. It also brings down the effects of cross functional conflicts to the lowest
1 Introduction
level. Integrated planning is recognized lately as a major factor in eliminating

waste and reducing costs at the maintenance level as well as organizational level.
Chap. 3 of this book explores integrated maintenance planning concept and its
development process. It also focuses on performance measurement system as a
major part for continuous improvement at all level. The performance measurement
system is the most critical tool that links and integrates all levels of maintenance
with higher levels in organization management as well other functional area.
Health and safety issues when viewed as integral part of the maintenance
system becomes more critical and more successful than viewing it as an isolated
component with its own objectives and targets. A view of health and safety as an
integral part of the maintenance system planning is presented and discussed in
Chap. 4. Sustainability concept is gaining global attention and it is dealt with
seriously at global level by enforcing policies and legislations. This issue is discussed in this chapter from the maintenance perspective.
Ethics, as part of all professional bodies, is discussed in Chap. 5. Ethical values
and codes of ethics is part of the integrated maintenance system that needs to be
disseminated among maintenance professional at the management, engineering
and craftsmen levels. The book is concluded with future trends in maintenance
management in Chap. 6.
Chapter 2
Maintenance in Manufacturing
Environment: An Overview
Abstract Maintenance is one of the major activities in manufacturing as it highly

influences production quality and quantity and directly affects production cost and
customer satisfaction. As new manufacturing technologies emerge and global
communication advances, new maintenance practices are developed to cope with
these changes. The role of maintenance in maintaining asset value over time is
getting more visible at the business level with the increase in its acquisition and
maintenance costs. In this chapter, various manufacturing systems are introduced
along with their distinctive features that influence maintenance strategies and
practices. Maintenances management concepts, philosophies, policies, and practices in manufacturing are briefly described and discussed in this chapter.
Keyword Maintenance concepts
Strategies Manufacturing systems
Maintenance in its narrow meaning includes all activities related to maintaining a

certain level of availability and reliability of the system and its components and its
ability to perform at a standard level of quality. It includes activities related to
maintaining spare part inventory, human resources and risk management. In a
broader sense, it includes all decisions at all levels of the organization related to
acquiring and maintaining high level of availability and reliability of its assets.
Maintenance is becoming a critical functional area in most types of organizations
and systems such as construction, manufacturing, transportation, etc. It is
becoming a major functional area that effects and affected by many other functional areas in all types of organizations such as production, quality, inventory,
marketing and human resources. It is also getting to be considered as an essential
part of the business supply chain at a global level.
Maintenance plays a major role in the success of organizations in various
sectors. However, maintenance in the manufacturing sector attracted special
attention puts maintenance in manufacturing in a leading position of development
in maintenance. This attention is mainly due to the special features of the manufacturing sector. In this chapter, types of manufacturing systems are classified and
DOI: 10.1007/978-3-319-06290-7_2, The Author(s) 2014
manufacturing
systems
Continuous
Intermittent
production
production
Mass and flow

production
Process
production
Batch
production
Flexible
manufacturing
Jobbing
production
Project
production
Fig. 2.1 Types of manufacturing systems
its different types are introduced. Features that distinct manufacturing from other
sectors are discussed along with their influence on maintenance strategies. Finally,
maintenance concepts and strategies are briefly introduced.
2.1 Types of Manufacturing Systems

The oldest type of manufacturing system is the custom manufacturing where a
person or a machine makes a certain product tailored to a specific need. A shoemaker is an example of this system. Modern manufacturing have intermittent,
continuous or flexible production systems as shown in Fig. 2.1.
Intermittent production is where more than one of the same product is being
made in a short amount of time. There are structures of intermittent systems
including batch production, jobbing production, project production.
In Batch production a group of similar products (batch) are produced stage by
stage over a series of workstations. Batch production has a relative low initial set
up cost for single production line used to produce several products. This feature
makes attractive for small businesses who cannot afford to run continuous production lines. In addition, batch production reduces the risk of unpredictable and
seasonal demands. Inefficiencies associated with batch production is the main
drawback of batch production as equipment must be stopped between batches for a
while (idle time) to re-configured and tested.
Jobbing production is where firms produce items that meet the definite
requirements of the client as a one-off. These items are designed differently, and
are tailored to the needs of each individual client. They include tailoring,
plumbing, film production and new transport systems installation.
In Project production a complex sets of interrelated activities (project) are
performed within a given period of time and estimated budget to make a product
characterized by its immobility during production. Examples of such products are;
2.1 Types of Manufacturing Systems
ships, locomotive, aircrafts buildings and bridges. The product is located in a fixed
position where production resources are moved to it. Network planning techniques, such as PERT and CPM, are usually utilized for scheduling and controlling
the implementation of the project.
The most flexible and responsive to changes manufacturing system is the
flexible manufacturing system (FMS). It absorbs sudden large scale changes in
production volume, capacity and capability. FMS produces a product just like
intermittent manufacturing and is continuous like continuous manufacturing.
Flexibility is coming from either the ability to produce new products (machine
flexibility) or from the ability to use multiple machines to perform the same
operation (routing flexibility). Usually, FMS consist of highly automated CNC
machines connected by sophisticated material handling system and a central
computer that controls material movements and machine flow. The main advantage of FMS is its high flexibility in managing manufacturing resources. The
resulting gains are numerous including:
Reduced manufacturing cost,

Greater labor productivity,
Greater machine efficiency,
Improved quality,
Increased system reliability,
Shorter lead times.
However, FMS implementation requires a large initial capital and substantial preplanning. It also requires high skilled labor.
Continuous manufacturing is the type of manufacturing system that uses an
assembly line or a continuous process to manufacture products. It is used for
products that are made in a similar manner. In this type of manufacturing system
the product moves and processed along the production line. Continuous processing
is a method used to manufacture or process materials that are either dry bulk or
fluid continuously through a certain chemical reaction or mechanical or heat
treatment. Continuous usually means several months or sometimes weeks without
interruption. Some common continuous processes are; Oil refining, Chemical and
petrochemicals plants, sugar mills, blast furnace, power stations, and saline water
desalination and cement plants. Continuous processes use process control to
automate and control operational variables such as flow rates, tank levels, pressures, temperatures and machine speeds.
Different maintenance approaches are usually adopted for different types of
manufacturing systems. Shut down maintenance is commonly used for major
overhauls in continuous manufacturing systems. Shutting down and starting up
continuous processes typically results in waste or degraded products and it usually
takes several hours for production to resume in full capacity. Strict procedure should
be followed for shutting down and starting up continuous manufacturing processes
to protect personnel and equipment. In contrast, discrete or semi-continuous manufacturing processes can be easily shut down and restarted and can be operated for
one or two shifts if necessary. Flexible manufacturing systems give higher flexibility
for planned and unplanned maintenance activities compared to other types of
manufacturing systems.
2.2 Maintenance in Manufacturing

Maintenance in the manufacturing environment is one of the most complicated
types of maintenance in comparison to construction, transportation and service
business. Manufacturing is becoming highly competitive with extremely high
pressure in reducing cost and increasing value of assets and improving the quality
of outcomes (products). Manufacturing systems has grown over the years to be
parts of global networks and supply chains. All of these changes in the manufacturing business have put maintenance in a great pressure on developing more
effective and efficient operations.
Other special feature of manufacturing environment that makes it distinct from
other environment is its complicated interrelation with large number of stakeholders, internal and external. The management structure in manufacturing environment is usually highly structured with many several decision layers and many
parallel functional areas. Marketing, purchasing, production, engineering, and
maintenance are common functional areas that usually share the benefit of the
manufacturing facilities in different objectives that in many cases are conflicting
with each other and hence proper synchronization is essential for the success of the
global manufacturing business. External beneficiaries (stakeholders) include contractors, technology and spare part providers, customers, and upstream and
downstream customers in the supply chain. Coordination and may be integration is
essential for globally competitive business environment. Manufacturing facilities
are in the heart of all of this complicated interrelation which makes maintenance a
critical role player in this environment.
Maintenance in manufacturing deals with highly technical equipment that needs
special types of expertise with limited choices of technology providers. As such
maintenance in manufacturing requires highly sophisticated level of planning and
operations more than any other business environment. Developing internal expertise in these technologies is becoming more and more expensive and choice for
outsourcing is limited. Various maintenance strategies are adopted regarding inhouse versus outsourcing for higher asset value, and more productivity operations.
Manufacturing facilities usually have long term physical interaction with limited
number of people that are usually well trained to handle major production equipment. However, those people are exposed to health and safety hazards resulting
from ill maintained facilities and equipment. As such maintenance plays a major
role in keeping healthy environment locally within the facility, and the global
environment. Waste resulting from manufacturing processes can be reduced
and controlled through proper maintenance and asset management practices. Health
and safety of people within the manufacturing facility can be well improved and
2.2 Maintenance in Manufacturing
Labor
Material
Enterprise System
Production System
Output
Spares
Availability
Tools
Maintenance
Maintainability
Information
Money
Safety
External
Services
Profits
Fig. 2.2 Input output model of the enterprise
sustained through well planned and managed maintenance. The issue of health and
environment in manufacturing is highly critical compared to other businesses as it is
considered to be one of the main sources of environmental hazards in the current
industrial arena. This needs clear and global understanding of maintenance as a part
of a large system that works together for the benefit of the whole organization. One
such view is introduced by Visser [1] as shown in Fig. 2.2.
Maintenance is in the heart of the production system that is part of a global
enterprise. The success of the enterprise is highly dependent on the output of the
production system in terms of quantity, quality, and safety. Such output cannot be
obtained without a highly effective and efficient maintenance system that maintains high rate of manufacturing equipment availability with long term maintainability that keeps high level of asset value. Such maintenance system is
composed of plans and operations that guarantees material, spares, tools, human
and financial resources availability in the right time with the right quality and
quantity. External resources and outsourcing some activities are some strategies
that may be utilized as needed in the right way.
2.3 Maintenance Management

The main decisive factor for maximizing manufacturing asset value in terms
productivity, reliability, cost, etc. is maintenance management, the body of the
organization that is in charge of planning, implementing, controlling, and
improving maintenance activities. Maintenance management is often considered
as a centralized functional unit within the overall organizational structure in
10
Fig. 2.3 Hybrid

maintenance organizational
structure
Operations
Central
maintenance unit
Production
Unit
Maintenance
Sub-Unit1
Production
Sub-Unit 1
Maintenance
Sub-Unit 2
Production
Sub-Unit 2
Maintenance
Sub-Unit 3
Production
Sub-Unit 3
parallel with other functional units such as, production, Decentralized maintenance
units is another common structure adopted by large organizations with multiple
production units. The decision of adopting centralized or decentralized management structure is usually mad at the high management level taking into consideration, the size of the organization, the complexity of its operations, and the
organization culture. Each structure has its advantages and disadvantages.
Advantage of centralized over decentralized are: Centralized structure is more
efficient in utilization of specialized human resources and equipment. Decentralized structure provides higher accessibility and responsiveness and more quality
results. Small and medium size organizations prefer centralized structure because
of cost and limited amount of work. Large size organizations vary between the two
choices. A third common option is a hybrid structure that keeps maintenance units
(group) at each production unit linked to a central maintenance unit as shown in
the Fig. 2.3. This structure preserves close access and high level of specialization
and interaction with production while utilizes collective expertise and support in
the central unit with less cost.
Maintenance management involves planning, organizing, and controlling
responsibilities. Maintenance planning is done at three levels, strategic, tactic and
operations. The maintenance strategic planning level is to establish the alignment
with higher business level plans. The details of this level of planning are covered
in Chap. 3. Tactical and operational plans include the following elements:
1.
2.
3.
4.
Maintenance
Maintenance
Maintenance
Maintenance
philosophy
load forecasting
capacity
scheduling.
Maintenance philosophy is the step of designing on the general maintenance

concept selected from known best practices as the maintenance philosophy for
2.3 Maintenance Management
11
the organization. Total productive maintenance and reliability based maintenance concepts are two widely spread concepts that are discussed in Sect. 2.3.
The selected concept is supported with right combinations of maintenance
strategies such as preventive maintenance, condition based maintenance, and
shutdown maintenance. Brief discussion on these strategies is introduced in
Sect. 2.4.
Maintenance forecasting is a major part of planning concerned with estimating
the current and future amount of maintenance work and type needed. Maintenance
load forecasting is a complex task that involves a lot of uncertainties and influenced by many factors such as the age of the equipment, the rate of use, usage
climate, and skills of workers.
Capacity planning is the translation of the maintenance load into resource
needed to meet the forecasted load. Resources include, number and skills of
craftsmen, maintenance tools, labor, material, spare parts, etc.
Maintenance scheduling is the process of assigning resources for tasks to be
accomplished at a certain time in a certain frequency. Scheduling of tasks should
take into account production schedules, optimization of resources and reducing
costs. Scheduling is discussed in Chap. 3 in detail.
The organizing responsibility of maintenance management includes:
1. Job design
2. Time standards
3. Project management.
Job design involves defining for each major maintenance job, the work content, the
method of maintenance the required skills and the needed tools.
Time standards are determined for major components of major maintenance
jobs following the scientific approach. This helps in controlling maintenance tasks
and efficient utilization of resources. It is also useful for planning and scheduling
maintenance activities and forecasting workload.
Project management is used for optimizing and controlling major complex time
consuming maintenance operations, such as shutdown maintenance projects for
large plants. Critical Path Method (CPM) and Program Evaluation and Review
(PERT) are common project management tools.
Controlling activities of maintenance management include the following:
1.
2.
3.
4.
Work Control
Inventory Control
Cost Control
Quality Control.
Work control is done using work order system in an integrated data base system
for controlling reporting and analyzing. Intelligent maintenance systems are
developed and integrated with ERP systems are commonly used and proven to be
efficient and effective.
Inventory control is an important element of maintenance management that
ensures the availability of spare parts and tools in the right quantity at the right
12
time. Ordering and re-ordering quantities taking into consideration costs and lead
times are built into automated information systems to assist management in this
task by raising red flags at reorder points.
Cost control involves tracing all cost components of maintenance activities that
include direct maintenance costs, lost production, equipment degradation, backups, and over maintenance costs.
Quality control of maintenance work involves assuring that the maintenance
work is following standards and producing the expected results. Control is done by
the supervision and testing final outcomes following a predetermined control
procedure.
2.4 Maintenance Concepts and Strategies

Several maintenance concepts were developed in different parts of the world that
are usually based on cultural and philosophical backgrounds. These trends
encompass other strategies and technologies of maintenance. Some of these concepts are briefly introduced below:
2.4.1 Total Productive Maintenance

