Guideline

INPO 05-004
January 2015

Guidelines for the

Conduct of Maintenance
at Nuclear Power
Stations
Revision 1

GENERAL DISTRIBUTION
GENERAL DISTRIBUTION: Copyright © 2015 by the Institute of Nuclear Power Operations. Not for sale or for commercial use.
This document may be used or reproduced by INPO members and participants. Not for public distribution, delivery to, or
reproduction by any third party without the prior agreement of INPO. All other rights reserved.

NOTICE: This information was prepared in connection with work sponsored by the Institute of Nuclear Power Operations (INPO).
Neither INPO, INPO members, INPO participants, nor any person acting on the behalf of them (a) makes any warranty or
representation, expressed or implied, with respect to the accuracy, completeness, or usefulness of the information contained in this
document, or that the use of any information, apparatus, method, or process disclosed in this document may not infringe on privately
owned rights, or (b) assumes any liabilities with respect to the use of, or for damages resulting from the use of any information,
apparatus, method, or process disclosed in this document.
 INPO 05-004

GENERAL INTRODUCTION

These guidelines are intended to help member utilities develop and implement excellent
maintenance programs and to assist these utilities in meeting the maintenance performance
objectives in INPO 12-013, Performance Objectives and Criteria. These guidelines may be used
to execute new programs and to review those existing or planned. The specific guidelines reflect
generally accepted practices for conducting maintenance activities effectively. Deviation from
any particular guideline would not in itself indicate a weakness in the implementation of
maintenance programs. However, differences between the practices described in the guidelines
and those practiced at the station should be reviewed to determine if change is warranted. A
change to those practices may be appropriate if performance weaknesses existed.

Maintenance programs typically cross organizational boundaries to include engineering,

operations, work management, radiation protection, chemistry and other groups. No single
group can effectively maintain the power plant in isolation. These guidelines address the
management of a typical maintenance department consisting of mechanical, electrical,
instrument and control, and work planning groups. Departments that differ will find
applicability because the guidelines are designed to support principles.

Each chapter is divided into three parts: an introduction, attributes and guidelines. The
introduction briefly defines the chapter topic and the objectives to be achieved. Attributes of
excellent programs are provided for assessment and comparison of existing programs. The
guidelines section outlines the key features necessary to meet the program objectives.

At the end of each chapter are references to INPO and other industry documents that provide
supporting information, or example of programs. Many of these documents are available
electronically on the INPO Member Website.

These guidelines can be useful to corporate managers and staff members responsible for the
oversight of programs supporting maintenance. They also can be used in assessing the
effectiveness of corporate policies that support site maintenance practices.

This revision incorporates guidance as defined in the industry’s Cumulative Impact initiative.
For example, this revision incorporates the use of a graded approach to work planning,
preparation, prejob briefings and walkdowns. It clarifies the attributes of craftsmanship and
worker fundamentals by providing examples of maintenance fundamentals for instrument and
control, electricians and mechanical maintenance. Additionally, the revision stresses
maximizing the use of minor maintenance processes and the assignment of single-person tasks to
improve the efficiency of maintenance.

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TABLE OF CONTENTS

Section Page

GENERAL INTRODUCTION ..................................................................................................... i

I. MAINTENANCE MANAGEMENT .................................................................................... 1

II. MAINTENANCE PERSONNEL KNOWLEDGE AND SKILL ............................................... 8

III. SUPERINTENDENTS AND FIRST-LINE SUPERVISION ...................................................14

IV. CRAFTSMANSHIP AND WORKER FUNDAMENTALS ....................................................18

V. EXCELLENCE IN EQUIPMENT PERFORMANCE ............................................................23

VI. MAINTENANCE ROLE IN WORK MANAGEMENT .........................................................27

VII. PERFORMANCE MONITORING .....................................................................................34

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I. MAINTENANCE MANAGEMENT

A. Introduction

Maintenance management manages the department to ensure that high standards of

equipment performance are achieved. This oversight involves establishing sufficient
numbers of trained, qualified, and proficient workers; providing the tools, facilities and
environment needed for success; implementing sufficient controls; and providing
appropriate oversight. The organization is capable of recognizing and correcting
problems that may interfere with attaining and sustaining high equipment performance.
Other INPO documents provide guidance or good practices for leadership and teamwork.

B. Attributes Of Excellent Maintenance Management

1. While demonstrating an unwavering commitment to nuclear safety in their decisions

and behaviors, managers align the workforce with the vision and values of the
company, set and achieve challenging goals, reinforce a culture of accountability, and
develop talent for the future. Reference the INPO Leadership and Team
Effectiveness document for additional information regarding attributes of an effective
leader.
2. Managers and superintendents are involved in the leadership development of new
first-line supervisors. In addition, managers and superintendents are involved in
monitoring first-line supervisor performance and coaching to improve performance.
3. Managers are aware of how managerial decisions affect first-line supervisors, and
they evaluate changes in policies or processes for their impact on those supervisors.
4. High standards for department performance and individual behavior, particularly
ownership and a commitment for continuous improvement are established, with an
emphasis on nuclear, radiological and industrial safety.
5. Managers, superintendents and supervisors routinely monitor performance and
reinforce standards and expectations
6. Knowledgeable and qualified personnel are developed to accomplish departmental
objectives. Resource losses are replenished in sufficient time to avoid interfering
with the department mission.
7. Training is effective at providing fundamental knowledge and skills for maintenance
personnel.

C. Guidelines

1. Maintenance Management

Maintenance managers chart the course for their organization by ensuring the
workforce understands the mission of the department within the overall station
organization and by creating a vision of excellence for how to accomplish it.

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Mission: The mission of the maintenance department is to prevent and correct

equipment failures, without causing plant transients and without inducing latent errors
(Some maintenance departments are also involved in construction activities.)
Accomplishing this mission is the core business, and leaders must make certain their
organizations understand it and are equipped to accomplish it. Frequent
communication and reinforcement of the mission are important to align the
organization.

Vision: Maintenance managers and supervisors convey a vision of excellencethat

is, the state of performance the organization is trying to achieve. The more clearly
this vision is defined for all levels of the organization, the more rapid the progress
will be toward achieving it.

Initiatives: Initiatives are typically those activities above and beyond the core
business and are intended to move the organization from its current state to a higher
level of excellence. They may also be used in support of the core business.
Successful initiatives start with a clear understanding of both the current state and the
desired end state. They are implemented with carefully devised action plans or
change management plans that define roles and responsibilities, timelines,
communication plans, and indicators.

Direction: Maintenance management provides direction to the workforce. It is

important that directions are clear, consistently applied and understood throughout the
entire organization.

Goals: Goals are used to help drive organizational performance to new levels. They
also are useful in clarifying to the organization what is important. Goals are
developed based on industry top performance. They should be measurable,
challenging and achievable.

Standards: Maintenance managers and supervisors set and adhere to high standards.
Leaders model and reinforce standards of behavior. Additionally, high accountability
should be exercised for meeting those standards.

Alignment: Improving organizational performance requires good alignment.

Achieving good alignment involves finding common ground across the organization;
engaging in frequent, meaningful communication; and ensuring inclusiveness in
decision-making.

2. Setting Standards, Goals and Expectations

Managers establish standards and goals relative to industry top performers. Standards
usually refer to written guidance. This guidance could be well-established industry
criteria, such as American Society of Mechanical Engineers codes or in-vessel visual
inspection criteria. Standards usually refer to requirements and expectations

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contained in station administrative procedures or policies, such as the conduct of

operations procedure or the control of foreign material program.

Managers establish and communicate the behaviors, values, and performance levels
that are expected of their workforce, and monitor performance to ensure these are met
by all workers and reinforced by supervision.

• Managers ensure standards are easily understood. Additionally, managers

ensure standards have sufficient technical detail and are contained in single
documents.
• Managers “network” with others to gain an understanding of industry
standards and goals. They contact peer managers routinely, attend industry
meetings, and read industry articles and news.
• Managers seek to improve performance through benchmarking industry best
performers. The benchmarking teams identify good information, and that
information is implemented.

3. Communicating Standards and Expectations

Managers clearly communicate their established standards, expectations, goals,

process details and practices to superintendents, supervisors and workers.

