Real and Personal Property Maintenance Programs
Preamble
This implementation plan is presented in two sections; Section I deals with the
maintenance of real property and installed equipment (excluding programmatic
equipment) and Section II deals with the maintenance of personal property and
programmatic equipment. The terms "real property, installed equipment,
personal property, and programmatic equipment" are used in this appendix as
defined in the "Definitions" section of Attachment 1 to 4330.4A.
Two sections are used to describe the University's implementation plan based on
an existing parallel approach to maintenance. The maintenance of personal
property and programmatic equipment is an integral part of the operating
responsibility and assigned to the operating organization, while the
maintenance of real property and installed equipment is delegated to the
central maintenance organization. Historically, this approach has allowed the
Laboratories to centralize the maintenance of facilities and general purpose
support equipment while assigning the maintenance of research equipment to the
operating organizations who are better able to perform the needed
maintenance.
The differences in the application of the specific elements of 4330.4A in
Sections I and II are based on the premise that some of the elements required
to manage the central maintenance organization are inherent when maintenance
and operations are integrated in a single organization. For example, a written
work order that is needed to request repair services from the central
maintenance organization may not be needed in the situation where the equipment
operator performs the required maintenance.
The University will develop and implement the maintenance program and a graded
approach for all maintenance activities by July 1, 1993, as required in Article
IX, Clauses 7(e)(1) and 7(e)(2). The parties agreed to implementation
milestones, and have documented this agreement in a document entitled,
"Appendix E Implementation Milestones," dated June 25, 1993, which is hereby
incorporated into this appendix by reference. Sections I & II of this
appendix deal with the implementation of Chapter I of 4330.4A for nonnuclear
facilities. The University is fully committed to the implementation of Chapter
II of DOE Order 4330.4A under a graded approach to which the parties have
agreed, and have documented this agreement in a document entitled, "Graded
Approach for Maintenance," dated June 25, 1993, which is hereby incorporated
into this appendix by reference.
Proposed Action: The Laboratories will document the responsibilities,
authorities, and accountabilities of their maintenance organizations, and their
interfaces with engineering, health and safety, and other support functions.
Training of the management, supervision, and craft personnel will be addressed
in element 3.1.4.
Proposed Action: The Laboratories will document their maintenance
organization's administrative procedures and identify responsibilities for
implementation and oversight of each activity. Procedures which emphasize
environment, safety and health, will address work control, scheduling,
performance standards, documentation requirements, and field assessments of
maintenance activities.
Proposed Action: The Laboratories will document their maintenance policy
and establish a mission statement for their maintenance organization.
Performance measurement and improvement will be addressed under 3.7.3.
Proposed Action: The Laboratories will document their maintenance
training programs. For high importance systems, equipment, or components, the
Laboratories will conduct training needs analyses, document required skills and
develop certification programs. For low importance systems, equipment, or
components, the Laboratories will utilize basic craft skills augmented with
site specific training as required.
Proposed Action: The Laboratories will establish and document their
inspection programs that will include periodic inspections of facilities and
equipment to insure proper operation and housekeeping. Inspections will be
scheduled and the results documented. For high importance systems, equipment,
and components, a high percentage of schedule compliance will be required. For
low importance systems, equipment, and components, a lower percentage of
schedule compliance will be accepted.
Proposed Action: The Laboratories will establish and document programs
for periodic inspections to assess the condition of their real property and
plant equipment and determine the future maintenance requirements. The
inspections will be supplemented by reviews of maintenance history and input
from operating personnel. The results will be documented and deficiencies added
to the Maintenance Backlog. Facility inspection frequencies will be based on
the graded approach.
NOTE: DOE has stated its intention to modify and merge the existing DOE Order
4330.4A condition assessment survey with the requirements of DOE Order 4320.2
Condition Assessment Survey. The Laboratories receiving direct funding for
this effort are participating in the development and evaluation of the 4320.2
Condition Assessment Survey.
Proposed Action: The Laboratories will provide a summary level report
that describes the anticipated maintenance and repair activities from the
system level for the upcoming year and that is consistent with the budget
process used at the respective Laboratory. Significant maintenance and repair
projects greater than $1.2M will, also, be submitted.
Proposed Action: The Laboratories will implement work request systems
that provide adequate documentation to identify and track the individual task,
perform the task, and record the task completion. The work order system will be
addressed in the work control procedures as part of element 3.1.2.
Proposed Action: The Laboratories will develop and document guidelines
for the use of formal job planning and estimating which will take job
complexity and cost effectiveness into consideration. For high importance
systems, equipment and components, formal job estimating and planning will be
required. For low importance systems, equipment and components, the use of
formal job planning and estimating will be based on the guidelines.
Proposed Action: The Laboratories will apply in-house time standards to
repetitive work such as preventive maintenance for a basis of performance
measurement. Guidelines for the application of in-house time standards will be
documented.
Proposed Action: The Laboratories will document their priority systems
as defined by the graded approach and identify responsibilities for assigning
priorities.
Proposed Action: The Laboratories will develop maintenance procedures
which emphasize environment, safety and health. For high importance systems,
equipment and components, the Laboratories will develop equipment specific
detailed procedures. For low importance systems, equipment and components, the
Laboratories will develop general procedures. Maintenance procedures will
specify the applicability and use of other work-related documents.