Total Productive Maintenance (TPM) is developed from the preventive maintenance methodology introduced from the USA and further developed and implemented in many Japanese companies since 1971. It is then spread throughout the
world.
TPM is defined as a system of maintaining and improving the integrity of
production and quality systems through the machines, equipment, processes and
employees that add business value to the organization [2]. Total Productive
Maintenance (TPM) is a proactive and cost-effective approach to maximize
equipment effectiveness using the principles of teamwork, empowerment, zero
breakdowns and zero defects.
TPM is designed to maximize equipment effectiveness (improving overall
efficiency) by establishing a comprehensive productive-maintenance system covering the entire life of the equipment, spanning all equipment related fields
(planning, use, maintenance, etc.) and, with the participation of all employees from
top management down to shop-floor workers, to promote productive maintenance
through motivation management or voluntary small-group activities. TPM provides
a comprehensive company-wide approach to maintenance management, which can
be divided into long-term and short-term elements. In the long-term, efforts focus
on new equipment design and elimination of sources of lost equipment time and
typically require the involvement of many areas of the organization. In this chapter,
we focus on the short-term maintenance efforts that are normally found at the plant
13
level of the organization. In the short-term, TPM activities include an autonomous

maintenance program for the production department and a planned maintenance
program for the maintenance department.
TPM improves many aspects such as operational performance, safety, cleanliness, employee morale and customer satisfaction to achieve excellence in business performance [3]. Some of the key objectives of TPM are:
Focus and improve people management to minimize the targeted losses.
Develop the policy, strategy and early management activities to ensure easy
maintenance of the equipment.
Develop the autonomous maintenance system to empower the production
operators to take care of the conditions and effectiveness of the equipment.
Develop a planned maintenance of the machine and equipment.
Provide training and education to the operators and maintenance personnel to
upgrade their equipment-related knowledge and skills.
Establish safety practices and also prevent adverse environmental effects.
Reduce the wastage of organizational resources.
Research show strong positive impact of TPM on multiple dimensions of maintenance performance [4]. In addition to controlling costs, TPM can improve
dimensions of cost, quality, and delivery and it can be a strong contributor to the
strength of the organization.
There are seven major elements of TPM as follows [5]:
1.
2.
3.
4.
5.
6.
7.
housekeeping on the production line,

cross-training of operators to perform maintenance tasks,
teams of production and maintenance personnel,
operator involvement in the maintenance delivery system,
disciplined planning of maintenance tasks,
information tracking of equipment and process condition and plans,
Schedule compliance to the maintenance plan.
The main barriers to implementing TPM are lack of top management commitment,
lack of middle management support and employee resistance to change. Changing
the environment to suit TPM is a challenging task in the public sector undertakings, where apart from normal business constraints, managers deal with stiffer
government control, large and unwieldy operations, wary unions and bleeding
bottom lines.
2.4.2 Reliability Centered Maintenance

Reliability Centered Maintenance (RCM) was initiated by the commercial aviation
industry and then adopted by the U.S. military in the 1970s and then by the U.S.
commercial nuclear power industry (in the 1980s) followed by other commercial
14
industries and fields in the early 1990s. The following brief introduction is
adopted from http://www.ebme.co.uk/articles/management/327-reliability-centredmaintenance-rcm in addition to other recent sources from the literature.
RCM is defined by the technical standard SAE JA1011, as an engineering
framework that enables the definition of a complete maintenance regime. It regards
maintenance as the means to maintain the functions a user may require of
machinery in a defined operating context. It is an industrial improvement
approach focused on identifying and establishing the operational, maintenance,
and capital improvement policies that will manage the risks of equipment failure
most effectively. Within the manufacturing context, RCM is a systematic approach
for understanding the function of the manufacturing system and the failure modes
of its components, and choosing the optimum course of action that would prevent
the failure modes from occurring or to detect them before occurring.
The primary principles upon which RCM is based are the following:
Function oriented. It seeks to preserve system or equipment function.
Device group focused. It is concerned with maintaining the overall functionality
of a group of devices rather than an individual device.
Reliability centred. It uses failure statistics in an actuarial manner to look at the
relationship between operating age and the failures. RCM is not overly concerned
with simple failure rate; it seeks to know the probability of failure at specific ages.
Acknowledges design limitations. Its objective is to maintain the inherent
reliability of the equipment design, recognizing that changes in reliability are
the province of design rather than maintenance. Maintenance can only achieve
and maintain the level provided for by design.
Driven by safety and economics. Safety must be ensured at any cost; thereafter,
cost-effectiveness becomes the criterion.
Defines failure as any unsatisfactory condition. Therefore, failure may be either a loss
of function (operation ceases) or a loss of acceptable quality (operation continues).
Uses a logic tree to screen maintenance tasks. This provides a consistent
approach to the maintenance of all kinds of equipment.
Tasks must be applicable. The tasks must address the failure mode and consider
the failure mode characteristics.
Tasks must be effective. The tasks must reduce the probability of failure and be
cost effective.
Acknowledges two types of Maintenance tasks and Run-to-failure. The tasks are
Interval (Time- or Cycle-)-Based and Condition-Based. In RCM, Run-to-Failure
is a conscious decision and is acceptable for some equipment.
A living system. It gathers data from the results achieved and feeds this data
back to improve future maintenance. This feedback is an important part of the
Proactive Maintenance element of the RCM program.
RCM develops maintenance standards for ensuring that a system or device meets
its designed reliability or availability, even in the procurement and installation
phases.
15
RCM analysis determines the type of maintenance appropriate for a given

equipment item. It results in a decision of whether a particular piece of equipment
should be reactively maintained (Accept Risk and Install Redundant Units),
predicatively maintained (Define PM Task and Schedule) or predicatively
maintained (Define Predictive Testing and Inspection Task and Schedule).
Successful implementation of RCM results the following benefits:
1. Increased reliability leading to fewer equipment failures and, therefore, greater
availability for patients and lower maintenance costs.
2. Reduction in total of total maintenance cost as failures are prevented and
preventive maintenance tasks are replaced by condition monitoring.
3. Increasing Efficiency and Productivity as a result of the RCM approach to
maintenance that ensures that the proper type of maintenance is performed on
equipment as needed.
4. Reducing lifecycle costs including acquisition phase and operation phase since
decisions made early in the acquisition cycle profoundly affect the life-cycle
cost. Savings of 3050 % in the annual operations and maintenance costs are
often obtained overtime through the implementation of a balanced RCM
program.
5. Improving maintenance sustainability as RCM planning involves decisions
made at all phases of equipment life cycle.
2.4.3 Maintenance Strategies

Maintenance can be performed in two major types: corrective or preventive as
shown in Fig. 2.4. Corrective maintenance, similar to repair work, is undertaken
after a breakdown when obvious failure has been located. Preventive maintenance (PM) is intended to reduce the probability of failure or degradation of
functioning of an item and is carried out at predetermined intervals, predetermined PM, or according to a prescribed condition, Condition Based Maintenance
(CBM).
Predetermined maintenance is scheduled based on the number of hours in use,
the number of times an item has been used, according to prescribed dates, etc. The
question remains which equipment should be preemptively maintained and at what
times? Condition based maintenance, on the contrary, does not use predetermined
intervals and schedules. It monitors the condition of components and systems
(diagnostic) in order to determine a dynamic preventive schedule. It can also use
forecasted condition of the machine (prognostic) for that purpose. A comparison of
different maintenance approaches is shown in Table 2.1. In practice, combination
of these approaches is used for different components within the same manufacturing environment.
16
Maintenance
Corrective
Maintenance
Differed
Immediate
Preventive
Maintenance
Condition
based
Predetrmined
Scheduled,
continuous or
on request
Scheduled
Fig. 2.4 Types of maintenance (extracted from Niu, G., et al.)
A brief description of each maintenance strategy is introduced next.

1. Corrective maintenance (also called reactive, breakdown, or operate to failure
maintenance) may be defined as the remedial action carried out due to failure,
or deficiencies discovered during preventive maintenance, to repair an equipment/item to its operational state. The action can be repairing, salvaging,
rebuilding or overhauling. Usually, corrective maintenance is an unscheduled
maintenance action, basically composed of unpredictable maintenance needs
that cannot be preplanned on the basis of occurrence at a particular time. The
action requires urgent attention that must be added, integrated with, or
substituted for previously scheduled work items. However, corrective maintenance should be utilized only in non-critical areas where capital costs are small,
consequences of failure are slight or does not affect the comprehensive system
function, no safety risks are immediate, and quick failure identification and
rapid failure repair are possible. In such cases, the maintenance can be deferred
until a suitable time.
2. Scheduled Preventive Maintenance (PM) is a scheduled or fixed time maintenance service to detect and prevent potential failures and extend the life of
equipment. It includes activities such as cleaning, lubricating, adjustment, and
replacement of minor parts. It is used for reducing unexpected failure of critical
17
Table 2.1 Maintenance strategies (extracted from Niu et al.)

Corrective
Preventive
Run-to-fail
Predetermined
Maintenance approaches
Fix when it
Scheduled maintenance
breaks
No scheduled
maintenance
Predictive
Condition based
maintenance
diagnostics
Maintenance based on a fixed Maintenance
time schedule
based on
current
condition
Intolerable failure effect and
Maintenance
possibility of preventing
scheduled
the failure effect
based on
evidence of
needs
Based on the useful life of the Continuous
component forecasted
collection of
during design and updated
condition
through experience
monitoring
data
Failure mechanism is time
Gradual
based, age or usage
degradation
from the onset
of failure
Condition based
maintenance
prognostics
Maintenance based on
forecasting of
remaining equipment
life
Maintenance need is
projected as probable
within mission time
Forecasting of remaining
equipment life based
on actual stress
loading
Gradual degradation
from the onset of
failure
equipment and to promote better safety, health and working environment

conditions for the workforce. It helps in increasing the life span of assets and
eliminates unnecessary replacements. However, PM should be planned and
performed in a highly delicate manner to avoid damage of the equipment or
nearby equipment during inspection, repair, adjustment, or installing or reinstalling of parts.
Timing of PM should also be optimized to reduce risks of failure during or after
PM and to minimize total costs of PM while maximizing total benefits. Computer
and mathematical models are developed for that purpose. In general, the frequency
of PM is determined by the type of equipment, its age, its condition, and the
consequences of failure. Optimization models exist for various preventive maintenance policies including replacement and inspection.
Consider an example of a replacement policy where a component is replaced
after operating for a time t. During this time, minor repairs are performed in case
of unexpected component failures. The replacement preventive maintenance
brings back the system to as good as new condition, while minimum repair does
not change the failure rate of the system. The objective in this case is to find the
optimum replacement time t* (period) that minimizes the total cost of replacement
18
and minimum repairs. Considering t as the cycle time of replacement, we may

consider minimizing the expect cost per unit time UEC(t) as follows:
UECt
Total expected cost

expected cycle time
Assuming random component failures of failure rate r(t), the expected number of
failures E[N(t)] during time period (0, t) is given by Barlow and Hunter [6] as
follows:
EN t H t
Zt
r tdt;
This makes the expected unit time cost modeled as follows:

UECt
Cp Cf Ht
;
t
where, Cp is the total cost of replacement and Cf, the cost of each minimum repair.
Now solving the equation with respect to t gives the optimum time for replacement
t* that gives the minimum cost per unit time.
Other models for more complicated situations can be found in the literature of
PM optimization.
3. Condition based maintenance (CBM) was introduced to try to maintain the
correct equipment at the right time. CBM is based on using real-time data to
prioritize and optimize maintenance resources. Observing the state of the
system is known as condition monitoring. Such a system will determine the
equipments health, and act only when maintenance is actually necessary.
Developments in recent years have allowed extensive instrumentation of
equipment, and together with better tools for analyzing condition data, the
maintenance personnel of today are more than ever able to decide the right time
to perform maintenance on some piece of equipment. Ideally condition-based
maintenance will allow the maintenance personnel to do only the right things,
minimizing spare parts cost, system downtime and time spent on maintenance.
http://en.wikipedia.org/wiki/Condition-based_maintenance.
The most common condition monitoring techniques are vibration analysis, oil
analysis, thermography, ultrasonics, electrical effects monitoring and penetrants.
Vibration analysis techniques are used to monitor the performance of mechanical
equipment that rotates, reciprocates, or other dynamic actions. Examples include
gearboxes, roller bearings, motor, fans, generators and reciprocating engine. Oil
analysis looks at its chemical composition and its content of foreign material. Iron
based wear particles in lubrication oils determines the specific component that is
wearing and the type and extent of wear. Changes in lubricant properties, including
viscosity, flash point, pH, water content, etc. reflect the condition of the equipment.
19
Thermography measures surface temperature variations using infrared camera to

determine poor electrical connections and hot spots furnace and kiln refractory
wear and critical boilers and turbine component overheating. Ultrasonics are used
to detect cracks, gaps, build ups, erosion, and corrosion in welds, coatings, piping,
tubes, structures, shafts, etc. Electrical effect monitoring is used for corrosion
detection. Electrostic and liquid-dye penetrants are used to detect cracks and
discontinuities on surfaces.
In reality, reliable and effective CBM faces some challenges. First, initiating
CBM is costly. Often the cost of instrumentation can be quite large, especially if
the goal is to monitor equipment that is already installed. Second, it is not always
easy to implement CBM due to variables such as complexity of the environment,
the inner structure of equipment, obscure failure mechanisms, etc.
The advantages of CBM over predetermined preventive maintenance:
Improved system reliability
Decreased maintenance costs
Decreased number of maintenance operations causes a reduction of human
error influences.
Its disadvantages are:
High installation costs, for minor equipment items often more than the value
of the equipment
Unpredictable maintenance periods cause costs to be divided unequally
Increased number of parts (the CBM installation itself) that need maintenance and checking.
Today, due to its costs, CBM is not used for less important parts of machinery
despite obvious advantages. However it can be found everywhere where
increased reliability and safety is required, and in future will be applied even
more widely.
4. Shutdown maintenance is a planned stoppage of production for conducting a
comprehensive maintenance of equipment or plant with the purpose of restoring
the processes to its original state. Shutdown is a common practice in continuous
type of production systems and it is given different names in different industries
such as, shutdown, shut-in, down-turn, turnaround, or outage. During the
shutdown period a large complement of work is scheduled into a relatively
short period of time. The period might extend to several weeks causing a large
amount of planned production loss. Scheduled shutdowns, however, can provide unique opportunities to a maintenance department not normally available
during standard operation or even during short shutdown periods. Lost capacity
can be restored to an overtaxed facility during an extended shutdown. Major
equipment overhauls can be performed to help prevent future unscheduled
shutdowns. Long term preparation for the shutdown maintenance involves
external contractors, technology providers, and customers.
20
Typically oil refineries go through shut down maintenance every 4 years for
42 days with around 300,000 man-hours with around 80 % success rate [7]. Power
plant shutdown maintenance projects are larger in duration and man power
requirement, while shutdowns in petrochemical industries are more frequent but
smaller in terms of duration and man-hour requirement.
Shutdown maintenance is usually divided into four phases [8]:
a. Initiation: In this phase detailed planning of all aspects of the project is done.
This includes, work scope, pre shut down work, procurement of material,
quality and safety programs, project organization, cite logistics, etc.
b. Preparation: This phase includes the task of defining the work scope in the
form of a list of tasks and activities that need to be done during shutdown
maintenance. The success of this type of maintenance depends on the clarity
of the work scope. In many cases the work scope is usually loosely defined
drawn from past experience, inspection reports, and historical estimates.
This scope fluctuation causes work force staffing changes during the TAM
execution. Several methodologies are reported in the literature for developing clear and concise work scope. Another task in this phase is preparation
of the job packages, selection of contractors, defining safety procedure, etc.
in addition to the budget.
c. Execution is the phase concerned with conducting the work and monitoring
its progress in accordance with time, cost and quality.
d. Termination is the phase of closing the project, assessing performance and
documenting lessons learned.
5. Other maintenance types or activities are done within the above major maintenance strategies include the following:
Opportunity maintenance is an activity conducted when an opportunity arises
while performing another major maintenance job. An example of an
opportunity is a shutdown maintenance period utilized to carry out known
maintenance tasks.
Overhaul is a comprehensive examination and restoration of a piece of
equipment to an acceptable condition
Fault finding is the task of assessing the level of failure onset.
Design modification is carried out in coordination with the engineering
department or technology provider to improve the operational performance
of equipment through design changes. Maintenance exposes the equipment to
design faults and improvement opportunities that when carried out improves
the overall performance of the system.
Replacement of equipment instead of fixing it upon failure or replacing the
equipment following a predetermined plan regardless of its condition at the
time.
2.5 E-Maintenance
21
2.5 E-Maintenance
E-maintenance is wide spread in the industry since the early 2000, referring to the
integration of information and communication technologies with the maintenance
strategy following the success of e-business and the e-manufacturing in business and
production. Muller et al. [9] define e-maintenance as Maintenance support which
includes the resources, services and management necessary to enable proactive
decision process execution. This support includes e-technologies (i.e. ICT, Webbased, tether-free, wireless, infotronics, technologies), e-maintenance activities
(operations or processes) such e-monitoring, e-diagnosis, e-prognosis, etc.
The emergence of e-maintenance contributed to increase maintenance efficiency, responsiveness, and proactivness and to optimize maintenance related
work flow. It also integrated maintenance with the other functions of the eenterprise. E-maintenance increases accessibility of multi origin data of different
types and facilitates remote analysis, prognostics and decision making.
Muller et al. [9] identified three categories of capabilities or advantages of emaintenance:
1. Maintenance type and strategies:
E-maintenance provides users, operator, manager, or expert, with remote
accessibility to factorys equipment condition allowing them to take remote
actions such as monitoring, diagnosing, de-bugging, fixing, controlling, etc.
This capability allows remote decision making and expert consultation
without physical attachment to the plant.
E-maintenance provides the opportunity of connecting geographically dispersed subsystems and stakeholders which allows cooperative/collaborative
maintenance. This capability contributes to accelerating maintenance processes and simplifies it design (lean process).
E-maintenance allows immediate intervention by operator in response to
programmable alerts and seeks on-line expertise for optimum solution to the
situation.
2. Maintenance support and tools.
E-maintenance utilizes new development in sensor technology, ICT, signal
processing and other similar technologies, in better understanding of causes
of failure and system disturbances for improved engineering designs and
production techniques.
E-maintenance provides a transparent and automated information exchange
platform with different stakeholders.
E-maintenance enables high quality of after-sales service in terms of
response time and quality consultation and interventions.
3. Maintenance activities
E-maintenance provides experts with the opportunity of on-line fault diagnosis and share their share their expertise with each other.
22
With e-maintenance provides remote operators rapid interaction with experts