If the station managers have standards and expectations aligned with the industry, the
next step is to clearly communicate to supervision and the workforce what these
standards and expectations are. This communication typically requires using many
methods, such as training, meetings, shop briefs, in-field observations, morning
meetings, written newsletters, video monitors and so forth.

• Existing standards and expectations are effectively presented and reinforced

in initial and continuing training settings. Training instructors understand
and uphold those standards and expectations.
• Dynamic learning activities, such as videos, role-playing, storytelling, are
used to illustrate what the expectations and standards look like.
• Managers communicate a consistent message using multiple methods, at
multiple times, such as procedures, newsletters, all-hands meetings, emails,
and face-to-face communications.
• Progress in achieving established goals is communicated in multiple venues.
• Detailed communication plans are used to communicate substantial changes.
Target audiences are determined, specific messages for each audience is
developed, and method(s) of delivery are brainstormed.
• Station standards are communicated in various and diverse methods. Key
performance indicators, signs and posters, video monitor slides, and pocket
guides are used to reinforce this message.

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4. Monitoring and Reinforcing Standards and Expectations

Managers, superintendents and supervisors routinely monitor performance and

reinforce standards and expectations.

Experience has shown that even after standards have been clearly established and
communicated to the workforce, vigilant monitoring of work practices is required to
promptly correct deviations from the established standards.

• Managers are present within the workplace, positively influencing behaviors.

They are in the plant, both during important and routine jobs. They also are
in the shop, training and frequently -used areas, talking to the workforce
workers to understand what is happening on the “floor.”
• Managers are fully committed to reinforcing expectations. They see their
role as setting workers up for success, coaching and questioning before the
work starts and during the work.
• Managers emulate standards in their speech and their actions.
• Positive reinforcement is used much more than negative reinforcement or
punishment. Coaching (positive and negative) is specific. Additionally,
every opportunity is taken to coach when standards are not met. Rewards
are tied to results through the right behaviors.
• Managers are coaching superintendents and supervisors, and
superintendents are coaching supervisors on how to coach workers.
Managers reinforce leadership- and relationship-building skills and ensure
superintendents and supervisors fully understand their standards and
expectations.
• On occasion, minor problems are inflated to influence performance. When
nonconsequential events take place in important areas – such as an
improperly torqued valve with no impact, a near-miss injury, a loss of high-
radiation barrier control, an incorrect live-dead-live check prior to work, an
incorrect repair of equipment found during post-maintenance testing, and so
forth – the lesson learned is shared broadly across maintenance and the
station. However, shortfalls in general are proactively identified and
corrected before consequential events occur. Priorities are:
– strive to prevent problems
– identify and document shortfalls at a low threshold
– supervisors and managers are present and engaged with workers to
monitor performance, encourage the identification of shortfalls, and
prevent events
• Key performance indicators are used to highlight gaps and to reinforce the
need to improve. Managers explain where the station compares to the
industry in these areas and articulate the importance of improvement.

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• Adverse trends in performance are used to reinforce improvement. A

“burning platform” is established to influence the urgency and importance
of improving in that area.
• Maintenance managers have a performance-monitoring approach that
provides comprehensive information about department performance.
Monitoring includes activities such as self-assessments, performance
indicators, and trending. More information on performance monitoring is
provided in Chapter VII.

5. Accountability

Accountability is critical to a well-functioning organization and is essential to

teamwork. Groups and individuals demonstrate accountability when they take
responsibility for results. A culture of accountability is an important contributor to
sustained high performance.

For accountability to be effective, clear roles and expectations are needed. Frequent
reinforcement of standards, expectations and ownership, and periodic review of
performance are also necessary. In addition, an environment in which feedback and
communication are continuously encouraged is important. This environment supports
the recognition of strengths and weaknesses and encourages participation in
improvements.

6. Organization and Resources

A productive department improves equipment reliability which is key to safe

operations. To accomplish the mission of preventing and correcting equipment
problems, without causing plant transients or inducing latent errors, maintenance
managers must ensure appropriate and sufficient resources are available. Actions
include having qualified and proficient resources, appropriate facilities and tooling,
and the proper processes to accomplish the mission efficiently.

Resources: Maintenance management ensures sufficient resources are available to

accomplish the scope of work. Resources include station and supplemental personnel.
Maintenance managers understand how much work there is to do over a given period
(annual, cycle) and the capabilities of the workforce. This information is needed to
establish resource needs.

For the production crews, the projected work scope is determined by the expected
number of surveillances, preventive maintenance (PM) activities and expected
corrective maintenance in some cases, modificationsto be done. Surveillances
are established by regulation, and managers establish PM activities. Corrective items
(corrective and deficient) are established by the state of the plant’s materiel condition
but can be estimated based on historical data.

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The resources needed to accomplish the work scope can be established by applying
work rates to expected work. When available resources and required man-hours are
out of balance, backlogs often increase, or work is deferred.

Maintenance managers and supervisors must anticipate organizational needs to

address increasing work scopes from initiatives such as PM optimization programs
that often add significant amounts of new work. Detailed plans should be developed
with engineering and work control that include the prioritization of new PMs in
accordance with INPO AP-913, Equipment Reliability Process Description,
Appendix H. Identify the necessary planning resources to develop the new PMs and
the additional maintenance resources to perform the amounts of new work. An
important part of the plan needs to include how noncritical PMs may be eliminated or
have their frequencies changed to allow the station to support the new work.

Maintenance managers and supervisors support adjusting low-value-added PM tasks.

PM feedback is effectively used, and workers understand what needs to be
documented and clearly communicate these needs to engineering, allowing PM tasks
to be adjusted effectively.

Fix-it-now (FIN) teams and minor maintenance processes are implemented to their
maximum capacities. FIN teams are effectively used to investigate deficiencies when
the problems are unclear, enabling the teams to work using the appropriate processes.

Teams perform the amount and depth of work planning and coordination that is
needed for the jobs without excess. Work preparation and planning is streamlined to
have work packages that focus on the technical information a worker needs to do the
job. Standard rules and policies are made available to the worker for reference, if
needed, in a convenient location. For example, a simple task to change a nonsafety-
related filter may only require a single-page work package that details the location of
the isolation valves and how to disassemble and reassemble the filter housing.

A graded approach to work planning, performing walkdowns, conducting prejob

briefings, checking procedure revisions is used to optimize the time workers are in the
field.

Guidance has been developed and used when it is appropriate for tasks to be
completed by a single worker in safe, low-risk conditions.

Facilities: Shop facilities are the proper size for the workforce and reflect high
standards of excellence in terms of how they are equipped, organized and kept clean.
The workforce needs a safe, professional and productive workplace that supports
efficient and effective work. Sufficient stowage of personal items and tooling is
necessary.

Tools: Tooling and test equipment are appropriate for the workforce, regardless of
whether the workers or the company provides the tools.

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Tools and equipment requiring calibration must be available in sufficient quantity

such that calibration activities do not adversely affect efficiency. Calibrated
equipment is traceable, and an effective means of recall is available when calibrated
tools are found to be deficient.

Processes: The maintenance department uses department-level processes to control

activities such as document flow, work assignment, tool control and many others.
These processes are needed for teamwork and efficiency. Processes are documented
to define and communicate them to users. Desk guides can be used to define
department processes.

D. References

• INPO 92-002, Guidelines for the Organization and Administration of Nuclear

Power Stations
• INPO 12-013, Performance Objectives and Criteria
• INPO 97-011, Guidelines for the Use of Operating Experience
• INPO 14-004, Conduct of Performance Improvement
• INPO AP-913, Equipment Reliability Process Description
• INPO AP-928, Work Management Process Description
• INPO 11-003, Guideline for Excellence in Procedure and Work Instruction Use
and Adherence

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II. MAINTENANCE PERSONNEL KNOWLEDGE AND SKILL

A. Introduction

Maintenance personnel, including technicians and planners, have the knowledge and
skills to perform high-quality maintenance. A maintenance training and qualification
program serves to develop, maintain and improve the fundamental knowledge and skills
that maintenance personnel need to perform their assignments effectively. Maintenance
leaders establish qualification standards for planners and maintenance technicians and
employ training to improve performance.

