DOE G 433.1-1, Nuclear Facility Maintenance Management Program Guide for Use with DOE O 433.1

DISTRIBUTION: INITIATED BY: All Departmental Elements Office of Nuclear and Facility Safety Policy NOT MEASUREMENT SENSITIVE DOE G 433.1-1 9-5-01 Nuclear Facility Maintenance Management Program Guide for Use with DOE O 433.1 [This Guide describes suggested nonmandatory approaches for meeting requirements. Guides are not requirements documents and are not construed as requirements in any audit or appraisal for compliance with the parent Policy, Order, Notice, or Manual.] U.S. Department of Energy Washington, D.C. 20585 DOE G 433.1-1 i 9-5-01 FOREWORD This Department of Energy (DOE) Guide is approved by the Office of Nuclear and Facility Safety Policy (EH-53) and is available for use by all DOE components and contractors. Beneficial comments (recommendations, additions, deletions, and any pertinent data) that may improve this document should be sent to— Charles B. Ramsey EH-53/270CC U.S. Department of Energy Germantown, Maryland 20874 Phone: 301-903-5999 Facsimile: 301-903-6172 DOE Guides are part of the DOE Directives System and are issued to provide supplemental information regarding the Department’s expectations of its requirements as contained in rules, Orders, Notices, and regulatory standards. Implementation Guides also provide acceptable methods for implementing these requirements. DOE developed this Guide to supplement DOE O 433.1, Maintenance Management Program for DOE Nuclear Facilities, and the following directives and regulations: • 48 CFR 45.509, Care, Maintenance, and Use; of Government Property; • DOE P 450.4, Safety Management System Policy; • 10 CFR 830, Nuclear Safety Management;1 • 10 CFR 834 (Proposed), Radiation Protection of the Public and the Environment;2 • 10 CFR 835, Occupational Radiation Protection;3 and • 29 CFR 1910.119, Process Safety Management of Highly Hazardous Chemicals. This Guide includes direction previously issued in DOE 4330.4B, Maintenance Management Program. This page intentionally left blank. DOE G 433.1-1 iii 9-5-01 CONTENTS I. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 II. DISCUSSION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 III. GUIDANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 1. DEFINITIONS, ACRONYMS, AND REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . 15 1.1 DEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 1.2 ACRONYMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 1.3 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 2. GRADED APPROACH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 2.1 CRITERIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 2.2 DEVIATIONS OR NONAPPLICABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 2.3 FACILITY-RELATED NONSAFETY EQUIPMENT . . . . . . . . . . . . . . . . . . . . . 39 3. MAINTENANCE IMPLEMENTATION PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

3.1 FORMAT AND CONTENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 3.2 BOUNDARIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 3.3 APPROVAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 4. MAINTENANCE MANAGEMENT PROGRAM ELEMENTS . . . . . . . . . . . . . . . . . . 41 4.1 MAINTENANCE ORGANIZATION AND ADMINISTRATION . . . . . . . . . . . . 41 4.1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 4.1.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 4.1.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 4.1.3.1 Maintenance Organization Policies . . . . . . . . . . . . . . . . . . . . . 43 4.1.3.2 Maintenance Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 4.1.3.3 Staffing Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 4.1.3.4 Goals and Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 4.1.3.5 Accountability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 4.1.3.6 Quantitative Indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 4.1.3.7 Status Reports to Managers . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 4.1.3.8 Determination of Root Cause of Problems . . . . . . . . . . . . . . . . 47 iv DOE G 433.1-1 9-5-01 4.1.3.9 Management Control of Plant Configuration . . . . . . . . . . . . . . 49 4.1.3.10 Document Control Administration . . . . . . . . . . . . . . . . . . . . . . 50 4.1.3.11 Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 4.1.3.12 Drawing Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 4.1.3.13 Vendor Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 4.1.4 Maintenance Organization and Administration Performance Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 4.2 TRAINING AND QUALIFICATION OF MAINTENANCE PERSONNEL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 4.2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 4.2.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 4.2.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 4.2.3.1 Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 4.2.3.2 Maintenance Training Programs . . . . . . . . . . . . . . . . . . . . . . . . 54 4.2.3.3 Training Schedules and Support . . . . . . . . . . . . . . . . . . . . . . . . 54 4.2.3.4 On-the-Job Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 4.2.3.5 Qualification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 4.2.3.6 Training in Root-Cause Analysis . . . . . . . . . . . . . . . . . . . . . . . 56 4.2.3.7 Training Program Approval, Effectiveness, and Feedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

4.2.3.8 Management and Supervisory Training . . . . . . . . . . . . . . . . . . 57 4.2.4 Maintenance Personnel Knowledge and Performance Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57 4.3 MAINTENANCE FACILITIES, EQUIPMENT, AND TOOLS . . . . . . . . . . . . . . 58 4.3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 4.3.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 4.3.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 4.3.3.1 Shops and Satellite Work Areas . . . . . . . . . . . . . . . . . . . . . . . . 60 4.3.3.2 Laydown and Staging Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 4.3.3.3 Storage Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 DOE G 433.1-1 v 9-5-01 4.3.3.4 Temporary Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 4.3.3.5 Decontamination Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 4.3.3.6 Tool and Equipment Storage . . . . . . . . . . . . . . . . . . . . . . . . . . 62 4.3.3.7 Office Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 4.3.4 Maintenance Facilities and Equipment Performance Objectives . . . . . . . . 62 4.4 TYPES OF MAINTENANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 4.4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 4.4.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 4.4.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 4.4.3.1 Master Equipment List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 4.4.3.2 Preventive Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 4.4.3.3 Problem Component Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 69 4.4.3.4 System Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 4.4.3.5 Preventive Maintenance Task Selection . . . . . . . . . . . . . . . . . . 89 4.4.3.6 Preventive Maintenance Living Program . . . . . . . . . . . . . . . . . 94 4.4.3.7 Task and Program Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 4.4.3.8 Task Frequency Optimization . . . . . . . . . . . . . . . . . . . . . . . . . . 95 4.4.3.9 Component Failure Trending . . . . . . . . . . . . . . . . . . . . . . . . . . 96 4.4.3.10 Predictive Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 4.4.3.11 Selection of Predictive Maintenance Techniques . . . . . . . . . . . 98 4.4.3.12 Example Vibration Monitoring Procedure . . . . . . . . . . . . . . . . 99 4.4.3.13 Example Lubrication Oil Analysis Procedure . . . . . . . . . . . . . 102 4.4.3.14 Example Thermography Program Procedure . . . . . . . . . . . . . 104 4.4.3.15 Data Review, Trending, and Analysis . . . . . . . . . . . . . . . . . . . 106 4.4.3.16 Scheduling Predictive Maintenance . . . . . . . . . . . . . . . . . . . . 107 4.4.3.17 Evaluating and Upgrading the Program . . . . . . . . . . . . . . . . . 108

4.4.4 Corrective Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 4.4.5 Maintenance at Facilities in Transition and Production Readiness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 4.4.6 Conduct of Maintenance Performance Objectives . . . . . . . . . . . . . . . . . . 114 vi DOE G 433.1-1 9-5-01 4.4.7 Preventive Maintenance Performance Objectives . . . . . . . . . . . . . . . . . . 115 4.5 MAINTENANCE PROCEDURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 4.5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 4.5.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 4.5.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 4.5.3.1 Procedure Development and Writing . . . . . . . . . . . . . . . . . . . 126 4.5.3.2 Procedure Verification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127 4.5.3.3 Procedure Validation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 4.5.3.4 Procedure Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 4.5.3.5 Procedure Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 4.5.3.6 Procedure Change Control, Periodic Review, and Revision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129 4.5.4 Maintenance Procedures and Documentation Performance Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130 4.6 PLANNING, SCHEDULING, AND COORDINATING MAINTENANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131 4.6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131 4.6.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 4.6.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 4.6.3.1 Planning for Maintenance Activities . . . . . . . . . . . . . . . . . . . . 133 4.6.3.2 Planning-Group Responsibilities . . . . . . . . . . . . . . . . . . . . . . 133 4.6.3.3 Craft Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134 4.6.3.4 Planning System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142 4.6.3.5 Work-Control Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142 4.6.3.6 Maintenance Work Request/Work Order Processing . . . . . . . 143 4.6.3.7 Maintenance Work Request/Work Order Planning . . . . . . . . 144 4.6.3.8 Scheduling Maintenance Activities . . . . . . . . . . . . . . . . . . . . 147 4.6.3.9 Coordinating Maintenance Activities . . . . . . . . . . . . . . . . . . . 156 4.6.3.10 Planning, Scheduling, and Coordinating Outages . . . . . . . . . 160 DOE G 433.1-1 vii 9-5-01 4.6.3.11 Planning, Scheduling, and Coordinating Maintenance Performance Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164 4.7 CONTROL OF MAINTENANCE ACTIVITIES . . . . . . . . . . . . . . . . . . . . . . . . . 174 4.7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174

4.7.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174 4.7.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176 4.7.3.1 Work-Control Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176 4.7.3.2 Work Request/Work Order . . . . . . . . . . . . . . . . . . . . . . . . . . . 177 4.7.3.3 Supervision of Maintenance Activities . . . . . . . . . . . . . . . . . . 178 4.7.3.4 Review of Completed Work Requests . . . . . . . . . . . . . . . . . . 179 4.7.3.5 Temporary Repairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 4.7.3.6 Control of Nonfacility Contractor and Subcontractor Personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 4.7.3.7 Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 4.7.3.8 Equipment Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 4.7.3.9 Control of Maintenance Activities Performance Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 4.7.3.10 Configuration Management . . . . . . . . . . . . . . . . . . . . . . . . . . 182 4.7.3.11 Conduct of Operations Lockout/Tagout . . . . . . . . . . . . . . . . . 183 4.7.3.12 Integrated Safety Management System . . . . . . . . . . . . . . . . . . 183 4.7.3.13 Human Factors Engineering . . . . . . . . . . . . . . . . . . . . . . . . . . 185 4.7.4 Work-Control System Performance Objectives . . . . . . . . . . . . . . . . . . . . 187 4.8 POSTMAINTENANCE TESTING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188 4.8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188 4.8.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 4.8.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 4.8.3.1 Postmaintenance Test Requirements . . . . . . . . . . . . . . . . . . . 189 4.8.3.2 Postmaintenance Test Program Scope . . . . . . . . . . . . . . . . . . 190 4.8.3.3 Postmaintenance Test Control . . . . . . . . . . . . . . . . . . . . . . . . 195 viii DOE G 433.1-1 9-5-01 4.8.3.4 Postmaintenance Test Performance, Documentation, and Acceptance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 4.9 PROCUREMENT OF PARTS, MATERIALS, AND SERVICES . . . . . . . . . . . 207 4.9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 4.9.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 4.9.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 4.9.3.1 Procurement Policy and Procedures . . . . . . . . . . . . . . . . . . . . 207 4.9.3.2 Procurement Initiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 4.9.4.3 Procurement Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 4.9.3.4 Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 4.10 MATERIAL RECEIPT, INSPECTION, HANDLING, STORAGE, RETRIEVAL, AND ISSUANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210

4.10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 4.10.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 4.10.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 4.10.3.1 Receipt and Inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 4.10.3.2 Handling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213 4.10.3.3 Storing Material and Equipment . . . . . . . . . . . . . . . . . . . . . . . 214 4.10.3.4 Retrieval and Issuance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218 4.10.4 Materials Management Performance Objectives . . . . . . . . . . . . . . . . . . . 219 4.11 CONTROL AND CALIBRATION OF MEASURING AND TEST EQUIPMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224 4.11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224 4.11.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224 4.11.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225 4.11.3.1 Procurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225 4.11.3.2 Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226 4.11.3.3 Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 4.11.3.4 Calibration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 4.11.3.5 Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230 DOE G 433.1-1 ix 9-5-01 4.11.3.6 Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 4.12 MAINTENANCE TOOLS AND EQUIPMENT CONTROL . . . . . . . . . . . . . . . 233 4.12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 4.12.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234 4.12.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235 4.12.3.1 Storage and Issuance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235 4.12.3.2 Tool and Equipment Maintenance . . . . . . . . . . . . . . . . . . . . . 237 4.12.3.3 Use of Special Tools and Equipment . . . . . . . . . . . . . . . . . . . 238 4.12.3.4 Tools and Equipment in Radiological Areas . . . . . . . . . . . . . 239 4.13 FACILITY CONDITION INSPECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 4.13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 4.13.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 4.13.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242 4.13.3.1 Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242 4.13.3.2 Facility Inspection Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244

4.13.3.3 Scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244 4.13.3.4 Types of Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244 4.13.3.5 Conducting Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245 4.13.3.6 Inspection Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245 4.13.3.7 Reporting and Follow-up . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246 4.13.3.8 Material Deficiency Identification . . . . . . . . . . . . . . . . . . . . . 246 4.13.3.9 Work Request/Work Order Initiation . . . . . . . . . . . . . . . . . . . 247 4.13.3.10 Removing Deficiency Tag Stickers . . . . . . . . . . . . . . . . . . . . 247 4.13.3.11 Confirmation of Deficiency Identification Tag and Sticker Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248 4.13.3.12 Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248 4.13.3.13 Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248 4.13.3.14 Scope of Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248 4.13.3.15 Inspection Program Elements . . . . . . . . . . . . . . . . . . . . . . . . . 249 4.13.3.16 Deficiency Follow-up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249 x DOE G 433.1-1 9-5-01 4.13.4 Facility Material Condition Performance Objectives . . . . . . . . . . . . . . . . 250 4.14 MANAGEMENT INVOLVEMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 4.14.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 4.14.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 4.14.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268 4.14.3.1 Manager Involvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268 4.14.3.2 Performance Indicators, Goals, and Objectives . . . . . . . . . . . 269 4.14.3.3 Problem Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 4.14.3.4 Information Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271 4.14.3.5 Information Analysis, Cause Determination, and Corrective Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271 4.14.3.6 Corrective Action Follow-up . . . . . . . . . . . . . . . . . . . . . . . . . 272 4.14.3.7 Generic Follow-up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272 4.14.3.8 Feedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272 4.14.3.9 Program Reviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 4.14.4 Management Involvement Performance Objectives . . . . . . . . . . . . . . . . . 275 4.14.5 Management Involvement Assessment Objectives . . . . . . . . . . . . . . . . . . 276 4.15 MAINTENANCE HISTORY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 4.15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 4.15.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277

4.15.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277 4.15.3.1 Program Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277 4.15.3.2 Data Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278 4.15.3.3 Maintenance History File Development . . . . . . . . . . . . . . . . . 278 4.15.3.4 Program Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 4.15.3.5 Computerized Maintenance History Engineering Database . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 4.15.4 Maintenance History Performance Objectives . . . . . . . . . . . . . . . . . . . . . 282 4.15.5 In-house Operating Experience Review Performance Objectives . . . . . . 282 DOE G 433.1-1 xi 9-5-01 4.15.6 Industry Operating Experience Review Performance Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283 4.16 ANALYSIS OF MAINTENANCE PROBLEMS . . . . . . . . . . . . . . . . . . . . . . . . 286 4.16.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286 4.16.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286 4.16.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286 4.16.3.1 Information Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286 4.16.3.2 Event Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287 4.16.3.3 Cause Determination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288 4.16.3.4 Corrective Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290 4.16.3.5 Corrective Action Follow-up . . . . . . . . . . . . . . . . . . . . . . . . . 290 4.16.3.6 Generic Follow-up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290 4.16.4 Quality Assurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 4.17 MODIFICATION WORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 4.17.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 4.17.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 4.17.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294 4.17.3.1 Maintenance Program Interface with Modifications . . . . . . . . 294 4.17.3.2 Temporary Repairs or Temporary Modifications . . . . . . . . . . 294 4.17.3.3 Limitations and Precautions . . . . . . . . . . . . . . . . . . . . . . . . . . 294 4.17.3.4 Request and Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295 4.17.3.5 Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296 4.17.3.6 Installation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 4.17.3.7 Restoration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298 4.17.3.8 Reviews and Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299 4.18 SEASONAL/SEVERE WEATHER AND ADVERSE ENVIRONMENTAL CONDITIONS MAINTENANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306

4.18.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306 4.18.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307 4.18.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309 xii DOE G 433.1-1 9-5-01 4.18.3.1 Facility Preservation During Severe Conditions Plan . . . . . . . 309 4.18.3.2 Cold Weather Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311 4.18.3.3 Flash Floods and Mud Slides . . . . . . . . . . . . . . . . . . . . . . . . . 312 4.18.3.4 Hurricane Watches and Warnings . . . . . . . . . . . . . . . . . . . . . . 312 4.18.3.5 Tornado Watches and Warnings (High Winds) . . . . . . . . . . . 312 4.18.3.6 Extreme Hot/Dry Weather . . . . . . . . . . . . . . . . . . . . . . . . . . . 312 4.18.3.7 Example Cold Weather Checklist . . . . . . . . . . . . . . . . . . . . . . 313 4.18.3.8 Example Wildfire Condition Checklists . . . . . . . . . . . . . . . . . 314 IV. REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315 DOE G 433.1-1 xiii 9-5-01 FIGURES 1-A. Typical Major Nuclear Facility Maintenance Management Program Elements . . . . 3 4.4-A. Data Package Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 4.4-B. Computer Functions Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 4.4-C. Sample Preventive Maintenance Document Validation and Feedback Form . . . . . . 118 4.4-D. Lubrication Analysis Data Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 4.6-A. Work Request/Work Order Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 4.6-B. Walkdown Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169 4.6-C. Example Job Planning Check Sheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172 4.8-A. Example Postmaintenance Test Control Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197 4.8-B. Example Postmaintenance Test Data Sheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 4.10-A. Example Acceptance Tag . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 4.10-B. Example Inspection Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222 4.10-C. Examples of Tickler File Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223 4.10-D. Example Tickler Cards for Manual Card File System . . . . . . . . . . . . . . . . . . . . . . . 223 4.13-A. Example Deficiency Identification Tag and Sticker . . . . . . . . . . . . . . . . . . . . . . . . . 251 4.13-B. Example Inspection Checklist Cover/Instruction Sheet . . . . . . . . . . . . . . . . . . . . . . 259 4.13-C. Example Inspection Report Transmittal Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263 4.13-D. Example Inspection Report Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 4.13-E. Example Deficiency Identification Review Form . . . . . . . . . . . . . . . . . . . . . . . . . . . 265