Proposed Action: The Laboratories will develop and document scheduling
procedures to ensure efficient sequencing of tasks. For high importance
systems, equipment and components, detailed scheduling will be performed. For
low importance systems, equipment and components, scheduling will be performed
when outages are necessary.
Proposed Action: The Laboratories will include post-maintenance testing
in their maintenance procedures. For high importance systems, equipment and
components, post-maintenance testing will be required and documented. For low
importance systems, equipment and components, post-maintenance testing will
utilize basic craft skills and documentation requirements will be determined by
the supervisor.
Proposed Action: The Laboratories will utilize their existing work
order systems to control scheduling backlog. The Work Control Systems are
addressed as part of element 3.1.2. Each site will develop a scheduling backlog
performance objective.
Proposed Action: The Laboratories will follow the documentation
procedures as defined by element 3.1.2 and the maintenance procedures as
defined by element 3.4.5 as they relate to equipment repair history and vendor
information. For high importance systems, equipment and components
documentation of equipment repair history including post-maintenance testing
and control of vendor information will be required. For low importance
systems, equipment, and components, completion data will be recorded in the
work control system.
Proposed Action: The Laboratories will annually review their
maintenance facilities, equipment and tools and document the need for improved
or new facilities or equipment in the appropriate internal budget process.
Proposed Action: The Laboratories will document their procedures for
procurement of maintenance materials and services. For high importance
systems, equipment, and components, the Laboratories will establish a minimum
stock of spare parts to be maintained on site for emergency response. For low
importance systems, equipment and components, material and service needs will
be handled through the normal procurement process.
Proposed Action: The Laboratories will document their procedures for
control of maintenance materials throughout the procurement and storage process
to insure that the proper materials are available and in serviceable condition.
For high importance components, these procedures will be fully applied to the
spare parts process. For low importance components, appropriate material
control procedures will be utilized.
Proposed Action: The Laboratories will establish and document
Calibration Programs for their maintenance measuring and test equipment. The
maintenance procedures referenced in element 3.4.5 will identify the need for
calibrated M&TE when maintaining high importance systems, equipment, and
components. For low importance systems, equipment and components, the use of
calibrated M&TE will depend upon basic craft knowledge.
Proposed Action: The Laboratories will document their tool room/crib
procedures and establish a minimum tool supply to be maintained. The
maintenance procedures referenced in element 3.4.5 will identify tools and
consumable supplies normally needed for maintenance of high importance systems,
equipment, and components. For low importance systems, equipment, and
components, the general maintenance procedures will address only unusual tool
requirements.
Proposed Action: The Laboratories will document their preventive
maintenance (PM) programs, and establish PM requirements for high importance
systems, equipment, and components based on environmental, safety and health
consideration. For low importance systems, equipment, and components, PM will
be based on economic considerations. For high importance systems, equipment,
and components, a high percentage of schedule compliance will be required. For
low importance systems, equipment and components, a lower percentage of
schedule compliance will be accepted.
Proposed Action: The Laboratories will evaluate predictive maintenance
techniques for value added to the maintenance process. Safety, risk and
reliability will be the determining factors in applying predictive maintenance
to high importance systems, equipment and components. For low importance
systems, equipment, and components, the determining factors will be economic.
The Laboratories will document their predictive maintenance programs.
Proposed Action: The Laboratories will document their corrective
maintenance programs through the procedures referenced in elements 3.1.2 and
3.4.5
Proposed Action: The Laboratories will develop and document their
configuration management (CM) programs. For high importance systems,
equipment, and components, the full requirements of the CM program will be
applied to all craft work. For low importance systems, equipment, and
components, the CM program will identify any required controls.
Proposed Action: The Laboratories will document their failure analysis
programs and utilize their maintenance history systems referenced in element
3.4.9 to identify multiple or frequent failures. Failures of high importance
systems, equipment, and components will require determination of cause and
follow-up analysis, while failures of low importance systems, equipment, and
components will be analyzed at the discretion of the maintenance supervisor.
3.7.2 Periodic Review and Analysis
Performance Objective: Facility and/or maintenance managers should
develop and utilize standardized procedures, methodologies, and systems for the
review and analyses of the efficiency of their maintenance programs.
Proposed Action: This element will be addressed under 3.7.3.
Performance Objective: Management and maintenance organizations should
have a quantitative means of measuring performance and effectiveness to improve
the maintenance system.
Proposed Action: The Laboratories will develop and document procedures
for measuring and analyzing their maintenance organization's and their
maintenance programs' efficiency and effectiveness. This will involve the use
of performance indicators, trending, and analysis.
Performance Objective: To enhance the safety of facility operations,
maintenance managers should be sufficiently involved with facility operations
and maintenance to be technically informed and personally familiar with
conditions at the operating facility.
Proposed Action: The Laboratories will establish and document minimum
requirements for the participation of their maintenance managers in facility
walk-through, equipment inspections, and maintenance work observations.
Proposed Action: The Laboratories will develop and document programs to
measure effectiveness and efficiency as stated in element 3.7.3. Work sampling
as a data collection and analysis technique may be used along with other
techniques.
Proposed Action: The work request system referenced under elements 3.1.2
and 3.4.1 will be utilized to accumulate and track maintenance costs.
Proposed Action: The Laboratories will document all formal external and
internal audits and self-assessments as they pertain to maintenance, and will
establish a program to circulate Occurrence Reports (DOE Order 5000.3A) through
the maintenance organization's management for their application.