The training programs for maintenance technicians, supervisors and long-term

supplemental supervisors must meet the requirements for program accreditation by the
National Academy for Nuclear Training.

B. Attributes Of Excellent Personnel Knowledge And Skill Programs

1. Line ownership for and participation in training are strong. Line managers involve
themselves in course content, class conduct and worker qualification.
Notwithstanding this attribute, factors like task infrequency and complexity,
unfamiliar configuration, inexperience, weak teamwork, poor tools, poor
infrastructure, a lack of management support, or weak planning, procedures, or
processes can all challenge an otherwise proficient worker or workforce. Continuing
training is only one mitigating action to address challenges to worker proficiency. A
broad array of management, leadership and training approaches is necessary to
address this challenge area. Factors to consider include; Worker:
• education/knowledge
• training/basic skill
• repetition/familiarity
• experience/understanding
• timeliness/currency
• self-awareness
2. Trends in personnel performance are analyzed to identify knowledge and skill
weaknesses.
3. Only workers qualified and proficient in the assigned tasks are allowed to work
independently.
4. Maintenance personnel exhibit a strong grasp of maintenance fundamentals.
5. Reference ACAD 02-001, The Objectives and Criteria for Accreditation of Training
in the Nuclear Power Industry, for the criteria for training maintenance personnel.
6. Additional information on training maintenance personnel can be found in ACAD 92-
008, Guidelines for Training and Qualification of Maintenance Personnel, and

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ACAD 90-010, and Guidelines for Maintenance Supervisor Selection, Training, and
Development.

C. Guidelines

1. Responsibilities

The maintenance manager sets the standards for personnel knowledge and skills. As
such, the maintenance manager ensures that planners (if under the maintenance
organization) and technicians are trained in the maintenance fundamentals of their
jobs such that high-quality maintenance is accomplished safely and efficiently.

The maintenance manager has overall responsibility for gauging the knowledge and
skills of maintenance personnel. For stations that use training committees to provide
ownership and oversight of their training programs, maintenance management leads
or participates in the committees applicable to their programs. The manager or
superintendents approve task-qualification material and the qualification of individual
personnel. They also monitor personnel performance carefully and adjust training
plans as needed. Additional information about line manager responsibilities for
maintenance personnel training and qualification programs can be found in ACAD
02-004, Guidelines for the Conduct of Training and Qualification Activities.

Superintendent responsibilities are similar to those of the maintenance manager but

are focused on the discipline or aspect of maintenance for which the individuals are
responsible. Superintendents participate on training review committees and approve
training curriculum and qualification standards for their groups.

The first-line supervisor is responsible for ensuring that personnel are qualified and
proficient in the work for which they are assigned. A means of providing up-to-date
information about workforce qualification and proficiency is available to the first-line
supervisor. These supervisors participate fully in continuing training with their crews
to provide oversight and to reinforce expectations.

The training staff has primary responsibility for training material and delivery and for
establishing a training environment in laboratories that closely resembles plant
conditions.

2. Gauging Workforce Knowledge and Skills

Maintenance leaders know the knowledge and skill levels of maintenance personnel
through the results of activities. When performance falls short of expectations,
weakness in knowledge or skills is a potential cause.

Maintenance leaders are cognizant of each individual’s previous education,

experience, and skill level. A written or practical test as part of the candidate
screening process is often useful to learn about individual capabilities.

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Self-assessment is a tool for maintenance management to gauge workforce

knowledge and skill. Periodic trending of performance and analysis of results can
yield valuable information about knowledge and skill shortfalls. Key performance
indicators and adverse trends in performance are used to highlight gaps in
performance. Some of the following indicators may be useful:

• rework and maintenance quality

• station leaks that may indicate a knowledge weakness in bolting and
torqueing practices and in the correct application of sealants
• human-performance events
• department, discipline and crew clock resets
• supervisor field observations or coaching trends
• causal analysis of single events or chronic problems
• common cause analysis for multiple events or chronic problems

When potential knowledge and skill weaknesses are identified, potential measures,
including training are evaluated as corrective actions to address these weaknesses are
taken. Additional training is often needed to address these weaknesses.

3. Maintenance Training Programs

The training and qualification program provides a foundation for the basic skills and
knowledge that maintenance personnel must have to perform the job.

Initial training provides maintenance personnel with the base level of knowledge and
skills needed to perform assigned tasks.

Ongoing or continuing training ensures that worker knowledge and skills are
maintained and enhanced. This training provides a refresher on fundamentals and
difficult, infrequent or important tasks, new information about changes to plant
equipment and procedures, and applicable lessons learned from industry and in-house
operating experiences. Improvement in maintenance personnel job performance and
development of a broader scope and depth of job-related knowledge and skills are
also goals of the continuing training program.

On-the-job training (OJT) ensures workers who have received classroom training can
apply the lessons learned, demonstrate understanding and become qualified workers.
In many cases, OJT will take place at the job site and will be conducted by qualified
technicians. Qualified evaluators, as selected by management personnel, will conduct
task performance evaluations (TPEs). Unsatisfactory progress will be documented,
and necessary action will be taken to correct the situation. Managers will actively
participate in monitoring this training and qualification.

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Just-in-time training is provided to workers assigned to those tasks that are performed
infrequently and that are critical in nature. Material for this training is available on
the INPO Member Website, under the “Just-in-Time Training/Briefing Material,” the
“Just-in-Time Operating Experience,” and the “Just-in-Time Equipment Failure
Experience” Web pages, among others.

Detailed guidance for accomplishing training can be found in the INPO and National
Academy training guidelines. Details on maintenance personnel training programs
are contained in ACAD 92-008. Descriptions of OJT and task performance
evaluation are contained in ACAD 91-006, Guidelines for On-the-Job Training and
Evaluation.

4. Training Schedules and Support

Maintenance department managers work closely with the Training department. This
teamwork involves assigning qualified instructors or subject-matter experts to
develop and teach courses. Collaboration between maintenance and training
personnel is necessary in the preparation of schedules that reflect instructor, training
facility and trainee availability. Additionally, resource plans need to be developed to
support the training and to support scheduled work. Training schedules are
established far enough in advance to meet work management process milestones for
resource allocation.

A training coordinator may be used to coordinate training schedules with

maintenance activities.

Maintenance leadership conveys to all personnel the importance of participation in

training. Tolerance for missed scheduled training is low. Tardiness is monitored,
investigated and acted upon, as appropriate.

5. Qualification

The Maintenance department manager or superintendents qualify all permanent and

supplemental personnel for the tasks they are to perform independently. Unqualified
personnel perform tasks only under the direct supervision of qualified and proficient
personnel.

A worker is qualified only after demonstrating independent ability in the presence of

a qualified reviewer. Guidelines for this TPE process are provided in ACAD 91-006.

6. Training Program Records

Records of individual performance in the training and qualification program are

maintained in a way that supervisors can easily use them and are afforded the
appropriate level of privacy and security. These records document the results of final

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written, oral and practical demonstration examinations and OJT and TPEs. Records
of program content and training effectiveness evaluations are also maintained.

Maintenance managers and supervisors have access to qualification records as

necessary to support the assignment of work to qualified individuals. Supervisors are
accountable to ensure assigned worker qualifications are verified before each job
assignment. Additionally, workers have access to qualification records to validate
their qualifications prior to performing work.

7. Feedback

Students provide feedback about their knowledge and skill needs and suggestions for
improving the training program. Feedback on the training effectiveness is also
obtained from first-line supervisors.

8. Supplemental Personnel

Supplemental personnel who perform planning, scheduling, maintenance or

modifications independently on plant systems are qualified. For those supplemental
personnel with recognized specialized knowledge and skills beyond station expertise,
the process of qualification may be limited to a review of work history and contact
with prior customers. The review process verifies the individual’s résumé history and
may include contact with previous supervisors.

• Long-term supplemental personnel are considered in training processes

including training needs analysis. They view providing useful, critical
feedback as important to the training and improvement process.

INPO AP-930, Supplemental Personnel Process Description, provides additional

information on supplemental personnel qualifications.

