DOE O 4330.4B, Maintenance Management Program

U.S. Department of Energy DOE 4330.4B Washington, D.C. 2-10-94 SUBJECT: Maintenance Management Program _____________________________________________________________________________ 1. PURPOSE. To provide general policy and objectives for the establishment of programs for the management and performance of cost-effective maintenance and repair of Department of Energy (DOE) property. 2. CANCELLATION. DOE 4330.4A, MAINTENANCE MANAGEMENT PROGRAM, of 10-17-90. 3. SCOPE. The provisions of this Order apply to all Departmental Elements, except as otherwise provided by statute or by specific delegation of authority from the Secretary, and to all contractors and subcontractors performing work for the Department whose contract may involve maintenance responsibilities for production, operation, research, development, or demonstration. This includes sites owned and leased or controlled by DOE, where maintenance is contractually the responsibility of DOE and where Federal funds are used totally or in part. 4. EXCLUSIONS. a. Sites that consist entirely of space controlled and maintained by the General Services Administration (GSA) or property leased by DOE or DOE contractor(s) for which maintenance is contractually the responsibility of the lessor. b. In accordance with Section 302 of the Department of Energy Organization Act (Public Law 95-91), the Secretary operates and maintains the Power Marketing Administration (PMA) electric power transmission systems by and through the PMA Administrators. The PMAs have in place maintenance management programs, which are geared to the special needs of utility operations, are responsive to coordinated multi-utility system requirements, and are in conformance with prudent utility practice. In view of the unique nature of the Administrators' obligations to meet their statutory and public utility responsibilities for the safety, security, and reliability of electric power transmission and of their legal and contractual obligation, the Administrators shall determine the appropriate maintenance management program for their facilities, which will include consideration of appropriate parts of the criteria set forth by this Order. c. Executive Order 12344, (Order), Title 10 Code of Federal Regulations (CFR) 445.1 et seq., reprinted in Title 42 United States Code (U.S.C.) § 7158 note, establishes the responsibilities and authority of the Director, Naval Nuclear Propulsion Program, Office of Nuclear Energy, over all facilities and activities that comprise the joint Navy-DOE program. In view of the unique nature of Naval nuclear propulsion applications, the Director shall determine the appropriate maintenance and repair criteria applicable to this program's property and activities. Such determination shall include consideration of appropriate parts of the criteria set forth in this Order. Public Law 98-525, Title XVI, § 1634, directs that provisions of this Order pertaining to the Naval Nuclear Propulsion Program shall remain in force until changed by law. Important Information Chapter I of this Order has been cancelled in its entirety by DOE N 251.38, dated 03/03/2001. Chapter II of this Order has been cancelled by DOE O 433.1, dated 6/01/2001. 5. REFERENCES. a. DOE 2200.6A, FINANCIAL ACCOUNTING, of 1-7-93, is the Accounting Handbook and contains definitions of property and maintenance work.

b. DOE 4320.2A, CAPITAL ASSET MANAGEMENT PROCESS, of 2-10-94, establishes policy and responsibilities for the management of DOE assets; for prioritization of capital asset resource requirements; for implementing the Condition Assessment Survey; and for preparing the Capital Asset Management Process Report. c. DOE 5480.4, ENVIRONMENTAL PROTECTION, SAFETY, AND HEALTH PROTECTION STANDARDS, of 5-15-84, provides requirements for the application of mandatory environmental protection, safety, and health (ES&H) standards applicable to DOE and DOE contractor operations. d. DOE 5480.10, CONTRACTOR INDUSTRIAL HYGIENE PROGRAM, of 6-26-85, establishes the requirements and guidelines applicable to DOE contractor operations for maintaining an effective industrial hygiene program to preserve employee health and well-being. e. DOE 5480.11, RADIATION PROTECTION FOR OCCUPATIONAL WORKERS, of 12-21-88, establishes radiation protection standards and program requirements for DOE and DOE contractor operations with respect to the protection of workers from ionizing radiation. f. DOE 5480.19, CONDUCT OF OPERATIONS REQUIREMENTS FOR DOE FACILITIES, of 7-9-90, establishes requirements and guidelines for conduct of operations at DOE facilities