Proposed Action: The contract addresses self-assessments in Article VI
Clause 6 and the Preamble to this appendix specifies that implementation
milestones will be developed for this appendix.
Proposed Action: The Laboratories will utilize historical data regarding
weather extremes and the consequence of freeze damage in developing and
documenting their seasonal maintenance procedures which will include freeze
protection concerns.
Proposed Action: Utilization of the Graded approach will identify those
systems that are important to safety of personnel or continuity of operations;
and maintenance procedures will be developed for high importance systems or
equipment. As stated in 3.4.5, generic procedures or skill of the craft may be
used for low importance systems.
Proposed Action: The Laboratories will evaluate the economic value where
appropriate of manufacturers' warranties or guarantees. The evaluation will
consider the consequence of failure and the urgency of the repair. The
Laboratories will develop a system to track warranty/guarantee expiration dates
and alert maintenance workers of the possibility of warranty repairs.
Because the maintenance of PP&PE is an integral part of operations, the
following five elements will be the focus of the maintenance management program
for PP&PE. These five elements form the core of an efficient maintenance
program. A performance objective is included for each element.
Proposed Action: The Laboratories will establish a central maintenance
oversight responsibility for the purpose of providing specific guidance to and
oversight of the operating organizations in the maintenance of their equipment.
The Laboratories will document the responsibilities and authorities of the
operating organizations for the maintenance of their equipment, and identify
the required interactions with engineering, health and safety, and other
support functions. Training will be addressed in element 3.1.4.
Proposed Action: The Laboratories will develop guidance and control of
maintenance to ensure a consistent approach to maintenance across the operating
organizations at each site. The guidance will emphasize environment, safety
and health, and the documentation requirements of maintenance activities.
Proposed Action: The Laboratories will document their maintenance policy
and communicate the maintenance requirements to the operating organizations
through their established systems of Laboratory directives. Performance
measurement and improvement will be addressed under element 3.7.3.
Proposed Action: The Laboratories will document their training programs.
For high importance PP&PE, the Laboratories will document required
maintenance and repair skills and develop training and qualification programs.
For low importance PP&PE, the Laboratories will utilize basic technician
skills.
Proposed Action: The Laboratories will establish inspection requirements
for high importance PP&PE. General housekeeping and cleanliness inspections
of operating areas will be addressed in Laboratory guidance.
Proposed Action: The requirement for condition assessment survey of real
property and installed equipment is addressed in Section I. The statement of
the performance objective excludes PP&PE.
Proposed Action: The Laboratories will develop a Maintenance Management
Plan that describes the maintenance program and details responsibilities and
authorities. Because of the uncertainties of programmatic funding, the
unpredictability of program result, the varying use of PP&PE, and the
temporary nature of research equipment, maintenance cost for PP&PE cannot
be projected with any accuracy. Therefore, the cost projections included in the
maintenance plan will be limited to RP&IE.
Proposed Action: Because of the number of organizations involved in
maintaining PP&PE, a single Laboratory wide work order system would be a
significant encumbrance rather than an asset. At the organizational level, a
work request system is not needed to communicate the repair information to the
maintenance personnel, because the operating personnel direct or perform the
maintenance. The scheduling capabilities of a work order system, for work such
as preventive maintenance, can be provided by a simple data base that can also
serve to record maintenance and repair history. The Laboratories will address
the issues of control of work and interfaces with support organizations such as
safety in maintenance procedures. The Laboratories will utilize a work order
system at the organizational level where such a system enhances the process.
Proposed Action: Formal job planning and estimating for the maintenance
of PP&PE is not beneficial because the work will be performed by non-craft
operating personnel where craft sequencing and coordination of outages are not
viable concerns. The Laboratories will address the issues of support required
from other organizations and permits in the maintenance procedures developed
for high importance equipment.
Proposed Action: Time standards have not been developed for the highly
technical repair and maintenance work required for PP&PE. The costs of
developing such standards would be prohibitive. The Laboratories will exempt
PP&PE maintenance from engineered time standards.
Proposed Action: In those cases where a work order system is
implemented, the Laboratories will develop a priority system to complement the
work request process.
Proposed Action: The Laboratories will develop maintenance procedures
with emphasis on environment, safety and health. For high importance
PP&PE, the Laboratories will develop equipment specific detailed
procedures. Maintenance procedures will specify the applicability and use of
other work-related documents. The maintenance requirements may be documented in
other procedures such as operating or calibration procedures as appropriate.
Proposed Action: The Laboratories will develop scheduling capability for
the preventive maintenance activities required for high importance PP&PE.
Control of outages will be inherent in the process because the operating
personnel will be performing or directing the maintenance.
Proposed Action: The Laboratories will include post-maintenance testing
in their maintenance procedures. For high importance PP&PE,
post-maintenance testing will be required and documented.
Proposed Action: The Laboratories will provide guidance for control of
maintenance at the organizational level to ensure that high importance
PP&PE is maintained consistent with the facility's mission.
Proposed Action: The Laboratories will develop equipment repair history
and vendor information systems at the organizational level to record the repair
history, including post-maintenance testing, for high importance PP&PE.
Proposed Action: Maintenance and operations are integrated, performed
or directed by the same organizational personnel, therefore the need for
maintenance facilities and equipment separate from those required for operation
is not a significant issue. The Laboratories will identify the requirement for
special tools or support equipment in the maintenance procedures for high
importance PP&PE.