4.15-A. Example Component Identification and Description . . . . . . . . . . . . . . . . . . . . . . . . 285 4.15-B. Example Maintenance Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285 4.17-A. Example Temporary Modification Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301 4.17-B. Example Temporary Modification Sheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302 4.17-C. Example Temporary Modification Tag . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306 This page intentionally left blank. DOE G 433.1-1 xv 9-5-01 TABLES 1-A. Crosswalk to Department of Energy Related Maintenance Documents . . . . . . . . . . . 4 4.4-A. Logic Tree Analysis Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 4.4-B. Examples of Uses of Predictive Maintenance Techniques . . . . . . . . . . . . . . . . . . . . . 119 4.4-C. Examples of Equipment Included in the Vibration Monitoring Program . . . . . . . . . . 120 4.4-D. Examples of Equipment Included in the Lubricating Oil Sample Analysis Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121 4.4-E. Typical Sources of Metallic Elements in Lubricating Oils . . . . . . . . . . . . . . . . . . . . . 123 4.4-F. Examples of Equipment Included in the Infrared Thermography Program . . . . . . . . 125 4.6-A. Examples of Minor Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166 4.6-B. Example Troubleshooting Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170 4.8-A. Selected Maintenance Activities and Postmaintenance Tests . . . . . . . . . . . . . . . . . . . 201 4.13-A. Examples of Housekeeping/Cleanliness Deficiencies . . . . . . . . . . . . . . . . . . . . . . . . 252 4.13-B. Examples of Industrial Safety Deficiencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 4.13-C. Examples of Material Condition Deficiencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255 4.13-D. Examples of Radiological Protection Deficiencies . . . . . . . . . . . . . . . . . . . . . . . . . . . 257 4.13-E. Example of Facility Inspection Quarterly Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . 258 4.13-F. Example Inspection Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260 This page intentionally left blank. DOE G 433.1-1 1 9-5-01 I. INTRODUCTION DOE O 433.1 includes requirements that were previously contained in DOE 4330.4B, Maintenance Management Program, dated 2-4-94.39 There are new requirements imposed under DOE O 433.1 that were not previously imposed under DOE 4330.4B, relating to Federal responsibilities for maintenance activities at DOE nuclear facilities. These are stated in paragraphs 4a, 4c, 4d, and 5 of the Order. DOE O 433.1, Maintenance Management Program for DOE Nuclear Facilities, requires U.S. Department of Energy (DOE) contractors to develop and implement a maintenance management program for each nuclear facility under DOE cognizance. The following Directives and regulations require that the level of detail and magnitude of resources expended in the maintenance of a facility’s structures, systems, or components be commensurate with their importance to safe and reliable operations of that facility:

• DOE P 450.4, Safety Management Systems Policy; • DOE O 430.1A, Life-Cycle Asset Management; • 48 CFR 45.509, Care, Maintenance and Use; • 10 CFR 830, Subpart A, Quality Assurance, • 29 CFR 1910.119, Process Safety Management of Highly Hazardous Chemicals; • 10 CFR 834, Radiation Protection of the Public and the Environment (proposed);2 and • 10 CFR 835, Occupational Radiation Protection. DOE O 433.1 further requires that each DOE contractor develop a maintenance implementation plan (MIP) defining the safety structures, systems, and/or components (SSCs) the nuclear facility comprises. Functional areas within the Integrated Safety Management System (ISMS) program and life-cycle asset management that overlap with functional areas within 10 CFR 830, Subpart A;29 CFR 1910.119;48 CFR 45.509; DOE 5400.5, Radiation Protection of the Public and the Environment; and 10 CFR 835 are intended to be complementary to one another, not duplicative efforts. Similar relationships exist with other nuclear safety requirements, such as Conduct of Operations44 (lockout and tagout 84 procedures) and quality assurance [control and calibration of measuring and test equipment (M&TE)].1 It is important to recognize that these complementary areas should not be developed and implemented as independent programs, but should be developed in concert with each other to ensure harmonious integration.14 This Guide describes a maintenance management program that would be acceptable to DOE for meeting the requirements of DOE O 433.1. An acceptable maintenance management program may be based on existing maintenance programs or on the development of new corrective, preventive, and predictive maintenance programs. This document brings together in one place the guidance for existing nuclear facility maintenance management program elements that previously resided in separate DOE Technical Standards (see Figure 1-A). It replaces 15 DOE 2 DOE G 433.1-1 9-5-01 Technical Standards relevant to maintenance at DOE nuclear facilities and provides guidance to preserve the designed-in capability of SSCs important to nuclear safety and protection of the environment in accordance with laws, regulations, or DOE directives. Proposed alternatives to the methods identified in the Guide do not normally require formal technical justification. However, if substantive differences exist between the intent of the Guide and the proposed alternative, both technical and managerial evaluation of the proposed alternative should be made to determine whether the proposed alternative satisfies the requirement. The basic requirements of DOE Order 433.1 are to develop and implement a maintenance program for safety SSCs using a graded approach. The criteria for acceptability of the maintenance program are— 1. that the provisions are “sufficient to provide reasonable assurance that the facility safety structures, systems, and components are capable of fulfilling their intended function as identified in the safety analysis report (SAR)...”48 and 2. that the maintenance program includes “(i) The safety structures, systems, and components identified in the SAR [in the absence of an approved SAR, the maintenance program shall include the safety structures, systems, and components identified in the Basis for Interim Operation (BIO)] and (ii) Management Systems consistent with the requirements of 10 CFR 830.122...”1, 48

10 CFR 830, Subpart A, and DOE O 414.1A, “Quality Assurance,” also apply to all processes at nuclear facilities and necessitate certain elements that are contained within Maintenance Order 433.1. The guidance herein is compatible with 10 CFR 830, Subpart A and DOE O 433.1. Table 1-A shows the relationship of the basic nuclear facility maintenance management program elements of an acceptable maintenance program as contained in this Guide to other DOE Directives and the quality assurance (QA) process. DOE G 433.1-1 3 9-5-01 Typical Major Nuclear Facility Maintenance Management Program Elements Organization Condition of Facilities and Equipment Work Control System Facilities, Equipment, and Materials Control System Implementation of Maintenance Activities Maintenance Evaluation and Analysis Administration Facility Condition Inspections by Management Work Request (Order) System Maintenance Facilities, Equipment, and Tools Surveillance and Preventive Maintenance Analysis of Root Causes of Problems Staffing Condition Assessment Surveys Integrated Safety Management Maintenance Tools and Equipment Control Predictive Maintenance Periodic Review and Analysis Policies Goals and Objectives Conduct of Operations Lock Out/Tag Outs Maintenance Tools and Equipment Disposal Corrective (Repair) Maintenance Performance Measurement and Improvement Training Maintenance Documentation Configuration Management Materials Control General Maintenance Work Sampling Qualifications Site Maintenance Plan Human Factors Engineering Requisitioning/ Procurement Environment, Safety and Health Maintenance Cost Identification and Control Maintenance Implementation Plan Work Performance Standards Control and Calibration of Measuring and Test Equipment Seasonal/Severe Weather and Adverse Environment Conditions Maintenance Audits and Lessons Learned History, Vendor Information, and Other Work-related Documents Priority System Maintenance Modification Work Management Involvement Computerized Engineering Database Formal Job Planning and Estimating Quality Assurance Program Maintenance Procedures Scheduling System Equipment Repair Postmaintenance Testing Backlog Work Control Figure 1-A. Typical Major Nuclear Facility Maintenance Management Program Elements. 4 DOE G 433.1-1 9-5-01 Table 1-A. Crosswalk to Department of Energy Related Maintenance Documents NUCLEAR NON NUCLEARMAINTENANCE ISSUE NEW NEW OLD Item No. Subject Main Topic Regulatory Requirement DOE Requirement Guidance Previously Resided In Regulatory Requirement DOE Requirement 1 DOE Maintenance Philosophy Purpose/ Introduction 10 CFR 830 10 CFR 835 29 CFR 1910.119 41 CFR Subtitle C 41 CFR 101-3 41 CFR 101 41 CFR 102 48 CFR 45.509 52 CFR 952.211.72 DEAR 970-5204-2 ISMS Principles 1, 4 DOE P 411.1 DOE P 430.1 DOE P 440.1 DOE P 450.1 DOE P 450.2A DOE P 450.4 DOE P 450.5 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE G 450.4-1 DOE O 224.1 DOE O 231.1 DOE O 232.1A DOE O 414.1A DOE O 420.1 DOE 4330.4B-1 DOE 4330.4B-II-1 DOE 5400.1 DOE 5400.5 DOE 5480.19 SEN 35-91 PSM 29 CFR 1910.119 41 CFR Subtitle C 41 CFR 101-3 41 CFR 101 41 CFR 102 48 CFR 45.509 52 CFR 952.211.72 DOE O 224.1 DOE O 414.1A DOE O 430.1 DOE 1332.1A DOE 3790.1B 2 Cancellation DOE O 433.1 DOE 4330.4B-2 3 Scope DOE O 433.1 DOE G 433.1-1 DOE 4330.4B-3

4 Exclusions DOE O 433.1 DOE 4330.4B-4 5 References DOE G 433.1-1 DOE 4330.4B-5 DOE O 430.1 6 Definitions and Acronyms DOE G 433.1-1 DOE 4330.4B-6 18 DOE Nuclear Maintenance Standards DOE O 430.1 7 Policy DOE P 411.1 DOE P 430.1 DOE P 440.1 DOE P 450.1 DOE P 450.2A DOE P 450.4 DOE P 450.5 Various DOE DOE 4330.4B-7 DOE P 430.1 DOE P 441.1 DOE P 450.4 DOE P 430.1 8 Objectives 10 CFR 835 48 CFR 45.509 DEAR DOE O 433.1 DOE G 433.1-1 DOE G 450.4-1 DOE 4330.4B-8 9 Federal Employee Roles in Nuclear Facility Maintenance Responsibilities and Authority of DOE Employees Overseeing DOE Contractor Activities FAR 10 CFR 835 52 CFR 952.211.72 DOE M 411.1-1A, (FRAM) DOE O 433.1 DOE G 433.1-1 DOE O 414.1A DOE 4330.4B-9 DOE P 411.1 DOE P 450.5 DOE P 450.5 10 Applicability of DOE Nuclear Maintenance Directives to DOE Contractors Requirements DOE Employees Can Impose on DOE Contractors Operating DOE-Owned or Utilized and Controlled Property 10 CFR Subpart A 48 CFR 45.509 DEAR 970-5204-2 PAAA DOE 5400.5 DOE O 433.1 DOE G 433.1-1 DOE G 450.4-2 DOE O 414.1A DOE O 420.1 DOE O 440.1 DOE 4330.4B-10 DOE 5480.21 DOE 5480.22 DOE 5480.23 DOE P 450.4 DOE-STD-1073-93 48 CFR 45.103 DOE O 224.1 DOE O 430.1 DOE G 433.1-1 5 9-5-01 Table 1-A. Crosswalk to Department of Energy Related Maintenance Documents (continued) NUCLEAR NON NUCLEARMAINTENANCE ISSUE NEW NEW OLD Item No. Subject Main Topic Regulatory Requirement DOE Requirement Guidance Previously Resided In Regulatory Requirement DOE Requirement E1 Capital Asset Management Process for DOE Facilities Maintenance Prioritization of Resources to Ensure that Sufficient Resources Are Budgeted In A Timely Manner to Accomplish The Nuclear Maintenance Program FAR 48 CFR 7.1 52 CFR 952.211.72 DOE G 430.1-1 DOE O 130.1 DOE O 135.1 DOE O 433.1 DOE G 433.1-1 DOE O 420.1 DOE O 425.1 DOE 4330.4B-5b, 8g DOE P 450.5 DOE-STD-1073-93 48 CFR 7.1, Life Cycle Costs DOE O 430.1 DOE O 130.1 DOE O 135.1 DOE 4010.1A DOE 4330.5 DOE O 130.1 DOE O 135.1 E2 Appropriate Use of DOE Facilities Maintenance Management Program Elements Maintenance Organization and Administration 10 CFR 830, Subpart A Criterion 1 ISMS Principles 1,2,7 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 4330.4B-II: 1-8 DOE-STD-1051-93 E3 Maintain Personnel Knowledge and Skills Needed to Effectively Perform Maintenance Activities Training and Qualification of Maintenance Personnel 10 CFR 830, Subpart A Criterion 2 ISMS Principle 3 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.X-X-2000 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE-HDBK-1003-96 DOE O 360.1 DOE O 414.1 DOE O 4330.4B-II: 8-14 DOE O 5480.20 DOE-STD-1012-92 DOE-STD-1059-93 DOE-STD-1060-93 DOE-STD-1061-93 DOE-STD- 1077-94 E4 Facilities, Equipment and Tools Are Adequate to Support Maintenance Activities Maintenance Facilities, Equipment and Tools DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.X-X-2000 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 4330.4B-II: 14-18 DOE STD 1067-94 E5 A Proper Balance of Preventive and Corrective Maintenance to Ensure Nuclear Safety and Cost Effectiveness Types of Maintenance ISMS Principle 4 ISMS Function 1 10CFR 830, Subpart A Criterion 5 29 CFR 1910.119 48 CFR 45.509

DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.X-X-2000 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 4330.4B-II: 18-24 DOE-STD-1052-93 48 CFR 45.509(a)(b) DOE O 430.1 6 DOE G 433.1-1 9-5-01 Table 1-A. Crosswalk to Department of Energy Related Maintenance Documents (continued) NUCLEAR NON NUCLEARMAINTENANCE ISSUE NEW NEW OLD Item No. Subject Main Topic Regulatory Requirement DOE Requirement Guidance Previously Resided In Regulatory Requirement DOE Requirement E6 Maintenance Procedures and Other Work Related Documents Are Prepared and Used to Ensure Maintenance is Performed Safely and Efficiently Maintenance Procedures 10 CFR 830, Subpart A Criteria 4, 5 ISMS Principles 5, 6 ISMS Functions 4, 5 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 4330.4B-II: 25-29 DOE-STD-1029-92 DOE 5480.19 DOE-STD-1073-93 DOE- STD-1029-92 DOE-STD-1030-96 DOE 5700.7C E7 Coordination of Maintenance Activities is Implemented to Ensure Nuclear Safety Objectives Are Achieved Planning, Scheduling and Coordinating Maintenance 10 CFR 830, Subpart A Criterion 1 ISMS Principles 1, 4 ISMS Function 1 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 4330.4B-II: 29-39 DOE 5480.19 DOE-STD-1030-96 DOE-STD-1050-93 DOE-STD-1073-93 48 CFR 45.509- 1(c) DOE O 430.1 DOE 5700.7C E8 Management Control Over Maintenance Activities Ensures Safe Facility Operations Control of Maintenance Activities 10 CFR 830 Subpart A Criterion 1, 5 ISMS Principle 2 1,2,7 ISMS Function 4 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 4330.4B-II: 43-50 DOE 5480.19 DOE-STD-1030-96 DOE-STD-1053-93 DOE-STD-1073-93 DOE 5700.7C E9 Testing is Performed to Verify SSCs Will Perform Their Design Function When Returned to Service After Maintenance Postmaintenance Testing 10 CFR 830, Subpart A, Criterion 8 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 5480.19 DOE 4330.4B-II: 50-54 DOE-STD-1039-93 DOE-STD-1065-94 E10 Parts, Materials and Services Are Purchased and Available for Maintenance Activities Procurement of Parts, Materials and Services 10 CFR 830, Subpart A, Criterion 7 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE G 440.1-6 DOE 4330.4B-II: 56-59 48 CFR 46 DOE 2110.1A DOE G 433.1-1 7 9-5-01 Table 1-A. Crosswalk to Department of Energy Related Maintenance Documents (continued) NUCLEAR NON NUCLEARMAINTENANCE ISSUE NEW NEW OLD Item No. Subject Main Topic Regulatory Requirement DOE Requirement Guidance Previously Resided In Regulatory Requirement DOE Requirement E11 Policies and Procedures Adequately Control Items Procured Until They Are Installed In Nuclear Facilities Material Receipt, Inspection, Handling, Storage, Retrieval and Issuance 10 CFR 830, Subpart A, Criterion 7 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95

DOE G 440.1-6 DOE 4330.4B-II: 59-63 DOE-STD-1071-94 48 CFR 46.5 E12 Instruments are Accurately Calibrated to Ensure Reliable Performance of Tested Nuclear Facility Equipment Control and Calibration of Measuring and Test Equipment 10 CFR 830, Subpart A, Criteria 5, 8 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 4330.4B-II: 64-69 DOE-STD-1054-93 E13 The Availability, Storage and Issuance of Maintenance Tools and Equipment Adequately Supports Maintenance Activities Maintenance Tools and Equipment Control 10 CFR 830, Subpart A, Criteria 3, 8 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 4330.4B-II: 70-72 DOE-STD-1069-94 E14 Periodic Assessment of Facility and Equipment Condition is Performed to Identify and Correct Deficiencies Facility Condition Inspection 10CFR830, Subpart A Criteria 3, 8 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE O 420.1 DOE 4330.4B-II: 72-78 DOE- STD-1072-94 48 CFR 45.103 48 CFR 45.509- 1(b)(d), DOE 3790.1B E15 Contractor Management Is Sufficiently Involved to be Knowledgeable and Technically Competent in Nuclear Facility Conditions and Operations Management Involvement 10CFR830, Subpart A, Criteria 2, 10 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 4330.4B-II: 79-80 DOE STD 1068-94 DOE STD 1055-93 DOE P 450.4 8 DOE G 433.1-1 9-5-01 Table 1-A. Crosswalk to Department of Energy Related Maintenance Documents (continued) NUCLEAR NON NUCLEARMAINTENANCE ISSUE NEW NEW OLD Item No. Subject Main Topic Regulatory Requirement DOE Requirement Guidance Previously Resided In Regulatory Requirement DOE Requirement E16 Historical Information is Trended for Maintenance Planning and Performance Indicators Maintenance History 10 CFR 830, Subpart A, Criterion 3 41 CFR Subtitle C 41 CFR 101-3 41 CFR 101 41 CFR 102 48 CFR 45.509 DOE O 200.1 DOE O 433.1 DOE PDL 970.3 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE O 200.1 DOE O 210.1 DOE 4330.4B-II: 84-86 DOE-STD-1068-94 DOE O 200.1 DOE O 210.1 E17 Infrastructure Elements Identified as Part of a Facility Safety Basis Are Systematically Analyzed for Safety Implications Analysis of Maintenance Problems DEAR 970-5204-2 PAAA 10 CFR 830, Subpart A, Criterion 3 ISMS Principle 4 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE-HDBK-7502-95 DOE O 200.1 DOE O 210.1 DOE O 225.1A DOE 4330.4B-II: 87-94 DOE 5480.21 DOE 5480.22 DOE 5480.23 DOE-STD-1004-92 DOE-STD-1027-92 DOE-STD-7501-95 DOE O 200.1 DOE O 210.1 DOE O 225.1A E18 Modification Work is Controlled so That There Are No Increased Risks Involved With Facility Operations Modification Work 10 CFR 830, Subpart A, Criteria 5, 6 ISMS Principles 7 ISMS Function 4 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95