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D. References

• ACAD 02-002, The Process for Accreditation of Training in the Nuclear Power
Industry
• ACAD 02-004, Guidelines for the Conduct of Training and Qualification
Activities
• ACAD 02-001, The Objectives and Criteria for Accreditation of Training in the
Nuclear Power Industry
• ACAD 92-008, Guidelines for Training and Qualification of Maintenance
Personnel
• ACAD 91-006 Guidelines for On-the-Job Training and Evaluation, Revision 1
• ACAD 90-010 Guidelines for Maintenance Supervisor Selection, Training, and
Development, Revision 2
• ACAD 85-006, Principles of Training System Development
• INPO AP-930, Supplemental Personnel Process Description

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III. SUPERINTENDENTS AND FIRST-LINE SUPERVISION

A. Introduction

Superintendent responsibilities are similar to those of the maintenance manager but are
focused on the discipline or aspect of maintenance for which the individuals are
responsible.

Superintendents, whose primary responsibility is oversight and development of first-line

supervisors, ensure that the supervisors’ roles and responsibilities of first-line supervisors
are clearly communicated and reinforced. Superintendents help supervisors find the right
balance between administrative efforts and in-field time. They monitor supervisory
performance and, when shortfalls exist, take steps either to improve the supervisor’s
individual behaviors of the supervisor or to correct the external factors that are interfering
with good performance. They recognize and embrace the influence they have on
supervisor and worker performance.

First-line supervisors play a key role in plant maintenance and in the completion of daily
tasks. They have technical skills and detailed knowledge of plant operations and the
work to be performed. They also possess good leadership, supervisory, decision-making
and managerial skills to be successful. They coach, reinforce expectations, troubleshoot
process shortcomings and implement initiatives.

First-line supervisors are part of maintenance management and serve as the interface
between the workforce and upper management. They recognize and embrace the
influence they have on worker performance.

Additional information about first-line supervisors can be found in INPO 04-003,

Guidelines for Effective Nuclear Supervisor Performance.

B. Attributes of Excellent Superintendent And First-Line Supervision

1. The first-line supervisor supports the behaviors needed to reduce or eliminate the
low-value-added aspects of the Performance Improvement/Corrective Action
program, the work management process and human performance behaviors to
improve his or her ability to influence workers by providing one-on-one interactions
in the field, shop and training facilities. First-line supervisors use a graded approach
to facilitate the conduct of maintenance. These supervisors understand the risks
associated with performing tasks and adjust the work planning, walkdown, prejob
briefing and field monitoring based on the risks of those tasks.
2. Superintendents and first-line supervisors have uncompromising, high standards.
Together, they hold each other accountable and hold workers, peers, and senior
members of the organization accountable. They move discussions to a meaningful
plane and have a vision of excellence for their department, discipline and work group.

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3. Superintendents and first-line supervisors exercise good judgment and are able to
prioritize based on the importance and urgency of completing demands. They
recognize issues early and consider implications.
4. Superintendents and first-line supervisors keep abreast of industry performance,
especially in assigned areas; stay aware of what excellence looks like; and encourage
craft ownership of equipment.
5. Superintendents and first-line supervisors take ownership for and learn from personal
and subordinate mistakes. They work to influence managers and senior leaders
during decision-making and communicate managerial decisions to employees with
ownership.
6. Superintendents and first-line supervisors display deep-seated passion for the
business, openly discuss teamwork and promote excellence, and are effective at both
celebrating group success and admonishing groups that fall short.
7. The superintendent reinforces supervisor-favorable behaviors and corrects
inappropriate behaviors in a professional manner.
8. The first-line supervisor reinforces favorable worker behaviors and corrects
inappropriate behaviors in a professional manner.

C. Guidelines

1. Responsibilities

Senior managers establish and reinforce that nuclear supervisors are part of the
management team. Senior managers ensure that supervisors hear important
organizational information before the workforce does so that the supervisors can
communicate information and changes effectively.

Managers ensure that the roles and responsibilities of superintendents and first-line
supervisors are clearly communicated and reinforced. Managers monitor
performance and, when shortfalls exist, take steps either to improve the individual
behaviors or to correct the external factors that are interfering with good performance.

Superintendents and first-line supervisors have the following fundamental roles and
responsibilities:

• Understand the risks associated with completing work activities and

adjusting the work planning, walkdown, prejob preparations, prejob briefing
and in-field monitoring as appropriate for the risks involved. Accept
responsibility and accountability for department and worker performance.
• Maintain standards, identify when performance does not meet expectations,
and confront performance shortfalls.

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• Recognize the shortfalls associated with worker experience/proficiency,

procedural complexity, risk, and task repetition and implement mitigating
and/or compensating measures to ensure success.
• Spend time in the field coaching and reinforcing expectations.
• Promote teamwork among crews and teams, peers, and the management
team.
• Actively participate in training development and delivery, and help identify
performance gaps that can be addressed in training.
• Promote craft ownership of equipment, processes and programs to facilitate
improvement.

2. Fostering Superintendent and First-Line Supervisor Excellence

Excellent maintenance superintendent and first-line supervisor performance requires

the support and commitment of the station management team to ensure good
alignment. Improper alignment among superintendents, supervisors and managers is
often caused by differences between what managers expect and what superintendents
and supervisors believe managers expect from them. The following are key aspects
of fostering excellence in superintendents and first-line supervisors:

• Managers and superintendents are involved in the leadership development of

new first-line supervisors. This can include participation in initial
supervisor training and leadership courses when practicable and setting
expectations before and after this training occurs. Leaders follow the
progress of new supervisors in such courses.
• Managers are involved in the leadership development of their
superintendents. This involvement can include leadership courses and next-
level leadership training. Additionally, the manager provides opportunities
for superintendents to “shadow” other site leaders’ or delegates’ key
improvement initiates.
• Superintendents and first-line supervisors are provided the time and
resources (such as additional training) to improve their performance and to
work on their developmental needs.
• Superintendents and first-line supervisors participate in industry activities
such as conferences and working groups. They also participate in
benchmarking.
• Managers observe superintendents and supervisors in the field and coach to
improve effective leadership traits.
• Managers clearly establish superintendents as the leader of the discipline
they oversee and are cautious not to undermine their authority with the
supervisors and workforce.

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 INPO 05-004

• Superintendents clearly establish the supervisor as the leader of the

workforce and are cautious not to undermine the supervisor’s authority.
• Managers and superintendents support supervisors in coaching and
disciplining workers.

D. References

• INPO 04-003, Guidelines for Effective Nuclear Supervisor Performance

• INPO 01-004, Achieving High Equipment Reliability – A Leadership
Perspective

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 INPO 05-004

IV. CRAFTSMANSHIP AND WORKER FUNDAMENTALS

A. Introduction

Craftsmanship means that the workforce is fully engaged in the various processes
associated with improving equipment performance. Maintenance workers play important
roles on equipment reliability teams, are part of problem-solving teams, and serve as
subject-matter experts on designated equipment. Engagement of the workforce results in
a higher degree of ownership of the equipment.

Establishing and maintaining strong craftsmanship requires strong managerial support. A

favorable environment is established that instills cooperation and teamwork, provides
necessary training, recognizes and rewards ownership, and communicates successes.

B. Attributes Of Excellent Craftsmanship

1. Maintenance workers demonstrate equipment ownership.

2. Maintenance workers embrace high standards of workmanship, including
housekeeping, foreign material exclusion practices, configuration control, and nuclear,
radiological and industrial safety.
3. Maintenance workers provide valuable feedback on preventive maintenance tasks to
ensure engineers have sufficient information to adjust preventive maintenance
frequencies, as appropriate.
4. Maintenance workers are intolerant of equipment failures and recognize that when
unplanned equipment failures occur, an organizational failure has occurred that they
have a responsibility to help correct.
5. Maintenance workers are involved in projects and initiatives to improve equipment
performance, such as preventive maintenance optimization projects, modifications
and procedural development.

C. Guidelines

1. Responsibilities

Managers promote craftsmanship by creating an environment that encourages

maintenance personnel to take responsibility for and pride in equipment and plant
performance. The management team listens to and learns from employees.

Managers provide maintenance personnel with the training and experience necessary
to become subject-matter experts on components and systems assigned to them.
Training and experience may include benchmarking trips to other stations and
participation in industry working groups. Subject-matter experts are encouraged to
explore equipment improvement initiatives, provide training to other station
personnel, and revise procedures pertinent to their assigned equipment.