Proposed Action: The Laboratories will document their procedures for
procurement of maintenance materials and services. For high importance
PP&PE, the Laboratories will review the need for on-hand spare parts at the
organizational level, and establish spare parts stock as required to support
the operation.
Proposed Action: The Laboratories will establish, at the organizational
level, controls to ensure that the critical spare parts for high importance
PP&PE are properly identified, stored, and retrievable.
Proposed Action: The Laboratories will establish and document
calibration programs for their measuring and test equipment. The maintenance
procedures referenced in element 3.4.5 will identify the need for calibrated
M&TE when maintaining high importance PP&PE.
Proposed Action: The Laboratories will document in their maintenance
procedures, referenced in element 3.4.5, the tools and consumable supplies
normally needed for maintenance of high importance PP&PE.
Proposed Action: Preventive maintenance requirements will be documented
at the organizational level for high importance PP&PE. For low importance
PP&PE, PM will be based on programmatic importance and economic
considerations.
Performance Objective: A predictive maintenance program should be
established and utilized to monitor; determine trends; analyze parameters,
properties, and performance characteristics or signatures of equipment in order
to forecast equipment degradation so that "as-needed" planned maintenance can
be performed prior to equipment failure.
Proposed Action: The Laboratories will evaluate predictive maintenance
techniques for value added to the maintenance process. Safety, risk and
reliability will be the determining factors in applying predictive maintenance
to high importance PP&PE. For low importance PP&PE the determining
factor will be economic. The Laboratories will document the application of
predictive maintenance at the organizational level.
Proposed Action: The guidance referenced in element 3.1.2 will address
control of maintenance and corrective maintenance.
Proposed Action: Facility modifications will be subject to the
requirements of the configuration management programs at the Laboratories.
Proposed Action: The Laboratories will document their failure analysis
programs and utilize their maintenance history systems referenced in element
3.4.9 to identify multiple or frequent failures. Failures of high importance
PP&PE will require determination of cause and follow-up analysis, while
failures of low importance PP&PE will be analyzed at the discretion of the
operating personnel.
Proposed Action: This element will be addressed under 3.7.3.
Proposed Action: The Laboratories' organizations will apply performance
indicators based on the performance and productivity of their PP&PE as
indicators of the effectiveness of their maintenance efforts.
Proposed Action: Line manager involvement is implicit in the integration
of operations and maintenance under the purview of the operating
organizations.
Proposed Action: The Laboratories will utilize the inspections noted in
3.7.4 as informal observations of maintenance activities. Formal work sampling
is not appropriate as a management tool in assessing the maintenance work
performed by their non-craft operating personnel.
Proposed Action: The Laboratories will accumulate and report the cost of
maintenance performed on PP&PE as follows:
1. The cost of maintenance and repair activities performed by in-house
maintenance personnel will be tracked.
2. The cost of maintenance and repair activities performed by other contract
personnel will be tracked.
3. The work performed by scientists and technicians, which is associated with
conducting experiments and with the operation of experiment support equipment,
is an integral part of their programmatic responsibilities and will not be
reported as maintenance costs.
Proposed Action: The Laboratories will document all formal external and
internal audits and self-assessments as they pertain to operations and
maintenance, and will establish a program to circulate Occurrence Reports (DOE
order 5000.3A) through the Laboratories' Management for their application.
Proposed Action: The contract addresses self-assessments in Article VI
Clause 6 and the Preamble to this appendix specifies that implementation
milestones will be developed for this appendix.
Proposed Action: The vast majority of items requiring seasonal
maintenance activities and freeze protection are RP&IE. However, the
Laboratories will review PP&PE that is located outside or otherwise exposed
to the elements and devise seasonal procedures if there is a significant
potential for damage caused by extreme weather conditions.
Performance Objective: The above maintenance management program elements
provide an environment for quality maintenance performance. To ensure that an
appropriate level of Performance expectation is provided to craftsmen, national
consensus standards and/or field-tested workmanship standards should be
established for those maintenance activities covered by these standards. Where
maintenance activities are not covered by such standards and could impact
safety of personnel or the continuity of facility operation, applicable
maintenance procedures or standards should be created.
Proposed Action: There are few situations where industry standards are
available for the maintenance activities performed by scientists and
technicians. However, utilization of the graded approach will identify those
systems that are important to safety of personnel or continuity of operations;
and maintenance procedures will be developed for high importance systems or
equipment. As stated in 3.4.5, generic procedures or workman skills may be
used for low importance systems.
Proposed Action: The Laboratories will develop and document a process by
which operating organizations will seek warranty/guarantee repairs when
appropriate for their PP&PE.
PREAMBLE
The University of California (University) is committed to a cost-effective
maintenance program which promotes operational safety, worker health,
environmental protection, property preservation for all Department of Energy
(DOE) property, while meeting the programmatic mission. DOE Order 4330.4A
defines a comprehensive maintenance management program designed to meet these
goals. The University is. also, committed to improved levels of maintenance
based on the graded approach and recognizes DOE Order 4330.4A as the
maintenance directive. This Appendix describes the implementation of the
Chapter I elements that are intended to satisfy the policy, objectives, and
requirements as stated in the signature portion of the order. In consideration
of the submittal requirements mentioned in the "Requirements" section of the
order, the current field office reporting requirements shall be the
acknowledged baseline.