to assure acceptable operations, provide for continuing improvements in operations, and assure the maintenance of acceptable margins of safety. g. DOE 5480.20, PERSONNEL SELECTION, QUALIFICATION, TRAINING, AND STAFFING REQUIREMENTS AT DOE REACTOR AND NON-REACTOR NUCLEAR FACILITIES, of 2-20-91, establishes the selection, qualification, training, and staffing requirements for maintenance personnel at DOE-owned Category A and B reactors and non-reactor nuclear facilities. h. DOE 5480.21, UNREVIEWED SAFETY QUESTION, of 12-24-91, sets forth the definition and basis for determining the existence of an Unreviewed Safety Question. i. DOE 5480.22, TECHNICAL SAFETY REQUIREMENTS, of 2-25-92, delineates the criteria, content, scope, format, approval process, and reporting requirements of Technical Safety Requirements (TSRs) or revisions thereof. j. DOE 5480.23, NUCLEAR SAFETY ANALYSIS REPORTS, of 4-10-92, establishes requirements to develop safety analyses that establish and evaluate the adequacy of the safety bases of nuclear facilities. k. DOE 5480.26, TRENDING AND ANALYSIS OF OPERATIONS INFORMATION USING PERFORMANCE INDICATORS, of 1-15-93, establishes a uniform system of Performance Indicators for trending and analyzing operational data from DOE facilities. l. DOE 5483.1A, OCCUPATIONAL SAFETY AND HEALTH PROGRAM FOR DOE CONTRACTOR EMPLOYEES AT GOVERNMENT-OWNED CONTRACTOR-OPERATED FACILITIES, of 6-22-83, establishes requirements for occupational safety and health protection of DOE contractor employees in Government-owned, contractor-operated facilities. m. DOE 5700.6C, QUALITY ASSURANCE, of 8-21-91, establishes quality assurance requirements for DOE. n. DOE 6430.1A, GENERAL DESIGN CRITERIA, of 4-6-89, provides design criteria for DOE facilities. 6. DEFINITIONS AND ACRONYMS. Because of the large number of definitions associated with the maintenance of property, the list of definitions and acronyms for use with this Order and its Chapters are provided in Attachment 1. 7. POLICY. It is the Department's policy that: a. The maintenance management program for all DOE property be consistent with this Order and that all DOE property be maintained in a manner which promotes operational safety, worker health, environmental protection and compliance, property preservation, and cost-effectiveness while meeting the programmatic mission.

b. Structures, systems, and components that are important to safe operation shall be subject to a maintenance program in order to meet or exceed their design requirements throughout their life. c. Periodic inspection of structures, systems, components, and equipment be performed to determine deterioration or technical obsolescence which threaten performance and/or safety. d. Primary responsibility, authority, and accountability for the direction and management of the maintenance programs for all property reside with the line management assigned direct programmatic responsibility. 8. OBJECTIVES. DOE maintenance management objectives are as follows: a. Develop a cost-effective and efficient maintenance program for all DOE property that is consistent with DOE's mission, safety and health, reliability, quality, and environmental protection objectives. b. Establish a review and analysis capability for evaluation of maintenance program performance and effectiveness. c. Ensure the reliability, safety, and operability of structures, systems, and components. d. Ensure compliance with environmental, safety, and health standards. e. Ensure that the responsibility, authority, and accountability for maintenance are clearly defined and appropriately assigned. f. Ensure that, where maintenance requirements or accepted maintenance standards cannot be met, such instances are appropriately documented and acknowledged by line management. g. Ensure that sufficient resources are budgeted in a timely manner to accomplish the maintenance program. h. Ensure that effective programs are in place to evaluate and measure property condition. i. Ensure that a graded approach is taken by the line management in the development and implementation of maintenance programs. j. Ensure that the maintenance of DOE property meets the equivalent guidelines, as appropriate, as required for the conduct of maintenance in commercial industry. 