and source designers for repairing and trouble shooting. This results a
reducing down times.
The multisource knowledge and data environment allows efficient knowledge
capitalization and management.
2.6 Intelligent Prognostics

Prognosticsis an engineering discipline focused on predicting the health of a system
or a component and hence its remaining useful life. The predicted health is used for
deciding on action to be taken for retaining its original state or contingency mitigation. The science of prognostics is based on the analysis of failure modes,
detection of early signs of wear and aging, and fault conditions. These signs are then
correlated with a damage propagation model. Prognostics issued in different
applications such as maintenance management and transportation. In manufacturing maintenance is used in combination of condition-based maintenance.
Intelligent Prognostics is a natural evolution of predictive maintenance utilizing
remote networking technologies combined with big data modeling with sophisticated imbedded systems. Lee et al. [10] define intelligent prognostics as a systematic approach that can continuously track health degradation and extrapolating
temporal behavior of health indicators to predict risks of unacceptable behavior
over time as well as pin pointing exactly which components of a machine are
likely to fail.
Technical approaches to building models in prognostics can be categorized
broadly into data-driven approaches, model-based approaches, and hybrid
approaches. Model base prognostics may include data collected from model-based
simulations under normal and degraded conditions. Models are built based on
different random load conditions or modes. In the absence of valid, reliable and
accurate system models, the trajectory of a developing fault is monitored and the
time to reach a predetermined state of intervention is predicted. This is the datadriven prognostic approach. The hybrid approach utilizes both data driven and
model based approaches to generate more accurate and reliable results. For more
details, see [10].
Maintenance will continue to utilize more tools of Prognostics and integrating it
with other intelligent and communication technology. The trend of developing more
generic predictive and intelligent maintenance systems for different industrial
applications will continue. Intelligent prognostics is the base of the e-maintenance
concept that links maintenance with the rest of the production system.
References
23
References
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of the IMA conference, Edinburgh, pp 113
2. Prabhuswamy MS, Nagesh P, Ravikumar KP (2013) Statistical analysis and reliability
estimation of total productive maintenance. IUP J Oper Manage 12(1):720
3. Miyake DI, Enkawa T (1999) Matching the promotion of total quality control and total
productive maintenance: an emerging pattern for the nurturing of well-balanced
manufacturers. Total Qual Manage 10(2):243269
4. McKone KE, Schroeder RG, Cua KO (2001) The impact of total productive maintenance
practices on manufacturing performance. J Oper Manage 19(1):3958
5. McKone KE, Schroeder RG, Cua KO (1999) Total productive maintenance: a contextual
view. J Oper Manage 17(2):123144
6. Barlow RE, Hunter LC (1960) Optimum preventive maintenance policies. Oper Res
8:90100
7. Obiajunwa C, Syngenta (2012) A best practice approach to manage work scope in shutdowns,
turnarounds and outages. AMMJ Asset Manage Maintenance J 1:17
8. Duffuaa S, Ben-Daya M (2009) Turnaround maintenance. In: Ben-Daya M, Duffuaa SO,
Raouf A, Knezevic J, Ait-Kadi D (eds) Handbook of maintenance management and
engineering, pp 223235. Springer, London
9. Muller A, Marquez AC, Iung B (2008) On the concept of e-maintenance: review and current
research. Reliab Eng Syst Saf 93:1116511187
10. Lee J, Ni J, Djurdjanovic D, Qiu H, Liao H (2006) Intelligent prognostics tools and
e-maintenance. Comput Ind 57:476489
Chapter 3
Integrated Maintenance Planning
Abstract Maintenance planning and scheduling require utilization of resources at

a maximum level. Integrated maintenance planning is an approach in planning that
takes into consideration global production systems at the business level. It considers the expectation of all internal and external stakeholders of the maintenance
function to secure the maximum benefits from the whole system. In this chapter,
the process of high level (strategic) planning that links maintenance strategies to
business and production strategies is described. The traditional low level (operational) planning and scheduling linked with the strategic level plan is also
described.
Keywords Strategic planning
mance management
Operations planning and scheduling
Perfor-
Integrated maintenance planning and scheduling secures a maximum utilization of

resources at the global system level. In this chapter a global view of maintenance
that considers its internal and external stakeholders will be introduced followed by
a detailed process for high level planning that links these stakeholders together for
the maximum benefit of the whole system. Lower level planning and scheduling at
the plant level is then introduced in its traditional way followed by a nontraditional
scheduling that integrates scheduling within the organization is introduced.
Lastly a performance management system is described for different levels or the
organization.
3.1 Global Maintenance System

The global manufacturing environment involves multiple internal and external
stakeholders that need to be considered for an integrated planning process. Production and quality are major internal functional stakeholders for maintenance.
Other internal stakeholders at the business level include top management, purchasing, finance and marketing departments. External stakeholders may include,
DOI: 10.1007/978-3-319-06290-7_3, The Author(s) 2014
25
26
3 Integrated Maintenance Planning
Technology
Providers
Contractors
(HR)
Spare parts
suppliers
Vendors part
& equipment
Plant 1
Plant 2
Plant 3
Customer
Raw material
Supplier
Fig. 3.1 Global view of maintenance
depending on the type of maintenance, contractors, spare parts and technology

providers, and government legislators. Ignoring one or more of the key stakeholders may result in unnecessary costs and sometimes more serious consequences
at the business level. A system view of the manufacturing system was introduced
by Al-Turki et al. [1]. The material in this section is extracted from that source.
A global system view of the maintenance business interrelation with other
entities is shown in Fig. 3.1. The figure also shows the supply chain relationship
starting from raw material providers to finish product customers. This view helps
in developing plans integrated with internal and external stakeholders.
The system consists of several plants connected in series, where the output of a
plant is fed to the next plant in the supply chain. These plants can be producing
raw material or finished products in the petrochemical industry. The plants can
also be refineries in the oil industry for any oil producing and processing company.
In case of series of plants feeding each other with raw material (sub-products), a
buffer or a stack of the material is maintained for continuous uninterrupted
production.
Final products are passed to external customers without shortage or delay.
Maintenance planning for each plant draws upon different types of resources from
different sources, internal and external, such as subcontractors, spare parts suppliers, and technology providers. For some highly labor intensive maintenance jobs,
such as shutdown maintenance, external subcontracting is a common practice.
Subcontracting major maintenance projects is a very critical issue that needs to be
handled with care since external body is entrusted for major assets.
Spare parts represent a significant portion of the maintenance cost. To guarantee
minimum cost and highest quality and timely availability of spare parts, strong
3.1 Global Maintenance System
27
relationship with spare part suppliers is needed for best maintenance outcomes in
terms of time and cost. Mutual planning and coordination is needed with technology and spare parts providers for maintaining strong relationship. Streamlining
spare part acquisition, handling, and storing processing between the two organization through sales and purchasing departments is essential for a successful
relationship. This relationship can be maintained with multiple providers to reduce
the risk of shortage.
The relationship with technology providers is a long range relationship that starts
with technology acquisitions and spans the life of that technology. Quality and
timely service and consultation throughout the life span of the equipment requires
strong relationship and commitment from the two parties. Furthermore, feedback
regarding the performance of the equipment to the technology provider helps in
improving their product for a better maintainability in machine design. Strengthening this relationship and maintaining it through efficient internal and external
processes and information flow is essential for the benefit of the all parties.
The level of interaction with stakeholders varies with type of maintenance
applied. Routine preventive maintenance activities need the least interaction with
external and internal stakeholders while major shutdown project needs high level
of coordination with internal and external stakeholders. Condition based maintenance requires high level of initial investment during the establishment stage and
then becomes a regular activity with minimal interaction with other stakeholders.
To realize the maximum benefit of the global integrated system to be integrated
for serving the global objective of the corporate, several issues has be addressed
and built within the system. These issues are as follows:
1. Coordination with supply chain partners.
A plant undergoing a major maintenance project such as shut down maintenance,
has an impact on, and impacted by, all other supply chain partners including:
Upstream plants providing raw materials;

Downstream plants using the plant products as raw materials;
Vendors providing spares and long lead time items;
Contractors providing manpower; and
Final customers buying the plants products.
High level coordination within the supply chain helps in maximizing benefit
within the whole supply chain. Coordination within the supply chain can go to a
level of deciding on the timing of major maintenance activities for each plant,
upstream and downstream, as well as sharing information and experiences. This
coordination can be through common committees or task forces at the planning
level. Mathematical models and other scientific tools may be utilized for optimizing time major maintenance activities windows and costs. Such committees
might get in contact with vendors and contractors for better building strong long
term relationship. Establishing such relationship with suppliers and contractors
secures benefits to all parties and resolves conflicts effectively ahead of time.
28
At the end of the supply chain comes the end customer that sets the requirement
for the whole supply chain. Obviously that requirement is largely a major driving
force for the whole supply chain. To enhance the communication process within
the supply chain, an integrated information system that links all these partners
together should be developed and forms the backbone for timely effective coordination. This coordination and information sharing is highly needed to secure fast
response to unexpected events by other partners.
2. Performance measurement.
The overall objective of maintenance is to ensure high plant safety, reliability
and availability. Therefore, conducting maintenance within schedule and budget
may not be enough. In addition to operational measure of budget and schedule,
there is a need to emphasize and implement plant effectiveness measures. At the
plant level, measures of maintenance success has to be set, monitored and utilized
for future plans. Such measures should be in line with high level objectives of the
organization and agreed upon at the plant level. Having similar measures across
the plants within the organization helps in coordination and sharing information
across different plants. Including some high level measures that impact the organization helps in optimizing maintenance at the global (system) level. Measures
should be effectively utilized for improving the maintenance process at the plant
level and a global level in future plans and executions.
3. Learning process and sharing of best practices with similar industries.
A formal process for documenting positive and negative experiences during
maintenance planning and execution should be established. The result should be
shared as a best practice document that will enhance the learning process across
the organization. Failing to feed back this accumulated experience to the system
for future improvements is a major shortage in current maintenance practices in
the industry. A plat form or a mechanism for sharing best practices across the
supply chain should be established and systemized to ensure gaining the expected
benefits. This learning process can be extended to other partners (suppliers, contractors and vendors) in terms of the technical know-how for design and technical
specifications of equipment and spare parts.
Within the organization, the maintenance department interacts with internal
stakeholders at different levels, at the operational and at the business levels as
shown in Fig. 3.2. Each functional unit has its own objective cascaded down from
the corporate objective through a maintenance strategic plan. Production and
maintenance are the most two interrelated functional areas in manufacturing
organizations. While production is interested in highest level of machine utilization and delivery targets, maintenance aims to achieve highest level of long term
machine readiness. There plans to achieve their target often conflict in timing
creating negative interaction between the two functional units. This invites a
serious effort for coordinated integrated planning process and integrated optimization tools for planning and scheduling.
3.2 Strategic Planning in Maintenance
29
Corporate
Objectives
Maintenance
Production
Coordination /
Integration
Plan
(utilization)
Equipment
Plan
(availability)
Equipment condition
Fig. 3.2 Interrelation between production and maintenance
3.2 Strategic Planning in Maintenance

Maintenance planning is done in three levels; strategic, medium and short term as
shown in Fig. 3.3. Starting from the corporate strategic plan, the maintenance
strategic plan is developed from which medium and short term plans are extracted.
The focus of this Section is on the development of the strategic part of planning
and it is mainly extracted from Al-Turki [2].
A strategic plan for maintenance, like any other functional plan, has to be
consistent with the vision and objectives of the corporate. However, strategic
planning in maintenance differs from other functional areas as follows:
The traditional view of maintenance as a cost center rather than a profit center.
The strong interconnection between maintenance and major asset management.
The high influence of maintenance on corporate objectives through asset
acquisition and its management.
The nature of being highly technical and labor intensive.
The nature of key stakeholders (mostly internal).
As such, strategic planning in maintenance is special in nature and has to be
handled in a slightly different manner than other functional areas.
The maintenance strategy is developed based on the corporate objectives and is
based on a clear understanding of the role maintenance plays in the corporate strategy
and on clear objectives that are in line with the corporate objectives. Strategic choices
have to be made in relation to organization structure, maintenance methodologies,
supporting systems and outsourcing related decisions. Once selections are made,
30

Maintenance strategic
Maintenance
Vision, Mission,
Objectives
Corporate strategy
Vision, Mission,
objectives, strategies
Maintenance strategies
(outsourcing, structure,
methodologies, &
support systems)
Middle range planning