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 INPO 05-004

Input from maintenance personnel is sought as a part of routine activities such as pre
job and postjob briefings, job walkdowns, preventive maintenance and work package
feedback, and meetings.

Superintendents provide needed support and direction to allow supervisors to provide

the time for members of their crews to participate in activities that are important to
both the routines of craftsmanship and the further development of owners.

Maintenance workers look for opportunities to contribute their expertise on their

systems, to provide feedback on programs such as system health and preventive
maintenance, and to become strong advocates for excellent equipment performance.
Workers make full use of maintenance fundamentals and exercise excellence in
conducting maintenance.

2. Developing Craftsmanship

Developing the Concept: Managers and maintenance workers collaborate in

establishing what craftsmanship at the site entails. Strong consideration is given to
benchmarking and to including management and workers from other utilities that
have with high levels of craftsmanship.

Resources: Managers provide the time, training, travel, and personnel resources
necessary to support worker initiatives to improve equipment performance.

Processes: Institutional barriers to craftsmanship are eliminated. These include

scheduling limitations that prevent specific workers from being assigned to specific
jobs, restrictions on bargaining unit travel or participation in improvement initiatives,
and inefficiencies in incorporating or reluctance to incorporate feedback on
preventive maintenance.

Integration: Maintenance workers are integrated into activities that may have been
functioning without them for a long time. Such activities include participation in
system health meetings, project review committees and response teams as well as
other activities. The transition to participation on these teams requires planning and,
in some cases, briefings or training.

Change: The plan to implement or expand the craftsmanship concept and

implementation progress is communicated frequently and broadly. Good
communication of progress and successes for efforts such as craftsmanship can help
build enthusiasm for it, especially when there may be residual skepticism about the
benefits.

Recognition: Frequent recognition of successes reinforces the value and importance

management places on craftsmanship. Newsletters, announcements and awards can
be used collectively or separately to recognize worker contributions.

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 INPO 05-004

3. Maintenance Worker Fundamentals

The fundamentals are defined as the essential knowledge, skills; behaviors and
practices personnel need to apply to conduct their work properly. Maintenance
worker fundamentals include those skills and behaviors that are necessary for safe
and effective maintenance. The maintenance fundamentals categories are common
among disciplines and experience levels, but the specifics vary. Other INPO
documents provide guidance or good practices for nuclear maintenance fundamentals
that are useful in defining and establishing excellence in such fundamentals for
nuclear workers. Each maintenance discipline (mechanical, electrical, and instrument
and control) has core fundamentals. The following are examples of core fundamental
behaviors, knowledge and skills that every qualified maintenance worker should
possess:

Mechanical Maintenance

• Know basic bolting and mechanical joint requirements to minimize the

potential of leaks.
• Have a thorough knowledge of pump and valve repair standards and the
risks associated with improper maintenance of these components.
• Understand their role in leak mitigation strategies.
• Understand torque requirements and the importance of bolt lubrication,
hardware makeup and torqueing patterns.
• Have a thorough knowledge of different gasket materials and the
appropriate gasket to be used for each application.
• Understand foreign material exclusion control requirements, and be a station
leader in supporting the program.
• Understand rigging, lifting and material handling technical requirements as
well as rigging team roles and responsibilities, and be a station leader in
support of the program.
• Understand tool use, and use the appropriate tool for the work task assigned.
• Understand pump curves and application in system response.
• Maintain high standards for configuration control.
• Understand piping fit-up requirements and the potential impact for improper
pipe alignment.
• Have a thorough understanding of test equipment to include but not be
limited to hydrostatic pressure test equipment, torque wrench design and
application, and pressure gauge application and sensitivity.

Electrical Maintenance

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 INPO 05-004

• Demonstrate established practices for lifted and landed leads to prevent

inadvertent contact in energized circuits, and maintain high standards for
configuration control of these leads.
• Understand the requirements for lead bend radius and the associated risks
for not maintaining proper bend radius.
• Understand the requirements for hardware configuration of high-energy lead
re-installation and the potential impacts for not maintaining the
configuration per design.
• Have a thorough knowledge of how to read drawings, and refer to the
drawings in the field as appropriate.
• Have a thorough knowledge of the station electrical safety program, and be
a station leader in support of it.
• Have an understanding of the different breaker designs used at the plants
and an understanding of the critical attributes of each breaker design.
• Have a thorough understanding of battery maintenance to include the
potential risks, and battery degradation and battery monitoring.
• Have a thorough understanding of test equipment used in electrical
maintenance, including design, operating instructions and applicability.
• Use insulating material as appropriate to minimize inadvertent contact with
energized circuits.

Instrument and Control

• Understand the system response and potential risks associated with

performing surveillance tests.
• Have a thorough understanding of test equipment used in instrument and
control maintenance, including design, operating instructions and
applicability.
• Use insulating material as appropriate to minimize inadvertent contact with
energized circuits.
• Use appropriate test leads for the job to minimize inadvertent contact with
energized circuits.
• Understand hysteresis and how it affects equipment calibration and
repeatability of calibration.
• Have a thorough understanding of differential pressure instruments and the
effects on the instrument from having air trapped in the test lines.

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 INPO 05-004

• Understand the requirements for fitting installation and the limits for
disassembly and reassembly of fittings, particularly compression fittings.
• Understand the requirements for lifted and landed leads, and maintain high
standards for configuration control of these leads.
• Have a thorough understanding of electrical terminations to include lead
bend radius, terminal lug installation and termination tightness requirements.

D. References

• INPO 04-003, Guidelines for Effective Nuclear Supervisor Performance

• INPO 01-004, Achieving High Equipment Reliability – A Leadership
Perspective
• INPO 12-013, Performance Objectives and Criteria

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 INPO 05-004

V. EXCELLENCE IN EQUIPMENT PERFORMANCE

A. Introduction

Excellent equipment performance and materiel condition require high equipment

availability and reliability, equipment operating when needed, and equipment
deficiencies being corrected in a timely manner. The role of maintenance is to prevent
and correct those deficiencies.

The effectiveness of maintenance in achieving excellent equipment performance is

reflected in an intolerance of unplanned equipment failures, as described in AP-913,
Equipment Reliability Process Description. This chapter focuses on the roles of the
Maintenance department in excellent equipment performance and materiel condition.

B. Attributes Of Maintenance Departments That Support Excellent Equipment Performance

1. The Maintenance department has ownership for the online and outage corrective and
deficient maintenance backlog and focuses on keeping the backlogs and average
backlog age low.
2. Maintenance personnel correct equipment deficiencies the first time, with no need for
rework. No immediate events occur and latent problems are not introduced.
3. Preventive maintenance (PM) eliminates unplanned equipment failures and does not
introduce new problems. Preventive maintenance is not deferred without careful
consideration, and frequency is adjusted appropriately based on the risk significance
and as-found condition of the equipment.
4. Managers view PM on critical components as a high priority, and they manage other
work to prevent deferrals and late critical PMs.
5. The maintenance workforce is involved in learning why problems with equipment
occur, especially for critical components, in order to improve PM and to prevent
additional failures, fully correcting the causes of the problems.

C. Guidelines

1. Responsibilities

Maintenance managers establish the conditions and expectations that support

intolerance of unplanned equipment problems. Maintenance leadership takes
responsibility for work backlogs and ensures resources are sufficient for keeping
work backlogs under control. When unplanned equipment failures occur, the
Maintenance department examines its role in allowing the failure to happen. This
examination is especially important for critical component or equipment failures.

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 INPO 05-004

Expectations for the use of operating experience to prevent and correct equipment
failures are clear and reinforced frequently. Strong managerial support is given for
benchmarking at all levels to enhance the maintenance role in improving equipment
performance.

The maintenance staff is vigilant in identifying equipment conditions that do not meet
standards of excellence. Maintenance personnel correct equipment problems fully.
The staff is involved in the PM cycle to help ensure the appropriate maintenance is
accomplished at the optimal intervals.

First-line supervisors direct their crews in ways that support excellent equipment
reliability. They ensure their crews understand the roles of maintenance in excellent
equipment performance. They are vigilant in identifying equipment problems while
in the field.