SECTION
I -- MAINTENANCE OF REAL PROPERTY AND
INSTALLED EQUIPMENT (EXCLUDING
PROGRAMMATIC EQUIPMENT)
Introduction
This section addresses the maintenance of real property and installed
equipment, excluding programmatic equipment, (RP&IE) following the Order
outline and using the subject numbers for ease of cross reference. The
following statements apply to the established, recognized maintenance
organization within each Laboratory for the maintenance of RP&IE. For
those elements where the graded approach is utilized, the implementation
criteria for high importance and low importance systems, equipment, and
components will be stated in the "Proposed Action." It shall be understood that
for intermediate importance systems, equipment and components, the appropriate
intermediate criteria will be applied. The terms "high, medium and low
importance systems, equipment, and components" are conceptual and relative.
The corresponding specific terms will be defined in the process of developing
the graded approach.
3.1.1 -- Organization/Staffing
Performance Objective: A clearly defined maintenance organization with
specific lines of authority, responsibility, and accountability should be
established. Requirements for communications and interface with other facility
organizations should be determined. A sufficient number of properly trained
management, supervision, and craft personnel should be utilized to perform the
required maintenance activities.
3.1.2 -- Administration
Performance Objective: The administration of the maintenance function
should ensure that a high level of performance is achieved through effective
implementation and control of maintenance activities by establishing written
performance standards, periodically observing and assessing the performance of
maintenance personnel and systems, and holding personnel accountable for their
performance.
3.1.3 -- Policies, Goals, and Objectives
Performance Objective: Written maintenance policies, goals, and
objectives should be documented in appropriate manuals and communicated to all
maintenance personnel. Maintenance should be conducted based on these goals
and objectives.
3.1.4 -- Training and Qualification
Performance Objective: Training and qualification programs should
develop and maintain the knowledge and skills required by maintenance personnel
to effectively perform maintenance activities.
3.2.1 -- Facility Condition Inspections
Performance Objective: To establish and conduct periodic inspections of
equipment and facilities, assuring that proper condition, cleanliness, and
housekeeping are maintained to support safe and reliable facility operations.
3.2.2 -- Condition Assessment Surveys
Performance Objective: All real property and installed equipment should
be inspected at predetermined frequencies to ensure that these facilities are
maintained in a condition consistent with assigned missions or long-range
planning.
3.3.1 -- Site Maintenance Plan
Performance Objective: Individual operating contractors should develop a
maintenance plan that provides a clear understanding of the total maintenance
needs and planned significant projects for the year and, at a summary level,
the maintenance activities that support the long-range life cycle facility
maintenance requirements.
3.4.1 -- Work Request (Order) System
Performance Objective: A formal, well-defined, work request (order)
system should be in place to cover work performed, regardless of whether the
jobs are repetitive or onetime tasks. The work request system should ensure
that jobs are identified, logged, planned and scheduled, performed, tested,
formally accepted, and documented in a "user-friendly" manner.
3.4.2 -- Formal Job Planning and Estimating
Performance Objective: A system of formal job planning and estimating
should be used to identify the required support, permits, hold points, work
procedures, and material requests that determine the total scope of work and
address task sequencing and steps to completion. Outage planning should
promote optimum outage performance by providing integration and coordination of
all work elements.
3.4.3 -- Work Performance (Time) Standards
Performance Objective: Work-hours required to perform a planned job
through the utilization of estimating the application of engineered standards,
the use of job slotting techniques, or other industry-recognized methods should
be established to allow the determination of cost estimates, establishment of
reasonable schedules, and measurement of productivity.
3.4.4 -- Priority System
Performance Objective: A systematic method of determining job priority
or the importance of the work item to be performed should be established and is
based on safety, environmental, and facility concerns.
3.4.5 -- Maintenance Procedures and Other Work-Related Documents
Performance Objective: Maintenance procedures and other work-related
documents (e.g., drawings and instructions) should be used to provide
appropriate work direction and to ensure that maintenance is performed safely
and efficiently.
3.4.6 -- Scheduling System
Performance Objective: Scheduling and coordinating of corrective and
preventive maintenance and modifications should be performed in such a way that
maintenance activities are conducted in the proper sequence, efficiently, and
within prescribed time limits. An outage schedule should provide for work
element completion and testing and should provide management with information
necessary to control outage activities.
3.4.7 -- Post-Maintenance Testing
Performance Objective: Post-maintenance testing should be performed to
verify that equipment, systems, and components fulfill their design function
when returned to service following maintenance. The tests performed are
commensurate with the maintenance work performed and the importance of the
equipment to facility safety and reliability.
3.4.8 -- Backlog Work Control
Performance Objective: Maintenance backlog (all outstanding corrective
maintenance) should be monitored to ensure that the condition of the facility
is maintained consistent with the facility's mission.
3.4.9 -- Equipment Repair History and Vendor Information
Performance Objective: An equipment repair history and vendor
information program should be established and maintained to provide historical
information for maintenance planning and to support the maintenance and
performance trending analysis of facility systems and components.
3.5.1 -- Maintenance Facilities, Equipment, and Tools
Performance Objective: Maintenance facilities, equipment and tools
should be periodically reviewed for adequacy in supporting facility maintenance
and maintenance training.
3.5.2 -- Requisitioning/Procurement
Performance Objective: Parts, materials, and services required to
perform maintenance activities should be available when needed.