Forecasting,
Capacity planning
Goals and targets
Short term planning

and scheduling
Implementation
Performance
Measurement System
Performance
Measurement
Fig. 3.3 Maintenance planning as part of the corporate planning system
middle range plans have to be made regarding capacity and workforce planning.
Weekly and daily plans are then made and activities are scheduled for implementation followed by measuring performance for continuous feedback for improvement. This chapter focuses on the strategic planning portion of maintenance planning.
The global view of the enterprise in relation to production and maintenance
introduced by Visser [3] can be modified to reflect the partnership between the two
functions in utilizing and maintaining the equipment as shown in Fig. 3.3. This view
forms the base for more liberal strategic planning from the maintenance point of view
that is consistent with the model introduced by Murthy et al. [4]. Both functions,
production and maintenance, have to take cooperate objectives into account in their
planning as well as each others perspectives and views regarding their own plans.
While the main focus of planning is to satisfy demand by utilizing resources to the
maximum, maintenance focuses on maximizing asset value and its availability.
Information flowing back from operations to production and maintenance regarding
equipment condition is essential in adjusting plans and also revising decisions.
3.3 The Strategic Planning Process

There are different alternative methodologies for the strategic planning process.
All of them stress the involvement of all stakeholders in the process using different
tools such as brain storming sessions and focused group meetings. This section
proposes a framework for developing a maintenance strategic plan that is based on
the global view of maintenance presented in Fig. 3.3.
Corporate
vision, mission
and objectives
31
Maintenance Internal &

external stakeholders
Maintenance
Mission and objectives
Benchmarking
Strategic thinking
SWOT
Analysis
Load &
Technology
Portfolio
Strategic
Issues
Strategic Options
Strategy Selection
Performance Measures
Implementation Plan
Fig. 3.4 A framework for maintenance strategic planning framework
The development process is presented in the chart in Fig. 3.4. The process
comprises the following steps:
1. Identify major internal and external stakeholders. Internal stakeholders include
top management of the organization, other functional areas like production and
inventory, other supporting functions such as IT and finance functions. Top
management and production management are extremely essential in formulating the mission and objectives. The role of the labor as major stakeholders is
essential in assessing the current situation and choosing strategies for different
maintenance issues.
2. Formulate the mission statement. The mission statement explains the purpose
of existence of maintenance in the organization and its role in achieving the
vision and mission of the organization. The mission statement should clearly
define the scope of work including asset identification and equipment selection,
32
acquisition, and management. Hence, it should be embraced and approved by

top management and communicated to other parts of the organization. Mission
statements reflect the focus and philosophy of the organization. The traditional
focus is on quick response to breakdown, reduced down time or controlled cost.
Lately, safety and environment are increasing becoming a major concern of
maintenance. An example of a mission statement is To deliver cost effective
equipment availability and reliability. This statement gives a clear idea about
the objective to be developed in the next step. Another example is To provide
excellent support for customers by reducing and eventually eliminating the
need for maintenance services [5]. This statement is clearly linked to a vision
of the future of maintenance within the organization and it also reflects a new
philosophy of being lean organization.
3. Set the strategic objectives of maintenance. The objective(s) to be formed here
is the highest level measure of mission achievement that is directly linked to the
overall corporate objective. Strategic objectives should be set based on the
following principals:
To
To
To
To
meet the major needs of the stakeholders based on their aspirations.

improve on existing strength.
overcome a major weakness or challenge.
mitigate a major threat.
Stakeholders should be heavily involved in identifying the objective(s) with the

corporate objective as a reference. The objective(s) should be stated in qualitative
and quantitative forms. A traditional objective is to increase overall equipment
reliability and/or availability that are currently viewed as challenges or threats to
the overall performance of the organization in terms of its productivity and value
of assets. Certain measures are adopted for each objective and targets are set based
on a benchmark.
4. Analyze the current situation. The current situation means all maintenance
related internal and external matters. Internal matters include strengths and
weaknesses in terms of performance and its trends, current practices, available
technologies, relation with other functions, and strategies and maintenance
policies and practices. Duffuaa et al. [6] has developed a check list that can help
in assessing the current maintenance practices. External matters include
opportunities and threats. It includes competitors performance and practices,
emerging technologies and anticipated and current government rules and regulations, emerging maintenance strategies and approaches. Several tools can be
used for the analysis including:
a. Strengths, Weaknesses, Opportunities and Threats (SWOT) analysis is used
to identify internal and external factors affecting the maintenance function. It
identifies internal strengths and weaknesses and external opportunities and
threats. This is usually done through a series of sessions with major internal
and external stakeholders. SWOT also helps in identifying major issues that
33
need immediate attention as well as strategic issues that need to be addressed

in the long run. It also helps in seeking the desires of different stakeholders
in terms of the role of maintenance and required performance. This might
require a revision of the mission and objective that was set in the previous
steps. This revision should be done before proceeding further in the strategic
planning process.
SWOT helps in understanding the key challenges facing maintenance operations.
Primary and secondary data may be collected and analyzed to confirm the results
of the SWOT.
b. Portfolio analysis. This method is used to study trends in performance in
terms of the identified objectives and existing measures of performance.
c. Benchmarking is the study of the best practices in the area of maintenance in
similar organizations. The focus is on performance and best practices. It is a
process of identifying the best practices in the business that can be adopted
for self improvement in quality and performance. This step will help in
setting targets and selecting strategies at later stages of the process. The
benchmarking process for maintenance quality of performance and maintenance audit is proposed by Raouf [7].
d. Load and technology analysis. This step is basically a forecasting exercise
for both production load and future technologies in maintenance, production
and information. This step is essential for the maintenance function since it
is highly labor intensive and technology driven more than any other function
in the organization. This must be conducted in partnership with the production function with the involvement of finance and Human resources. In
the context of strategic planning it is used for identifying strategies and
initiatives that have proven success for possible adaptation.
Feeding the results of the analysis back into the mission and objectives that was
previously set gives an opportunity for revisions and adjustments if necessary. So
if it was too ambitious with respect to the analysis it may be brought closer to
reality and vice versa.
5. Identify the strategic issues. The analysis conducted in the previous step has
pointed out some issues that have a long term strategic impact. These strategic
issues should be put in perspective and agreed upon with clear statements. The
most common strategic issues in maintenance are identified by Murthy et al. [4]
and by Tsang [8] and summarized in the literature review.
6. Strategic Options. A strategic option is an action, or a set of actions, that help to
achieve a strategic objective. At this step, we analyze the strategic issues
identified in the previous step and explore all possible strategies for each. The
benchmarking that was conducted in the analysis is very influential in exploring
alternative options in addition to the literature cited earlier. Brainstorming
sessions are also useful when conducted with experts in the area. For each
objective, strategic options will be developed to close the gap between the
current state and the ambitions. The strategic options will be developed based
upon best practices in leading organizations.
34
7. Strategy selection. For each strategy for each issue the pros and cons should be
studied in order to make the selection that would achieve the objectives in the
most efficient and effective manner. As there are several alternatives, yet feasible,
ways an objective can be achieved, it is prudent to consider the option that is most
attractive, effective and viable. The strategic options are evaluated against the
metrics of impact, cost and resource requirement, and ease of implementation.
8. Develop performance measures. For each objective identified, develop a set of
quantitative measures. There are few quantitative measures that are used in
assessing the performance of the maintenance and its degree of achieving the
objectives. After developing the strategic objectives the following steps will be
performed:
i. Operationalize every objective through specific measurable performance
indicators. Parida and Kumar [9] suggest a set of performance indicators
that can be helpful in this regard.
ii. Assess the current status of the objectives.
iii. Agree on the future ambition or level for the same objectives based upon
the performance of the leading centers in date or palm research.
iv. Map the gaps between the current state and the future desired ambition.
Defining the performance gap contributes to an understanding of where the
current system is performing in relation to the strategic objective.
9. Implementation Planning. The implementation planning step creates a framework to execute the selected strategy via a series of programs and specific
recommendations. The programs will be first prioritized according to their
impact and feasibility of implementation. The most important and feasible
programs are further short-listed by urgency (short-term vs. long-term) and
resource requirement. It is necessary to focus on a limited number of programs
to ensure successful implementation. A comprehensive roadmap for implementation will be constructed. Each of the selected programs has to be defined
in terms of timelines, milestones, roles and responsibilities. Organizational
mechanisms to continuously monitor the entire project plan should be established. Part of the implementation plan is to develop a system for continuous
assessment and strategic adjustment. The model for continuous improvement
and maintenance audit introduced by Raouf [7] can be adopted for this purpose.
3.3.1 Key Success Factors

The history of strategic planning cites less success than failure in implementing
strategic plans due to several reasons that are mostly referring back to the
development stage. However, there are a few issues that need to be taken into
consideration at the development stage for higher chances of success.
35
1. The support of top management. This support is not guaranteed for the maintenance as it is seldom considered as a strategic function. Therefore, unusual
effort is needed for gaining their support. Awareness sessions about the role of
maintenance in the core business of the organization supported by figures and
analysis for key people in management helps in gaining understanding and
hence the support of top management. This issue should not be taken lightly
and could consume considerable time and effort. Without full and genuine
support of top management results, most of the time, end in failure either in the
planning process or at the implementation stage.
2. The involvement of major stakeholders is another key success factor. The
absence of key stakeholders in the development process leaves some gaps in
either the analysis or in evaluating strategic options. Special attention should be
given to top management, production management, and operations. The
alignment between maintenance with corporate strategy as well as production
can be achieved by the close involvement of management at that level.
3. Ownership. The implementation plan should have an owner that controls and
monitors the progress of the implementation and assess goals and target through
a well developed systematic procedure. A balance score card is usually used for
that purpose.
4. Strategic planning culture. Strategic planning is a culture as much as it is a
process. Spreading the culture throughout the organization and maintenance
management in particular is a major success factor of strategic planning. In a
culture of strategic consciousness, people tend to behave and make decisions
based on strategic impacts and global objectives rather than on local and short
term benefits. This culture can be achieved by awareness sessions and training
workshops at all levels of the organization. The strategic plan, after its
development, has to be well communicated to all concerned people within the
maintenance function and all stakeholders in general.
3.3.2 Strategic Issues in Maintenance

Few papers have been published recently that discuss issues related to strategic
maintenance planning. Tsang [8] identified four strategic dimensions (issues) of
maintenance planning. The impact of the decision on these issues is long lasting
and it influences other planning variables. These four issues are:
1.
2.
3.
4.
Service delivery strategy.

Organization and work structure.
Maintenance methodology.
Support systems.
The first dimension is the service delivery strategy. Outsourcing versus in-house
maintenance are two possible alternatives for maintenance delivery strategies.
Many petrochemical processing plants outsource all their equipment and facility
36
maintenance. Others outsource particular specialized or risky aspects of maintenance. The potential benefits of outsourcing maintenance activities include less
hassle, reduced total system costs, better and faster work done, exposure to outside
specialists, greater flexibility to adopt new technologies and more focus on strategic asset management issues [10, 11].
Tsang [8] has an excellent analysis of the two options in terms of things that
should not be outsourced. An activity that is considered to be the organizations
core competency should not be outsourced. An activity may be considered as a
core competency if it has a high impact on what customers perceive as the most
important service attribute or the activity that requires highly specialized knowledge and skills. The costs involved in the internal service include personnel
development and infrastructure investment and managing overhead. The costs
involved in the outsourcing include the costs of searching, contracting, controlling
and monitoring.
Murthy et al. [4] explored the outsourcing issue and discussed the long term
costs and risks of different alternatives. Some general guidelines are laid out in
relation to this issue including that maintenance management and planning should
not be outsourced. The maintenance implementation, however, may be outsourced
based on cost and risk consideration. Risks are very much linked to the service
supply market. Having a single dominating supplier in the market makes the user
company hostage to that supplier services. On the other hand if the suppliers are
weak, they might not be able to supply quality and reliable service as much as the
internal service can do. Furthermore, the service should not be outsourced if the
company does not have the capability to assess or monitor the provided service and
when it lacks the expertise in negotiating sound contracts.
Contractual relationship with the service provider is an important aspect of
outsourcing. Martin [12] studies different aspects of contracts. Contracts have to be
carefully written to avoid long term escalation in its costs and risks. The benefits of
outsourcing are seldom realized because of contracts that are task oriented rather
than performance focused and the relationship between the service provider and
the user is adversarial rather than partnering. In the absence of long term partnership between maintenance service supplier and the user, the supplier will be
hesitant to invest in staff development, equipment and new technologies. The
relationship between the supplier and the user is determined by the type of
contract.
While outsourcing has great potential for significant benefits, it also includes
some potential risks such as loss of critical skills, loss of cross functional communications and loss of control over a supplier. To reduce the risks, the contract
and the contracting process should be dealt with in delicate manner. Specialists in
the maintenance technical requirements and specialists in technology and business
needs as well as specialists in contract management should be involved in the
process. The contract itself should have a conflict resolution and problem solution
mechanism for uncertainties and inevitable changes in the requirements and
technology changes. Other measures for reducing risks include splitting maintenance requirements into more than one supplier.
37
The second dimension of strategic maintenance management identified by

Tsang [8] is the organization and work structure. Traditionally, the organization
structure is hierarchical and highly functionalized within which maintenance is
organized into highly specialized trades. This organization has led to many
problems in terms of efficiency and effectiveness. New process oriented organization structures are emerging for more effective and efficient management of
business units. Within these structures, maintenance is viewed as part of a group
owning the process. Different work structures may be considered for different
types of maintenance work. Choices between plant flexible and plant specialized
tradesman, centralized versus dispersed workshops, trade specialized versus multiskilled trade-force has to be made.
The third dimension of strategic maintenance management is the maintenance
methodology. There are four basic approaches to maintenance: run to failure,
preventive maintenance, condition based maintenance, and design improvement.
Methodologies for selecting the most suited approach such as reliability-centered
maintenance and total productive maintenance are developed and adopted globally
by many companies. The choice between these methodologies is a strategic
decision that has to be made based on the organizations global objectives.
The fourth dimension of strategic maintenance management is the selection of
the support system that includes information system, training, and performance
management and reward system. Each element has to be carefully selected to support the overall objective of the organization. Enterprise Resources Planning, ERP,
systems are gaining ground in large organizations and to a certain extent in medium
size organizations, The power of ERP lies in its ability to integrate different functional areas within the organization which is an essential requirement for maintenance planning and scheduling. Successful implementation of the system requires
careful system selection and implementation strategy that is human focused. For
details about integrating maintenance strategies in ERP see Nikolopoulos et al. [13].
Managing maintenance performance has many strategic aspects that are discussed in the literature. Tsang [8] was one of the first authors linking maintenance
performance to corporate strategy. He suggests a framework that uses the Balance
Score Card approach for measuring performance at strategic, tactical and operational levels through the four perspectives; financial, customer, internal processes
and learning and growth. He briefly discusses the process of developing a strategic
plan within the context of maintenance performance management. Kutucuoglu
et al. [14] introduce a more comprehensive framework for managing maintenance
performance. They identified the main features of quality performance measurement system that includes vertical and cross functional integration at all levels,
strategic, tactic and operational. They suggest Quality Function Deployment
(QFD) methodology for building an integrated performance measurement system.
Parida and Kumar [9] discuss the maintenance performance measurement
system as the backbone for maintenance strategic management. They introduce the
concept of total maintenance effectiveness that includes internal and external
effectiveness, rather than overall equipment effectiveness. Internal effectiveness
includes productivity, cost, skills and competencies, and reliability and efficiency
38
of resource utilization. External effectiveness includes Customer satisfaction and

growth of market share. They also make it clear that the MPM system should be
based on a clear maintenance strategy that in turn should be derived from and
linked to the corporate strategy. The top objectives should be cascaded into team
and individual goals. They suggest a hierarchical system in which the top level
addresses the corporate or strategic issues and the middle level addresses tactical
issues and the lowest level addresses the operational level.
3.4 Integrated Maintenance Scheduling