DOE O 420.1 DOE O 440.1 DOE 4330.4B-II: 94-95 DOE 5480.19 DOE- STD-1039-93 DOE-STD-1073-93 DOE-STD-1120-98 DOE 5700.7C E19 Potential External Climate and Environmental Impacts Are Forecasted and Addressed Seasonal Facility Preservation Requirements 10 CFR 830, Subpart A, Criterion 3.8 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 3790.1B DOE 4330.4B-II: 96 DOE 5400.5 DOE 5480.19 DOE-STD-1064-94 DOE-STD-1073 DOE-STD-1120-98 DOE 4010.1A E20 DOE Facilities Maintenance Management Program Success Model DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE 4330.4B-II DOE G 433.1-1 9 9-5-01 Table 1-A. Crosswalk to Department of Energy Related Maintenance Documents (continued) NUCLEAR NON NUCLEARMAINTENANCE ISSUE NEW NEW OLD Item No. Subject Main Topic Regulatory Requirement DOE Requirement Guidance Previously Resided In Regulatory Requirement DOE Requirement E21 Maintenance Implementation Plan Reliable Performance of SSCs is Achieved Through Effective Planned Implementation and Control of Maintenance Activities DEAR 970-5204-2 ISMS Functions 1, 5 ISMS Principles 1, 2, 7 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE O 232.1A DOE O 414.1 DOE O 420.1 DOE O 425.1 DOE O 451.1A DOE O 452.1A DOE O 452.2A DOE 4330.4B DOE 5480.19 DOE 5480.21 DOE 5480.23 DOE 5480.22 DOE P 450.1 DOE P 450.2A DOE-STD-1120-98 E22 Radiation Exposures Are Kept As Low As Reasonable Achievable (ALARA) ALARA - Concept is Used to Keep Radiation Exposures to a Minimum DEAR 970-5204-2 PAAA DOE 5400.5 DOE O 433.1 DOE-EGS-95-01 DOE-EGS-98-01 DOE-EGS-98-02 DOE-EGS-99-01 DOE-EGS-99-02 DOE-EGS-00-01 DOE G 433.1-1 DOE-HDBK-1085-95 DOE-HDBK-1087-95 DOE-HDBK-1089-95 DOE O 414.1 DOE P 441.1 DOE 4330.4B DOE 3790.1B This page intentionally left blank. DOE G 433.1-1 11 9-5-01 II. DISCUSSION Experience has shown that operating facilities perform more efficiently when they have well- defined, effectively administered policies and programs to govern maintenance activities.9 This implementation Guide has been prepared to assist DOE employees in the oversight of DOE contractor programs important to nuclear facility maintenance. For the purpose of this Guide, maintenance includes those functions performed primarily by mechanical, electrical, instrumentation and control, and material management/services procurement organizations. Although these organizations may have different managers, applicable sections of this Guide still apply to them and their functions. However, not all activities in the maintenance area are addressed. Some, such as methods for compliance with Technical Safety Requirements (TSR),47 surveillance and in-service inspection (ISI) requirements, and the technical aspects of specific equipment maintenance, are not included because they involve nuclear-facility-specific situations requiring unique direction; however, use of this Guide should support and complement performance of those activities.

Several DOE enforcement actions have illustrated the need to take a comprehensive, graded approach to the establishment and implementation of maintenance work controls that is commensurate with the hazard and risk to workers and the public, as well as other factors. The examples illustrate the need to apply QA, safety management, Configuration Management, human factors engineering, Conduct of Operations, and other operational programs in an integrated fashion to control work at a nuclear facility, with a focus beyond the work involving equipment referenced in the SAR or TSR. The extent of these work controls should be graded as outlined in 10 CFR 830.3 (see DOE-HDBK-1085-95, DOE-HDBK-1087-95, DOE-HDBK-1089- 95, DOE-EGS-95-01, DOE-EGS-98-01, DOE-EGS-98-02, DOE-EGS-99-01, DOE-EGS-99-02, and DOE-EGS-00-01). However, some contractors operating DOE nuclear facilities have narrowly construed “nuclear safety” to require a direct nexus between the regulated activity and public health and safety such that a violation of the requirements would be the immediate cause of a health or safety impact. This nexus is not so direct or the definition so narrow. The nexus might be as broad as the requirement to implement a QA program (QAP) that relates to nuclear activities. Violation of a QA requirement may not result in a direct or potential immediate threat to health or safety, but it could be an important link in a sequence of activities that could lead to a nuclear accident or radiological exposure. Some examples of the various DOE work-control noncompliances with 10 CFR 830 are outlined in the following paragraphs. Sumps were being installed at a nuclear facility to contain any fluid spills and to preclude releases that might violate environmental restrictions. The sumps were not a nuclear safety feature but were being installed in an area that contained switchgear, cabling, and power feeds for the facility safety features. The sumps installation was not contained within the boundaries of the nuclear facility; however, several problems and noncompliances were involved in this work: (1) the work was performed without a procedure or work instruction, (2) workers were verbally told approximately where on the concrete floor to cut holes for sump installation, (3) no safety review was performed on what was located below the floor or on the potential safety impacts for work in the area, and (4) workers were verbally told to connect to a convenient power source, 12 DOE G 433.1-1 9-5-01 which could have resulted in an unreviewed connection to a safety related source and possibly unauthorized interruption of a safety-related power supply. Although the immediate occurrence was a severe electrical shock to one of the workers and mild electrical shock to the work supervisor, the occurrence also had nuclear safety implications. With power feeds for safety equipment in the area, the potential existed for this work to cause loss of safety features intended to mitigate an accident or release.

In another example, a chemical tank explosion involved a non-safety-related tank containing a chemical liquid mixture, but no nuclear material. Evaporation changed the composition of the tank contents to a combustible mixture that exploded. The explosion caused severe damage to the facility, including blowing a hole in the building roof, which served as the confinement structure to contain any potential release of radioactive material. No radiological material was released; however, adjacent rooms contained nuclear material and could have been impacted in such an explosion. Additionally, various mitigating factors and equipment not referenced in the SAR potentially resulted in degraded performance of the emergency response function. These factors included the following: (1) failure to perform required surveillance of emergency breathing apparatus devices; (2) failures to make proper emergency response notifications; (3) failures to perform proper radiological surveys of workers potentially exposed to a release; and (4) failure of workers to take cover when such an alert had been announced. These failures illustrated the need to apply nuclear safety QA controls to work involving nonnuclear materials in a nuclear facility because of the potential to impact nuclear material and damage safety features. Additionally, these problems highlighted the need to ensure the quality of the emergency response program and supporting equipment. In still another example, a fire and explosion occurred at a nuclear facility in which work involving nonnuclear material and not involving safety-related components identified in the SAR or TSR impacted nuclear safety. In this event, workers left a canister containing organic material unattended in an oven. Fortunately no nuclear material was present at the time. 10 CFR 830. work-control noncompliances related to this incident included (1) improper labeling on the canister, (2) lack of a procedure to control the work activity, and (3) informal communications on the work hazards involved and canister contents. This event also illustrates the need to control such work activities so they do not present a potential for release of nuclear material. At another DOE nuclear facility, five workers received an unplanned but preventable radiological uptake. These workers were erecting scaffolding in support of electrical conduit cutting activities. At the same time and in the same area, other workers were cutting and removing pipe. The pipe cutting operation was being performed under a particular work procedure and Radiation Work Permit (RWP) that included requirements for use of respirators, personnel monitoring, and area monitoring. The work planning and work controls for the scaffolding set-up had no such controls, and, consequently, the workers performing this activity received radiological uptakes. The scaffolding work did not involve nuclear material, safety systems or features referenced in the SAR.48 However, the work, performed in a nuclear facility had the potential for exposing workers to radiological harm. DOE G 433.1-1 13 9-5-01

Section 4 of this Guide describes each of the 18 maintenance management program elements important to a good maintenance program. Each element should be addressed in a MIP as discussed in Section 3. Each program element section is organized into three subsections. First, an introductory subsection briefly describes the objectives to be achieved; addressing each of the objectives is a requirement for an adequate maintenance program. Next, a discussion subsection describes the actions needed to accomplish the objectives and includes a brief explanation of why these actions are necessary or important. Finally, a guidelines subsection provides specific guidance for meeting the section objectives. In many cases, example situations accompany the guidelines. These examples have been provided for illustration to aid in understanding the guidelines and should not be construed as the only methods for meeting the intent of the guidelines. This page intentionally left blank. DOE G 433.1-1 15 9-5-01 III. GUIDANCE To implement a maintenance management program, the key responsible people must be identified and MIPs must be developed, approved, and implemented to ensure that the objectives are met. In addition, plant-specific procedures are needed that reflect the variations in facility type, purpose, and design. The MIP and specific procedures should be consistent with interfacing technical directives (e.g., QA and training). This Guide describes the actions and procedures that, if used by DOE contractors in implementing the requirements of DOE O 433.1, will satisfy the intent of the Order; the Department of Energy Acquisition Regulation (DEAR), 48CFR 970.5204; DOE O 430.1A; 48 CFR 45.509; 29 CFR 1910.119; 10 CFR 830, Subpart A; DOE O 5400.5; 10 CFR 835; and 52 CFR 952.211.72. 1. DEFINITIONS, ACRONYMS, AND REFERENCES 1.1 DEFINITIONS The following definitions are established to provide a clear understanding of maintenance management and to promote consistency with other requirements relating to property. ACCEPTANCE TAG. The final receipt inspection identifier affixed to an item before placing the item in storage. It indicates all purchase requirements have been met. ACOUSTICAL/ULTRASONIC TESTING. A technique used to measure acoustical emissions from components such as valves and heat exchangers. This technique is used to monitor valves for leakage and heat exchangers for proper flow rates. In addition, ultrasonic testing may detect weld crack propagation and check for piping erosion/corrosion effects. ACTUAL MAINTENANCE COST. The actual costs spent on performing (corrective, preventive and predictive) maintenance actions. Corrective maintenance cost is the cost to repair failed or malfunctioning equipment, systems, or facilities to restore the intended function or design condition. Preventive maintenance cost is the cost of all systematically planned or scheduled actions required to prevent the failure of equipment, systems, structures, or facilities. Predictive maintenance cost is the cost to monitor, find trends, and analyze parameters, performance characteristics, properties, and signatures associated with equipment, systems, or facilities that are indicative of decreasing performance or impending failure.

ALARA (as low as reasonably achievable). The approach to radiation protection to manage and control exposures (both individual and collective) to the work force and to the general public to as low as is reasonable, taking into account social, technical, economic, practical, and public policy considerations. As used in this part, ALARA is not a dose limit but a process which has the objective of attaining doses as far below the applicable limits of this part as is reasonably achievable. 16 DOE G 433.1-1 9-5-01 APPLICABLE. The characteristic of a preventive maintenance task when it is capable of improving the reliability of the component by modifying the way a component fails and its failure rate. ASSETS. See Physical Assets. ASSET MANAGEMENT SYSTEMS. Processes and/or procedures that are employed for nonprogrammatic management of a facility or physical asset. AVAILABILITY. The time a mission critical SSC, machine, or system is available for use. From the overall SSC/equipment effectiveness calculation, the actual run time of a mission critical SSC/machine or system divided by the scheduled run time. NOTE: Availability differs slightly from Asset Utilization (Uptime) in that scheduled run time varies between facilities and is changed by factors such as scheduled maintenance actions, logistics, or administrative delays. BASELINE. A quantitative expression of projected costs, schedule, and technical requirements; the established plan against which the status of resources and the progress of a project can be measured. BLANK FLANGE. A device installed in a mechanical system to stop flow. BUILDING. A roofed structure that is suitable for housing people, material, or equipment. Also included are sheds and other roofed structures that provide partial protection from the weather. CALIBRATION. The comparison of readings from the instruments being tested with validated readings observed on the measurement standards. CANDIDATES FOR TRANSFER. Land and facilities that include (a) contaminated facilities for which DOE has responsibility or owns; (b) contaminated portions of facilities, if structurally independent and with separate utilities and support systems; (c) real property or related personal property that is ancillary to a candidate facility; (d) facilities otherwise agreed to by the DOE parties involved. CERTIFICATION. An indication by the appropriate authority that the deviations determined in the calibration do not exceed specified limits. CHECKOUT AND VERIFICATION. A form of postmaintenance testing using standard maintenance practices, as well as craft skills and knowledge, to prove that equipment is operable as designed. COMPONENT. A piece of equipment, such as a pump, valve, motor, or instrument that is normally assigned a unique equipment identifier. COMPONENT FAILURE. Loss of ability of a component to perform one or more of its functions. DOE G 433.1-1 17 9-5-01 COMPUTERIZED MAINTENANCE HISTORY ENGINEERING DATABASE. A set of computer software modules and equipment databases containing facility data with the capability to process the data for facilities maintenance management functions. This set provides historical data, report writing capabilities, job analysis, and more. The data describe equipment, parts, jobs, crafts, costs, step-by-step instructions, and other information involved in the maintenance effort. This information may be stored, viewed, analyzed, reproduced and updated with just a few keystrokes. The maintenance-related functions typically include—

• Maintenance cost and reliability data. • Facility/equipment inventory. • Facility/equipment history. • Work input control. • Job estimating. • Work scheduling and tracking. • Preventive and predictive maintenance. • Facility inspection and assessment. • Material management. • Utilities management. CONCEPTUAL DESIGN. The activities required to evaluate project design alternatives and to develop sufficient detail to baseline the scope, cost and schedule for project authorization. CONDITION-DIRECTED TASK. A task performed when component performance or condition reaches a limit (either predefined or determined by engineering evaluation) measured by performance or condition monitoring test where continued satisfactory operation cannot be ensured. CONDITION ASSESSMENT SURVEY (CAS). A periodic inspection of capital assets using universally accepted methods and standards. CAS results in a determination of the current condition of capital assets, their estimated time of failure, and the estimated cost to correct the identified deficiencies. CAS provides a consistent assessment of capital assets for planning purposes based on actual conditions. CONDITION MONITORING. Tests and inspections that may be accomplished on an unobtrusive basis to identify a potential failure. Condition monitoring includes established predictive maintenance techniques. CONTAMINATED FACILITIES. DOE facilities that have structural components and/or systems contaminated with hazardous chemical and/or radioactive substances, including radionuclides. This definition excludes facilities that contain no residual hazardous substances other than those present in building materials and components, such as asbestos-containing material, lead-based paint, or PCB-containing equipment. This definition excludes facilities in which bulk or containerized hazardous substances, including radionuclides, have been used or managed if no contaminants remain in or on the structural components and/or systems. 18 DOE G 433.1-1 9-5-01 CORRECTIVE ACTION. The action required to bring a deficient item into conformity with a standard. For material deficiencies requiring maintenance action, the corrective action may consist of identifying the deficiencies, submitting a Work Request/Work Order for corrective activities, and tracking the deficiency. Deficiencies should be reported in accordance with applicable policies and procedures. CORRECTIVE (REPAIR) MAINTENANCE. The repair of failed or malfunctioning equipment, system, or facilities to restore the intended function or design condition. This maintenance does not result in a significant extension of the expected useful life. CRAFT SKILLS. A defined set of work skills that are considered common knowledge to a craft person performing work. CRITICAL DECISION. A formal determination at a specific point in a project that allows the project to proceed. Critical decisions occur in the course of a project, for example, before conceptual design, execution, and turnover. CRITICAL PARTS/ITEMS. Parts or items whose failure may cause personal injury, harm the environment, or jeopardize security or a vital plant mission. DEACTIVATION. The process of placing a facility in a safe and stable condition including the removal of readily removable hazardous and radioactive materials to minimize the long-term cost of a surveillance and maintenance program that is protective of workers, the public and the environment.

DEACTIVATION PROJECT FINAL REPORT. The document prepared after the technical work has been performed and verified and that describes the deactivation project activities, accomplishments, final facility status, and cost and performance information. DECOMMISSIONING. Takes place after deactivation and includes surveillance and maintenance, decontamination, and/or dismantlement. These actions are taken at the end of the life of a facility to retire it from service with adequate regard for the health and safety of workers and the public and protection of the environment. The ultimate goal of decommissioning is unrestricted release or restricted use of the site. DECONTAMINATION. The removal or reduction of residual radioactive and hazardous materials by mechanical, chemical or other techniques to achieve a stated objective or end condition. DEFERRED MAINTENANCE. Maintenance that was not performed when it should have been or was scheduled to be and which, therefore, is put off or delayed for a future period and reported annually. DOE G 433.1-1 19 9-5-01 DEFERRED MAINTENANCE COST. Maintenance cost that was not performed when it should have been or was scheduled to be and which, therefore, is put off or delayed for a future period. For the purpose of reporting deferred maintenance of DOE real property, deferred maintenance is that cost required to restore a facility to its current use as-built condition. Maintenance cost/work do not include the following: • Regularly scheduled janitorial work such as cleaning and preserving facilities and equipment. • Work performed in relocating or installing partitions, office furniture, and other associated activities. • Work usually associated with the removal, moving, and placement of equipment. • Work aimed at expanding the capacity of an asset or otherwise upgrading it to serve needs different from or significantly greater than those originally intended. • Improvement work performed directly by in-house workers or in support of construction contractors accomplishing an improvement. • Work performed on special projects not directly in support of maintenance or construction. • Nonmaintenance roads and grounds work, such as grass cutting and street sweeping. DEFICIENCY. Any condition that deviates from the designed-in capacity of an SSC and results in a degraded ability to accomplish its intended function. DEFICIENCY TAG/STICKER. A small tag or adhesive-backed sticker that is used to identify a facility material deficiency. The form may be marked with a serialized number for administrative control, Work Order identification, and deficiency location by maintenance personnel. DESIGN VERIFICATION. The process of independently reviewing, confirming, or substantiating the assumptions, inputs, methodology, and outputs used in a modification/maintenance work package. This verification ensures the design is correct and that the intended work should solve the identified problem without creating new problems. DISABLED ANNUNCIATOR ALARM. A modification that disables the visual and/or audible alarm function of an annunciator. DISPOSAL. Permanent or temporary transfer of DOE control and custody of real property to a third party who thereby acquires rights to control, use, or relinquish the property. DISPOSITION. Those activities that follow completion of program mission, including, but not limited to, surveillance and maintenance, deactivation, and decommissioning. 20 DOE G 433.1-1 9-5-01