9. RESPONSIBILITIES AND AUTHORITIES. a. The Secretary has overall responsibility and authority for the Department's property and shall take the necessary management actions, through the Associate Deputy Secretary for Field Management, to ensure that DOE property is effectively managed and maintained. b. Associate Deputy Secretary for Field Management, shall: (1) In conjunction with Heads of Headquarters Elements and Managers of Field Elements, monitor, review, and analyze the efficiency and effectiveness of maintenance management programs. (2) In conjunction with the Assistant Secretary for Environment, Safety and Health develop, promulgate, and maintain policies and procedures necessary to implement and sustain effective DOE-wide maintenance and repair of property. (3) In conjunction with Environment, Safety and Health develop, promulgate, and maintain handbooks and other applicable guidance materials and conduct training, as necessary, for line management to implement the above policies and procedures and establish programs for maintenance and repair of property. (4) In conjunction with Heads of Headquarters Elements develop for the Secretary, as requested, analytical reports concerning maintenance management matters and advise on the status of DOE-wide maintenance of property at all DOE facilities. (5) Provide formal Departmental interpretations of the nonnuclear maintenance requirements of this Order. c. Office of Chief Financial Officer shall:

(1) Provide budgeting and accounting advice to Secretarial and program officers to facilitate the budgeting for and accounting, tracking, and reporting of maintenance and repair costs of DOE property. (2) Upon direction from the Secretary of Energy or designee, develop, implement, and maintain consistent DOE-wide financial systems in support of the DOE maintenance management program. d. Assistant Secretary for Environment, Safety and Health shall: (1) Act as the independent element responsible for environment, occupational and nuclear safety and health oversight of line management for the Department. (2) Monitor and audit all aspects of the implementation of this Order related to safety. (3) In conjunction with Field Management, develop, promulgate, and maintain policies and procedures necessary to implement and sustain effective DOE-wide maintenance and repair of property. (4) In conjunction with Field Management, develop, promulgate, and maintain guidance materials and conduct training, as necessary, for line management to implement the above policies and procedures. (5) Assist line management in developing, implementing, and evaluating criteria, standards, and requirements associated with maintenance of nuclear facilities. (6) Monitor appraisal reports relative to maintenance activities at DOE nuclear facilities to assess implementation of the requirements of this Order and to identify needed improvements in performance standards. (7) Provide formal Departmental interpretations of the nuclear maintenance requirements of this Order. e. Heads of Headquarters Elements have the responsibility to ensure that the requirements of this Order are implemented and shall take all necessary actions to execute programs ensuring that DOE property is maintained to support short-term and long-term goals and missions. Specifically, they shall: (1) Ensure that resources are provided to maintain property in a reasonable and economic manner and to ensure that the backlog remains consistent with DOE goals and objectives. (2) Ensure that alternate methods are utilized to comply with the intent of this Order where program activities preclude implementation of specifically stated maintenance requirements. (3) Make determinations and resolve maintenance issues where conflicting programmatic requirements or other issues cannot otherwise be resolved at lower organizational levels. (4) Provide guidance on matters concerning incorporation of maintenance activities in annual budget requests. f. Managers of Field Elements have the responsibility and authority to ensure that all activities under their cognizance have maintenance management programs in place to preserve the property of the Department. The term "field elements" includes operations offices, area offices, and other field organizations such as Golden Field Office, Bartlesville Project Office, and the Pittsburgh Energy Technology Center. Specifically, they shall: (1) Ensure that adequate maintenance management programs and procedures are in place and implemented at sites under their jurisdiction and that the programs and procedures are consistent with the provisions of this Order. (2) Review the maintenance backlog and establish plans to ensure the backlog remains consistent with DOE goals and objectives. (3) Ensure that reviews and appraisals of contractor maintenance programs are performed to assess proper and consistent implementation of this Order as specified in the Site Maintenance Plan/Maintenance Implementation Plan.