Maintenance workers demonstrate intolerance for unplanned equipment failures and

work within the organization to improve the equipment and processes that are
designed to prevent equipment failures. They apply the maintenance fundamentals to
their work and exemplify strong craftsmanship to enhance equipment performance.

2. Preventive Maintenance

Preventive maintenance includes actions that detect, preclude or mitigate degradation

of functional structures, systems and components to sustain or extend useful life.
Preventive maintenance on critical components is given high priority in routine
scheduling. It is rare that PM on critical components would be considered for
deferral though there may be valid reasons for it.

Maintenance crews are full participants in the PM process. Craftsmanship is evident

in workers who proactively participate in right-sizing PM. Workers record as-found
conditions of components to optimize the maintenance interval and advocate their
position on increasing or reducing PM frequency.

Predictive maintenance is a subset of PM that uses nonintrusive techniques to

determine if repairs are needed to preclude failure. The Nuclear Maintenance
Applications Center publication NP-7205, Predictive Maintenance Primer, discusses
various industry predictive maintenance techniques. Also, EPRI the Electric Power
Research Institute’s TR-103374, Predictive Maintenance Guidelines, discusses key
programmatic considerations.

Predictive maintenance includes vibration analysis, acoustic monitoring, infrared

surveys (thermography), oil analyses (tribology) and diagnostic testing.

Periodic maintenance is time-based PM designed to prevent equipment failure. It

includes servicing, such as lubrication; filter changes; cleaning; testing, adjusting and

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 INPO 05-004

calibrating; and inspection. Periodic maintenance can be initiated based on the results
of predictive maintenance, vendor recommendation or experience.

Preventive maintenance deferrals are used when PM cannot be accomplished within

the maintenance interval. Deferrals beyond a grace period (normally 25 percent of
the established interval) or PM actions that are missed should receive managerial
review and approval. Reviews for safety-related or critical components or equipment
have sufficient technical input to ensure any potential consequences are recognized
and addressed. Station managers periodically review statistics on deferred or missed
PM actions. Several stations have developed performance indicators specifically
tracking critical PM deferrals and critical PMs scheduled in grace.

3. Corrective Maintenance

Corrective maintenance is the restoration of equipment or components that are

degraded or that do not perform their intended functions. Corrective maintenance in
the context of these guidelines includes work classified per AP-928, Work
Management Process Description, as corrective, deficient and other. Corrective
maintenance is necessary when PM has been ineffective for important components or
to restore run-to-failure components as part of routine work. As a rule, if the specific
component requiring maintenance has degraded significantly or has failed, the action
required to repair it is characterized as corrective maintenance.

Critical components that fail or are significantly degraded require a formal

engineering and maintenance review, using the corrective action process, to identify
specifically potential gaps in the PM strategy or maintenance worker practices.
Immediate changes need to be made to prevent additional failures of critical
equipment.

The impact of corrective maintenance activities on the design and configuration of

equipment and systems is evaluated as part of the work preparation process to
identify where to apply configuration control processes. Workers are knowledgeable
of planned maintenance activities that may result in plant configuration changes or
that could increase risk. Supervisors and workers understand the nuclear safety
significance of the work they have been assigned.

4. Control of Work Backlogs

The maintenance department is responsible for controlling work backlogs and works
closely with engineering, operations and the work management organization to do so.
The control of work backlogs is a site organizational effort and in most cases is done
without resorting to special initiatives.

High corrective maintenance backlogs can indicate materiel condition problems.

High backlogs of deficient or out-of-service equipment can create serious conditions
that affect plant response to transients, that interfere with system isolation for work,

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 INPO 05-004

and that create unrecognized aggregate system degradation. Consequently, station

managers strive to keep backlogs low and manageable.

When corrective and deficient work backlogs require more effort to bring under
control, the organization should consider measures that improve its focus and ability
to accomplish work. Such measures include identifying the average amount of
incoming work as compared to the average completion of work on a monthly basis.
The organization then decides to increase the amount of scheduled corrective and
deficient work or assigns additional work to the fix-it-now team. This strategy allows
a steady approach to reducing the backlogs and requires support from engineering and
operations because some lower-priority work may be rescheduled to support this
effort. If this effort does not improve backlogs, consider using additional resources or
overtime or improving the efficiency of processes.

Fix-it-now team effectiveness and composition are optimized to manage incoming

work, protect the workweek schedule and provide timely resolution to high-priority
work. Administrative requirements placed on the fix-it-now teams are streamlined to
improve team effectiveness. The use of minor maintenance and tool pouch is
understood in the Maintenance department and applied to its fullest potential,
resulting in station resources being applied to extensive planning and scheduling that
the scope and risk of the work do not warrant.

First-line supervisors apply a graded approach to work planning, walkdowns, prejob

preparation and prejob briefing commensurate with the level of risk for the work task.
In addition, first-line supervisors review and eliminate low-value beginning-of-shift
tasks that delay workers from performing in-field work.

D. References

• INPO-99-002, International Reliability Benchmarking

• INPO 01-004, Achieving High Equipment Reliability - A Leadership
Perspective
• INPO AP-913, Equipment Reliability Process Description
• INPO AP-928, Work Management Process Description

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 INPO 05-004

VI. MAINTENANCE ROLE IN WORK MANAGEMENT

A. Introduction

Excellent planning and preparation are necessary to support excellent maintenance.

Planning and preparation help prevent maintenance-induced events and ensure that the
right maintenance is accomplished at the right time.

This chapter focuses on the role of the Maintenance department in ensuring personnel are
well prepared to conduct maintenance. This role includes assigning resources, preparing
work packages, staging materials, performing job walkdowns, and conducting prejob
briefings.

B. Attributes Of Excellent Work Preparation, Planning and Execution

1. Maintenance is actively involved with other key organizations in screening new work
to determine the appropriate priority, work order classification, and plant conditions
to perform the work.
2. Maintenance work documents are clear, useful, and contain the necessary technical
detail to support safe and effective work performance.
3. The maintenance organization places high value on maximizing resources allocated to
field work.
4. Maintenance personnel prepare to conduct assigned work and are ready to start work
on time.
5. The quality of maintenance is high and repeat or repetitive equipment failures are
minimized based on a skilled and knowledgeable workforce.
6. Maintenance effectiveness is improved when learning is gained from providing
feedback, evaluating rework and repeat issues, and monitoring performance.

C. Guidelines

1. Responsibilities

The maintenance manager is responsible for ensuring his department is prepared to

execute the scheduled work. The organization must provide resources, coordinate
work, participate in planning, ensure work sites are ready, and conduct final worker
preparations.

The discipline superintendents collaborate with the work management organization

by providing resource availability estimates early in the scheduling process, by
committing to the work schedules later in the process, and by ensuring the work
crews conduct walkdowns. They also provide oversight of the various preparation
milestones.

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 INPO 05-004

First-line supervisors execute the schedule by providing the committed resources and
by ensuring crews are ready to work.

The planning superintendent ensures that work packages are prepared according to
the work management milestones and that work orders are complete and of high
quality. Planners work with maintenance workers to revise the plans when problems
are identified at walkdowns.

The maintenance workers are fully ready for work. They conduct walkdowns
recognizing that the quality of each walkdown can directly affect the success of the
maintenance as well as the rest of the work on the schedule. Workers participate
actively in the prejob briefings.

2. Evaluate Work – Maintenance is actively involved with other key organizations in

screening new work to determine the appropriate priority classification and plant
conditions to perform the work.

Excellence in evaluation of work:

• Maintenance personnel advocate their technical position during the cross-
functional review of new work, screening committee, to understand all
aspects of the problem that one person may not see.
• The fix-it-now (FIN) manager or supervisor attends the work screening
meeting and represents the maintenance department with full decision
authority of the maintenance manager/director.
• Create a bias for action to resolve issues in a time frame consistent with
their importance to clearly define the scope and risk of important issues, and
to focus on the cause of the issue rather than the symptoms.
• FIN team processes are optimized to provide the most effective and efficient
methods to perform initial troubleshooting to help determine the actual
cause of the problem(s), or perform work as minor maintenance or tool
pouch.
• FIN team’s effectiveness and composition are optimized to manage
incoming work, protect the work week schedule, and provide timely
resolution of high
• Use of minor maintenance and tool pouch is understood in the maintenance
department and effectively used to prevent extensive planning and
scheduling that the scope and risk of the work do not warrant.
• Appropriate single-person tasks are identified to perform work activities.
Guidance has been developed and used when it is appropriate for work to be
completed by a single worker in safe and low-risk conditions.