DOCUMENTED POSTMAINTENANCE TESTING. Rigorous, formal documentation of postmaintenance testing. DOE ELEMENTS. First tier organizations at Headquarters and in the field. Field Elements include all operations offices, field offices, energy technology centers, and power marketing administrations. DOE FACILITIES. Any of the DOE-owned, leased, or - controlled facilities. DOMINANT FAILURE MODE. The most probable failure mode of a component during its design life. ECONOMIC LIFE LIMIT. The time a component is expected to remain in-service before the need for replacement of the component based on cost-effectiveness to reduce the frequency of age-related failures. EFFECTIVENESS. The capability of a preventive maintenance task to improve component reliability to a given level under cost, implementation, and other constraints. ELECTRIC CIRCUIT MONITORING. A technique used to determine the condition of a circuit and aid in fault location. This technique performs basic measurements such as inductance, capacitance, and resistance, and measures distance through time domain reflectometry. Electric circuit monitoring is effective in determining the condition of electrical connections, contacts, terminations, moisture damage, and damaged insulation and its location. ENVIRONMENT, SAFETY, AND HEALTH (ES&H) MAINTENANCE. Maintenance that ensures safe, environmentally compliant facilities, whether facilities are in transition, in current use or not. ELECTRICAL JUMPER. A temporary electrical connection that bypasses components within an electrical circuit, modifying the circuit design or configuration. EQUIPMENT. The systems and devices used throughout DOE and commonly referred to as equipment are divided into three categories for the purpose of this Order. It is the intent of this definition to separately identify the installed equipment that can logically be considered as an integral part of a real property improvement from other types of equipment. The purpose of such a determination is to provide a uniform basis for analysis of various maintenance and repair costs. [DOE O 4330.4B] 1. Installed Equipment. This category includes the mechanical and electrical systems that are installed as part of basic building construction and are essential to the normal functioning of the facility and its intended use. Examples are heating, ventilating, and air-conditioning (HVAC) systems; elevators; and communications systems. DOE G 433.1-1 21 9-5-01 2. Programmatic Equipment. Equipment (both real and personal) dedicated for a specific programmatic use. Examples are accelerators, microscopes, radiation detection equipment, glove boxes, and hotcells. 3. Other Equipment. Some examples in this category are office machines, vehicles and mobile equipment, helicopters, airplanes, and computers and other automated data- processing equipment. EXCESS. Physical assets that are not required for DOE needs and the discharge of its responsibilities. FACILITY (FACILITIES). Land, buildings, and other structures, their functional systems and equipment, and other fixed systems and equipment installed therein, including site development features outside the plant, such as landscaping, roads, walks, and parking areas; outside lighting and communication systems; central utility plants; utilities supply and distribution systems; and other physical plant features. A building, utility, structure, or other land improvement associated with an operation or service and dedicated to a common function

FACILITY (FACILITIES) MANAGEMENT. A documented process by which facilities are operated and maintained. FACILITY INFORMATION MANAGEMENT SYSTEM (FIMS). DOE’s corporate database management system with the universe of DOE real property information, its status, and funds needed and requested for maintenance. FIMS is used for real property management and for reporting to the General Services Administration, Congress, and the public. FAILURE. See definition of functional failure. FAILURE CAUSE. The physical mechanisms or reasons that produced the failure. FAILURE DATA ANALYSIS. Analysis of past component performance, maintenance, and repair histories to predict future availability, recognizing that historical data have predictive value only to the extent that the conditions under which the data were generated remain applicable. FAILURE EFFECTS. The consequences of a failure. FAILURE-FINDING TASK. A task performed to discover hidden failures when no other tasks are judged to be applicable and effective in detecting degradation in component performance. FAILURE MODE. The particular type or manner of failure. A failure mode describes what may or has happened as opposed to what caused it to happen. For example, a motor-driven pump fails to run or a circuit breaker fails to open are different kinds of failure modes. 22 DOE G 433.1-1 9-5-01 FAILURE MODE AND EFFECTS ANALYSIS (FMEA). A technique used to determine significant failure modes of critical components by analyzing the effect of the failure on a system or the facility and the likelihood of the failure mode to occur. FAILURE RATE. The number of mission critical SSC failures divided by an interval such as time or cycles. The failure will change over time and can be greater than one (but will never be less than zero). FAILURE RATE DATABASE. Facility specific or generic historical data on component failures and failure modes extracted from log books, maintenance records, Work Orders or other documents and computerized so that reliability parameters can be derived. An automated database of specific types of SSC failure rates and performance trends that can be used to scientifically justify appropriate changes to maintenance task/frequency intervals, based on empirical service history and operating experience. An effective preventive maintenance program needs a comprehensive component reliability and failure rate database. The database serves as a scientifically sound basis for compiling maintenance task/frequency intervals for a given type of SSC. Comparisons within the database may serve as a useful inspection tool when using probabilistic risk assessment techniques to identify vulnerable critical areas of SSCs important to safety. FIELD ATTENDANT. Person responsible for the issuance and checking in of tools and equipment used in radiological areass during major maintenance activities or outages. FIXED CONTAMINATION. Radioactive material that cannot be readily removed from surfaces by nondestructive means, such as casual contact, wiping, brushing or washing. FUNCTION. The actions or requirements that a component or system should accomplish, sometimes defined in terms of performance capabilities. FUNCTIONAL FAILURE. A failure that results in a loss of component or system function(s). The failure may be active or passive, evident or hidden. FUNCTIONAL TEST. A test to verify the functional design. It should ensure that the as-built functions as intended under design basis conditions and is properly integrated into the facility systems for normal and transient conditions.

FUNCTIONALLY CRITICAL EQUIPMENT (FCE). Equipment whose failure results in a loss of system function or whose frequency and severity of failure have an adverse impact on facility operation. FCE may be an individual component or an entire subsystem. GENERAL MAINTENANCE. Maintenance that preserves the life cycle of physical assets. DOE G 433.1-1 23 9-5-01 GRACE PERIOD. A time period after the scheduled completion date in which the activity may be completed without being considered overdue. This time period is normally 25 percent of the scheduled interval. GRADED APPROACH. The process of assuring that the level of analysis, documentation, and actions used to comply with a requirement in 10 CFR 830 are commensurate with— • the relative importance to safety, safeguard, and security; • the magnitude of any hazard involved; • the life cycle stage of a facility; • the programmatic mission of a facility; • the particular characteristics of a facility; • the relative importance of radiological and nonradiological hazards; and • any other relevant factor. GROSS ERROR. An out-of-tolerance condition for an instrument in the Measuring and Test Equipment (M&TE) Program which may result in an unacceptable product. When a facility handbook has not been prepared or does not list gross error limits, any condition outside the calibration limits, defined by supervision in the group using the equipment, is considered a gross error. HAZARD CATEGORIES. The consequences of unmitigated releases of radioactive and/or hazardous material are evaluated as required by DOE-STD-1027-92 and classified by the following hazard categories. CATEGORY 1. The hazard analysis shows the potential for significant offsite consequences. CATEGORY 2. The hazard analysis shows the potential for significant onsite consequences. CATEGORY 3. The hazard analysis shows the potential for only significant localized consequences. HAZARDOUS MATERIALS. Any solid, liquid, or gaseous material that is toxic, explosive, flammable, corrosive, or otherwise physically or biologically threatening to health. Oil is excluded from this definition. HOT (DISCRETE) PARTICLE. A small, loose, highly radioactive particle. These particles are highly transportable because of their small size and electrostatic charge. HOUSEKEEPING. The cleaning and preservation of a facility, its systems and components. Also used to refer to the condition of facility cleanliness, orderliness, and preservation. 24 DOE G 433.1-1 9-5-01 HURRICANE WATCH. Alerts an area of a possible hurricane within the next several days. It is observed and detected by abnormal wind disturbances and/or low pressure areas moving toward a fixed area. HURRICANE WARNING. Issued when winds are expected to be greater than 74 mph within the next 24 hours. There may be heavy rain or high water, or a combination of these. INDEPENDENT VERIFICATION. Check by one or more knowledgeable individuals not involved in the actual work. INDUSTRIAL SAFETY PROGRAM. The overall program designed to minimize work-related injuries and illnesses through the identification, assessment, and correction of unsafe work practices and conditions. IN-SERVICE. Any SSC considered operating, operable, or in standby for the facility operating modes for which the SSC should be in place. IMPLAUSIBLE FAILURE. A failure from a rare or unexpected failure mechanism during the service life of the component while operating under normal or emergency conditions.

INFRASTRUCTURE. All real property and installed equipment and personal property that are not solely supporting a single program mission. INSULATION RESISTANCE (MEGGERING). A technique used to measure leakage currents in electrical insulation. This technique is used in monitoring degradation of electrical insulation of motors, generators, and cables. IN-LEAKAGE DETECTION. A technique using helium detectors to locate pathways for the ingress of contaminants into steam, condensate, and feedwater systems. This technique has proven to be effective in detecting air in-leakage into condensers, valves, and flanges. ITEM. Any spare part, consumable, equipment, or material. May include entire component, valve, motor, instrument, gasket, adhesive, seal, etc. LANDLORD PROGRAM OFFICE (Landlord). The Headquarters Program Office responsible for the support, planning, acquisition, operation, maintenance, and disposition of physical assets related to infrastructure. LAYDOWN AREA. Area on or close to a job site, designated and approved by the facility to be used by maintenance personnel for the materials and equipment used on the maintenance job, for the duration of the job. LESSONS LEARNED. Any experience, example, observation, or insight that imparts wisdom and/or beneficial knowledge to an employee during the conduct of the technical, procedural, DOE G 433.1-1 25 9-5-01 business, legal, or administrative tasks associated with the design, development, fabrication, operation, and/or test of any product or service. LIFE-CYCLE. The life of an asset from planning through acquisition, maintenance, operation, and disposition. LIFE-CYCLE PLAN. An analysis and description of the major events and activities in the life of a functional unit from planning through decommissioning and site restoration. The plan documents the history of the functional unit and forecasts future activities, including major line item and expense projects and their duration, relationships, and impact on life expectancy. The plan also describes maintenance practices and costs. LIFTED LEAD. A conductor which is disconnected from its normal circuit. LINE ITEM PROJECT. Those separately identified project activities that are submitted for funding and are specifically reviewed and approved by Congress. MAINTENANCE. The proactive and reactive day-to-day work that is required to maintain and preserve facilities and SSCs within them in a condition suitable for performing their designated purpose, and includes planned or unplanned periodic, preventive, predictive, seasonal or corrective (repair) maintenance. MAINTENANCE BACKLOG. The number of overdue incomplete maintenance Work Orders for either planned or unplanned maintenance activities, including backlog due to aging and deterioration of facilities or facilities related equipment not accomplished at the end of the fiscal year. MAINTENANCE IMPLEMENTATION PLAN (MIP). A contractor’s documentation of a maintenance management program at DOE nuclear facilities in conformance with the objectives of DOE O 433.1. If approved by DOE, the MIP and the program implementation and baseline activities part of the site maintenance plan constitute agreements between the DOE field element and the contractor on the implementation of DOE O 433.1. MAINTENANCE IMPORTANCE GENERATOR. A computerized system using predetermined rules to compare data on a Work Request/Work Order and to establish relative-importance ranking for each maintenance job.

MAINTENANCE MANAGEMENT. The administration of a program utilizing such concepts as organization, plans, procedures, schedules, cost control, periodic evaluation, performance indicators and feedback for the effective performance and control of maintenance with adequate provisions for interface with other concerned disciplines such as health, safety, environmental compliance, quality control, and security. All work done in conjunction with existing DOE 26 DOE G 433.1-1 9-5-01 facilities and property is either maintenance (preserving), repair (restoring), service (cleaning and making usable), or improvements (modifications). The work to be considered under the DOE nuclear safety maintenance management program includes all of these attributes. MAINTENANCE PROCEDURE. A document providing direction to implement DOE policy, comply with DOE and external directives, laws or meet operational objectives in a consistent manner. A procedure provides adequately detailed delineation of instructions, roles, responsibilities, action steps, and requirements for conducting maintenance activities. MAINTENANCE WORK INSTRUCTIONS. Written instructions provided to maintenance workers directing them on how to perform specific tasks. The level of detail of these instructions is based on the complexity of the task, special engineering considerations/specifications, and skill levels of the workers performing the task (referred to as the “skill of the craft”). MAINTENANCE WORK PACKAGE. A consolidated document used by maintenance organizations that contains all the necessary procedures, instructions and requirements to safely and effectively perform a maintenance task. A maintenance task should not be considered complete until all of the requirements of the Maintenance Work Package have been satisfied. MASTER EQUIPMENT LIST (MEL). A detailed master list of equipment, components, and structures to be included in the maintenance program. This list includes both safety-related and non-safety-related systems and equipment. MATERIAL DEFICIENCY. A system or component with a physical defect that does not conform to a specified standard. MEAN TIME BETWEEN FAILURES (MTBF). The average or expected value of operating time between failures of a repairable item. MEASURING & TEST EQUIPMENT (M&TE). Includes all devices or systems used to calibrate, certify, measure, gauge, troubleshoot, test, or inspect in order to control data or to acquire data to verify conformance to specified requirements. M&TE does not include permanently installed facility instrumentation, nor does it include test equipment used for preliminary checks where data obtained are not used to determine acceptability or verify conformance to established criteria. MECHANICAL JUMPER. Temporary connection such as a spool piece, hose, tygon-type level indicator tubing, ducting, or piping that joins two systems together or bypasses a component within a system, thus altering the system’s design or configuration. This does not include hoses connected from system drains to floor drains or providing air to pneumatic tools or breathing apparatus through normal service connections. MINOR MAINTENANCE. Maintenance actions for deficiencies on facilities, equipment or parts where all the following conditions are met. DOE G 433.1-1 27 9-5-01 • The component is not important to safety. If the component is important to safety, the portion or part being worked does not perform or affect safety or a safety function and is physically isolated.

• The component or part does not perform an environmental qualification (EQ) function. • The integrity of the component will not be violated. • Material substitution will not be involved. • Disassembly of the component or part will not be required. • Welding will not be performed on a component or part of the component that is important to safety or seismically mounted. • Welding will not be performed on a pressure vessel. • Welding will not be performed on system piping. • A lockout/tagout will not be required. • The work performed is of such a minor nature that a written procedure is not required. However, if a procedure exists, it may be used. • “Documented” postmaintenance testing will not be required. • The work is of such a simple nature that a detailed Maintenance Work Package and job planning package are not required. MISSION CRITICAL. An SSC that is critical to DOE/facility mission (production related, safety-related or safety significant). MOTOR-OPERATED VALVE TESTING. A technique used to measure and analyze key motor-operator parameters such as running current, voltage, stem thrust, limit and torque switch set-points, and valve stroke times. This technique is extensively used to provide accurate indication that the motor-operated valve operates as designed under actual system conditions of temperature, flow, and pressure. Motor-operated valve testing is also used to trend performance to identify degrading conditions. NONREACTOR NUCLEAR FACILITY. Those facilities, activities or operations that involve, or will involve, radioactive and/or fissionable materials in such form and quantity that a nuclear or a nuclear explosive hazard potentially exists to workers, the public, or the environment, but does not include accelerators and their operations and does not include activities involving only incidental use and generation of radioactive sources in research and experimental and analytical laboratory activities, electron microscopes, and X-ray machines. NUCLEAR FACILITY. Reactor facilities and nonreactor nuclear facilities. 28 DOE G 433.1-1 9-5-01 OUTAGE. A condition that exists whenever normal production operations have ceased and all SSCs and processes are shutdown, properly aligned, or otherwise in an appropriate status, as a result of planned or unplanned occurrences. PARTNERSHIP. A process in which individual stakeholders create a team approach to achieve mutual goals and objectives or to resolve problems. PERFORMANCE CRITERIA. A condition or set of conditions that, when satisfied, indicate successful completion of the performance objective. PERFORMANCE MEASURES. Any evaluation, comparison, or judgement toward meeting the performance objective. PERFORMANCE MONITORING. Systematic monitoring and trending of the performance of selected facility SSCs to measure and assess the impact of any performance changes on overall facility efficiency, reliability, and availability. PERFORMANCE OBJECTIVES. A statement of wants, needs, and expectations of customers that sets the direction for all contract effort. PERFORMANCE TEST. A test of an SSC to verify that acceptable designed-in performance characteristics are being achieved; or, to detect any abnormal performance characteristics for which corrective actions may be needed. The documented test results should also be used to determine the effect of maintenance and operating activities on equipment performance so that either availability or reliability factors can be obtained.

PERFORMANCE-BASED MAINTENANCE. Tailoring the preservation or maintenance of SSCs important to safety in terms of results as approved in a DOE Safety Management System that is implemented under 48 CFR 970.5204.2. The use of measurable (i.e., in terms of quality, timeliness and quantity) performance standards and objectives where appropriate (i.e., use of a “graded approach”). PERIODIC MAINTENANCE. Preventive, predictive or seasonal maintenance activities performed on a routine basis (typically based on operating hours or calendar time) that may include any combination of external inspections, alignments or calibrations, internal inspections, overhauls, and SSC replacements. PERSONAL PROPERTY. See Physical Assets. PHYSICAL ASSETS. All DOE-owned or DOE-used and -controlled land, land improvements, structures, utilities, motor vehicles, equipment, and components are included. • REAL PROPERTY OR REAL ESTATE. Real property includes land, improvements on the land, or both, including interests therein. All equipment or fixtures (such as plumbing, DOE G 433.1-1 29 9-5-01 electrical, heating, built-in cabinets, and elevators) that are installed in a building in a more or less permanent manner or that are essential to its primary purpose are usually held to be part of real property. • RELATED PERSONAL PROPERTY. Related personal property means any personal property that, once installed, becomes an integral part of the real property in which it is installed or is related to, designed for, or specially adapted to the functional or productive capacity of the real property. The removal of related personal property will significantly diminish the economic value of the real property or the related personal property. Examples of related personal property are communications and telephone systems. • PERSONAL PROPERTY. Generally, capitalizable property that can be moved or that is not permanently affixed to and part of real estate. Generally, items remain personal property if they can be removed without seriously damaging or diminishing the functional value of either the capitalizable property or the real estate. Examples of personal property are shop equipment and automated data-processing and peripheral equipment. NOTE: Real property includes facilities (e.g., buildings and other structural facilities) and personal property that is an integral part of real property (related personal property) or is related to, designed for, or specifically adapted to the functional or productive capacity of the real property, the removal of which would significantly diminish the economic value of the real property or the related personal property itself. Examples of related personal property are communication systems and telephone systems. Real property may also include triple-wide trailers or modular units joined together so that the structure is not portable and cannot be relocated without being dismantled and thus losing its identity. Normally, common-use items, including but not limited to general-purpose furniture, utensils, office machines, office supplies, and general-purpose vehicles, are not considered related personal property.