(4) Review and approve the Program Implementation and Baseline Activities part of the Site Maintenance Plans, and any subsequent modifications to those plans. (5) Review and approve contractor-generated nuclear facility Maintenance Implementation Plans and any subsequent modifications to those plans. (6) Through the Contracting Officer, ensure that applicable contracts contain clauses that meet the policy and objectives of this Order. (7) Submit to Field Management and the appropriate Heads of Headquarters Elements, the Site Maintenance Action Plan part of the Site Maintenance Plans. 10. REQUIREMENTS. a. Each DOE contractor in coordination with the appropriate field element shall develop, implement, and document a program in conformance with the policy and objectives of this Order in a Site Maintenance Plan (SMP) and/or a Maintenance Implementation Plan. An approved Maintenance Implementation Plan and the Program Implementation and Baseline Activities part of the SMP constitute agreements between the field element and the contractor on the implementation of the requirements of this Order. The program shall clearly define: (1) The structures, systems, and components included, using a graded approach and the requirements derived from Technical Safety Requirements. (2) The management systems used to control maintenance activities, including the means for monitoring and measuring the effectiveness of the program and the management of maintenance backlog. (3) The assignment of responsibilities and authority for all levels of the maintenance organization. (4) Mechanisms for feedback of relevant information, such as trend analysis and instrumentation performance/reliability data, to identify necessary program modifications. (5) Provisions for identification, evaluation, and correction of possible component, system design, quality assurance, or other relevant problems. (6) Performance indicators and criteria to be utilized to measure equipment, systems, and personnel effectiveness in maintenance activities. (7) Interfaces between maintenance and other organizations (i.e., operations, engineering, quality, training, environment, safety, and health). (8) A self-assessment program to monitor the effectiveness and efficiency of the maintenance program. (9) Provisions for planning, scheduling, and coordination of maintenance activities. b. Periodic inspections of structures, systems, components, and equipment, particularly those important to the safe and reliable operation of a facility, shall be performed to determine whether deterioration is taking place and to identify and address technical obsolescence that threatens performance, safety, or facility preservation. Where the potential is identified for any event or condition to significantly affect safety margins, a formal program for resolving the problem shall be documented and implemented. References in Paragraphs 5b and k apply. c. For DOE nonnuclear property, a graded approach utilizing the objectives and criteria provided in Chapter I shall be used in the development and implementation of Maintenance Programs

d. For DOE nuclear facilities, a graded approach shall be used to determine the depth of detail required and magnitude of resources expended for each maintenance program element described in Chapter II. Sound engineering judgment and knowledge of the facility are essential in the application of the graded approach. For each DOE nuclear facility, the maintenance program shall be described in a Maintenance Implementation Plan, which addresses the 18 elements (excluding the introduction) in the sequence and format of Chapter II. DOE nuclear facility maintenance programs may include facility-related nonnuclear equipment provided the Maintenance Implementation Plan clearly identifies all equipment (or systems) and distinguishes those nonnuclear equipment/systems. For those DOE nuclear facilities where deviations from the maintenance program elements are considered necessary and appropriate (or not applicable), such deviations (or nonapplicable elements) shall be identified in the Maintenance Implementation Plan with supporting rationale. e. Maintenance Implementation Plans for nuclear facilities shall be submitted to the Managers of field elements for approval. For new nuclear facilities, Maintenance Implementation Plans shall be submitted 90 days prior to startup. Changes to Maintenance Implementation Plans shall be submitted and approved prior to implementation. BY ORDER OF THE SECRETARY OF ENERGY: ARCHER L. DURHAM Assistant Secretary for Human Resources and Administration DEFINITIONS The following definitions are established for use in this Order to provide a clear understanding of maintenance management and to promote consistency with other Orders relating to property. 1. CONDITION ASSESSMENT SURVEY (CAS). A periodic inspection of capital assets using universally accepted methods and standards. A CAS results in a determination of the current condition of capital assets, their estimated time to failure, and the estimated cost to correct the identified deficiencies. These methods and standards will be found in the CAS Manuals discussed in Paragraph 5b. CAS assesses the condition of all capital assets including architectural, structural, mechanical, and electrical features; communications, safety, and security systems; exterior features and grounds; and equipment. CAS provides a consistent assessment of capital assets for planning purposes based on actual conditions. 2. CORRECTIVE 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. 3. 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. (a) 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.