3. Plan Work – Maintenance work documents are clear, useful and contain the
necessary technical detail to support safe and effective performance of work.
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 INPO 05-004

Excellence in planning work:

• First-line supervisors apply a graded approach to work planning
commensurate with the level of risk for the task. The level of detail and the
contents of procedures and work packages are based on an evaluation of
overall risk of performing the task, plant and personnel safety, and job
complexity.
• Maintenance planners and procedure writers have sufficient knowledge and
skills to prepare high-quality documents. The skills of personnel preparing
work packages are enhanced through an initial and continuing training
program that is specific to their work.
• Backlogs of work package and procedure revisions are maintained low.
• Work is not authorized when pending changes to work packages and
procedures have not been addressed.
• Troubleshooting uses a systematic approach to identify the causes of
equipment problems. Where appropriate, such activities are controlled by
work documents or instructions that have appropriate approvals, limitations,
and precautions on the scope and boundaries of the activities and control
over configuration changes.
• Important components, activities and steps are identified in project plans,
procedures, and work packages.
• Supervisors require contingency plans be developed, when appropriate, to
help manage and maintain the appropriate level of risk.
• Schedule Work – The maintenance organization places high value on
maximizing resources allocated to field work, balanced with non-field work
activities

Excellence in scheduling work:

• Resource plans are developed to support training and to support scheduled

work.
• Discipline superintendents provide accurate resource availability estimates
early in the scheduling process, and commit to the work schedules in the
work management process.
• The first-line supervisors take the measures necessary to execute the
schedule by providing the resources that were committed. Changes to
committed resources inside schedule freeze are minimized.
• Supervision participates in the development and production of detailed on-
line and outage schedules sufficiently early to enable comprehensive risk
reviews and resource optimization.

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 INPO 05-004

• Discipline superintendents review the schedule weeks in advance of

execution and identify opportunities to perform just-in-time training for
those activities that are considered for higher consequence or complex
activities performed on safety systems and equipment that can cause plant
transients.
• Work that removes safety systems from service or that increases the
potential for plant transients is scheduled with the resources needed to
expeditiously return the equipment to service.

4. Prepare Work – Maintenance personnel are prepared to conduct assigned work and
are ready to start work on time.

Excellence in preparing for work:

• A graded approach to performing walkdowns, conducting prejob task

reviews and briefings, checking procedure revisions, and verifying training
qualifications are in place to optimize the time workers are in the field.
• Workers review work packages during walkdowns to verify that they can be
implemented as written. Errors or discrepancies are corrected prior to work
execution.
• Supervisors and workers use a prejob briefing as a formal agreement
between the supervisor and worker on how the work will be executed.
Changes in work execution as discussed at the briefing should be approved
by the supervisor before the changes are made.
• Workers discuss and review relevant operating experience prior to
conducting maintenance activities. Lessons learned and applicability of the
operating experience is included in the prejob briefing.
• Complex maintenance activities that require multiple work groups or that is
time sensitive, such as safety-related or risk-significant system outages,
require a higher level of coordination than more routine activities. A single
point of contact, such as a lead group first-line supervisor, is assigned to
such work.
• Turnovers are used to pass important information between workers and
work groups. Turnovers prepare oncoming workers to be accountable for
all aspects of the work. Turnover is conducted at the job site for high risk or
complex maintenance activities, when feasible.
• Suitable materials, parts, needed tools, and test equipment is available and
pre-staged to support scheduled work.
• Workers understand the risk significance of performing maintenance and
know the impact to operators of touching equipment/components.

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 INPO 05-004

5. Execute Work – The quality of maintenance is high and repeat or repetitive

equipment failures are minimized based on a skilled and knowledgeable work
force.

Excellence in executing work:

• Skilled maintenance is conducted by applying proper techniques and worker

behaviors.
• Workers maintain work areas and open equipment clean and free of foreign
material during and after work.
• Situational awareness is maintained to prevent inadvertent equipment
actuation, equipment damage, and injury to self and others.
• Workers perform tasks only when authorized and only on equipment that
has been properly aligned for the maintenance.
• Know the basic design and key functions of equipment and components as
they relate to maintenance.
• Workers are knowledgeable and understand the impact of maintenance,
testing, temporary equipment and storage activities on plant configuration.
• Anticipate and validate equipment responses from maintenance. STOP and
obtain help or clear direction from supervision when faced with uncertainty;
unexpected results or changing conditions.
• Ensure material is collected, preserved, and details are documented when
abnormal conditions are encountered.
• Workers apply the human performance methods and practices that will have
the most success at reducing errors for each particular task. A graded
approach to human performance methods is applied. Workers and
supervisors understand the value of using human performance practices.
• Work starts when scheduled and crews endeavor to meet schedule
commitments. However, standards are not lowered and work is not rushed to
meet schedules.
• Work that involves interfacing with other departments normally requires the
worker to notify his or her supervisor if work is delayed for more than a
specified period. Typical values are 10 minutes for critical work and 30
minutes for routine work.
• Post-maintenance tests are reviewed to ensure the immediate effectiveness
of the maintenance performed. Equipment functionality is verified before
equipment is released for service.
• A postjob review for complex or unusual maintenance work is conducted
with the workers involved.

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 INPO 05-004

6. Analyze Work – Maintenance effectiveness is improved when learning is gained

from providing feedback, evaluating rework and repeat issues, and monitoring
performance.

Excellence in analysis for improvement:

• Implement a maintenance rework program that identifies timely

identification of worker knowledge, skill and organizational weaknesses.
• Workers are intolerant of unplanned equipment failures and participate in
learning why such failures occur.
• Preventive maintenance feedback is effectively used. Workers understand
what needs to be documented and clearly communicate to engineering to
allow preventive maintenance tasks to be effectively adjusted.
• Instructions are properly documented to collect, preserve, and capture “as-
found” and “as-left” conditions.
• Workers look for opportunities to contribute their expertise on their systems,
provide feedback on programs such as system health and preventive
maintenance, and become strong advocates for excellent equipment
performance.
• Provide feedback to improve work instructions, procedures, and processes.
Worker feedback to planners is valued and allows the planners to make
needed improvements and revisions to ensure more efficient and safer
execution.
• Key performance indicators are used to keep maintenance workers and
management informed of overall department and discipline performance.
• Supervisors reinforce worker expectations by recognizing positive
maintenance fundamental behaviors and successful results.
D. References

• INPO 97-011, Guidelines for the Use of Operating Experience

• INPO 11-003, Guidelines for Excellence in Procedure and Work Instruction Use
and Adherence
• INPO 06-002, Human Performance Tools for Workers
• INPO AP-913, Equipment Reliability Process Description
• INPO 10-009, Successful Maintenance Outage Preparation
• INPO AP-925, Outage Process Description
• INPO AP-928, Work Management Process Description
• INPO 06-008, Guidelines for the Conduct of Outages at Nuclear Power Plants

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• NX-1011, Maintenance Planner Training and Qualification

• NX-1016, Forced Outage Preparation and Implementation
• EPRI 1011903, Maintenance Work Package Planning Guidance

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 INPO 05-004

VII. PERFORMANCE MONITORING

A. Introduction
Performance monitoring is vital to any learning organization. It involves comparing a
result against a standard and drawing a conclusion. Monitoring is necessary to gauge an
organizational effectiveness.

An array of top-level indicators can provide a measure of confidence that the

organizational mission is being accomplished or can warn of problems in time to
intervene.

B. Attributes of Performance Monitoring

1. The performance monitoring approach relies on a number of inputs and measures, with the
pre-eminent measures focusing on results rather than on processes.
2. Various measures are used for different purposes, such as accountability, progress, goal
achievement and early warning.
3. Diagnostic indicators are used judiciously to explain top-level trends.
4. Statistical performance indicators use targets and limits and have clear definitions of each
indicator and its purpose.
5. Adverse trends are analyzed, and causes of performance shortfalls are understood before
action is taken.
6. Managers manage for results, not for indicator performance.