PLANNED MAINTENANCE. Preventive or seasonal maintenance activities performed before SSC failure that may be initiated by predictive or periodic maintenance results, through vendor recommendations, or by experience/lessons learned. These include actions such as scheduled cold weather protection, valve repacking, replacement of bearings as indicated from vibration analysis, major or minor overhauls based on experience factors or vendor recommendations, and replacement of known life-span components. For example, repacking a valve because of packing leakage would be corrective maintenance, but scheduled repacking before leakage would be planned maintenance. POLARIZATION INDEX. A technique used to measure the mechanical integrity of insulation. This technique is used to monitor degradation of electrical systems by measuring the ratio between 1-minute and 10-minute readings for insulation resistances. POSTMAINTENANCE TEST (PMT). Applicable and appropriate testing performed following maintenance to verify that a particular SSC, piece of equipment, or process performs its intended function based on its design criteria and that the original deficiency has been corrected and no 30 DOE G 433.1-1 9-5-01 new deficiencies created. In some cases, the extent of a particular PMT may extend beyond the component or piece of equipment that has been repaired, replaced or modified to complete systems or processes, depending on the type of maintenance action performed and the affect that the component or piece of equipment has on the total system or process. PURCHASE DOCUMENTS. Documents that describe the item(s) to be purchased. These include requisitions and purchase orders with equipment specifications and requirements. PREDICTIVE MAINTENANCE. The actions necessary to monitor; find trends; and analyze parameters, properties, and performance characteristics or signatures associated with SSCs, facilities, or pieces of equipment to discern whether a state or condition may be approaching that is indicative of deteriorating performance or impending failure, where the intended function of the SSCs, facilities, or pieces of equipment may be compromised. Predictive maintenance activities involve continuous or periodic monitoring and diagnosis to forecast component degradation so that “as-needed” planned maintenance can be initiated before failure. Not all SSC, facility, or equipment conditions and failure modes can be monitored and diagnosed in advance; therefore, predictive maintenance should be selectively applied. To the extent that predictive maintenance can be relied on without large uncertainties, it is normally preferable to activities such as periodic internal inspection or equipment overhauls. PRETRANSFER REVIEW. Serves to provide the safety basis and physical and administrative characteristics of the facility subsequent to the cessation of operations and before transferring the facility for the disposition phase. The objective of the review is to identify and evaluate, using a graded approach, the explicit boundaries of the facilities being transferred; their physical condition; extent, nature, and level of contamination (as appropriate on a case-by-case basis); inventories/estimates of types and quantities of special nuclear, fissionable, and toxic, hazardous, and radioactive materials; summary and evaluation of the safety basis and surveillance and maintenance requirements; and other elements to ensure that sufficient information is provided to facilitate an understanding of the facility and its surveillance and maintenance requirements. Documentation is generally expected to be provided from the analysis of available information, without extensive, new, characterization work.

PREVENTIVE MAINTENANCE (PM). Includes all those planned, systematic, periodic, and seasonal maintenance actions taken to prevent SSC or facility failures, to maintain designed-in operating conditions, and to extend operating life. The PM process takes into account the inevitability of failures in any simple or complex piece of equipment, although the consequences of failures can be controlled by careful design and effective maintenance. The reason for the failure incident can be apparent if basic differences between expected behaviors and the actual behaviors of SSCs are considered. These differences can be translated into possible failure modes. PM identifies any differences between actual and expected behavior of SSCs. Generally, regulatory and code requirements, DOE TSR for surveillances, in-service inspection and testing, vendor recommendations, and other forms of maintenance action and frequency selection based DOE G 433.1-1 31 9-5-01 on engineering judgement or analytical methods are the pursuit of proactive planned maintenance. PRIMARY STANDARDS. Calibrated by the National Institute of Standards and Technology (NIST) or other authoritative reference source. Its use should be restricted to the standards laboratory. PROBABILISTIC RISK ASSESSMENT (PRA). The quantitative (statistical) estimation of the likelihood (probability) of occurrence and frequency (per year/per event/per unit of time) of accidents, considering reliability and accident mitigation factors to interpret various contributors, which are compared, ranked and place in perspective. PROBLEM COMPONENT. A component whose past failures have caused a significant adverse impact on safety system availability, electrical generation, or maintenance cost. PROGRAMMATIC MANAGEMENT. Functions that include planning and developing the overall program; establishing priorities; providing program technical direction; preparing and defending the program budget; controlling milestones; integrating all components of the program; providing public and private sector policy liaison; expediting interface activities and follow-up actions; and retaining overall accountability for program success. PROPERTY. See Physical Assets. PROPERTY, PLANT, AND EQUIPMENT. Tangible assets that meet the capitalization criteria, that are not intended for sale in the ordinary course of operations; and they have been acquired or constructed with the intention of being used, or being available for use by the entity. PULLED CIRCUIT CARD. A circuit card that has been removed (or pulled to the point of disconnect) from its designated location so that the intended function has been disabled. Q-LIST. An engineered, approved listing of safety class structures, systems, or components (SSCs). RADIO FREQUENCY MONITORING. A technique used to detect internal arcing of an electrical generator. Generator arcing is caused by component failures such as stator winding insulation failure, conductor fatigue failure, or voltage breakdown because of reduced clearances between components that are at different voltages. The arcs cause short-duration current pulses containing measurable radio frequency signals. RADIOLOGICAL AREA. Any area(s) within a controlled area (but not including the controlled area) defined as a “radiation area,” “high radiation area,” “very high radiation area,” “contamination area,” “high contamination area,” or “airborne radioactive area.” 32 DOE G 433.1-1 9-5-01

RADIOLOGICAL PROTECTION DEFICIENCY. A condition that if allowed to exist may result in any of the following conditions, the contamination of personnel and areas, unnecessary radiation exposure, and generation of excessive radiological waste. REACTOR. Unless it is modified by words such as containment, vessel, or core, means the entire nuclear reactor facility, including the housing, equipment, and associated areas devoted to the operation and maintenance of one or more reactor cores. Any apparatus that is designed or used to sustain nuclear chain reactions in a controlled manner, including critical and pulsed assemblies and research, test, and power reactors, is defined as a reactor. All assemblies designed to perform subcritical experiments which could potentially reach criticality are also to be considered reactors. Critical assemblies are special nuclear devices designed and used to sustain nuclear reactions. Critical assemblies may be subject to frequent core and lattice configuration change and may be used frequently as mockups of reactor configurations. RECALL PROGRAM. A system to recall and service M&TE. RELATED PERSONAL PROPERTY. See Physical Assets. RELIABILITY. The probability that a component or system should perform its functions for a specified period of time when used within established operating parameters. RELIABILITY CENTERED MAINTENANCE. A proactive systematic decision logic tree approach to identify or revise preventive maintenance tasks or plans to preserve or promptly restore operability, reliability and availability of facility SSCs; or to prevent failures and reduce risk through types of maintenance action and frequency selection to ensure high performance. Reliability centered maintenance is the performance of scheduled maintenance for complex equipment, quantified by the relationship of preventive maintenance to reliability and the benefits of reliability to safety and cost reduction through the optimization of maintenance task/frequency intervals. The concept relies on empirical maintenance task/frequency intervals to make determinations about real applicable data suggesting an effective interval for task accomplishment. The approach taken to establish a logical path for each functional failure is that each functional failure, failure effect, and failure cause be processed through the logic so that a judgement can be made as to the necessity of the task, and includes (1) reporting preventive maintenance activities, plans, and schedules; (2) optimizing/calculating the preventive maintenance interval by balancing availability, reliability, and cost; (3) ranking preventive maintenance tasks; (4) accessing preventive maintenance information from piping and instrumentation drawings (P&IDs); (5) accessing preventive maintenance and other maintenance data; (6) listing recurring failure modes/parts, including failure to start and failure to run; (7) calculating and monitoring SSC availability; (8) accessing preventive maintenance procedures, and (9) keeping track of preventive maintenance cost. RELIABILITY, MAINTAINABILITY, AND AVAILABILITY PLANNING. Methodology, tools and techniques to effectively design, build and operate facility safety systems. DOE G 433.1-1 33 9-5-01 REMOVABLE CONTAMINATION. Radioactive material that can be removed from surfaces by nondestructive means, such as casual contact, wiping, brushing, or washing.

REPAIR. The restoration of failed or malfunctioning equipment, system, or facility to its intended function or design condition (see Corrective Maintenance). REQUIRED MAINTENANCE COST. Current maintenance needs cost estimate. RISK-INFORMED MAINTENANCE. A term used in the commercial nuclear industry which is regulated by the U.S. Nuclear Regulatory Commission that relies on insights obtained from Level III probabilistic risk assessments to identify, rank and prioritize nuclear facility SSCs important to safety and their need to be preserved or maintained in order to prevent accidents or to mitigate the consequences of accident with optimization of resources. ROOT CAUSE. The determination of the causal factors preceding an SSC failure or malfunction - that is, discovery of the principal reason why the failure or malfunction happened leads to the identification of the root cause. The preceding failure or malfunction causal factors are always events or conditions that are necessary and sufficient to produce or contribute to the unwanted results (failure or malfunction). The types of causal factors are (1) direct causes, (2) contributing causes, and (3) root causes. The direct cause is the immediate event or condition that caused the failure or malfunction. Contributing causes are conditions or events that collectively increase the likelihood of the failure or malfunction, but that individually do not cause them. Thus, root causes are events or conditions that, if corrected or eliminated, would prevent the recurrence of the failure or malfunction by identifying and correcting faults (often hidden) before an SSC fails or malfunctions. RUN-TO-FAILURE. A maintenance strategy to allow selected components to operate until failure without performing preventive maintenance on the components. SAFETY-CLASS STRUCTURES, SYSTEMS, AND COMPONENTS (SAFETY-CLASS SSCs). Systems, structures, or components including primary environmental monitors and portions of process systems, whose failure could adversely affect the environment, or safety and health of the public as identified by safety analyses. SAFETY REVIEW. A review performed by a technically competent engineer to determine whether a proposed change to any SSC may have any adverse impact on facility safety. SAFETY-SIGNIFICANT STRUCTURES, SYSTEMS, AND COMPONENTS (SAFETY- SIGNIFICANT SSCs). Structures, systems, and components not designated as safety-class SSCs but whose preventive or mitigative function is a major contributor to defense in depth (i.e., prevention of uncontrolled material releases) and/or worker safety as determined from hazard analysis. 34 DOE G 433.1-1 9-5-01 SAFETY STRUCTURES, SYSTEMS, AND COMPONENTS (SAFETY SSCs). The set of safety-related structures, systems, and components, and safety-significant structures, systems, and components for a given facility. SECONDARY STANDARDS. Calibrated by comparison with a primary standard of the same measurement modes. It should be used by laboratory personnel and stored in the standards laboratory. Use by other than standards laboratory personnel should be limited to that approved by the applicable manager. SHELF LIFE. A specific period or interval of time after which a stored item may not meet its original design specifications, quality, or manufacture requirements. SITE. A geographic entity comprising leased or owned land, buildings, and other structures required to perform program activities.

SKILL OF THE CRAFT. A defined level of technical proficiency for a worker performing a particular job that is verifiable through some form of qualification or supervisory knowledge. SOLE SOURCE ITEMS. Any procurement action in which the requesting personnel restrict the procurement organization to one source of supply. STAGING AREAS. Area designated and approved by the maintenance supervisor, for staging parts, materials, and supplies until a maintenance job is ready to work. STANDARDS LABORATORY. A standards laboratory is a central on-site facility that maintains, calibrates, and certifies most of the facility portable instrumentation and test equipment. STORAGE CONTROLS. Controls applied during purchasing, receiving, packaging, and storing of items to ensure that they are maintained properly. STOREROOM. Any facility designed or used for receiving, storing, and issuing items. STRUCTURES, SYSTEMS, AND COMPONENTS (SSCs). Physical items designed, built, or installed to support the operation of the facility. A structure is an element or a collection of elements to provide support or enclosure such as a building, free standing tank, basin, dike, or stack. A system is a collection of components assembled to perform a function such as piping; cable trays; conduits; or heating, ventilation, and air conditioning. A component is an item of equipment such as a pump, valve, or relay or an element of a larger array such as a length of pipe, elbow, or reducer. SURVEILLANCE TEST. Functional tests of installed equipment and/or systems to satisfy technical safety requirements. DOE G 433.1-1 35 9-5-01 SURVEILLANCE AND MAINTENANCE. Activities conducted throughout the facility life- cycle phase including when a facility is not operating and is not expected to operate again and continuing until phased out during decommissioning. Activities include providing in a cost effective manner periodic inspections and maintenance of structures, systems and equipment necessary for the satisfactory containment of contamination and protection of workers, the public and the environment. SYSTEM STATIONS. A location where two or more instruments are used as a unit to make certification measurements. TECHNICAL SUPPORT. The engineering, design, computer support, training, warehousing, fabrication, procurement, operations, quality assurance, material and parts control and availability, specialized inspections, planning, or other such support needed to develop and implement a successful maintenance management program that provides an efficient and continuous operating DOE nuclear facility. TICKLER FILE. A file that serves as a reminder and is arranged to bring matters to timely attention. TOOL STORAGE AREAS. Area authorized and controlled for the issuance and storage of tools and equipment designated for use in a facility. TOOLS AND EQUIPMENT. All noninstalled items commonly used to perform or assist in maintenance work functions within a facility. These items are not normally designed to perform highly specialized tasks and include such items as hand tools, power tools, electric cords, hoses, chain falls, scaffolding, ladders, and calibrated test equipment TORNADO WATCH. Meteorological conditions are favorable for the formation of a tornado. These watches are usually for a period of time not exceeding 4 hours. TORNADO WARNING. Issued when a tornado has been sighted in the area.

TRANSITION OF FACILITIES. The process of transferring programmatic and financial responsibility of land and/or facilities from one Program Office to another. TRENDING. A systematic analysis of an SSC or facility performance to categorize and establish operating history that enables graphic depiction and simulation of results in measurable terms such as cause and effect, failures, production output or capacity, cost or other subjects of interest. TROUBLESHOOTING. The process of locating and identifying SSC malfunctions through deductive and inductive reasoning and/or testing. The process may include (but is not limited to) activities such as taking readings, pulling fuses, stroking valves, changing electronic modules, partial or complete disassembly of a component, etc. 36 DOE G 433.1-1 9-5-01 UTILITY. A system, or any of its components, that generates and/or distributes (via pipelines, wires, buses, or electromagnetic waves) a commodity or service to itself and/or to other facilities. UTILITY SERVICE. A service, such as the furnishing of electricity, natural gas, steam, water, and sewer service and the furnishing of appurtenant facilities and systems. Telecommunication services or the removal and disposal of garbage, rubbish, and trash are not included. VALUE-ADDED. A decision-making process that leads to an improvement in an operation or process, based on effectiveness, efficiency, cost-effectiveness safety, etc. WEAROUT. The normal degradation process that is a function of operating time. WORK-CONTROL DOCUMENT. A proceduralized document used by facility personnel to perform activities such as maintenance, inspections, testing, or other work. WORK REQUEST AND/OR WORK ORDER (WR/WO). The WR/WO is a means of obtaining maintenance services available on both paper and electronic mediums and initiated by maintenance customers. Issued to Maintenance Planners and Estimators and used to define, plan, and execute maintenance activities. Documentation of a deficient equipment condition, requires detailed documentation of work performed, spare parts, procedures, or testing to verify maintenance was performed correctly. The WR/WO may also serve as documentation for completion of minor maintenance activities such as lubrication, light bulb replacement, etc.(It could also be called a maintenance job request.) WORKING STANDARDS. Calibrated in the facility with a primary or secondary standard of the same measurement mode, or calibrated using other measurement modes. It generally should be used in day-to-day activities, (mainly in direct field applications where direct/ready access is required or when ALARA considerations exist), to certify product certification equipment and instruments in the maintenance recall program using approved procedures. 1.2 ACRONYMS The following are acronyms commonly used in maintenance handbooks. ALARA as low as reasonably achievable ASME American Society of Mechanical Engineers BIO Basis for Interim Operation CFAR component failure analysis report DOE Department of Energy DOE G 433.1-1 37 9-5-01 EPRI Electric Power Research Institute EQ environmental qualification ES&H environment, safety, and health FCE functionally critical equipment FIMS Facility Information Management System FMEA failure mode and effects analysis FSAR final safety analysis report HVAC heating, ventilating, and air-conditioning ISI in-service inspection ISMS Integrated Safety Management System IST in-service testing

LCO limiting condition for operation LTA logic tree analysis M&TE measuring and test equipment MEL master equipment list MIP maintenance implementation plan MSDS Material Safety Data Sheet MTBF mean time between failures NEPA National Environmental Policy Act NIST National Institute of Standards and Technology OJT on-the-job training ORPS Occurrence Reporting and Processing System P&ID piping and instrumentation drawing PCB polychlorinated biphenyl PM preventive maintenance PMT postmaintenance test 38 DOE G 433.1-1 9-5-01 PRA probabilistic risk assessment QA quality assurance QAP quality assurance program QC quality control RWP Radiation Work Permit SAR safety analysis report SSCs structures, systems, and components TSR Technical Safety Requirements UDOL Unplanned Days Off-Line USQ unreviewed safety question WR/WO Work Request/Work Order 1.3 REFERENCES Applicable laws, regulations, and directives referred to in this Guide appear in Section IV, “References.” The superscript numbers appearing in the text of this Guide are keyed to the numbers in the reference list for easy access. As the basis for these guidelines, the referenced laws, regulations, and directives are the final authority and should be referred to for all questions. 2. GRADED APPROACH 1, 39 2.1 CRITERIA DOE nuclear facility contractors should use knowledge of their nuclear facility and sound engineering judgment to determine the depth of detail and magnitude of resources required for a particular maintenance management element described in Section 4. The level of safety analysis rigor, documentation, and controls [e.g., TSR/preventive maintenance (PM) inspection, testing developed for safety-related SSCs and safety-significant SSCs] should be more stringent than those developed for nonsafety items. Likewise, the safety-related SSC designation carries with it more stringent controls than the safety-significant SSC designation. Specific criteria used in the SAR48 include those important to the following categories: DOE G 433.1-1 39 9-5-01 a. safety, safeguards, and security; b. magnitude of any hazard involved; c. life-cycle stage of a facility; d. programmatic mission of a facility; e. particular characteristics of a facility; and f. relative importance of radiological and nonradiological hazards. 2.2 DEVIATIONS OR NONAPPLICABILITY At those DOE nuclear facilities where deviations from the maintenance management element(s) identified in Section 4 are considered necessary and appropriate or any maintenance management element is nonapplicable, such deviations or nonapplicability should be identified and formally documented with supporting justification within the MIP. 2.3 FACILITY-RELATED NONSAFETY EQUIPMENT DOE nuclear facility contractors may choose to include nonsafety equipment (see Sections 3.2 and 4.4.3.4.11). 3. MAINTENANCE IMPLEMENTATION PLAN 3.1 FORMAT AND CONTENT In coordination with the appropriate field element, each DOE contractor should develop, implement, and document a program in conformance with the policy and objectives of DOE O 433.1 in a site maintenance plan and/or a MIP. The format and content of the MIP should include appropriate elements of Section 4 of this Guide, using a graded approach for each nuclear facility. Each of the 18 major elements of Section 4 of this Guide should be addressed. If an element is not included in a facility’s maintenance program, an explanation should be provided justifying why the element is not applicable to the facility.