(b) Programmatic Equipment. Equipment (both real and personal) dedicated for a specific programmatic use. Examples are accelerators, microscopes, radiation detection equipment, gloveboxes, and hotcells. (c) Other Equipment. Some examples in this category are office machines, vehicles and mobile equipment, helicopters, airplanes, and computers and other automated data processing equipment. 4. GRADED APPROACH. By graded approach, DOE intends that the level of analysis, documentation, and actions necessary to comply with a requirement in the Order are commensurate with: (a) The relative importance to safety, safeguards, and security; (b) The magnitude of any hazard involved; (c) The stage of the facility's life cycle; (d) The programmatic mission of the facility; Attachment 1 DOE 4330.4B Page 2 2-10-94 (e) The particular characteristics of the facility; and (f) Any other relevant factor. 5. HEADS OF HEADQUARTERS ELEMENTS. Senior program managers within a line organizational structure. For purpose of this Order, these positions include the Assistant Secretaries for Energy Efficiency, Defense Programs, Environmental Restoration and Waste Management, Fossil Energy, and the Directors of Energy Research, Nuclear Energy, and Civilian Radioactive Waste Management. Also included are the Administrators of the Bonneville and Western Area Power Administrations. 6. 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. 7. LINE MANAGEMENT. Secretarial Officers (Secretary, Deputy Secretary, Assistant Secretaries) and supporting program offices in Headquarters, together with the field managers (operations office managers, area office managers, assistant managers, and support staff) who are directly involved in supervising management and operating contractors. It also include the management and operating contractor organization from senior managers through the first line supervisor. 8. MAINTENANCE. Day-to-day work that is required to sustain property in a condition suitable for it to be used for its designated purpose and includes preventive, predictive, and corrective (repair) maintenance. 9. MAINTENANCE BACKLOG. The amount of maintenance and repair work not accomplished that is needed or planned to sustain the assigned mission. 10. NONREACTOR NUCLEAR FACILITY. Those activities or operations that involve radioactive and/or fissionable materials in such form and quantity that a nuclear hazard potentially exists to the employees or the general public. Included are activities or operations that: (a) Produce, process, or store radioactive liquid or solid waste, fissionable materials, or tritium; (b) Conduct separations operations; (c) Conduct irradiated materials inspection, fuel fabrication, decontamination, or recovery operations; (d) Conduct fuel enrichment operations; or (e) Perform environmental remediation or waste management activities involving radioactive materials.

Incidental use and generating of radioactive materials in a facility operation (e.g., check and calibration sources, use of radioactive sources in research and experimental and analytical laboratory activities, electron microscopes, and X-ray machines) would not ordinarily require the facility to be included in this definition. Accelerators and reactors and their operations are not included. The DOE 4330.4B Attachment 1 2-10-94 Page 3 application of any rule/order to a nonreactor nuclear facility shall be applied using a graded approach. 11. NUCLEAR FACILITY. For the purposes of this Order, means reactors and nonreactor nuclear facilities. 12. PROPERTY. All DOE-owned or DOE-utilized and -controlled land, land improvements, structures, utilities, motor vehicles, equipment, and components are included. (a) Real Property or Real Estate. Real property includes land, improvements on the land, or both, including interests therein. The chief characteristics of real property (real estate) are its immobility and tangibility. It comprises land and all things of a permanent and substantial nature affixed thereto, whether by nature or by the hand of man. By "nature" is meant trees, the products of the land, natural resources; by "the hand of man," those objects, buildings, fences, bridges, et cetera that are erected upon the land. All equipment or fixtures (such as plumbing, electrical, heating, built-in cabinets, and elevators) that are installed in a building in a more or less permanent manner or which are essential to its primary purpose, usually are held to be part of the real property. (b) 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 would significantly diminish the economic value of the real property or the related personal property. Examples of related personal property are communications and telephone systems. (c) Personal Property. Generally capitalizable property that can be moved, 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 property or real estate. Examples of personal property are shop equipment and automated data processing and peripheral equipment. 13. REACTOR. Means, unless it is modified by words such as containment, vessel, or core, 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 that 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.