Maintenance scheduling is the process by which jobs are matched with resources
(crafts) and assigned a time slot for execution. Duffuaa et al. [6] divides maintenance scheduling into three stages based on the time horizon of planning and
implementation. The stages are: (1) Long range or master schedule to cover a
period of 3 months1 year; (2) weekly schedule, it is the maintenance work that
covers a week; and (3) the daily schedule covering the work to be completed each
day. Elaboration on these stages is introduced below following Duffuaa et al. [6].
The long range schedule balances long term demand for maintenance work with
available manpower. Based on the long-term schedule, requirements for spare
parts and material could be identified and ordered in advance. The long-range
schedule is usually subjected to revisions and updating to reflect changes in plans
and realized maintenance work.
The weekly maintenance schedule is generated from the long range schedule
and takes account of current operations schedules and economic consideration.
The planner provides the schedule for the current week and the following one,
taking into consideration the available backlog. The work orders that are scheduled
for the current week are sequenced based on priority. Critical path analysis and
integer programming are techniques that are used to generate a weekly schedule.
In most small and medium sized companies, scheduling is performed based on
heuristic rules and experience.
The daily schedule is generated from the weekly schedule and is usually prepared the day before. This schedule is frequently interrupted to perform emergency
maintenance. The established priorities are used to schedule the jobs. In some
organizations the schedule is handed to the area foreman and he is given the
freedom to assign the work to his crafts with the condition that he has to
accomplish jobs according to the established priority.
Effective scheduling plans must be supported by accurate and updated information
about the overall status of equipment, spare parts, workforce, policies and procedures.
More specifically the following information is necessary for sound scheduling.
1. Written work orders that explain precisely the work to be done, the methods to
be followed, the crafts needed, spare parts needed and priority.
2. Time standards.
39
Table 3.1 Priorities of maintenance work

Code Name
1
3
4
5
Time frame work should start
Type of work
Emergency Work should start immediately Work that has an immediate effect on
safety, environment, quality, or will
shut down the operation
Urgent
Work should start within 24 h Work that is likely to have an impact on
safety, environment, quality, or shut
down the operation
Normal
Work should start within 48 h Work that is likely to impact the
production within a week
Scheduled As scheduled
Preventive maintenance and routine. All
programmed work
Postponable Work should start when
Work that does not have an immediate
resources are available or at
impact on safety, health, environment,
shutdown period
or the production operations
3. Craft availability.
4. Spare parts stocks and ordering policies.
5. The availability of special equipment and tools necessary for maintenance
work.
6. The plant production schedule and its possible availability for service.
7. Well-defined priorities for the maintenance work in coordination with
production.
8. Backlogs, i.e., Jobs behind schedule.
Priorities are established to ensure that the most critical and needed work is
scheduled first. The development of a priority system should be well coordinated
with operations. Also, the priority system should be dynamic and must be updated
periodically to reflect changes in operation or maintenance strategies. Priority
systems typically include three to ten levels of priority. Most organizations adopt
four or three level priorities. Table 3.1 provides classification of the priority level
and candidate jobs to be in each class as identified by Duffuaa et al. [6].
3.4.1 Scheduling Techniques

Scheduling is one of the areas that received considerable attention from
researchers as well as practitioners in all types of applications including operations
scheduling and project scheduling. Techniques are developed to construct optimum or near optimal schedules with respect to different possible performance
measures. These techniques are shared by both production scheduling and maintenance scheduling. Some of the most common techniques for scheduling maintenance are as follows:
40
1. Gantt charts
Gantt charts are used to visualize maintenance and production activities over a
certain time horizon. The Gantt chart is a bar chart that specifies the start and finish
time for each activity on a horizontal time scale. It is very useful for showing
planned work activities versus accomplishments on the same time scale. It can also
be used to show the inter-dependencies among jobs, and the critical jobs that need
special attention and effective monitoring. There are large variations of the Gantt
chart. Gantt charts can also be used to show the schedule for multiple teams or
equipment simultaneously.
Color codes are sometimes used to reflect certain conditions such as shortage of
material or machine breakdowns. Several scheduling packages, such as Primavera,
are available to construct Gantt charts for more complicated schedules involving
multiple resources and large number of activities. In general, Gantt chart does not
build a schedule but helps in presenting the schedule in a simple visible manner
that might help in monitoring, controlling and may be adjusting schedules.
Scheduling (adding new jobs to the Gantt chart) itself is done following a certain
rule that is developed with experience for the schedule to perform in the desired
way. An example of such a rule is loading the heaviest job to the least loaded
equipment as early as possible for maximizing the utilization of the equipment.
This rule is known from scheduling theory to produce a good schedule for minimizing idle time.
2. Networking
Formulating the maintenance project as a network diagram helps in viewing the
whole project as an integrated system. Interaction and precedence relationships
can be seen easily and be evaluated in terms of their impact on other jobs.
Maintenance activities commonly take the form of a project with many dependent
operations forming a network of connected operations. In such cases, project
management techniques can be utilized for scheduling the maintenance operations.
The two primary network programming techniques used in project scheduling are
the critical path method (CPM) and program evaluation and review technique
(PERT). Each was developed independently during the late 1950s. The main
difference between the two is that CPM uses a single estimate of activity time
duration while PERT uses three estimates of time for each activity. Hence, CPM is
considered to be a deterministic network method while PERT is a probabilistic
method. Both networks consist of nodes representing activities and arrows indicating precedence between the activities. Alternatively, arrows may represent
activities and nodes represent milestone. Both conventions are used in practice.
Here we are going to use the former.
The objective in both CPM and PERT is to schedule the sequence of work
activities in the project and determine the total time needed to complete the
project. The total time duration is the longest sequence of activities in the network
(the longest path through the network diagram) and is called the critical path.
Before we proceed by explaining the two methods it is worth noting that PERT
41
and CPM are not well suited for day-to-day independent small jobs scheduling in a
maintenance department. However, they are very useful in planning and scheduling large jobs (20 man hours or more) that consist of many activities such as
machine overhauls, plant shut downs, and turnaround maintenance activities.
Furthermore, a prerequisite for the application of both methods is the representation of the project as a network diagram, which shows the interdependencies and
precedence relationships among the activities of the project.
Maintenance activities are usually unique and commonly involve unexpected
needs that make their time duration highly uncertain. CPM uses a single estimate
of the time duration based on the judgment of a person. PERT, on the other hand,
incorporates the uncertainty by three time estimates of the same activity to form a
probabilistic description of their time requirement. Even though the three time
estimates are judgmental they provide more information about the activity that can
be used for probabilistic modeling. The three values are represented as follows:
Oi = optimistic time, which is the time required if execution goes extremely well;
Pi = pessimistic time, which is the time required under the worst conditions; and
mi = most likely time, which is the time required under normal condition.
The activity duration is modeled using a beta distribution with mean (l) and
variance (r2) for each activity i estimated from the three points as follows:
Oi Pi 4mi
6

P

Oi 2
i
^2i
r
6
^i
l
Estimated means are then used to find the critical path in the same way of the
CPM method. In PERT, the total time of the critical path is a random variable with
a value that is unknown in advance. However, additional probabilistic analysis can
be conducted regarding possible project durations based on the assumption that the
total time of the project may be approximated by a normal probability distribution
with mean l and variance r2 estimated as:
X
X
^
^i and r
^2
^2i
l
l
r
where i is the activity in the critical path.
Using the above approximation we can calculate the probability with which a
project can be completed in any time duration, T, using the normal distribution as
follows:
^
T l
PrTcp T PrZ p Uz
2
^
r
where U is the distribution function of the standard normal distribution.
42
Tables exist for evaluating any probability under the standard normal
distribution.
4. Scheduling Using Computers
It is always desirable to have a scheduling system that matches required maintenance work to available personnel and necessary equipment. The system should
help maintain information of all necessary data and make them available with high
reliability to build working schedules that optimizes the utilization of human
resources and heavy equipment. A large number of software packages are available for optimum scheduling of personnel for planned maintenance activities and
that takes into account the possibility of unplanned maintenance activities. Project
scheduling packages are available to perform various functions related to project
management. One of the leading packages is Microsoft Project that has the
capability of maintaining data and generating Gantt charts for the projects. The
critical path through the network diagram is highlighted in color to allow schedule
monitoring and test alternatives.
Enterprise Resource Planning (ERP) is increasingly adopted by large enterprises as a global information and data management system to integrate the
information flow through various functions within, and sometimes, outside the
enterprise. The maintenance function is highly influenced by other functions in the
enterprise through information flow as well as strategic directions. ERP is therefore extremely useful for integrating maintenance with production, spare part
inventory, and engineering and purchasing. For more details about maintenance
strategy integration in ERP see Nikolopoulos et al. [13].
5. Mathematical Modelling
Optimization techniques are available in the literature for such cases and for other
cases with multiple or single resource. Integer programming is commonly used for
developing optimum schedules for various scheduling requirements under various
problem structures. However, they turn out to be large scale models that are quite
complicated for real life situations. Alternatively, heuristic methods, some of
which are quite simple and practical, that results in good schedules with respect to
certain performance measures. Computer simulation is heavily used in testing the
performance of different competing heuristics and dispatching rules under stochastic system behavior including machine breakdowns, and stochastically
dynamic maintenance job arrivals.
In spite of the developments in scheduling theory, its use in maintenance
scheduling is limited due to the different nature of maintenance activities compared to production activities in many aspects including:
Maintenance activities are highly uncertain in terms of duration and resource
requirements;
Maintenance activities are highly related in terms of precedence relations or
relative priority;
43
Tasks can be divided into subtasks each with different requirements; and
Tasks can be interrupted or canceled due to changes in production conditions or
maintenance requirements.
Recent advances in scheduling theory tended to tackle problems that are more
stochastic in nature and some research is devoted to maintenance scheduling
applications. Another recent trend in scheduling theory is the integration of
maintenance scheduling and production scheduling which are traditionally done
independently.
Production scheduling focuses on allocating machine capacity to job processing, while maintenance scheduling focuses on maintaining machine capacity.
These two functions are interrelated where machine interruptions cause delay in
production schedules and vice versa. However, this relation seems to be overlooked in practice as well as in research. Classical production optimization models
assume continuous machine availability, which might not be true in most real life
manufacturing systems. A machine may become unavailable during the production
process, due to Preventive Maintenance (PM), which is scheduled in advance or
due to breakdowns, which occur randomly. Recently, researchers addressed the
need to integrate the scheduling of both production and maintenance. Kenne et al.
[15] stated that the integrated production planning and PM problem are concerned
with coordinating production and maintenance operations to meet customer
demand with the aim of minimizing cost. Pandey et al. [16] pointed out that
production scheduling and maintenance have been treated as separate issues. In
real life situations, machines do fail or need to be maintained and hence may
become unavailable during certain periods. Thus, the interdependency of scheduling and maintenance has resulted in a considerable amount of interest in
developing models. The motivation to integrated scheduling, in addition to cost
savings, comes from the need to overcome conflicts arising between production
and maintenance functions in most manufacturing systems. While the production
unit has an interest in keeping a continuous production run to satisfy customer
needs, the maintenance function is committed to long life asset management and
optimum maintenance tasks and activities. These two objectives in many cases
cause conflicts when planned or unplanned shutdowns cause serious delay in
production schedules. Solving the production scheduling and PM planning problems independently ignores these inherent conflicts. Even when the conflict is
managed the result is not usually optimized globally, since both schedules are
developed independent from each other and then combined over the planning
horizon.
Modern production systems rely on optimal and effective planning and
scheduling for their elements. It is a usual practice to plan for one element,
independent of the others and to disregard their possible mutuality. Furthermore,
this independent planning is done through separate functional teams. The resulting
plans of a specific function may disrupt other function plans. For example, the
maintenance function assigns a scheduled shutdown. The timing of this shutdown
will be communicated to the production unit. The suggested maintenance may
44
Fig. 3.5 Classical planning for production. Adopted from Hadidi and Al-Turki [16]
maximize the machine availability, but will affect production plans. Similarly,
production schedulers may have the tendency to utilize machines to their full
capacity to meet demand. Under this condition, productivity may increase, but
machine availability will decrease, due to having more breakdowns.
Hadidi and Al-Turki [17] is the main source for introducing the issue of integrated scheduling in this chapter. Figure 3.5 shows the possible interactions
between different elements of a production system that will be clearly visible at the
shop floor level.
Independent planning may provide optimal performance at the level of a specific function. Management usually looks at the production system as a whole and
separate optimal solutions may not provide optimal solution for the whole system.
Usually, there is a global optimal that includes all major functions in the production system. This global optimal can only be achieved by integrating models
for all different functions. Integrated production models are expected to deal with
multiple objectives with a conflicting nature. Hence, planning these elements
independently will cause conflicts between functions. This disturbance can be
minimized through coordination to include two or more elements of the production
system.
Figure 3.6 shows an example of scheduling in a real-life practice, where production planning is done and then that plan goes to the shop floor for implementation. Meanwhile, maintenance plans and schedules are developed and sent to
the shop floor to prepare for implementation.
45
Fig. 3.6 Common production planning and coordination in a real-life practice [16]
Integrated models are usually not easy to solve because of their multi-objective
nature. As such, the level of integration in planning between functions is minimized. Planners may give higher priority to a certain function and plan for that
solely. The output plan will be taken as an input to the second in priority function.
For that function, a plan will be built taking the input of the other function as a
constraint. For example, production schedules can be generated given that the
machine will be out of service for a specific duration. An example of such model is
developed by Cassady and Kutanoglu [18]. The model was developed for a single
machine that has increasing hazard rate, i.e. subjected to failure. Each time the
machine fails, it needs a fixed time to repair tr. Expected number of failures can be
minimized by performing preventive maintenance before the start of the job which
will restore the machine to an as-good-as-new condition. This PM will delay the
start of the job by fixed time to maintain tp, nevertheless. If the machine is required
to process n jobs with the objective to minimize their expected total completion
times then the scheduler is required to provide simultaneously, optimal sequence
and, when to perform PMs.
To formulate the problem mathematically, a binary variable y[i] is defined
where y[i] = 1 if PM is conducted and y[i] = 0 if PM is not conducted. Let P[i] be
the processing time for job i. The expected completion time of job i will be,
Eci
i
X
k1
yk tp Pk tr number of failures
46
If each job has a given weight w[i] then the objective function would be to
minimize the total weighted expected completion time represented as follows,
Total Wighted Expected Completion Time
n
X
wi Eci
i1
Identifying the sequence, mathematically, can be done by introducing job

assignment binary variable xij. This variable is two dimensional; one is for jobs
domain i = {1, 2, . . ., n} and the other is for position domain j = {1, 2, , n}.
(
xij
1
0
if job i is assigned to position j

if job i is not assigned to position j
Two logical sets of constraints will constrain the objective function: first set of
constraints states that job i can not seize two positions at the same time, i.e.
n
X
xij 1
8i 1; . . .; n
j1
The second set of constraints states that one position cannot hold more than one
job, i.e.
n
X
xij 1
8 j 1; . . .; n
i1
The model is solved for the optimum production sequence. The best position for
the PM with respect to the jobs in the optimum sequence is then determined. A
modified version of the model is developed by Hadidi and Al-Turki [17] that
combines the PM position determination is imbedded within the mathematical
model.
Management Methods
Integrated planning can be achieved through some management tools and best
practices. Some of these methods are as follows:
1. ADOPTING the right organization structure that promotes integrated planning
and scheduling within different functions in the same organization is one of the
possible methods.
2. Forming unified groups from related functions within the same organizations or
teams from different stakeholders to plan and schedule for the whole system.
3. Training planners and schedules on integrated planning and scheduling tools
and concepts.
4. Rotation is a management tool that helps in promoting global understanding of
the maintenance system and its relation to other functions in the organization.
47
5. Adopting a performance management system that includes operation, medium

and high management as well as internal and external stakeholders and cross
functional measures.
6. Developing a rewarding system that encourages cross functional cooperation in
planning and scheduling.
3.5 Performance Measurement System