C. Guidelines

1. Responsibilities

Management is responsible for establishing measures of performance. Maintenance

leaders follow maintenance performance carefully and take informed action to improve
shortfalls. The management team shares performance indicators judiciously with the
workforce, recognizing the tendency to manage the indicator instead of driving for results.
Actions to improve performance are taken based on analysis of what is causing
unacceptable performance.

Maintenance supervisors and workers are aware of top-level maintenance performance

and are responsible for results.

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2. Types of Indicators

• “Results” indicators reflect overall performance in areas such as plant safety,

worker safety and plant reliability. Analysis and trending of these
parameters provide useful insights into changing plant performance and
allow adjustments of priorities and resources for improving overall safety
and reliability.
• “Performance” indicators reflect the current levels of human and equipment
performance that contribute to overall results. Used in conjunction with the
process indicators described below, performance-level indicators provide
insights into changing performance before these changes significantly
impact overall plant operation.
• “Process” indicators allow monitoring of administrative systems and
programs designed to perform and control key work activities efficiently.
These are predominantly diagnostic indicators and, as such, are designed to
help isolate problems.
• “Fundamental” indicators address underlying factors that may influence
future performance. Because factors such as worker attitudes and supervisor
effectiveness are difficult to quantify, the use of more subjective, qualitative
indicators is sometimes necessary to monitor changes in these areas. A list
of fundamental-level indicators can include those areas addressed by the
INPO warning flags.

3. Management Use of Indicators

Managers and supervisors make good use of indicators but do not depend solely on
analyzing them. A healthy mix of performance indicators, time in the field, and time
with employees presents a more accurate picture of performance.

A monthly overview of departmental performance is prepared that includes an

explanation of why performance may lag in some areas and what is being done to correct
the situation, to study the situation, or to do nothing because the situation is anomalous.

Managerial focus is on results and behaviors, such as backlog levels and trends, deferred
preventive maintenance (PM), backlog age, and human performance. Overemphasis of
subordinate indicators or of those used by lower levels of the organization can result in
the organization overcompensating. Additionally, management of the indicator may
become the primary focus.

4. Typical Maintenance Indicators

The following are provided as example indicators. These indicators may be used in
conjunction with other measures to keep maintenance managers informed of
departmental performance.

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OSHA-recordable injury rate (results oriented): This measures the number of

“recordable” injuries per 200,000 person-hours worked based on Occupational Safety and
Health Administration (OSHA) definitions. This rate can also be considered a leading
indicator of changes in human performance that can impact many aspects of plant and
personnel safety. Many stations are also monitoring the number of first-aid cases. This
is an indicator of human performance.

Maintenance department, discipline and crew error-free clock resets (performance

oriented): These consider the number of days between maintenance-caused events. The
definition of “event” must be clearly defined. Problems caused by personnel are
compared to the standard before the error-free “clock” is reset. This is an indicator of
human performance.

Maintenance rework (performance oriented): See the previous definition of rework. This
is an indicator of maintenance quality and repeat issues relating to maintenance,
engineering, procedures, operations, parts and personnel performance.

Online and outage corrective maintenance backlog (performance oriented): The

corrective maintenance backlog provides a measure of overall equipment reliability and a
portion of station materiel condition assessment. Corrective maintenance items are
deficiencies that are significant (See INPO AP-928, Work Management Process
Description, for the precise definition). This backlog is an indication of materiel
condition and station ability to manage important work.

Online and outage deficient maintenance backlog (performance oriented): The elective
maintenance backlog, when combined with the corrective maintenance backlog, will
reflect overall station materiel condition. Although the significance of elective
maintenance activities is substantially lower than corrective maintenance activities, these
do include deficiencies on important station structures, systems and components.
Because of this, stations should also work to keep this inventory of deficiencies as low as
possible without adversely affecting PM activities. This backlog is an indication of
materiel condition and station ability to manage its work scope.

Online and outage scope stability (process oriented): Scope stability measures the
percent of scope change from the scope freeze date to execution week start. Although it
is a measure of station work management – the station ability to identify, plan and
schedule work – it also is useful as a maintenance indicator of organizational
preparedness. This indicator should be used in conjunction with several others, such as
emergent work percent and backlogs, to be a meaningful maintenance indicator.

Emergent work (process oriented): This is a diagnostic indicator and the ratio of
emergent work to scheduled work at the schedule freeze date for all work items added
from schedule freeze through execution week. This indicator reflects the effectiveness of
the PM program as well as the rigor and effectiveness of the prioritization process not to
disrupt the organization excessively. It can help explain problems with scope stability,
planning and schedule adherence.

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Number of deferred PM tasks online and outage (process oriented): This is a raw number
indicator. This indicator is an “early warning” that points either to process problems in
work management, resource problems in maintenance, or low efficiency and poor
coordination in maintenance.

Schedule adherence (process oriented): This is the total number of completed scheduled
activities divided by the total scheduled activities. It is a useful maintenance indicator to
show how well the crews were prepared to do the work. Diagnostic indicators are needed
to understand the causes when this indicator declines.

Refueling outage milestone schedule adherence (results oriented): This indicator

measures the percent of scheduled milestones completed in preparation for a planned
outage. Included in this series of indicators are maintenance milestones, such as
walkdowns completed, parts available and pre-outage work. Maintenance departments
should carefully monitor and track achievement of their outage milestones.

Work productivity (performance oriented): This is a measure of work rates or man-hours

required to accomplish work. It is best when split by discipline and work type (corrective,
preventive and surveillance). This indicator is useful to maintenance leadership because
it can be used to demonstrate how well resources and work scope are balanced. It should
be measured over long periods.

Online and outage control room deficiencies (performance oriented): These are the
number of main control room equipment deficiencies. This indicator is useful to
maintenance because it shows how responsive the department is to important problems.
Another useful indicator is average age of control room deficiencies.

Online and outage external leaks (performance oriented): These are the number of active
water, oil, steam and gas leaks from power block components. This indicator could
indicate problems with worker fundamental knowledge in addressing leaks.

Average age of the online and outage corrective maintenance backlog (process oriented):
This shows the average age (in days) of all corrective maintenance work. This reflects
the ability of the organization to prepare and execute corrective maintenance in a timely
manner.

Number of grace period PM tasks (process oriented): This indicator reflects the ability to
apply resources to important work. Maintaining a backlog of PM tasks within their grace
periods is reasonable as long as it is managed. The total backlog in grace periods should
be monitored and measured against station expectations. Additionally, monitoring and
minimizing PMs in the second half of their grace period is important to ensure that none
become delinquent or require deferral.

Maintenance walkdowns completed (process oriented): This is the percent of work

packages requiring maintenance walkdowns that have the walkdown completed and

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ready by the appropriate station milestone. This is an indicator of maintenance readiness

and also of potential coordination or resource problems.

Forced outage readiness (process oriented): This monitors the percentage of forced
outage work orders ready to work (including work packages, materials, tagouts available
and walkdowns completed) against the total number of forced outage work orders. This
online work activity provides a gauge of readiness for a forced outage. Although forced
outage work is beyond the scope of this document, the ability of an organization to
identify what work should be considered at any forced outage opportunity and to plan and
prepare for that opportunity is the subject of this indicator. All forced outage work scope
would be required work for any planned refueling outage.

Unplanned limiting condition for operation (LCO) entries (results oriented): These are
the number of LCO entries that have occurred over a selected time interval. It is an
indicator of materiel condition of the plant and is closely related to emergent work.

System outage performance (process oriented): This indicator measures the difference
between the scheduled and actual duration of work on important safety-related or risk-
significant equipment. It is important to maintenance and work management.
Performance that consistently underruns schedules should be analyzed as closely as
schedule overruns.

Industry involvement (fundamentals oriented): This measures a rolling average number

of benchmarking visits; participants in self-assessments or similar activities at other
plants; and participants in industry activities such as working meetings, workshops and
owner’s group activities. This indicator could be trended separately for each work group.

D. References

• INPO 01-005, Indicators of Changing Performance

• INPO AP-928, Work Management Process Description
• EPRI 1007604, Metrics for Assessing Maintenance Effectiveness
• INPO14-004, Conduct of Performance Improvement

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