Section 4 frequently uses the word “should” indicating discretionary guidance to one acceptable method for inclusion in the MIP/maintenance management program. However, when a contractor adopts one or more of this Guide’s acceptable methods for inclusion in the MIP/maintenance management program, the word “should” will need to be replaced with a word such as “will” or “shall” for the MIP to be acceptable to DOE. 3.2 BOUNDARIES DOE contractors should develop a MIP for each nuclear facility under their cognizance. Where one contractor has more than one facility on a site, the contractor may develop a consolidated plan that can accommodate the facility differences without losing effectiveness. DOE 40 DOE G 433.1-1 9-5-01 contractors may include facility-related, nonsafety equipment within the MIP. The MIP should clearly identify and define the following minimum elements. 1. All SSCs included in the maintenance program (typically all those SSCs identified in the nuclear facility safety basis as documented in the SAR/BIO/TSR); SSCs that are critical to mission objectives or facility operations; or SSCs that may be desirable for inclusion in the maintenance program for other reasons. Contractors should develop a detailed master list of equipment/SSCs to be included in the maintenance program to help in selecting and scheduling PM and to evaluate the effectiveness of the maintenance program. The list normally is developed and controlled by or with assistance from engineering support organizations and can be used for other purposes, such as determining the safety or code classification of components. The MIP should include both safety-related and non-safety- related SSCs in the maintenance program. Failures of non-safety-related SSCs can lead to challenges, failure or undesirable consequences to safety-related SSCs. Special tools or equipment should also be included in the MIP. This list could be used effectively to help establish the maintenance history program and to determine the necessary parts required to maintain equipment (see Sections 4.4.2 and 4.4.3.1). 2. Management systems used to control maintenance activities associated with the defined SSCs (these include work control, postmaintenance testing, material procurement, handling and disposal, control and calibration of M&TE). 3. Assignment of organizational roles and responsibilities and appropriate maintenance- related training and qualification requirements. 4. Interfaces between the maintenance organization and other organizations (e.g., operations, engineering, quality, training, industrial health). 5. Facility/site mission. 6. System for assessing maintenance status. 7. Planned major activities. 8. Summary of maintenance backlog. 9. Performance indicators. 10. Self-assessment program. 11. Schedule for periodic inspection of SSCs, and equipment to determine whether deterioration or technical obsolescence that threatens performance and/or safety is taking place. DOE G 433.1-1 41 9-5-01 The MIP should establish maintenance priorities based on mission needs, and the priorities should be tracked directly to maintenance budget requests. This provides a forum on maintenance priorities between DOE and the contractor operating a nuclear facility. The maintenance priorities should be derived from or based on the SAR/BIO/TSR to preserve the facility’s safety envelope so that the SSCs covered by the MIP are maintained in a condition suitable for their intended use.

The MIP should describe in detail the integration of the MIP with the QAP and the safety management system [see 10 CFR 830.122a; DOE G 450.4-1B; ISMS Principles 1 and 2; and ISMS Function l]. The MIP should establish a configuration management process to ensure the integrity of the identified nuclear facility SSCs using a graded approach [see DOE-STD-1073-93 and 10 CFR 830.122(d) and (e)]. The MIP should establish how an accurately documented, computerized maintenance history engineering database will be maintained locally and how certain data fields will be incorporated into the DOE corporate Facility Information Management System (FIMS). The MIP will facilitate DOE maintenance planning, performance evaluation, and prioritizing in a way that balances safety requirements, the maintenance backlog, and facility availability so that resources can be effectively allocated to address safety, programmatic, and operational considerations [see 48 CFR 45.509; 10 CFR 830.122(d); 41 CFR 101-3; and DOE P 450.4]. The MIP should establish how performance requirements for those infrastructure elements identified as part of the nuclear safety basis will be enforced (see DOE G 450.4-1B). 3.3 APPROVAL Contractors operating DOE nuclear facilities should submit MIPs to the DOE heads of field organizations for review and approval.12 MIPs should be reviewed every 2 years and necessary changes submitted to DOE heads of field organizations for approval. 4. MAINTENANCE MANAGEMENT PROGRAM ELEMENTS 4.1 MAINTENANCE ORGANIZATION AND ADMINISTRATION (Replaces DOE-STD- 1051-93) 4.1.1 Introduction The organization and administration of the maintenance function should ensure that a high level of performance in maintenance is achieved through effective implementation and control of maintenance activities. DOE operations office, contractor, and facility policies should reflect a 42 DOE G 433.1-1 9-5-01 striving for excellence in facility maintenance and operation. Effective implementation and control of maintenance activities are achieved primarily by management establishing and enforcing written policies, procedures, and standards for maintenance; periodically observing and assessing performance; and holding personnel accountable for their performance.4, 9, 12, 56 This section discusses the policy resources, goals and objectives, and accountability needed in facility maintenance. 4.1.2 Discussion Senior management can achieve a high level of performance in facility maintenance by establishing high standards, by communicating these standards to personnel who perform maintenance, by selecting and training high-quality personnel, by providing sufficient resources to the maintenance organization, by setting goals and objectives, by closely observing and assessing performance, by effectively coordinating maintenance activities with operations and other facility organizations, and by holding workers and their supervisors accountable for their performance.4, 9, 27, 56, 122 Another key to obtaining and maintaining high-quality maintenance performance is the establishment of an organization to provide time for and emphasize long- range planning, as discussed in Section 4.1.3.2. Sufficient staff, equipment, and funding should be allocated to the maintenance organization so that its functions can be effectively performed. Resources can be allocated on a case-by-case basis, depending on the organization used. One indication that sufficient resources have been allocated is how well the maintenance goals are met.18, 19, 20 Maintenance goals and objectives are discussed in Section 4.1.3.4.9, 22, 32

Contractors should establish maintenance standards, considering input from maintenance staff and crafts workers, who will more eagerly support standards they have helped to develop. These standards should establish expected performance levels and clearly define maintenance objectives, responsibilities, and accountabilities. Standards for maintenance activities should be integrated into maintenance procedures and programs. They should also be communicated to the workers by training them in good work practices and by making sure that supervisors observe and guide work activities 16, 75. Performance in maintenance should be closely monitored by operations office personnel and facility managers through direct observation and development of maintenance reports. Progress toward achieving goals should be examined to measure the performance of the maintenance organization effectively.22 Maintenance personnel should be held accountable for their performance through supervisor counseling, performance appraisals, and, when necessary, disciplinary measures. Remedial training should be provided when appropriate. DOE G 433.1-1 43 9-5-01 *The term “maintenance manager” is used throughout the Guide to denote the manager responsible and hence accountable for the maintenance functions. **The term “maintenance personnel” denotes any individual performing a maintenance function. 4.1.3 Guidelines 4.1.3.1 Maintenance Organization Policies It is a primary responsibility of the maintenance manager* to ensure implementation of contractor management and facility policies that affect the maintenance organization. Maintenance organization procedures should support contractor management and facility maintenance policies. Responsibilities for implementing these policies, including the responsibilities of maintenance personnel,** should be clearly defined. Maintenance personnel should clearly understand their authority, responsibility, accountability, and interfaces with other groups. Procedures or other definitive documentation should specify policies used to guide maintenance organization activities. These documents should also specify the types of controls necessary to implement new maintenance policies. 4.1.3.2 Maintenance Strategy Working Relationships. Each facility should develop an integrated approach to maintenance that encourages working relationships among all organizational units that support the maintenance function [e.g., operations, health physics, stores, quality control (QC), engineering, procurement, and modifications].1, 17, 30, 49, 76 The maintenance strategy should chart the relationship among these supporting groups, as related to overall plant maintenance, by defining responsibility, authority, and accountability. This will entail identification of the following: • personnel interfaces; • periodic self-assessments of work activities; • procedural interfaces • indicators relating to overall maintenance performance (e.g., equipment availability); and • indicators relating to the support of maintenance tracked by each supporting group [e.g., number of plant Work Orders (WOs) on hold because of a lack of spare parts]. Long-Range Planning.18, 19, 20, 28, 32 Effective management of the maintenance program requires long-range planning. Establishing a scope of long-range major activities shows how funding and staff resources can be managed to meet the needs of the maintenance program. Issues such as the following should be part of long-range planning:9, 12, 18, 19, 27, 31, 38, 40, 57, 60

• recurring major maintenance items such as component overhaul, inspections, and rebuilds; • timing of planned maintenance and facility or equipment outages; 44 DOE G 433.1-1 9-5-01 • major projects and modifications requiring maintenance organization involvement; • future organizational structure and staffing changes aimed at continuing improvements in the maintenance program and the plant as a whole; • planning for equipment replacement as components reach the ends of their service lives; • timing of outages for other plants in the system when reliance on them for resources is part of the maintenance plan; • periodic conduct of value-impact assessments of maintenance methods, processes, and approaches/alternatives to performing work; • government and industry issues and events that will impact the maintenance program; • budget changes or projects that may divert large amounts of money from maintenance activities; and • contractor and corporate long-range support. 4.1.3.3 Staffing Resources 18, 19, 57, 60, 101 The maintenance manager is responsible for helping to select high-quality personnel, for effectively using available resources, for assessing resource adequacy, and for making recommendations to the appropriate manager regarding needed change. He/she should be involved in defining entry-level criteria and in screening new personnel. High-quality personnel should be selected to establish a staff of supervisory, engineering, planning, technical (crafts workers), warehousing, and other personnel needed to support the maintenance program. Entry- level criteria should ensure that maintenance personnel have the requisite background and experience to be trainable for work in nuclear facilities.27, 44, 45 A written or practical test could be used to demonstrate this minimum level of competence. If engineering personnel are not directly assigned to the maintenance organization, the maintenance manager should ensure the ready availability of adequate engineering support (e.g., system engineers who are actively involved with such daily maintenance activities as troubleshooting and evaluating unusual conditions). Additionally, during temporary increases in staff to support planned outages or other activities, high-quality personnel should be selected. The maintenance staff should have sufficient personnel and time to conduct training activities. A training and qualification program should be developed for maintenance supervisors, planners, crafts workers, and warehouse personnel, to ensure that high-quality performance is achieved and maintained. Career progression plans should be developed to help ensure that future maintenance staff vacancies can be filled with qualified personnel. These progression plans include providing training and opportunities for experience to potential candidates for specific positions. All maintenance management and supervisory positions should be filled with permanent contractor personnel.1, 45, 107 DOE G 433.1-1 45 9-5-01 4.1.3.4 Goals and Objectives 1, 2, 3, 4, 9, 10, 11, 22, 23, 27, 28, 29, 30, 31, 33, 40, 41, 42, 60, 67, 68, 72, 73, 76, 77 Maintenance goals should be used as a management tool for involving cognizant facility groups in improving maintenance performance and for measuring maintenance effectiveness. Maintenance goals such as the following should be established. • Reduce the impact of planned outages by planning and completing maintenance activities promptly.

• Reduce the number of unplanned outages. • Minimize unplanned challenges to safety systems. • Reduce the lost-time accident rate. • Reduce station and equipment downtime. • Reduce personnel errors. • Reduce radiological exposure. • Control and reduce contaminated areas. • Reduce repeat maintenance Work Requests (WRs) (rework). • Complete scheduled surveillance and PM activities promptly. • Manage the corrective maintenance backlog to minimize it and the completion time of resolving outstanding deficiencies. • Control overtime. • Staff and train the maintenance organization. • Complete outage and no outage work on schedule. To establish goals, it is necessary to determine the current value and estimate the expected value of the parameter for which a goal will be established. Based on this, a challenging but achievable goal should be established. Meeting goals generally requires a definite set of actions. Action plans should be developed by the maintenance manager, with input from personnel involved in conducting maintenance activities, and reviewed and approved by the facility manager. Guidance is provided in Section 4.14 on measuring the effectiveness of goals and objectives and providing feedback for periodic review and adjustment of goals and objectives. If realistic, challenging, and measurable goals are established, maintenance effectiveness can be monitored and improvements achieved. The purpose of maintenance goals is not simply to meet a numerical milestone; rather, the purpose is to improve performance. Goals for routine tasks or goals that are easy to meet with little action should not be used. 4.1.3.5 Accountability 9, 23, 28, 101 Managers, supervisors, engineers, planners, crafts workers, warehouse personnel, and other personnel who support maintenance should be recognized for their performance. Rewards and 46 DOE G 433.1-1 9-5-01 other forms of positive recognition should be given for superior performance. Personnel involved in significant or frequent violations of maintenance requirements should be encouraged to improve through counseling, remedial training, or disciplinary measures, as appropriate. A performance feedback program, such as performance appraisals, should be used to evaluate the performance of facility maintenance personnel. This program should include or be augmented by routine managerial or supervisory discussions and feedback to each individual. With this continuing feedback, each employee should understand his/her accountability for the performance of activities and know what areas need improvement. Another valuable benefit of these sessions is the feedback provided by the employee to his/her manager or supervisor. 4.1.3.6 Quantitative Indicators 9, 19, 20, 22, 78 A program should be in place to regularly provide management with accurate information regarding key maintenance performance indicators. Such information should be measurable and used to assess maintenance performance and identify areas requiring management attention. Overall indicators relevant to maintenance performance, indicators to measure progress in achieving goals and objectives, and specific indicators for monitoring current performance problems and performance in specific functional areas should be selected. Information should be presented in a systematic way that provides ready recognition of trends and comparison of actual versus expected results and, where appropriate, clearly indicates corrective action and the results of these actions.

For most quantitative indicators, a graphic format is preferable to show comparisons between actual results, facility goals, and overall industry progress over a period of time. Quantitative indicators should be presented in a way that shows a significant time period, such as 12 to 36 months, to support more meaningful analysis of performance trends. Where data are subject to wide variations over time, averaging techniques may be used to smooth the data and facilitate the identification of trends. A computerized database is the most effective way to compile data and analyze them for performance trends. Maintenance related computerized data should be part of an integrated operation and available for use by every member of the maintenance organization, as well as other facility personnel. It should tie together maintenance, warehousing, purchasing, accounting, engineering and production in such a way that all parties work together and share current information. Monitoring reports based on quantitative indicators should be issued on a periodic basis. In most cases, updating quantitative indicator reports monthly has been found to be most effective. Quantitative indicators should be trended to permit early identification of trends requiring corrective action. A management summary that highlights trends and explains reasons for undesirable trends, including problem areas, needed improvements, and actions taken to cause improvement, enhances the usefulness of the reports. DOE G 433.1-1 47 9-5-01 Responsibilities should be assigned for collection and analysis of data for each indicator. A coordinator should be assigned overall responsibility for development, production, and distribution of the report. Reports tailored to the needs and desires of responsible company management, including the facility manager and appropriate division managers, should be distributed. Guidelines should be developed for determining what quantitative indicators are provided to each level of management. For example, the facility manager’s report could provide overall performance indicators and other selected indicators along with an executive summary section noting unusual results and significant trends. A brief explanation of the cause of negative trends and corrective actions to be taken should be provided. Reports to other division managers should provide all the information in the facility manager’s report and other selected indicators applicable to their areas of responsibility. 4.1.3.7 Status Reports to Managers 1, 5, 6, 7, 8, 9, 19, 20, 21, 22, 67, 71 Managers should receive periodic reports on the status of various programs and on the status of action items. An integrated management information system is often used to provide this information. When independent reporting or action tracking systems are used, care should be taken to minimize redundant reports. Items that are nearing the completion date should be monitored to verify that due dates will be met. When items become overdue, they should be reviewed, appropriate actions should be taken, and the item should be rescheduled. Closeout methods should be streamlined to prevent an excessive number of completed items from being carried forward.