3.5.3 -- Materials Control
Performance Objective: All phases of receiving, inspecting, handling,
storing, retrieving, and issuing of equipment, parts, and materials for
maintenance should be covered by effectively implemented policies and
procedures from the time an item is received until it is installed at the
facility.
3.5.4 -- Control and Calibration of Measuring and Test Equipment
Performance Objective: A program for control and calibration of
measuring and test equipment (M&TE) should be instituted to ensure the
availability of tools and equipment necessary for maintenance, repair, and
calibration of installed equipment and instruments.
3.5.5 -- Maintenance Tools and Equipment Control
Performance Objective: Methods should be established to provide for the
storage, issue, and maintenance of an adequate and readily available supply of
tools and equipment and also for the development of special tools and
equipment needed in the maintenance program.
3.6.1 -- Surveillance and Preventive Maintenance
Performance Objective: Surveillance, inspecting, and testing activities
should provide assurance that the equipment needed for safe and reliable
facility operation performs within required limits and that preventive
maintenance (PM), defined as including periodic and planned maintenance, is
utilized to maintain a piece of equipment within design operating conditions
and to realize its maximum reasonable useful life.
3.6.2 -- Predictive Maintenance
Performance Objective: A predictive maintenance program should be
established and utilized to monitor; determine trends; analyze parameters,
properties, and performance characteristics or signatures of equipment
degradation so that "as-needed" planned maintenance can be performed prior to
equipment failure.
3.6.3 -- Corrective (Repair) Maintenance
Performance Objective: Corrective (repair) maintenance should be
performed in a manner ensuring that quality repairs are performed and that
equipment failing or malfunctioning during service is restored in a timely
manner.
3.6.4 -- Modifications Work (Non-Davis-Bacon)
Performance Objective: Facility modification and temporary modification
work should be accomplished under the same basic administrative controls as
those applied to facility maintenance activities. Changes to the maintenance
program to incorporate facility modifications should be commensurate with the
complexity of the task, the extent of the modification, and the importance of
the equipment.
3.7.1 -- Analysis of Root Causes of Problems
Performance Objective: A systematic analysis methodology should be used
to determine and correct root causes of problems, unplanned events, and
occurrences related to maintenance.3.7.3 -- Performance Measurement and Improvement
3.7.4 -- Management Involvement
3.7.5 -- Work Sampling
Performance Objective: A work-sampling program for the purpose of
determining the extent of various craft activities and their related delay
times should be established such that they may be used to measure the
utilization of crafts in performing work in a maintenance management program.
3.7.6 -- Cost Identification and Control
Performance Objective: Cost accumulation and reporting systems should be
established to facilitate the work control system utilized to evaluate
maintenance performance.
3.7.7 -- Audits and Lessons Learned
Performance Objectives: External and internal audits, such as self-assessments,
lessons learned, and experience from other DOE sites, should be utilized and
evaluated and appropriate changes to systems, procedures and management
concepts should be made to obtain needed improvements and/or to delete
nonessential, noncost-effective, or redundant activities.
4.1
Self-Assessments
Performance Objective: A self-assessment of facility maintenance
programs should be conducted by DOE contractors responsible for maintenance,
and should address each of the elements identified in Chapter I of 4330.4A.
The schedule for such assessments may be established at the contractor's
discretion but should ensure that every maintenance program element is assessed
at least every other year. Deficiencies identified in the self-assessments
should be dispositioned with appropriate action plans.
4.2
Seasonal Facility Preservation Requirements
Performance Objective: Since seasonal variations in temperature and
other weather conditions impact facility preservation activities, a freeze
protection plan should be developed for any facility that may be at risk. A
more comprehensive seasonal transition plan should provide for inspections, PM,
and corrective maintenance of heating or cooling equipment prior to use and
should encompass freeze protection as a part of the plan.
4.3
Maintenance Standards and Workmanship Standards
Performance Objective: The above maintenance management program elements
provide an environment for quality maintenance performance. To ensure that an
appropriate level of performance expectation is provided to craftsmen, national
consensus standards and/or field-tested workmanship standards should be
established for those maintenance activities covered by these standards. Where
maintenance activities are not covered by such standards and could impact
safety of personnel or the continuity of facility operation, applicable
maintenance procedures or standards should be created.
4.4
Warranty/Guarantee Information
Performance Objective: Warranty/guarantee information on items,
components, or systems received from vendors must be evaluated to determine
whether utilization of the warranty or guarantee would be economical at a later
date. If it is determined that a warranty or guarantee is of economic value,
procedures should be established "to flag" future work on this item to ensure
that craftsmen and supervisors do not void the agreement by accomplishment of
unauthorized maintenance or repair.
SECTION
II - MAINTENANCE OF PERSONAL PROPERTY AND
PROGRAMMATIC
EQUIPMENT
Introduction
This section addresses the maintenance of personal property and programmatic
equipment (PP&PE), which shall be understood to exclude office furniture,
office equipment, and personal computers. The maintenance of PP&PE is
assigned to the operating organizations whose primary mission is research or
research support other than maintenance. The operating organization may
perform the required maintenance utilizing its scientists and technicians, or
the operating organization may hire an outside contractor or the central
maintenance organization to perform maintenance. The predominant approach is
to perform maintenance utilizing operating organization personnel. Maintenance
performed by the central maintenance organization will be in accordance with
Section I of this appendix. Building shells will be maintained in accordance
with Section I of this Appendix.