Planning is not complete without a Performance Measurement System (PMS).
Plans need to be coupled with a mechanism for monitoring the effectiveness of the
adopted plans and their progression over time allowing for corrective actions and
contingency planning. In addition, Performance measurement is highly valued in
maintenance planning for measuring the value created by maintenance at the
business level as well as the operational level. PMS measures the contribution of
maintenance on business targets and hence helps in justifying investments on
maintenance and resource allocations. An effective maintenance performance
management system can lead changes in policies regarding safety and environment
and in adopting new technologies and maintenance strategies. It may also lead to
new management practices and changes in organizational structure.
An integrated Maintenance performance measurement system should go in
parallel with the integrated maintenance planning levels; strategic, medium and
short term operational plans. The closest system to this requirement is the one
suggested by Parida and Kumar [9] shown in Fig. 3.7. The system matches the
typical hierarchical organizational management structure.
The structure is composed of three levels. Top management concerned with
strategic plans and decisions reflecting the corporate vision. The middle management is concerned with tactical decisions with quality, effectiveness and efficiency concerns and measures. The lower level is the functional or operational
level which is mainly concerned with the maintenance process and its outcomes of
that process in terms of the health of the asset.
Some performance measures are identified for each level related to the planning
and working objectives at that level. Objectives are cascaded down to lower levels
to ensure the integration of strategies and performance and alignment of objectives. Hence, Objective at high levels are cascaded down and translated to lower
level goals and objectives. Machine down time, unplanned maintenance tasks,
safety and health related accidents are examples of possible performance measures
at the operational or functional level. Machine availability, Production rate, production quality, and cost are examples of tactical level performance measures.
These measures are directly affecting other functional areas such as production and
quality. Overall equipment availability (OEE) and total maintenance cost reflect
the concern of high management regarding overall maintenance performance.
48
OEE
Cost
Availability
Production rate
Quality
Maintenance cost
Down time
Unplanned maintenance tasks
Number of incidents/ accidents etc.
Fig. 3.7 Hierarchical maintenance performance levels of an organization
Each of these performance measures play a role in improving performance at a

certain level and assures vertical and horizontal integration of objectives.
An effective PMS should be able to link organizational effectiveness with the
maintenance effectiveness reflecting the contribution of maintenance to the company business goals. The concept of total business effectiveness considers both
external and internal stakeholders. External effectiveness usually linked to long
term business related objectives representing satisfying customers needs as well
as increasing market share. Internal effectiveness reflects efficiency and cost of
operations, and maintenance outcome in terms of reliability of maintained
resources as well as internal capabilities. Figure 3.8 gives examples of measures
both internal and external effectiveness. The total effectiveness combines both in a
single overall effectiveness that helps in communicating the reflection of maintenance on the overall organization performance with respect to its high level
operational and strategic goals.
Performance measures and performance indicators are in general used interchangeably. However, a distinction between the two helps in drawing a clearer
picture of performance evaluation. Performance indicators may be viewed as tools
utilized to translate performance measures into numbers reflecting the level of
achievement related to that measure. One or more indicator can be used for the
same performance measure. For example, customer surveys can be used as an
indicator for customer satisfaction but it is not necessarily the only one.
A fully integrated PMS should include various types of performance indicators.
At the operational level maintenance performance indicators can be classified as
leading or lagging as shown in Fig. 3.9. Leading performance indicators deal the
process, such as work identification and planning and scheduling, and the
49
Total maintenance effectiveness
External Effectiveness
1. Customer satisfying
Service quality
Timeliness of delivery
Safety
2. Growth in market share
Internal Effectiveness
1. Production
2. Cost per unit
3. Skill and competency
4. Reliability & efficiency of
resource utilization
Total maintenance effectiveness = External effectiveness x Internal effectiveness
Fig. 3.8 Total business effectiveness concept
Key Maintenance Performance Indicators

(KPIs)
Maintenance process/effort indicators

(Leading indicators)
Work
identification
%
Available
man hours
used in
proactive
work
Number
of work
order
requests
Wark
planning and
scheduling
%
scheduled
man hours
over total
available
man hours
Work
execution
% WO with
due date
compliance
%WO
assigned
for rework
%WO in
backlog
MTTR
Maintenance results indicators

(Lagging indicators)
Equipment
affectiveness
Number of
unplanned
maintenance
interventions
Breakdown
frequency
MTBF
Unscheduled
maintenance
downtime
Number of
shutdowns
Availability
OEE
Maintenance
cost
effectiveness
Safety and
environment
%
maintenance
cost over
replacement
value
%
maintenance
cost over
sales revinue
Maintenance
cost per
product unit
Number of
safety,
health and
environme
nt
incidents
Fig. 3.9 Possible classification of performance indicators
effectiveness of the effort exerted in maintaining the equipment, such as compliance with due dates and planned budgets. Lagging measures deal with the outcomes of the maintenance process in terms of equipment health, such as equipment
effectiveness and maintenance costs, and production conditions in terms of safety,
50
health and environment. Examples of performance indicators for each category are
given in the figure.
Parida et al. [19] identified seven types of performance indicators providing a
balanced, hierarchical PMS for measuring the total maintenance effectiveness:
1.
2.
3.
4.
5.
6.
7.
Customer satisfaction related indicators

Cost related indicators
Equipment related indicators
Maintenance task related indicators
Learning and growth related indicators
Health, safety, and environment related indicators
Employee satisfaction.
These seven categories reflect the balance scorecard of Kaplan and Norton [20]
that considers the tangible and intangible aspects of business in addition to the
total effectiveness, external and internal. These categories of performance indicator and total productive maintenance concept can be integrated with the three
level hierarchical planning systems to develop an integrated performance measurement system as shown in Table 3.2.
Performance indicators that reflect the specific type of business should be
selected for each of the performance measure indicated in the figure. In the following we give a list of common indicators used in practice by different industries
to measure the maintenance performance.
3.5.1 Performance Indicators

Traditional performance measurements focus on the simple view of the maintenance system that is composed of input, output and processes as shown in
Fig. 3.10. Such view can help in surveying possible measures and indicators for a
more complex system view as described in the previous section.
Inputs include labor, material, spare parts, tools and equipment, contractors, as
well as financial resources. Outputs include the outcomes of the maintenance
function including machine and shop conditions such as availability and reliability
of the maintained machine, the quality of its production as well as the safety of the
working environment. Processes include planning, scheduling, controlling and the
actual maintenance work execution.
An exhaustive and systematic search of articles on maintenance management
and maintenance performance measurement was recently conducted by Simoes
et al. [21] resulted in 345 different measures and indicators mostly coming from
practical applications from 32 different industries. Figure 3.11 reports the most
common 37 measures. It is to be noted that cost, with 40 occurrences, was the most
used maintenance performance measure (15 percent of total occurrences within
this group of measures). The most utilized measures represented several
51
Table 3.2 Multi-criteria frameworks for maintenance performance measurement [20]
Front-end process
Timely delivery
Quality
HSE issues
External
Effectiveness
Customer/
stakeholders
Compliance with
regulations
Hierarchical Level
Level 1
Strategic
Labor
Material
Contracts
Shop service
Equipment
Tool crib
overhead
Operational
Production rate
Number of defects
/ reworks
Number of
stops/downtime
Vibration &
thermography
Maintenance cost
Cost/ finance
related
Maintenance
budget
ROMI
Cost of
maintenance task
Maintenance
production cost
Customer
satisfaction
related
Health,
Safety,
security and
environment
Back-end process
Process stability
Supply chain
HSE
Tactical
Capacity
utilization
Maintenance
task related
Employee
satisfaction
Generation of a
number of new
ideas
Skill
improvement
training
Quality complaint
number
Quality return
Customer
Satisfaction
Customer
retention
Number of
accidents
Number of legal
cases
HSSE Losses
HSSE complaints
Employee
satisfaction
Employee
complaints
Level 3
Availability
OEE
Production rate
Quality
Number of stops
Equipment/
process
related
Learning
growth and
innovation
Internal
effectiveness
Reliability
Productivity
Efficiency
Growth &
Innovation
Level 2
Quality of
maintenance tasks
Planned
maintenance tasks
Unplanned
maintenance tasks
Generation of a
number of new
ideas
Skill improvement
training
Change over time

Planned
maintenance task
Unplanned
maintenance task
Quality complaint
number
Quality return
Customer
Satisfaction
Customer new
addition
Number of
accidents/ incidents
Number of legal
cases
Compensation paid
HSSE complaints
Employee turnover
rate
Employee
complaints
Quality complaint
number
Quality return
Customer
Satisfaction
Maintenance
Processes
Fig. 3.10 Inputoutput system view of a maintenance system
Generation of a
number of new
ideas
Skill improvement
training
Number of
accidents
Number of legal
cases
HSSE
Employee
absenteeism
Employee
complaints
Availability
Reliability
Quality
Equipment Value
52
Fig. 3.11 The most common measures reported in the literature. Adopted from Simoes et al.
[21]
dimensions of maintenance performance, namely technical, economic, safety, and

human resources.
To establish strong linkages between business strategy and manufacturing
maintenance strategies, there is a need for a well designed and implemented
53
organizational system to manage maintenance and related performance aspects

from a strategic perspective. Such a system should have the following characteristics and abilities, Alsyouf [22]:
assess the contribution of the maintenance function to the strategic business
objectives;
identify the weaknesses and strengths of the implemented maintenance strategy;
establish a sound foundation for a comprehensive maintenance improvement
strategy using quantitative and qualitative data;
re-evaluate benchmarking maintenance practice and performance with the best
practice within and outside the same industry; and
track maintenance impact and showing the linkages between operational and
financial measures, holistically.
The following is a list of measures commonly used in different industries some
of which measure the input, some measure the outputs and some measure the ratio
of output to input (productivity). Some measure efficiencies in planning, controlling or execution and some measure effectiveness in execution plans and
achieving targets. The measures are at different levels, corporate, middle management (medium range) or operations (short term).
Ratio of labor cost to material cost
Total mainetnance labor costs

Total mainetenance material cost
Cost of subcontracting maintenance %
Total cost of subcontracting

Direct cost of maintenance
Ratio of stock value to production equipment value
Average stock value

Replacement value of production equipment
Output measures may include the following:

Availability A)
scheduled time all delays

scheduled time
Reliability or Mean Time Between Failure MTBF)
Mean Time to Repair MTTR)
Repair down time

Number of failures
Running time
number of failures
54
Maintainability probability(repair in a given time)
Process rate PR)
Actual throughput rate

ideal throughput rate
Quality rate QR)
Total throughput net rejects

Total throughput
Overall equipment effectiveness OEE) Availability Process rate Quality rate
At the middle management level and maintenance processes, some possible performance indicators are:
Subcontracted hours per month %
Overtime hours per month %
Worker activity level %
Total Subcontracted hours worked

100
Total hours worked
Total overtime hours worked

100
Total hours worked
Standard hours earned

100
Total clock time
Current backlog in crew weeks)
Work scheduled ready to release in man hours)

one crew week in man hours)
Total backlog in crew weeks)
Total labor hours of work awaiting execution

one crew week in man hours)
Worker productivity per month %
Worker utilization %
Standard hours
100
Total hours worked
Hoursspent on Productive work

100
Total hours scheduled for work
Composite Productivity Index CPI) Productivity Utilization

Worker Orders Planned and scheduled daily %
Work orders Planned and scheduled

100
Total work orders executed
Scheduled hours versus hours worked as scheduled %
Hours worked as scheduled

100
Total scheduled hours
55
Hours scheduled
Total hours worked
Preventive and predective maintenance conducted as scheduled %
Total manhoursof preventive and predective maintenance executed
100
Total manhoursof preventive and predectivemainetnance scheduled

Preventive and predective maintenance coverage
Total man hours of preventive and predective mainetnance
100
Total man hours worked
Scheduled hours versus hours worked %
Cost per unit
total maintenance cost

Total units produced
Cost of mainetenance to added value of production %
Direct cost of maintenance

100
Added value of production
Direct maintenance costs include manpower, material, and cost of subcontracted

work and overloads. The added value of production is the cost of production less
the cost of material. Examples of high level (corporate level) maintenance performance indicators include the following:
Maintenance cost relative to sales %
$ Total maintenance cost

100
$ Total sales
Maintenance cost relative to production volume =

Maintenance cost relative to investment %
Budgeting plans effectiveness =

Effectiveness of execution =

Total volume produced

100
$ Total investment on plant equipment

100
$ Total budgeted maintenance plans
Number of planned jobs completed by due date

Total number of planned jobs
Effectiveness of material managemnt =
Number of planned jobs awaiting for material