Follow-up on the effectiveness of corrective actions for deficient conditions should be scheduled as part of the management monitoring program. Follow-up monitoring should determine whether the immediate condition has been corrected and the root causes eliminated. In some cases, this will require monitoring of the immediate corrective actions and subsequent monitoring to determine whether recurrence of the condition is minimized. For the latter, sufficient time will need to be allowed to permit the completion of all corrective actions. Based on the results of the follow-up monitoring, the item can be closed or new corrective actions formulated. Undesirable performance trends noted in quantitative indicators or as a result of management performance monitoring should be assessed to determine the root causes of this performance. Corrective actions should be developed and implemented to correct undesirable conditions. 4.1.3.8 Determination of Root Cause of Problems 1, 24, 25, 26, 28, 29, 43, 45, 50, 53, 54, 55,56, 79, 80, 105, 118, 119 Problems that are identified by management assessment or by outside organizations should be analyzed to determine underlying root causes so effective corrective actions can be developed 48 DOE G 433.1-1 9-5-01 and implemented. The root causes can be defined as those causal factors (including management system factors) that, when corrected, will preclude a recurrence of a deficiency. Particular emphasis should be placed on deficiencies or causal factors identified as having generic implications. Root-cause determination methods should be applied to event investigations, undesirable trends in quantitative indicators, and performance deficiencies noted in monitoring reports. For example, if a deficient condition exists because of personnel performance, the root cause may be one or more of the following: • erroneous, incomplete, or unusable procedures; • insufficient or incorrect training; • insufficient supervision caused by lack of monitoring, accountability, or improper standards; and/or • system or equipment design deficiencies. Corrective Actions. Corrective actions should address the root causes rather than the symptoms of the problem. The objective of root-cause determinations should be to identify failures at a sufficient level to prevent not merely a reoccurrence, but also all other occurrences stemming from the same root cause. Corrective actions should be developed with input from appropriate facility and staff members, including those tasked with implementing the actions, to achieve ownership of the corrective actions. Facility line management should approve corrective actions and ensure the actions are implemented in a timely manner. Input from organizations such as QA or corporate support/oversight groups should be considered when determining actions in response to deficient conditions identified by these organizations. Management should track corrective actions until completion. Responsible managers and supervisors should be held accountable for the timely and effective implementation of corrective actions. Delays in the completion of approved corrective actions should be brought to the attention of the responsible manager who assigned the corrective actions. An escalation process should provide higher levels of management attention to problem areas for which corrective action continues to be ineffective.17, 28, 56, 80, 106, 125

Use of Operating Experience. Programs should be in place to ensure the timely review of operating experience to incorporate lessons learned into maintenance programs and practices. Reviews should include in-house and external industry events. Management should use industry operating experience and in-house events as mechanisms for assessing performance to determine the root causes of problems. Mechanisms should also be in place to ensure that significant in- house events are promptly provided to the industry for use by other facilities. DOE G 433.1-1 49 9-5-01 Another aspect of operating experience involves visits to or communications with other facilities. Maintenance division managers, supervisors, and workers should take opportunities to visit and communicate with other facilities both to help solve specific problems and to learn different approaches to the routine business of operating facilities.96 4.1.3.9 Management Control of Plant Configuration 83, 84, 93, 99, 108, 109, 110, 116, 117 Management should ensure that plant configuration, including the manner in which the facility is maintained, conforms to the established design basis requirements. Many routine activities, if carried out improperly, can have an adverse impact on facility configuration and cause eventual equipment damage or increase the probability or consequences of a significant event. Effective control of facility configuration requires rigorous attention to detail as well as the understanding and commitment of every member of the maintenance organization to observe and report/record material condition and status. Configuration Management Policy. The maintenance policy regarding the control of plant configuration should be clearly defined and communicated to all levels of the organization. The policy should address the scope of configuration management controls, the responsibilities of the maintenance organization, and the principal interfaces between the facility and maintenance organization that directly control material condition assessments and facility design basis requirements. In addition, the policy should identify each maintenance line manager’s responsibility for implementing the necessary controls to ensure effective implementation of the configuration management policy.116, 117 Availability of Design Basis Requirements. The current facility design basis requirements should be readily available to the maintenance staff. These requirements should be used in the preparation, review, and approval of proposed changes to plant design and maintenance procedures. In addition, these requirements should be used in troubleshooting problems and validating material condition assessment when questions arise. The organization responsible for controlling the design basis requirements and ensuring facility design integrity (i.e., the design authority) should be assigned the responsibility for interpreting design basis requirements as needed.47, 48 Control of Interfaces. The interfaces among facility maintenance and nonfacility organizations should be clearly defined to ensure the complete and accurate communication of facility configuration-related information. For example, a change to a vendor manual may result in changes to maintenance procedures, training materials, equipment lists, repair parts, and design base documents such as specifications and drawings. In addition, information may flow in both directions across organizational interfaces. For example, information related to a design change may be needed by operations, maintenance, and/or training to update procedures to conform with the facility design basis requirements. Conversely a procedure change initiated by maintenance personnel that affects an operating parameter may necessitate validation by design engineering personnel to verify expected operating conditions fall within the design basis requirements.

50 DOE G 433.1-1 9-5-01 Controls should be established to ensure the necessary source information that initiates a configuration change is sent to all affected organizations and to ensure that the appropriate reviews, actions, and document updates are accomplished in a timely manner.11, 41, 46 Change Control. Management should ensure proposed changes to the facility configuration are warranted and properly controlled. As noted in “Control of Interfaces” above, many activities performed during day-to-day maintenance operations of the facility can have an adverse impact on plant configuration, material condition, and plant design basis if planned or performed improperly. Management should routinely review the conduct of these activities to ensure inadvertent and uncontrolled changes to the facility are not made.4, 46 Document Control. Management should ensure documents are the current, approved versions before use. Discrepancies between actual facility configuration and controlled documents should be identified, tracked, evaluated, and expeditiously resolved. Because information describing facility configuration is frequently duplicated in documents controlled by different organizations, a method of cross-referencing documents should be established to aid in the identification of documents affected by change. 1, 4, 46, 54, 78 The maintenance document control program should ensure technically correct and readily accessible information is provided to support maintenance activities. Technically accurate and approved information written in a clear and concise format is needed to support safe and reliable maintenance operations. A document control system should be established to ensure that only authorized technical information is available for the performance of maintenance activities. Controlled information should include maintenance procedures, maintenance records and documentation, drawings, vendor technical manuals, and maintenance correspondence. A formal process should be in place for the preparation, periodic review, and approval of maintenance procedures and procedure revisions to ensure continued accuracy and usability. The document control system should also ensure maintenance documentation, including incoming and outgoing mail, maintenance records and reports, is properly stored and easily retrievable. 4.1.3.10 Document Control Administration 21, 28, 78 A document control system should provide for the timely receipt, processing, distribution, retention, storage, and retrieval of documents originating both within and outside the maintenance organization. The responsibility for document control may be shared by more than one department. For example, one department may be responsible for the control, updating, and distribution of drawings. Another department may be responsible for maintaining maintenance procedures and retention and storage of maintenance documents. In either case, controls should be established outlining the responsibilities and authorities of individuals or groups associated with document control. A master control file of maintenance documents should be maintained, with access limited to designated personnel. Satellite files of controlled maintenance documents DOE G 433.1-1 51 9-5-01 such as procedures, drawings, and technical manuals should be established as necessary to support maintenance operations. Responsibility for maintaining satellite files should be clearly defined. 4.1.3.11 Procedures 27, 83

Controls should be established for the preparation, review, approval, distribution, and revision of maintenance procedures. A systematic program should be used to ensure the review and updating of maintenance procedures at regular intervals that are not to exceed a specified period (normally 2 years). Guidelines for procedure review should address the scope and depth of the review in areas such as technical and administrative content and human factors. DOE-STD- 1029-92, Writer’s Guide for Technical Procedures may be of assistance in this area. A uniform procedure format should be used for all maintenance procedures. A maintenance administrative procedure should be developed that provides guidance in the prescribed methods of format, content, and numbering. Departmental procedures should provide the detailed guidance regarding the conduct of maintenance activities (see 10 CFR 830 Subpart A Work Processes). 4.1.3.12 Drawing Control 1, 28, 29 Only controlled drawings reflecting as-built conditions should be used for maintenance operations. Drawings should be stamped or otherwise marked to clearly indicate that the drawing is controlled. Drawing indexes should be readily available and maintained current to allow quick verification of drawings for use. Satellite files of controlled drawings should be established as necessary to support maintenance activities. If satellite files are used, they should be periodically checked to ensure drawings are maintained up-to-date. Controls should be established for distribution and updating of drawing files. Responsibility for maintaining satellite files should be clearly established. If document control personnel are not responsible for maintenance of satellite files, some means of positive verification should be used, such as return of outdated drawings. Drawings that are posted at various locations in the plant should also be controlled. Drawings that are not part of the controlled drawing system should be considered uncontrolled and clearly identified as such. Maintenance procedures should indicate how controlled and uncontrolled drawings are identified so that personnel can readily determine the status of drawings. Uncontrolled drawings should not be used for the performance or planning of maintenance work activities [see 10 CFR 830.122(d), Documents and Records]. 4.1.3.13 Vendor Information 1, 28, 29 The receipt, processing, and distribution of vendor technical information relating to the systems or components installed at the facility should be controlled to the same level as facility 52 DOE G 433.1-1 9-5-01 documentation applicable to the same SSC. The proper performance of maintenance activities is strongly dependent upon the availability and use of accurate vendor technical information. The application of controls on vendor manuals depends on the intended use of the manual. If detailed procedures have been developed for use in the conduct of maintenance, then vendor manuals should be used only as reference source material and so marked. If vendor manuals are intended as replacements, substitutes, or supplements for maintenance procedures, then their use should be controlled in the same manner as maintenance procedures. In both cases, vendor manuals should be reviewed for completeness, accuracy, and applicability before initial use. Vendor manuals should be treated as maintenance documents, with maintenance management retaining responsibility for maintaining the manuals current. Local changes should be approved and used as necessary to reflect equipment modifications and other relevant technical information.

Indexes listing all vendor manuals should be developed. Controlled manuals should be readily identifiable with a means provided to allow verification that each manual is complete and current. Manuals not included in the document control system should be considered uncontrolled and should not be used as guidance to perform maintenance on facility equipment. Maintenance procedures should indicate how controlled or uncontrolled manuals are identified. Control mechanisms should be developed to ensure that changes required in vendor technical manuals (whether generated by external means, such as vendor technical bulletins, or changes resulting from plant modifications) are incorporated. Changes to all manuals should receive the same review and approval as the manual itself. 4.1.4 Maintenance Organization and Administration Performance Objectives 9, 22, 23 The maintenance organization and administration should ensure effective implementation and control of maintenance activities. CRITERIA A. Organizational structure is clearly defined. B. Staffing and resources are sufficient to accomplish assigned tasks. C. Responsibilities and authority for each management, supervisory, professional and craft position are clearly defined and understood. D. Interfaces with supporting groups are clearly defined and understood. E. Administrative controls are used in the conduct of maintenance activities that affect safe and reliable plant operation. (Examples of such activities include scheduling PM, use of special tools and lifting equipment, and use of M&TE.) F. Performance appraisals are effectively used to enhance individual performance. DOE G 433.1-1 53 9-5-01 G. Temporary and other nonfacility personnel use the same (or equivalent) facility- approved policies, procedures, and controls and the same workmanship standards as plant maintenance personnel. H. Personnel are actively encouraged to develop methods to improve safety, reliability, quality, and productivity. I. Performance indicators are reviewed and used to improve maintenance performance. 4.2 TRAINING AND QUALIFICATION OF MAINTENANCE PERSONNEL27, 44, 81, 119, 121, 122, 123 4.2.1 Introduction A maintenance training and qualification program should be implemented to develop and maintain the knowledge and skills needed by maintenance personnel to perform maintenance activities effectively. The program should be designed so that the maximum potential of maintenance personnel is fulfilled. This section describes the implementation of training and qualification programs for maintenance personnel. Guidance is also provided for training program evaluation and record keeping. Maintenance managers and supervisors should be directly involved in training maintenance personnel. Their involvement should, at a minimum, include close coordination with the contractor’s training organization to establish and maintain course content and emphasis, determine and support training schedules, accomplish on-the-job training (OJT), and provide feedback to adjust course content and emphasis, as necessary. 4.2.2 Discussion The training organization should maintain maintenance training programs that meet the intent of established industrial guidelines and that address specific company and facility needs. These training programs are supported and guided by the maintenance organization. This support and guidance normally includes all or a portion of the following tasks.

• Defining the jobs, tasks, skill levels, and responsibilities of individuals in maintenance positions. • Defining training programs for each position. • Determining the content and emphasis of the training needed. • Determining and supporting training schedules. • Determining the training needs of and tailoring the training program for each individual, based on his/her previous education, training, experience, and skill level. • Providing instructors and trainers. • Establishing qualification criteria, with emphasis on successful performance in the field. 54 DOE G 433.1-1 9-5-01 • Coordinating the conduct and instruction of OJT. • Qualifying individuals as they complete their training programs. • Providing training-effectiveness feedback to the training organization to enhance and, where necessary, adjust course teaching methods, content, and emphasis. Facilities to support maintenance training are key factors in obtaining safe, efficient, and high-quality maintenance. The maintenance manager should be involved in construction of new maintenance training facilities and in renovations to existing facilities. The maintenance training program should be used as the basis for determining the space and equipment needed for training facilities. Considerations for these facilities and equipment should include the following. • Size of training class. • Type of training (e.g., classroom, laboratory, and OJT). • Use of mockups. • Presence of environmental controls. • Availability of services (e.g., electricity, air, water, and gas). • Access to training equipment (e.g., lecture boards, projectors and screens, and simulators). • Provision of equipment similar to that installed in the plant to be used for practical training. 4.2.3 Guidelines 4.2.3.1 Responsibilities Responsibilities for establishing, implementing, and maintaining the maintenance training programs should be clearly defined and understood. The key element for success is close coordination between the managers and supervisors of the maintenance and training organizations (see Section 4.1). 4.2.3.2 Maintenance Training Programs Training should be defined and should include managerial, supervisory, planning, engineering, warehousing, craft, and contractor personnel, and other positions, as deemed necessary. Courses should then be obtained or developed. Detailed guidance for accomplishing this is available in established industrial guidelines. 4.2.3.3 Training Schedules and Support The following scheduling and support activities should be accomplished. • Prepare schedules that reflect instructor, training facility, and trainee availability and that include (as appropriate) self-study, classroom instruction, practical training, vendor or other noncontractor employee training, and OJT. DOE G 433.1-1 55 9-5-01 • Review each trainee’s previous education, experience, and skill level to determine which portions of the training program he/she can be exempt from. One method to accomplish this is to require that a prospective employee pass a written test as part of the interview process. Based on the test results, a training program and milestones for the individual can be established. • Ensure that qualified instructors are available to teach specific courses. 4.2.3.4 On-the-Job Training 81

OJT is practical, hands-on training in which employees achieve learning objectives through training conducted within the job environment. OJT is a formal part of the maintenance training program. This aspect of an individual’s training is normally conducted in the facility as part of his/her day-to-day work activities. Accordingly, maintenance department supervisors and selected experienced craft personnel are directly involved in OJT. Key elements of OJT include the following. • Program Adherence. OJT should be conducted in accordance with formally defined training programs that specifically identify items the trainee must accomplish. Knowledge requirements for each item, as well as the action a trainee must do (perform, simulate, observe, or discuss), should be defined. Both the trainer and the trainee should understand what is required for each training item. • Trainer Qualification. OJT should be conducted by personnel who have qualified as OJT trainers. Personnel in the training department who have maintenance experience, as well as personnel in the maintenance department itself, may be used as OJT trainers. They should have good verbal communication skills and technical knowledge and should have the ability to provide trainees with effective hands-on experience. • Trainee Supervision and Control. When trainees perform maintenance on installed equipment, a qualified OJT instructor should observe the work so that the trainee properly accomplishes the activity and understands how to avoid errors that could affect personnel safety or adversely impact the station. Before performing maintenance on equipment, trainees should discuss the procedure with the OJT trainer and talk through required actions by pointing to the control switch, valve breaker, or other component that will be manipulated. Incorrect actions should be discussed, particularly if they could result in a plant transient such as an equipment trip. The trainee should also demonstrate industrial safety and radiological protection aspects of the job (e.g., the equipment to be maintained is properly tagged and isolated, and an RWP is used). The trainer should review any information recorded by the trainee on official work and data sheets and should stress to the trainee the importance of maintaining accurate training and nuclear facility records. In addition, the instructor should discuss with the trainee 56 DOE G 433.1-1 9-5-01 out-of-specification values and their consequences and the required reporting of such issues. • Number of Trainees. To determine the number of trainees allowed to participate simultaneously in any particular training evolution, the trainer should consider training effectiveness and the effect on the equipment being maintained. Limiting the trainee/trainer ratio will help each trainee receive the most effective instruction and will help ensure that the trainer is not overwhelmed by having too many trainees at once. For example, a trainer may be able to handle several trainees for disassembly and assembly of a pump or motor or a practical demonstration on stainless-steel tube fitting. It may be prudent, however, to have only one trainee at a time for work involving a live, high-voltage circuit or for conducting a reactor protection system surveillance test.

• Trainee Conduct of Maintenance. The maintenance manager should establish a policy that allows trainees to perform independent maintenance only on equipment for which they are qualified. This policy should specify how supervisors are to ensure that a trainee has completed needed training before he/she is independently assigned to perform a task on particular equipment. The trainee’s need to make progress in training should be considered when maintenance tasks are scheduled for him/her. 4.2.3.5 Qualification In conjunction with the training organization, maintenance management should review an individual’s training accomplishments before qualifying him/her for a given task. Similarly, qualifications of contractor personnel should be reviewed. This review should include the following. • Verifying completion of all required prerequisite training. • Conducting or evaluating the results of a final written, oral, or practical demonstration examination and evaluating the recommendations of the individual’s supervisors. • Interviewing the individual regarding the knowledge and skill he/she has acquired (not as a verification of total expertise and proficiency but as an indicator of competence upon which to build). • Formally approving and documenting qualification. 4.2.3.6 Training in Root-Cause Analysis 54, 80 In addition to being trained in technical maintenance functions as described above, a select group or team should be schooled in principles and methods of root-cause analysis. This group should include individuals with demonstrated expertise in human performance, systems, failure analysis, facility operations, and relevant technical disciplines (e.g., stress analysis and corrosion). Group DOE G 433.1-1 57 9-5-01 leadership should be placed with individuals who are experienced in root-cause analysis and who can function impartially, with no particular allegiance to any facility organization. Group members should be trained in various approaches to cause-and-effect analysis and should be provided the necessary background to select and implement an approach that is suitable for a particular situation. 4.2.3.7 Training Program Approval, Effectiveness, and Feedback 1, 27, 28 The maintenance manager should be directly involved in approving and periodically reviewing the maintenance training program. The performance of maintenance personnel should be monitored to identify enhancements and emphases for the initial- and continuing-training program. (Sections 4.14, 4.15, and 4.16 provide guidance on monitoring maintenance performance.) The trainee’s feedback on his/her perception of and suggestions for improving the training program should be obtained. Any performance trends indicating maintenance knowledge or skills that need improvement should be considered during review of the maintenance training programs. The training organization should consider recommendations from the maintenance manager for changes to training programs. 4.2.3.8 Management and Supervisory Training 27, 122 There should be a formalized training program that addresses and provides the necessary training to develop and maintain managerial and supervisory skills. The program’s training should include, but not be limited to, managerial and supervisory skills, accountability, assessment and observation of routine activities, communication skills, teamwork, and company management styles and philosophies. It should also include position-specific technical areas that enable these individuals to communicate properly with their workers and to carry out their responsibilities. This is especially important to aid first-line supervisors in managing maintenance activities. Career progression planning should be used to help customize the training program for personnel being considered for specific supervisory and managerial positions.