1. Identify/Grade
Performance Objective: Each organization should identify the equipment
that is part of its maintenance responsibility. The graded approach should be
applied to categorize structures, systems, or components according to
consequence of failure.
2. Maintenance Procedures
Performance Objective: Maintenance requirements should be documented in
procedures to provide appropriate work direction and to ensure that maintenance
is performed safely and efficiently.
3. Training and Qualification
Performance Objective: Training and qualification programs should assure
that maintenance is done by personnel with the required knowledge, skills, and
certifications commensurate with the consequence of the equipment to be
maintained.
4. Scheduling
Performance Objective: Scheduling and coordinating of corrective and
preventive maintenance should be performed in such a way that maintenance
activities are performed efficiently and within prescribed time limits.
5. Equipment Repair History
Performance Objective: An equipment repair history should be established
and maintained to provide historical information for analysis of equipment
performance. This section will address each subtopic of Chapter I of DOE Order
4330.4A following the Order outline and using the subject numbers for ease of
cross-reference. The proposed action explains how the University will address
the requirements. The emphasis is on those subtopics that embody the program
elements stated above. For those elements where the graded approach is
utilized, the implementation criteria for high importance systems, equipment,
and components will be stated in the "Proposed Action." In some cases for
added clarity, the low importance implementation criteria is also stated. In
either case, it shall be understood that for low or intermediate importance
systems, equipment and components, the appropriate low or intermediate criteria
will be applied. The terms "high, medium, and low importance systems,
equipment, and components" are conceptual and relative. The corresponding
specific terms will be defined in the process of developing the graded
approach.
3.
1.1 -- Organization/Staffing
Performance Objective: A clearly defined maintenance organization with
specific lines of authority, responsibility, and accountability should be
established. Requirements for communications and interface with other facility
organizations should be determined. A sufficient number of properly trained
management, supervision, and craft personnel should be utilized to perform the
required maintenance activities.
3.1.2 -- Administration
Performance Objective: The administration of the maintenance function
should ensure that a high level of performance is achieved through effective
implementation and control of maintenance activities by establishing written
performance standards, periodically observing and assessing the performance of
maintenance personnel and systems, and holding personnel accountable for their
performance.
3.1.3 -- Policies, Goals and Objectives
Performance Objective: Written maintenance policies, goals, and
objectives should be documented in appropriate manuals and communicated to all
maintenance personnel. Maintenance should be conducted based on these goals
and objectives.3.1.4 Training and Qualification
Performance Objective: Training and qualification programs should
develop and maintain the knowledge and skills required by maintenance personnel
to effectively perform maintenance activities.
3.2.1
Facility Condition Inspections
Performance Objective: To establish and conduct periodic inspections of
equipment and facilities, assuring that proper condition, cleanliness, and
housekeeping are maintained to support safe and reliable facility operations.
3.2.2
Condition Assessment Surveys
Performance Objective: All real property and installed equipment should
be inspected at predetermined frequencies to ensure that these facilities are
maintained in a condition consistent with assigned missions or long-range
planning.
3.3.1 -- Site Maintenance Plan
Performance Objective: Individual operating contractors should develop a
maintenance plan that provides a clear understanding of the total maintenance
needs and planned significant projects for the year and, at a summary level,
the maintenance activities that support the long-range life cycle facility
maintenance requirements.
3.4.1
Work Request (Order) System
Performance Objective: A formal, well-defined, work request (order)
system should be in place to cover work performed, regardless of whether the
jobs are repetitive or one-time tasks. The work request system should ensure
that jobs are identified, logged, planned and scheduled, performed, tested,
formally accepted, and documented in a "user-friendly" manner.
3.4.2 -- Formal Job Planning and Estimating
Performance Objective: A system of formal job planning and estimating
should be used to identify the required support, permits, hold points, work
procedures, and material requests that determine the total scope of work and
address task sequencing and steps to completion. Outage planning should
promote optimum outage Performance by providing integration and coordination of
all work elements.
3.4.3 -- Work Performance (Time) Standards
Performance Objective: Work-hours required to perform a planned job
through the utilization of estimating, the application of engineered standards,
the use of job slotting techniques, or other industry-recognized methods should
be established to allow the determination of cost estimates, establishment of
reasonable schedules, and measurement of productivity.
3.4.4 -- Priority System
Performance Objective: A systematic method of determining job priority
or the importance of the work item to be performed should be established and is
based on safety, environmental, and facility concerns.
3.4.5 -- Maintenance Procedures and Other Work-Related Documents
Performance Objective: Maintenance procedures and other work-related
documents (e.g., drawings and instructions) should be used to provide
appropriate work direction and to ensure that maintenance is performed safely
and efficiently.
3.4.6 -- Scheduling System
Performance Objective: Scheduling and coordinating of corrective and
preventive maintenance and modifications should be performed in such a way that
maintenance activities are conducted in the proper sequence, efficiently, and
within prescribed time limits. An outage schedule should provide for work
element completion and testing and should provide management with information
necessary to control outage activities.
3.4.7 -- Post-Maintenance Testing
Performance Objective: Post-maintenance testing should be performed to
verify that equipment, systems, and components fulfill their design function
when returned to service following maintenance. The tests performed are
commensurate with the maintenance work performed and the importance of the
equipment to facility safety and reliability.