Total number of planned jobs
These maintenance performance measures are usually used as appropriate to the

business sector at the appropriate level of command. The data are collected and
compared with historical data to reflect trends in performance and benchmarked
with best in the industry. Data base systems are usually used for collecting and
analyzing data for performance improvement. The measures help in recognizing
and improvement or guiding for improvement. Various information systems are
available for supporting data collection, recording and analysis of performance
56
indicators some of which are integrated with other functional areas, such as ERP
systems.
While cost is an important measure, future research should also focus on
deriving practical performance measures aimed at capturing the human factor of
the maintenance performance effort. The study by Simoes et al. [21] showed that
the least utilized measures included training/learning, skills/competences, work
incentives, process performance, resources utilization, maintenance capacity,
customer satisfaction, employee satisfaction. Furthermore, future research should
attempt to integrate the findings from the case studies into practical implementations methodologies. The characteristics of the industry should be examined in
attempt to conceptualize industry specific factors in relation to effective maintenance performance.
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15. Kenne J, Gharbi A, Najid N (2009) On the integrated production, inventory and preventive
maintenance problem in manufacturing systems with back-order. Int J Simul Process Model
5(4):300312
16. Pandey D, Kulkarni M, Vrat P (2010) Consideration of production scheduling, maintenance
and quality policies: a review and conceptual framework. Int J Adv Oper Manage 2(1/2):124
17. Hadidi LA, Al-Turki UM (2012) Integrated models in production planning and scheduling,
maintenance and quality: a review. Int J Ind Syst Eng 10(1):2150
18. Cassady RC, Kutanoglu E (2005) Integrating preventive maintenance planning and
production scheduling for a single machine. IEEE Trans Reliab 24(2):304309
19. Parida A, Chattopadhyay G, Kumar U (2005) Multi-criteria maintenance performance
measurement: a conceptual model. I: Proceedings of the 18th international congress
COMADEM, 31st Aug2nd Sep 2005, Cranfield, UK, pp 349356
20. Kaplan RS, Norton DP (1992) The balanced scorecardmeasures that drive performance.
Harv Bus Rev 70:7179
21. Simoes JM, Gomesm CF, Yasin MM (2011) Maintenance performance measurement: a
conceptual framework and directions for future research. J Qual Maintenance Eng
17(2):116137
22. Alsyouf I (2006) Measuring maintenance performance using a balanced scorecard approach.
J Qual Maintenance Eng 12(2):133149
Chapter 4
Health, Safety and Sustainability

in Maintenance
Abstract Maintenance is one of the key issues for retaining values of assets and
achieving the desired performance. However, maintenance is also a major element
in providing and maintaining a safe and healthy working environment for the people
within the manufacturing facility and in its neighborhood. Ill-maintained asset,
machinery, or structure is a potential source of serious health problems and accidents. In this chapter, health and safety issues related to the maintenance itself and to
its impact on the work environment are presented in the manufacturing setting.
Keyword Health and safety
Maintenance safety
Sustainable maintenance
Safety measures
Maintenance is very well recognized for its role in retaining assets value and
performance as originally intended in terms of quality, productivity, reliability,
and safety. There is no doubt that an ill maintained asset, machinery or civil
structure, is a potential source of serious health problems and accidents.
Studies show an inverse relationship between injury frequency index and
maintenance audit score. Some studies estimated that around 40 % of serious
accidents in industries are related to maintenance. Maintenance itself is a high-risk
activity that can be a major source of health and occupational hazards for workers
and people present in the workplace, if not performed with appropriate safety
measures. It was estimated that 80 % of accidents related to maintenance occur
during the maintenance phase and 20 % during regular operation.
Data from the Spanish working conditions survey indicate a higher exposure of
maintenance workers to noise, vibrations and different kinds of radiation when
compared to the rest of the working population (see Fig. 4.1).
As soon as machine is commissioned it starts to deteriorate and without proper
maintenance it runs into a dangerous state of wear, tear, fatigue, and corrosion and
then breakdown. Most accidents occur just before, during or after maintenance.
Maintenance concepts such as, TPM and RBM, and strategies, such as preventive
maintenance and condition based maintenance, focus on minimizing and controlling breakdowns and hence improving safety.
DOI: 10.1007/978-3-319-06290-7_4, The Author(s) 2014
59
60
Fig. 4.1 Exposure to hazards
among maintenance workers
(Spain 2007)
4 Health, Safety and Sustainability in Maintenance

30
25
20
15
10
5
lazer
Other workers
Ionizing
Microwaves
Radiofrequencies
UV light
infrared light
hand arm viberations
loud noise
very loud noise
whole body
Maintenance workers
Maintenance impacts the occupational safety and health of workers in two

dimensions. First, correctly planned and carried out maintenance is essential to
keep machines and the work environment safe and healthy. The effect of maintenance may in many cases extend to the general public and the global environment.
Second, maintenance itself has to be planned and performed in a way that insures
the safety of maintenance workers and other people present in the workplace during
maintenance operations. Poorly planning and/or performed maintenance can cause
deadly accidents and health problems to workers and may be extended to the public.
Safety in relation to maintenance can be discussed in two dimensions. First, the
impact of maintenance on maintaining a safe and health work environment
(maintenance for safety), and second, the safety of the maintenance activity itself
(maintenance safety).
4.1 Maintenance and Safety

Maintenance involves a wide range of activities, such as inspection, testing,
measuring, adjustment, cleaning, etc., performed by variety of occupations, such
as mechanics, electricians, building caretakers, etc. As such, risks associated with
maintenance are numerous. Maintenance work in manufacturing involves, in
addition to the risks associated with any working environment, some specific risks.
These include:
Manufacturing technology is quite complicated that makes it difficult to
understand, operate, and maintain.
Maintenance is highly pressurized in time and cost by production and business
requirements.
Maintenance is usually conducted alongside a running process and in close
contact with machinery.
Maintenance is in many cases is subcontracted and hence involves workers who
might not be familiar with the machinery and the place.
61
Maintenance often involves Non-routine tasks and exceptional conditions.

Maintenance involves direct contact between the worker and machine that
cannot be reduced substantially.
Maintenance may be required without prior notice for proper preparation.
As a result of these risks, maintenance is associated with all kinds of accidents.
Occupational accidents during maintenance work are numerous. Approximately
50 % more accidents happen during maintenance work than during normal production. These accidents often result in severe injuries and prolonged time off
work. Maintenance workers are not only at risk of being involved in a work-related
accident, but also of developing occupational diseases.
As a result, the hazards to which maintenance workers are exposed vary
depending on the task and the working sector. Hazards include physical, chemical,
and psychosocial hazards. Chronic exposure to certain hazards may cause health
problems such as asbestosis, cancers, hearing problems, skin diseases, respiratory
diseases, musculoskeletal disorders with, as a consequence, a higher-than-usual
sickness absence rate. Studies indicate that industrial maintenance workers might
be at especially high risk of occupational diseases. According to a French study,
industrial maintenance employees have a rate of occupational diseases 810 times
greater than the average population. A high percentage of reported cases of
musculoskeletal disorders occur in maintenance workersmechanics, electricians.
Many accidents are related to work equipment and machine maintenance, e.g.
crushing by moving machinery, unexpected start-up. Other accidents involve falls
from height, accidents involving falling objects, Electrocution, electrical shocks,
burns, confined spaces, asphyxiation, Explosion, and fire.
Maintenance workers are frequently exposed to excessive noise caused by
machinery, equipment or by vehicles. Long term exposure to high sound levels
causes several undesirable effects on the health of operators, causing hearing problems such as hearing loss or tinnitus, and non-auditory problems such as difficulties in
concentrating, sleeping disorders, gastric ulcers, and increased blood pressure.
Workers performing maintenance tasks might also be exposed to vibrations.
Exposure to hand-arm vibration occurs when hand-held power tools, such as
grinding, polishing are used, or riveting tools, percussion hammers, vibrating
compactors, mowers or chain saws are used. These tools can transmit vibrations to
the workers hand causing vascular, neurological and musculoskeletal disorders
such as white finger syndrome, a decrease in the sense of touch, and elbow
arthritis. Workers are also exposed to vibrations caused by heavy machinery when
a large part of the body rests on a vibrating surface. This is the case for drivers of
commercial vehicles, such as tractors and fork-lift trucks.
Maintenance workers in some industries are exposed to uncomfortable or
extreme environmental conditions. They can be exposed to high or low temperatures, to excessive humidity, to poor ventilation or to UV radiation or radiant heat
sources. Arc welders, for example, are exposed to ultraviolet and visible light from
the electric arc.
62
Maintenance workers are sometimes subjected to ergonomic hazards. They

might be required to lift heavy loads that may not be within easy reach, access may
be poor or there may not be sufficient space to move. Floors may be slippery or
cables might be in the way. Workers performing maintenance tasks can be exposed
to repetitive movements, such as turning many screws by hand or with poorly
designed tools. Sometimes workers have to hold tools or parts of the installation
they are working on in place for some time and this can lead to significant static
muscular workload and local muscle fatigue.
Workers can be exposed to chemical hazards during maintenance work where
chemical substances can be released into the working environment by the task
being carried out and the worker may come in contact with them. Some of these
hazards are:
Inhalation of chemicals (gases such as CO, H2S, SO2, various fumes and vapors,
lack of oxygen in confined spaces, i.e. typically an excess of N2 or CO2).
Direct exposure through the skin (caused by splashes, contaminated surfaces, etc.)
Physical effects (burns due to chemical fires or hot substances, injuries caused
by pressure waves, e.g. as a consequence of explosions, impact by fragments
caused by explosions, etc.)
Workers might be exposed to chemical hazards for example, during electric arc
welding, while working in industrial installations where hazardous chemicals
are present.
Specific maintenance operations may involve risks associated with asbestos
fibers during maintenance of industrial installations and buildings where
asbestos is present in the structure.
Exposure to chemical hazards leads to diverse and sometimes severe health
problems. Asbestosis, skin diseases, and respiratory diseases, cancer are just a few
examples.
Maintenance workers may experience stress caused by the nature maintenance
itself such as, time and cost pressure, complex technology combined with nonroutine situations, working alone and in isolation, irregular working hours, and
insufficient knowledge about building lay-out or the machines they have to use or
to maintain.
4.1.1 Maintenance for Safety

Machine deterioration starts immediately after commissioning the machine and
starting operations and that is when the role of maintenance starts. Lack of
maintenance or inadequate maintenance can lead to dangerous situations, accidents and health problems. Maintenance failures may contribute to large-scale
disasters with extremely damaging consequences for humans and the environment.
On the other hand, maintenance itself can be a source of increased failure risks and
thus unnecessary maintenance is not desirable. Therefore, choosing an appropriate
63
maintenance strategy and its frequency in addition to quality implementation is

essential for occupational safety and health.
Maintenance involves, lubricating, cleaning, moving, replacement of deteriorating parts, and assembly and disassembly of machines. Each activity if not done
properly may result in machine failure either immediately during restarting or after
short or long term of operation. Some sources of hazard risks that results from
maintenance are:
Spilled or leaking lubricants

Using wrong or low quality spare parts
Wrong reassembly of machine
Not replacing a deteriorated part during maintenance.
Some of these are human errors and some are poor management. Human errors
may happen because of lack of training or information, fatigue, lack of motivation,
time or cost pressure, lack of support, and lack of mental or physical ability. Good
planning, management and controlling in addition to workforce training supported
by the right tools and equipment reduces these sources of risks.
The process of maintenance should start at the design and planning stage
before maintenance workers even enter the workplace. It is essential to implement
appropriate risk assessment procedures for maintenance operations, as well as
employing adequate preventive measures to ensure the safety and health of workers
involved in maintenance activities. After maintenance operations are completed,
special checks (inspections and tests) should be carried out to ensure that maintenance has been properly carried out and that new risks have not been created.
During the whole process good maintenance management should ensure that
maintenance is coordinated, scheduled and performed correctly as planned, and that
the equipment or workplace is left in a safe condition for continued operation.
Maintenances strategies, concepts and integrated approaches such as TPM and
RCM (introduced in the previous chapter) influences safety and health at work in
several ways.
Reduces the risk of unplanned maintenance and sudden breakdowns

Integrates of OSH management into maintenance management
Helps manage health and safety in a structured way
Assures adequate risk assessment
Ensures training and competence
Involves workers in the risk assessment and maintenance management process.
Many typical risks in maintenance operations involve proper design for maintainability of machines that impacts safety:
easy access to the components to be maintained

minimizing the number of components to be replaced, connected, disconnected
increasing maintenance intervals
making difficult or impossible to perform a maintenance task incorrectly or in an
unsafe way.
64
4.1.2 Methods for Maintenance Safety Improvement

There are four approaches to industrial hazard avoidance [1]:
Analytical approach
Engineering approach
Enforcement approach
Psychological approach.
The last two approaches deals with human error related to all kind of behaviors in
all types of environments. The first two are more specifically relevant to operations
and maintenance.
Analytical Approach deals with hazards by analyzing their mechanism and
analyzing historical data. Some of the common analytical approaches are:
Accident root cause analysis
Failure mode and effect analysis
Fault tree analysis.
More information about these approaches is available in traditional maintenance
textbooks.
The engineering approach utilizes three major tools for reducing safety hazards
in the workplace.
Engineering controls
Safety procedures for maintenance work
Personal protective equipment.
Engineering controls focus on designing and redesigning tools, machines and
equipment by feeding back their safety performance to improve designs. It also
introduces protective instruments and controls for safe fails and shutoffs and for
protecting plants against release of toxic material or over pressurization.
The design and selection of Personal protective Equipment (PPE) for different
working environments and types of hazards is a third engineering approach. PPEs
are designed for personnel protection against potential occupational accidents and
diseases. Among the most important are
Hand, head, foot, and eye protective equipment

Hearing protective equipment
Respiratory Protection equipment
Body protection.
65
Safety Performance
Indicators
Reactive Indicators
Proactive Indicators
Predictive/Monitoring
Safety deviations
Near Misses
Behavioral indicators
Accident free periods
Audit score
Safety attitude
Organization risk
factor
Safety Effort
Indicators
No. of safety
audit/inspections
Safety budget
Hours of training per
worker
Hours of Mgt. time
spent
No. of risk
assessment
Accident rate
Lost rime injury rate
Medical treatment
cases
Accident cost
Severity rate
No. of leaks
No. of Fires
First aid rate
Fig. 4.2 Example of maintenance performance indicators
4.1.3 Safety Measurement

Safety improvement effort must be directed by some performance measurement
system that includes; safety indicators, inspection, data collection, analysis and
corrective action. Maintenance can utilize such systems for monitoring and
improving its performance in terms of safety. An example of such performance
indicators is shown in Fig. 4.2 in which indicators are classified as proactive and
reactive. Accident rate and lost time injury rate are two examples of reactive
indicators. Examples of safety effort indicators include number of safety audits and
safety budgets. Near-misses is an example of monitoring and behavioral indicators
is an example of predictive indicators.
4.1.4 Safety Legislations

Safety legislations are developed by several organizations that include standard
procedures and standards for safe workplace including maintenance. Some of these
agencies are:
Occupational Safety and Health Act of 1970 (OSHA act) is developed to protect
worker and work place safety. The OSHA act was enacted through the Occupational Safety and Health Administration agency of the US department of
66
labor. Another organization that is actively involved in occupational safety and

health legislation is the international Labor Organization.
The European Agency for safety and Health at Work is the European agency
concerned with occupational safety regulations.
The European Framework Directive 89/391/EEC introduced measures to
encourage improvements in the safety and health of workers.
Romec, an organization in the UK offering maintenance services, has developed
a comprehensive health and safety management system that complies with the
British Occupational Health and Safety Assessment Series (OHSAS) 18,001
Standard. This system contains safety procedures, safe systems of work and
around 400 generic risk assessments covering all products and routine tasks
within the business.
4.2 Maintenance and Sustainability