4.2.4 Maintenance Personnel Knowledge and Performance Objectives 22, 23, 27 Maintenance personnel knowledge and performance should support safe and reliable facility operation. CRITERIA A. Maintenance is performed by or under the direct supervision of personnel who have completed applicable formal qualification associated with the tasks to be performed. 58 DOE G 433.1-1 9-5-01 B. Maintenance personnel knowledge is evidenced by an appropriate understanding of areas such as the following: • maintenance policies, processes, and procedures; • general plant layout;28, 50, 116 • purpose and importance of facility/systems and equipment;32, 48 • effect of work on facility systems; • industrial safety, including hazards associated with work on specific equipment/ systems;2, 3, 32, 41, 42, 43, 48, 49, 52, 58, 59, 67, 68, 69, 70, 72, 74, 76 • radiological protection and as-low-as-reasonably-achievable (ALARA) principles;59, 60, 122 • job-specific work practices;1, 67 and • cleanliness and housekeeping practices.116 C. Maintenance personnel are capable of troubleshooting equipment problems in an efficient manner. D. Maintenance personnel, including temporary and nonfacility personnel, are knowledgeable of changes to plant policies, procedures, systems, and equipment that affect their activities. E. Maintenance personnel are knowledgeable of appropriate lessons learned from industry and in-house operating experiences (including actual events) applicable to their craft. 4.3 MAINTENANCE FACILITIES, EQUIPMENT, AND TOOLS (Replaces DOE-STD-1067- 94)28, 29, 31, 32, 58, 111 4.3.1 Introduction Maintenance facilities, equipment, and tools should efficiently support the facility maintenance and maintenance training functions. Maintenance facilities directly affect the training of maintenance personnel and the ability to maintain the facility in an optimum state of readiness. Maintenance facilities include storage areas for equipment, tools, supplies, and parts (see Section 4.12, and Section 4.13). This section provides guidance in determining needs for the facilities, tools, and equipment necessary to support maintenance. 4.3.2 Discussion A program for evaluating the adequacy of maintenance facilities is needed to help ensure that maintenance activities can be effectively accomplished. Industrial safety, location, access, communication, environmental controls, radiological controls, power sources, and the type of DOE G 433.1-1 59 9-5-01 activity to be performed are examples of items to be considered in providing adequate maintenance facilities. Maintenance training facilities, shops, satellite work areas, laydown and staging areas, storage facilities, mockups, temporary facilities, decontamination facilities, shower and toilet facilities, lunch areas, conference areas, and offices are examples of maintenance facilities that need evaluation. In addition, adequate office equipment should be provided to support efficient and effective work. The objective is to create and maintain a safe and productive workplace where high-quality work can be performed. (References 3, 11, 12, 15, 30, 33, 34, 35, 36, 48, 59, 68, 69, 70, 71, 72, 72, and 75.)

A program for evaluating the adequacy of tools and equipment to support maintenance activities is also needed. The types and quantities of tools and equipment needed to accomplish effective maintenance depend on such variables as facility purpose, design, and layout; installed equipment; and composition of the work force. The process of providing and developing tools and equipment should include considerations of cost, control, and storage. Tool and equipment control is addressed in Section 4.12. Although the development of new or special tools should be controlled for safety, cost-effectiveness, and future use, control of the development of new or special tools should not be so strict that employee innovation is discouraged. Use of maintenance facilities, tools, and equipment should be periodically reviewed and adjustments made to support effective maintenance. Increased staff size, special equipment needs resulting from facility modifications, and the increasing sophistication of maintenance activities can overload existing maintenance facilities. Managers should be responsible for optimizing use of existing maintenance facilities and for recognizing areas where performance could be enhanced by additional or improved facilities. Planning for new or expanded facilities should be long range and should not be done to address an immediate need. Increased staff size, special equipment and tool needs as a result of facility modifications, planned outage workload, and the increased sophistication of maintenance activities may overload existing maintenance facilities. Each maintenance facility, tool, and equipment use should be reviewed periodically, and appropriate adjustments should be made to support safe and effective maintenance. Managers should recognize that the pace of work and a “can do” spirit by the maintenance organization may disguise inadequate facilities. Managers are responsible for optimizing use of existing maintenance facilities, equipment, and tools and also for recognizing areas where performance may be enhanced by additional or improved facilities. Maintenance should develop and implement comprehensive seasonal transition, freeze protection, and energy conservation plans developed to address the specific needs and action schedules to sustain critical areas, buildings, and individual items, as appropriate. Snow and ice control plans should be implemented as the need arises (see Section 4.18).31, 39, 117 60 DOE G 433.1-1 9-5-01 4.3.3 Guidelines 4.3.3.1 Shops and Satellite Work Areas 29, 67, 68, 69, 70, 72 The layout of shop and satellite work areas should be designed with a high priority on industrial safety and efficiency. As shops are modified and satellite work areas are changed throughout the life of the facility, safety and efficiency should remain foremost considerations. Location and type of work performed should be considered in determining the types and level of environmental controls and services to be included in each maintenance shop and satellite work area. Examples of some environmental controls and services include the following. • Fume removal. • Temperature, humidity, and dust control. • Equipment space considerations. • Lighting. • Demineralized water. • Noise control. • Facility service and instrument air. • Electric power supplies. • Radiological controls. Environmental conditions often have a significant impact on personnel performance. Supervisors need to be responsive to maintaining workplace environmental controls conducive to increased maintenance quality and work efficiency.

Each shop and satellite work area should have storage that is convenient and that encourages craft personnel to keep the area neat and clean. Shelves, cabinets, lockers, and toolboxes are examples of storage facilities that could be provided for items such as tools, parts, reference materials, and personal effects (see Section 4.7.3.13). 4.3.3.2 Laydown and Staging Areas A plan for identification and use of maintenance laydown and staging areas should be developed and kept current. This plan should define outage support requirements, use, and responsibility for area upkeep and control and should include items such as the following. • Authorization for access, with provisions for security and fire protection.54 • Radiological control. • Labeling of facilities to designate responsibility and entry authorization.84, 90, 91, 92, 93, 98 • Contingency plans for situations (such as unanticipated radioactive airborne contamination) that could render a facility unusable for its intended purpose. DOE G 433.1-1 61 9-5-01 Planned outages should have assigned staging and laydown areas for equipment, special tools, rigs, and parts. Personnel movement into and out of areas should be planned and understood by all concerned (see Sections 4.11 and 4.12). 4.3.3.3 Storage Facilities 4 Storage facilities for supplies and parts are an important consideration in providing for safe, efficient, and high-quality maintenance. The evaluation performed to determine storage facility needs should address items such as the following. • Environmental controls, considering such issues as isolation/segregation of chemicals, flammability of lubricants and paint, qualification of parts/components, damage to elastomers and polypropylene parts because of exposure to light, and control of radioactive materials. • Storage activity controls, considering such subjects as material receipt, inspection, handling, storage, retrieval, and issuance (Section 4.10); and tool and equipment control (Section 4.12). • Inventory level of spare parts, supplies, and equipment to support safe and reliable operation of the facility (Section 4.9 and Section 4.10). 4.3.3.4 Temporary Facilities 111 Temporary facilities are required for activities involving contractor support during outages and control of airborne radioactivity and contamination. Planning and coordinating temporary facilities with other groups, such as radiological protection and operations, result in more efficient use of space. Such necessary services as electric power, compressed air, water, environmental controls, and lighting should be provided at temporary-outage support facilities. ALARA should be considered when designing and locating temporary facilities. Glove boxes or temporary containments should be considered for work on contaminated equipment to prevent spread of contamination. Design of major temporary facilities should be controlled through the plant’s design change programs to ensure that additional building services (such as electricity, compressed air, and water) do not overload plant systems. 4.3.3.5 Decontamination Facilities 13, 32, 33, 38, 42, 111, 121 Decontamination facilities and methods should be used to reduce the volume of radioactive solid waste, to clean up contaminated equipment, and to reduce contamination on reusable tools and equipment. Examples of decontamination facilities and methods include a washdown area, solvent rinse, ultrasonic bath, acid bath, electropolishing, hydroblasting, and sandblasting. Use

62 DOE G 433.1-1 9-5-01 of these facilities and methods can reduce exposure, repair time, and solid radioactive waste volume and provide better tool management. 4.3.3.6 Tool and Equipment Storage 111 Storage facilities should be central to shops and normal work areas to improve maintenance efficiency. They should store tools and equipment needed daily by craft personnel; special tools, special equipment and test rigs; and mockups; all should be readily retrievable when needed. These facilities should have controls for temperature, humidity, dust, and radioactive contamination, as needed. They should also meet manufacturers’ special material handling or storage requirements. Facilities should be provided for segregation, calibration, and repair of maintenance and test equipment. Design considerations such as heavy loads and seismic criteria should be considered for in-plant storage areas for tools. (See Section 4.12 for additional information on tool and equipment control.) 4.3.3.7 Office Equipment 111 Maintenance facilities should include office equipment that supports the maintenance organization in efficiently completing its work in a high-quality manner. Adequate communication, calculation, reproduction, and other equipment should be accessible and maintained in reliable working condition. When computerized databases are used, convenient access to computer terminals should be provided. During outages or other high-activity periods, additional office equipment should be provided as needed. 4.3.4 Maintenance Facilities and Equipment Performance Objectives 23 Facilities and equipment should effectively support the performance of maintenance activities. CRITERIA A. Maintenance facilities size and arrangement promote the safe and effective completion of work.111, 166 Facilities should be provided for work on contaminated components.100 B. Work area lighting and other environmental conditions promote safe and effective working conditions.16, 116 C. Work areas are maintained in a clean and orderly condition.166 D. Proper tools, equipment, and consumable supplies are available to support work requirements.111 E. Suitable storage is provided for tools, supplies, and equipment. Special tools, jigs, and fixtures are identified and stored to permit retrieval when needed.111 DOE G 433.1-1 63 9-5-01 F. Contaminated tools are segregated from clean tools to prevent cross-contamination. Reuse is stressed, when feasible.59, 121 G. Scaffolding and rigging equipment is identified, tested, and properly stored.121 H. Facilities, equipment, and tools are maintained in good repair. I. M&TE is calibrated and controlled to provide accuracy and traceability. Out-of-tolerance test equipment is removed from service. Plant equipment calibrated with out-of-tolerance test equipment is evaluated in a timely manner for operability and is recalibrated as necessary. J. Fixed local area hosts and work platforms are provided, as needed, to facilitate maintenance access to facility equipment.111 4.4 TYPES OF MAINTENANCE (Replaces DOE-STD-1052-93)4, 9, 17, 19, 20, 30, 39, 117 4.4.1 Introduction A proper balance of corrective maintenance and PM should be used to provide a high degree of confidence that degradation of facility equipment is identified and corrected, that life of equipment is optimized, and that the maintenance program is cost-effective. The maintenance program includes preventive, predictive, and corrective maintenance.

This section provides guidelines for establishing the proper relationship of the types of maintenance in the maintenance program. It does not address TSR or operational safety requirements; however, operations maintenance surveillance and inspections, as well as ISIs, should be considered essential source data in establishing the scope of the predictive and preventive maintenance program. 4.4.2 Discussion Many factors should be considered in establishing an effective and efficient balance of the various types of maintenance. On important systems and equipment, a thorough technical analysis using methods such as reliability-centered maintenance (RCM) will be needed to establish this balance (see Sections 4.4.3.3 through 4.4.3.6). Additional guidance in this area is provided in the draft report “Reliability, Availability and Maintainability (RAM) Guidelines” developed in support of DOE Order 420.1.30 On less important systems, the amount of PM to be performed may be determined through use of a more basic judgmental engineering analysis. A proper balance of the types of maintenance may include, at one extreme, no PM for equipment that is allowed to run until it fails, if the failure would not adversely affect facility operations. At the other extreme, for equipment whose failure can limit safe or reliable operation or result in 64 DOE G 433.1-1 9-5-01 unplanned outages, extensive PM may be required. The purpose of PM is to eliminate or minimize the latter type of failure. Costs associated with PM should be offset by improved facility reliability and availability and by reduced corrective maintenance.9, 17, 19, 20, 67 However, excessive or unnecessary PM can consume resources that could otherwise be used to extend the scope of the PM program and may also increase maintenance errors, rework, and personnel radiation exposure. For the purposes of this Guide, the following types of maintenance are defined in Section 1: • corrective maintenance, • PM, • surveillance, • predictive maintenance, • environment, safety, and health (ES&H) maintenance, and • general maintenance. The elements needed to successfully implement the maintenance program discussed above include the following. • A master equipment list (MEL) to help in selecting and scheduling PM and in evaluating the effectiveness of the maintenance program. • A method that determines how each of the different types of maintenance is to be used to maintain each system and piece of equipment. This method should address the PM actions required and the frequency needed for performing each PM action (see 48 CFR 45.509-1).9 • Scheduling each PM action in a manner that allows consideration for performing related maintenance at the same time (see Section 4.6). • Review and approval by the maintenance manager of PM actions that are deferred past a grace period (normally, 25 percent of the established interval) or are missed entirely; such actions should also be reported periodically to the facility manager. • Periodic review of the maintenance program to determine its effectiveness on overall facility reliability. Changes should be considered during this review to optimize the maintenance program (see Section 4.14). DOE G 433.1-1 65 9-5-01 4.4.3 Guidelines 4.4.3.1 Master Equipment List A detailed master list of both safety and nonsafety equipment, components, and structures to be included in the maintenance program should be developed. Special tools and equipment should be included in this master list. It can be used effectively in establishing the maintenance history program (see Section 4.15).

4.4.3.2 Preventive Maintenance (See 48 CFR 45.509-1)9 PM consists of all those systematically planned and scheduled actions performed to prevent equipment failure. The PM program should define the required activities and the frequency with which they should be performed. Selection of required PM actions should be based on manufacturers’ recommendations, plant experience, and good engineering practice. PM frequency should be based on adequately implementing the entire program, considering such elements as predictive maintenance results, vendor recommendations, ALARA considerations121, and monitoring of performance. A documented basis for the planned actions should be provided. Further, any deferral of planned tasks should have a technical basis. 4.4.3.2.1 Component Wearout Degradation It is reasonable to consider implementing PM activities for components that demonstrate failure modes caused by degradation or wear due to application, use, time, age, etc. 4.4.3.2.2 The Preventive Maintenance Process A good PM program should be an evolutionary process. It should start with the scheduling of routine tasks done based on such items as regulatory requirements, TSR, codes and standards, vendor recommendations, facility and industry experience with similar equipment, engineering analysis of equipment performance, systematic analysis through predictive maintenance, history records of equipment performance, cost/benefit analysis, capacity need, and schedule use. It should be revised as additional history and trends indicate. 4.4.3.2.3 Interval of Preventive Maintenance Tasks The initial interval for PM tasks should be established to maximize equipment reliability. The objective of a maintenance program is to increase the availability of SSCs by eliminating hidden faults before equipment is disabled. Unfortunately, maintenance actions sometimes introduce new failures because of factors such as human error. Because an effective PM program should reduce the overall failure rate of the SSCs involved while minimizing the downtime of the SSCs and the possibility of introducing new failures, the best method to determine PM frequency is to 66 DOE G 433.1-1 9-5-01 make it an optimization problem. This means on the one hand, that the availability increases because of a decrease in failure rate (by eliminating hidden faults) and, on the other hand, that availability decreases because of an increase in downtime. Therefore, there is an interval (or frequency of maintenance) that yields the maximum achievable availability. Those risk- significant SSCs for which an increase in their availability can most reduce facility risk should be selected for an optimized PM. Optimization of maintenance intervals involves the following general activities: • reporting PM activities, plans, and schedules; • calculating the PM interval by balancing availability, reliability, and cost; • ranking PM tasks; • accessing PM information from piping and instrumentation drawings (P&IDs); • accessing PM and other maintenance data; • listing recurring failure modes/parts including failure to start and failure to run; • calculating and monitoring SSC availability; • accessing PM procedures; and • keeping track of PM cost. 4.4.3.2.4 Scheduling and Tracking Preventive Maintenance Performance 1. A master schedule should be prepared based on the assigned interval determined per Section 4.4.3.4. The master schedule should include PM tasks intervals throughout the year.

2. PM work-control documents (see Section 4.6 and Section 4.7) should be prepared for each task. They may be either hard-copy duplicates or computer-generated copies. 3. PM tasks should be capable of being quickly sorted and listed by system and system operational condition required to perform the task. (System operational condition is not really a major item of concern at research facilities.) This should aid in planning work items, especially when being performed during forced outages and changes in operating conditions, and also aid in scheduling PM tasks by system/subsystem to increase overall equipment capacity. 4. PM should be scheduled at appropriate intervals and, where practical, with corrective maintenance and surveillance, ISI/IST test activities, and other related maintenance on the same equipment. 5. Grace periods should be specified in the PM program. DOE G 433.1-1 67 9-5-01 6. Delays in the performance of scheduled PM tasks beyond the defined grace period should require escalating approval. For example, approval should be obtained from department supervisors, operations managers, maintenance and maintenance engineering managers, and the facility manager, depending on the length of time that the task is to be delayed and the potential risk involved. 7. Appropriate craft supervision should be encouraged to recommend changes in PM task interval based on real-time observations and conditions. These changes should be approved by the operations, maintenance, and maintenance engineering managers. 8. The maintenance manager should report monthly to the operations manager any associated problems with scheduled PM tasks, including the number exceeding the grace period. 4.4.3.2.5 Performance of Preventive Maintenance Tasks PM tasks should be performed using procedures or instructions and controlled by methods such as task cards or detailed PM job requests. Coordination should be established in advance among other maintenance groups and facility departments (e.g., operations, radiological protection, and QA/QC). Good work practices, such as prejob briefings, quality craftsmanship, observations, data recordings, cleanliness, correct tool use, and history update are essential to the PM task. 4.4.3.2.6 Preventive Maintenance Program Evaluation [See 10 CFR 830.122(i)1] An evaluation of the PM program should be conducted annually by the maintenance manager with assistance from the applicable/affected operations, technical support, and engineering groups. This evaluation should address the overall effectiveness of the program in improving facility and/or equipment availability, as well as reducing the cost of maintenance. This evaluation should consider PMs that are being performed unnecessarily or excessively, thereby consuming valuable and limited resources that may otherwise be used to upgrade other maintenance programs. Additionally, excessive PM may increase item deterioration, radiation exposures, maintenance errors, and rework. Items to be considered in the evaluation should include, but not be limited to the following: • adequacy of PM procedures as deemed by craftsperson feedback (Figure 4.4-C provides an example of a craftsperson feedback form.); • QA audit reports and self assessment findings; • failure trend reports for facility and industry equipment; • occurrence reports; • nonconformance reports; • material deficiency reports; and • causes for deferrals. 68 DOE G 433.1-1 9-5-01 4.4.3.2.7 Preventive Maintenance Program Improvement Using the results of the PM program evaluation presented in Section 4.4.3.7, the following improvements should be addressed and implemented as appropriate: • adjustment of PM task interval; • redefinition of PM activities; • addition or deletion of PM activities; • adjustment of spare parts stocking levels; • propose design changes; • identification of special tools; • revised PM program and/or PM task procedures; • replacement of cost/labor intensive items; and • the need for personal protective equipment (e.g., whose use generates hazardous waste) in performing PM tasks. 4.4.3.2.8 Preventive Maintenance Program Enhancement [See 10 CFR 830.122(c)1] The purpose of the following sections is to provide guidance that may be used