3.4.8 -- Backlog Work Control
Performance Objective: Maintenance backlog (all outstanding corrective
maintenance) should be monitored to ensure that the condition of the facility
is maintained consistent with the facility's mission.
3.4.9 -- Equipment Repair History and Vendor Information
Performance Objective: An equipment repair history and vendor
information program should be established and maintained to provide historical
information for maintenance planning and to support the maintenance and
performance trending analysis of facility systems and components.
3.5.1 -- Maintenance Facilities, Equipment, and Tools
Performance Objective: Maintenance facilities, equipment, and tools
should be periodically reviewed for adequacy in supporting facility maintenance
and maintenance training.
3.5.2 -- Requisitioning/Procurement
Performance Objective: Parts, materials, and services required to
perform maintenance activities should be available when needed.
3.5.3 -- Materials Control
Performance Objective: All phases of receiving, inspecting, handling,
storing, retrieving, and issuing of equipment, parts, and materials for
maintenance should be covered by effectively implemented policies and
procedures from the time an item is received until it is installed at the
facility.
3.5.4
Control and Calibration of Measuring and Test Equipment
Performance Objective: A program for control and calibration of
measuring and test equipment (M&TE) should be instituted to ensure the
availability of tools and equipment necessary for maintenance, repair, and
calibration of installed equipment and installments.
3.5.5 -- Maintenance Tools and Equipment Control
Performance Objective: Methods should be established to provide for the
storage, issue, and maintenance of an adequate and readily available supply of
tools and equipment and also for the development of special tools and equipment
needed in the maintenance program.
3.6.1 -- Surveillance and Preventive Maintenance
Performance Objective: Surveillance, inspecting, and testing activities
should provide assurance that the equipment needed for safe and reliable
facility operation performs within required limits and that preventive
maintenance (PM), defined as including periodic and planned maintenance, is
utilized to maintain a piece of equipment within design operating conditions
and to realize its maximum reasonable useful life.
3.6.2 -- Predictive Maintenance
3.6.3 -- Corrective (Repair) Maintenance
Performance Objective: Corrective (repair) maintenance should be
performed in a manner ensuring that quality repairs are performed and that
equipment failing or malfunctioning during service is restored in a timely
manner.
3.6.4 -- Modifications Work (Non-Davis-Bacon)
Performance Objective: Facility modification and temporary modification
work should be accomplished under the same basic administrative controls as
those applied to facility maintenance activities. Changes to the maintenance
program to incorporate facility modifications should be commensurate with the
complexity of the task, the extent of the modification, and the importance of
the equipment.
3.7.1 -- Analysis of Root Causes of Problems
Performance Objective: A systematic analysis methodology should be used
to determine and correct root causes of problems, unplanned events, and
occurrences related to maintenance.
3.7.2 -- Periodic Review and Analysis
Performance Objective: Facility and/or maintenance managers should
develop and utilize standardized procedures, methodologies, and systems for the
review and analyses of the efficiency of their maintenance program.
3.7.3 -- Performance Measurement and Improvement
Performance Objective: Management and maintenance organizations should
have a quantitative means of measuring performance and effectiveness to improve
the maintenance system.
3.7.4 -- Management Involvement
Performance Objective: To enhance the safety of facility operations,
maintenance managers should be sufficiently involved with facility operations
and maintenance to be technically informed and personally familiar with
conditions at the operating facility.
3.7.5 -- Work Sampling
Performance Objective: A work-sampling Program for the purpose of
determining the extent of various craft activities and their related delay
times should be established such that they may be used to measure the
utilization of crafts in performing work in a maintenance management program.
3.7.6 -- Cost Identification and Control
Performance Objective: Cost accumulation and reporting systems should be
established to facilitate the work control system utilized to evaluate
maintenance performance.
3.7.7 -- Audits and Lessons Learned
Performance Objective: External and internal audits, such as
self-assessments, lessons learned and experience from other DOE sites, should
be utilized and evaluated and appropriate changes to systems, procedures, and
management concepts should be made to obtain needed improvements and/or to
delete nonessential, non cost- effective, or redundant activities.
4.1 -- Self-Assessments
Performance Objective: A self-assessment of facility maintenance
programs should be conducted by DOE contractors responsible for maintenance,
and should address each of the elements identified in Chapter I of 4330.4A.
The schedule for such assessments may be established at the contractor's
discretion but should ensure that every maintenance program element is assessed
at least every other year. Deficiencies identified in the self-assessments
should be dispositioned with appropriate action plans.
4.2
Seasonal Facility Preservation Requirements
Performance Objective: Since seasonal variations in temperature and
other weather conditions impact facility preservation activities, a freeze
protection plan should be developed for any facility that may be at risk. A
more comprehensive seasonal transition plan should provide for inspection, PM,
and corrective maintenance of heating or cooling equipment prior to use and
should encompass freeze protection as a part of the plan.
4.3 -- Maintenance Standards and Workmanship Standards
4.4 -- Warranty/Guarantee Information
Performance Objective: Warranty/guarantee information on items,
components, or systems received from vendors must be evaluated to determine
whether utilization of the warranty or guarantee would be economical at a later
date. If it is determined that a warranty or guarantee is of economic value,
procedures should be established "to flag" future work on this item to ensure
that craftsmen and supervisors do not void the agreement by accomplishment of
unauthorized maintenance or repair.
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