The concept of sustainability is increasingly gaining importance in all aspects of
modern civil life development including energy, food, transportation, and manufacturing. Sustainable development is defined by the United Nations World
Commission on Environment (UNWECD) as development that meets the needs
of the present without compromising the ability of future generations to meet their
own needs. It has three pillars; economy, society and environment, as illustrated
in Fig. 4.3 using three overlapping ellipses indicating that the three pillars of
sustainability are not mutually exclusive and can be mutually reinforcing, suggesting that both economy and society are constrained by environmental limits.
http://en.wikipedia.org/wiki/Sustainability#cite_note-15, access date: 2014.
With this global effect of sustainable development the manufacturing sector is
moving from traditional manufacturing to lean manufacturing (reducing waste), to
green manufacturing (reducing waste, reusing and recycling) and lately to sustainable manufacturing. Sustainable manufacturing is defined by the U.S.
Department of Commerce as the creation of manufactured products that use the
processes that minimize negative environment impacts, conserve energy and
natural resources, are safe for employees, communities, and consumers and are
economically sound. Sustainable manufacturing utilizes the 6R innovation elements (Reduce, Reuse, Recycle, Recover, Redesign, and Remanufacturing). Sustainable manufacturing utilizes the 6R innovation elements (Reduce, Reuse,
Recycle, Recover, Redesign, and Remanufacturing).
http://www.trade.gov/competitiveness/sustainablemanufacturing/how_doc_
defines_SM.asp [2].
Figure 4.4 illustrates the closed loop manufacturing system that uses the 6R
innovation system in comparison with the open loop traditional system. The 6R
includes the recover, redesign and remanufacture of products or components in
addition to reducing waste and energy, and reusing and recycling of products and
components.
67
Fig. 4.3 A diagram

indicating the relationship
between the three pillars of
sustainability
Economy
Society
Environment
Fig. 4.4 Closed loop product

life cycle system. Adapted
from [2]
Manufacturing
Use
Reuse
Recover
Remanufacture
Material
processing
Retirement
Reduce
Material
extraction
Energy
Recycle
Redesign
Raw
material
Treatment &
Disposal
Waste
Emissions
Earth
Manufacturing processes sustainability deals with assets and operations. Manufacturing assets impact cost, power consumption, waste, health, safety, and
environment resulting from manufacturing operations and logistics. Environment is
affected by toxic emissions, waste production, and waste of energy, scrap and
rework. Maintenance as the custodian of assets plays a major role in manufacturing
process sustainability.
4.2.1 Sustainable Maintenance

Maintenance, being a major role player in manufacturing and asset management, is
becoming under special attention for its role in sustainable business development.
Since the concept of sustainable development is rooted in the systems thinking
concept of understanding ourselves and our world, it is advisable to use the
maintenance system concept that was introduced in Chap. 3 for planning for
sustainability. In that system, maintenance is viewed as a part of a complex network of multiple organizations integrated vertically and horizontally to improve
68
production quality, reduce waste, increase safety, while improving the quality of
life, environment, and society in the long run. This view locates maintenance in the
heart of the system from a manufacturing perspective.
Commissioning life of manufacturing assets may be divided into three stages:
1. Procurement and installation stage
2. Operational stage
3. Decommissioning stage.
Adopted from Liyanage et al. [3].
At the procurement stage maintenance should be heavily involved in the
technology selection processes to insure safety, maintainability and long term
sustainability. Some of maintenance activities at this stage are listed below:
Maintenance scenarios to manage future threats and opportunities
Defining maintenance related design basis to set acceptable standards for
functional integrity
Identify and define feasible maintenance work philosophies and programs
Technical quality compliance strategy for third party systems and equipment
suppliers
Execution of risk and vulnerability analyses (including reliability, hazard and
operability, maintainability and supportability, etc.)
Goal setting and responsibility charting
Document compliance and development procedures
Competence mapping and development procedures
Development of work process
Damage proof storage and logistic solutions.
Ill maintained chemical or desalination plants have more toxic emissions than
well-maintained ones during operations. Cleaning material used for maintenance
operations can produce toxic waste if not selected and used carefully. Monitoring,
controlling, and eliminating all sources of health, safety, and environmental hazards should be a major part of maintenance plans. Some of maintenance things to
do for sustainable performance of assets are listed below:
Technical condition optimization with respect to plant performance target

Continuous revision and update of maintenance philosophies and programs
Continuous update and effective management of technical documentation
Continuous integrity analysis and review of life cycle costs
Analysis of performance trends and historical losses to map operational risk
exposure
Competence revisions and managements
Audits and verifications of inspection, testing, and maintenance activities
Continuous criticality analysis and work priority setting.
69
Some maintenance activities at the decommissioning stage are listed below:
Integrity and remaining useful life analysis

Condition assessment and reusability analysis in the new operating set-up
Assessment of risk exposure
Removal and reinstallation planning.
In general, integrated maintenance planning processes described in Chap. 3 puts

maintenance in line with the e-organizational strategic setting. Sustainability,
being a global strategic issue, brings up the role of maintenance as a custodian of
manufacturing assets sustainability.
4.3 Conclusion
Maintenance is one of the most important factors for maintaining safe and healthy
work environment in manufacturing sector. Maintenance may contribute positively
or negatively on the safety of the work place. Maintenance work itself is one of the
highest risk types of work for various reasons including time pressure and lack of
training. Types and Sources of hazards during and after the maintenance work are
numerous including human errors and poor management. Several international
organizations took the mission of guiding the industry for ensuring safe environment
and safe maintenance procedures. Governments and legislative organization regulates and enforce standards for ensuring the safety in the working environment.
The issue of sustainable development has become global concern in all aspects
of life including manufacturing. Being the custodian of the manufacturing assets,
maintenance planning for sustainability is as important as its planning for asset
availability, reliability and safety.
References
1. Baston RG (1999) How preventive maintenance impacts plant safety. In: Proceedings of
annual conference on maintenance and reliability, Gatlinburg TN, Maintenance Reliability
Center, University of Tenessee
2. Jayal AD, Badurdeen F, Dillon OW Jr, Jawahir IS (2010) Sustainable manufacturing:
Modeling and optimization challenges at the product, process and system levels. CIRP J
Manufact Sci Technol 2:144152
3. Ben-Daya M, Duffuaa SO, Raouf A, Knezevic J, Ait-Kadi D, Liyanage JP, Badurdeen F,
Ratnayake C (2009) Industrial asset maintenance and sustainability performance. In:Handbook
of maintenance management and engineering. Springer, Berlin, pp 665693
Chapter 5
Ethics in Maintenance
Abstract Ethical principles are essential for developing a sustainable success at

the business level as well as at the individual level. This applies to all professions
including maintenance engineering. Unethical acts in maintenance can lead to
disastrous incidents and develops an unhealthy working environment. Professional
organizations put in place codes of ethics that should be followed by all members
of the professions. In this chapter, ethical issues, concerns, and codes of conducts
related to the maintenance profession are discussed.
Keyword Maintenance ethic
Codes of conduct Professional values
Business or professional ethics examines ethical principles and moral or ethical

problems that arise in a working environment. It applies to all aspects of professional conduct and is relevant to the conduct of individuals and entire organizations. Ethical issues include the rights and duties between a professional individual
and his fellow workers, the organization and its employees, suppliers, customers
and neighbors, the public at large and the global environment.
The National Society of Professional Engineers (NSPE) has developed and
published the engineering code of ethics [1]. Other specific engineering professional societies, such as mechanical and civil engineering, have also developed
their own code of ethics, that does not vary much in their fundamental principles.
The American society of civil engineers has developed the code of ethics for Civil
engineers with seven canons:
1. Engineers shall hold paramount the safety, health and welfare of the public and
shall strive to comply with the principles of sustainable development in the
performance of their professional duties.
2. Engineers shall perform services only in areas of their competence.
3. Engineers shall issue public statements only in an objective and truthful
manner.
4. Engineers shall act in professional matters for each employer or client as
faithful agents or trustees, and shall avoid conflicts of interest.
DOI: 10.1007/978-3-319-06290-7_5, The Author(s) 2014
71
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5 Ethics in Maintenance
5. Engineers shall build their professional reputation on the merit of their services
and shall not compete unfairly with others.
6. Engineers shall act in such a manner as to uphold and enhance the honor,
integrity, and dignity of the engineering profession and shall act with zerotolerance for bribery, fraud, and corruption.
7. Engineers shall continue their professional development throughout their
careers, and shall provide opportunities for the professional development of
those engineers under their supervision.
Each of the canons is supported by detailed practicing guidelines.
Maintenance professional have no specific code of ethics and thus fall under the
general engineering code of ethics.
5.1 Maintenance Code of Ethics

People in the workplace as well as business owners put their trust on maintenance
staff to maintain a safe and healthy working environment and restoring the value of
their assets. It is expected that maintenance is done with the highest level of
professional values, ethics and attitudes. It is expected that they will always do the
right thing when it comes to ensuring safe and productive operations.
Professional values, ethics and attitudes are the professional behavior and
characteristics that identify maintenance professionals. They include the ethical
principles of conduct considered essential in defining the distinctive characteristics
of professional behavior, that include: a commitment to technical competence;
ethical behavior (such as independence, objectivity, confidentiality and integrity);
professional manner (such as due care, timeliness, courteousness, respect,
responsibility and reliability); pursuit of excellence (such as commitment to
continuous improvement and life-long learning) and social responsibility (such as
awareness and consideration of the public interest).
The Professional Aviation Maintenance Association (PAMA) has identified key
ethical principles stated as follows:
1.
2.
3.
4.
5.
6.
The Principle of RespectTreat others as you want to be treated.

The Principle of Non-MalevolenceDo no harm with your actions.
The Principle of BenevolenceAct to promote the well-being of others.
The Principle of IntegrityConduct yourself professionally.
The Principle of JusticeTreat people fairly.
The Principle of UtilityChoose the actions that promote the greatest good for
the greatest number of people.
7. The Principle of Double EffectChoose actions so the good effects are greater
than the bad effects.
Maintenance Codes of ethics are developed by associations in different sectors and
they usually have a common factor that encompasses all maintenance professionals.
The Professional Aviation Maintenance Association (PAMA) has published the
5.1 Maintenance Code of Ethics
73
Code of Ethics for Maintenance Personnel. The Aircraft Engineers International

organization has also published a Code of Professionalism. Some of the key elements common to these codes are as follows:
Maintenance professionals are responsible to the general public.
Maintenance professionals are expected to maintain currency of knowledge,
exercise truth, integrity and honesty in their judgment, and work within the
scope of their expertise.
Maintenance professionals are expected to remain loyal to the general public
and refrain from for compromising safety for personal gains.
Maintenance professionals are expected to exercise assertiveness and not allow
any superior to pressure him/her to approve aircraft or equipment as airworthy
under questionable circumstances.
Ethics check lists are usually developed and used as a tool for self-assessment and
quality assurance. An example from the aviation industry that applies to almost all
maintenance professionals is shown below.
5.1.1 Pre-task Checklist
Do I have the knowledge to perform the task?

Do I have the technical data to perform the task?
Have I performed the task previously?
Do I have the proper tools and equipment to perform the task?
Am I mentally prepared to perform the job task?
Am I physically prepared to perform the task?
Have I taken the proper safety precautions to perform the task?
Have I researched the FARs to ensure compliance?
5.1.2 Post-task Checklist
Did I perform the job task to the best of my abilities?

Was the job task performed to be equal to the original?
Was the job task performed in accordance with appropriate data?
Did I use all the methods, techniques, and practices acceptable to the industry?
Did I perform the job task without pressures, stress, and distractions?
Did I re-inspect my work or have someone inspect my work before return to service?
Did I make the proper record of entries for the work performed?
Did I perform the operational checks after the work was completed?
Am I willing to sign on the bottom line for the work performed?
74
5 Ethics in Maintenance
Examples of the most essential ethical and professional conduct associated with
maintenance are cited below:
Reporting data and information related to machine performance accurately.
Failure to do that for any reason might lead to wrong plans and decisions
resulting financial loss and/or safety and health risks.
Conducting failure and accident investigation professionally and honestly. Failure
to do so increase the risk of reoccurrence with more severe consequences.
Attempting to perform unfamiliar tasks without seeking help or proper training.
A technician or engineer doing this put himself and his coworkers in risk of
serious and may be fatal accident.
Management putting pressure on maintenance professional to reduce maintenance time for the sake of increasing production is an ethical misconduct that
might expose worker in the plant for different types of hazards.
Purchasing low quality spare parts for the sake of reducing maintenance cost
contributes to loss value of machines and more seriously causes sudden
breakdowns and becoming a source of health and physical hazard for maintenance workers and machine operators.
5.2 Conclusion
Professional societies are concerned with ethical conduct as much they are concerned with professional development. Such societies put in place an agreed upon
code of ethics for their members to abide with. Engineering societies such as civil
engineers, mechanical engineers and chemical engineers, have developed and
published their code of ethics. Business and management societies also have their
own code of ethics. Maintenance professionals need to have a widely acceptable
code of ethics governing their professional conduct, attitudes and commitment
toward their organization success as well as society and global sustainability.
Reference
1. http://www.nspe.org/resources/ethics/code-ethics
Chapter 6
Recent and Future Trends in Maintenance
Abstract Maintenance is globally important to sustain equipment, process, and

measures. It has also multidisciplinary features combining almost all engineering
fields, mathematics, statistics, information sciences, and management. In this
chapter, recent developments and future trends in maintenance in relation to all the
above fields are briefly presented.
Keyword Recent developments
Future trends Engineering fields
Maintenance is a multidisciplinary area where Engineering, mechanical and

electronic, information, telecommunication and networking technologies, mathematical, statistical, and management areas integrate for the advancement in
maintenance management and engineering. Any development in one or more of
these areas will create a chain reaction in the other areas for improved maintenance
integration. Development in instrumentation technology, for example, changes the
type, amount, timing and accuracy of collected data which triggers a change in the
way big data are analyzed and affect the decision making processes. This flow of
data calls for improved decision support system development and drives changes
in management structure and practices.
Recent advances in telecommunication and internet applications caused the
emergence if the e-maintenance concept and advancement in instrumentation and
control led to prognostic tools for better condition based maintenance e-systems
that are integrated with e-maintenance leading an efficient e-maintenance system.
More work is expected in the future for the development of intelligent maintenance system that utilizes advancements in electronic measurement devices,
remote sensing for more efficient communication and controlling of processes. In
addition, planning for maintenance at strategic as well operational level will adapt
to the intelligent maintenance systems. This technical development will also create
a stream of mathematical tools for optimizing resources in view of the technology
uses and costs with traditional constrains relaxed and new cost parameters opening
for improved solutions of different maintenance policies.

DOI: 10.1007/978-3-319-06290-7_6, The Author(s) 2014
75
76
6 Recent and Future Trends in Maintenance
New trends in integrated planning started to generate a new look at maintenance

concepts such as TPM and RCM from a global perspective that involves internal
and external stakeholders at the business level rather than a functional level. This
integrated planning will allow maintenance to cope with global sustainability
issues and other legislative issues. Integrated planning will help in transforming
maintenance into a value added activity rather than a cost center with minimum
contribution to the objective of the organization.
Future will have more effective use of recent trends in supply chain management for mitigating costs and risks amongst business partners in the supply chain.
Adopting the management methods and optimization tools that have proven success in other business areas will drive a new stream of efficient and effective use of
resources in maintenance.

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SPRINGER BRIEFS IN APPLIED SCIENCES AND

TECHNOLOGY MANUFACTURING AND SURFACE ENGINEERING

Umar M. Al-Turki Tahir Ayar

SpringerBriefs in Applied Sciences

For further volumes:

Umar M. Al-Turki Tahir Ayar

Bekir Sami Yilbas

Traditionally, maintenance is viewed as the necessary challenge that needs to be

Maintenance in Manufacturing Environment: An Overview