14. RELIABILITY-CENTERED MAINTENANCE (RCM). A maintenance system that determines the most effective maintenance activity, based on an analysis of an items failure modes, failure rates, and the importance of the item to the safe operation of the facility. Attachment 1 DOE 4330.4B Page 4 2-10-94 15. STRUCTURE. Any fixed real property improvement constructed on or in the land that is not a building or utility (e.g., bridges, towers, and tanks). ACRONYMS ALARA As Low As Reasonably Achievable CAIS Condition Assessment Information System M&TE Measuring And Test Equipment MIP Maintenance Implementation Plan MORT Management Oversight and Risk Tree OJT On-the-job Training PM Preventive Maintenance RCM Reliability-centered Maintenance RWP Radiation Work Permit SMP Site Maintenance Plan SWP Safe Work Permits DOE 4330.4B Attachment 1 2-10-94 Page 5 (and Page 6) TABLE OF CONTENTS Page CHAPTER I: GUIDELINES FOR THE CONDUCT OF MAINTENANCE AT DOE NONNUCLEAR FACILITIES 1. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 Figure I-1 Maintenance Management Program Elements . . . . . I-2 2. MAINTENANCE MANAGEMENT . . . . . . . . . . . . . . . . . . . . . . I-3 3. MAINTENANCE MANAGEMENT PROGRAM ELEMENTS . . . . . . . . . . . . . . I-5 3.1 Organization, Administration, and Training . . . . . . . . . I-5 3.1.1 Organization/Staffing . . . . . . . . . . . . . . . . . I-6 3.1.2 Administration . . . . . . . . . . . . . . . . . . . . I-8 3.1.3 Policies, Goals, and Objectives . . . . . . . . . . . . I-10 3.1.4 Training and Qualification . . . . . . . . . . . . . . I-11 3.2 Condition of Facilities and Equipment . . . . . . . . . . . . I-14 3.2.1 Facility Condition Inspections by Management . . . . . I-14 3.2.2 Condition Assessment Surveys . . . . . . . . . . . . . I-15 3.3 Maintenance Documentation . . . . . . . . . . . . . . . . . . I-15 3.3.1 Site Maintenance Plan . . . . . . . . . . . . . . . . I-15 3.4 Work Control System . . . . . . . . . . . . . . . . . . . . . I-17 3.4.1 Work Request (Order) System . . . . . . . . . . . . . . I-17 3.4.2 Formal Job Planning and Estimating . . . . . . . . . . I-19 3.4.3 Work Performance (Time) Standards . . . . . . . . . . . I-21 3.4.4 Priority System . . . . . . . . . . . . . . . . . . . . I-21 3.4.5 Maintenance Procedures and Other Work-Related Documents . . . . . . . . . . . . . . . . . . . . . . . I-22 3.4.6 Scheduling System . . . . . . . . . . . . . . . . . . . I-24 3.4.7 Post-Maintenance Testing . . . . . . . . . . . . . . . I-25 3.4.8 Backlog Work Control . . . . . . . . . . . . . . . . . I-26 3.4.9 Equipment Repair History and Vendor Information . . . . I-27 3.5 Maintenance Facilities, Equipment, and Materials Control System . . . . . . . . . . . . . . . . . . . . . . . . . . . I-28 3.5.1 Maintenance Facilities, Equipment, and Tools . . . . . I-29 3.5.2 Requisitioning/Procurement . . . . . . . . . . . . . . I-30 3.5.3 Materials Control . . . . . . . . . . . . . . . . . . . I-31 3.5.4 Control and Calibration of Measuring and Test Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . I-32 3.5.5 Maintenance Tools and Equipment Control . . . . . . . . I-34 3.6 Implementation of Maintenance Activities . . . . . . . . . . I-35 3.6.1 Surveillance and Preventive Maintenance . . . . . . . . I-35 3.6.2 Predictive Maintenance . . . . . . . . . . . . . . . . I-37 3.6.3 Corrective Maintenance . . . . . . . . . . . . . . . . I-38 3.6.4 Modification Work . . . . . . . . . . . . . . . . . . . I-39

3.7 Maintenance Evaluation and Analysis . . . . . . . . . . . . . I-40 3.7.1 Analysis of Root Causes of Problems . . . . . . . . . . I-40 3.7.2 Periodic Review and Analysis . . . . . . . . . . . . . I-41 3.7.3 Performance Measurement and Improvement . . . . . . . . I-42 3.7.4 Management Involvement . . . . . . . . . . . . . . . . I-43 Page 3.7.5 Work Sampling . . . . . . . . . . . . . . . . . . . . . I-44 3.7.6 Cost Identification and Control . . . . . . . . . . . . I-45 3.7.7 Audits and Lessons Learned . . . . . . . . . . . . . . I-45 ii DOE 4330.4B 2-10-94 CHAPTER II: GUIDELINES FOR THE CONDUCT OF MAINTENANCE AT DOE NUCLEAR FACILITIES 1. GENERAL INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . II-1 2. MAINTENANCE ORGANIZATION AND ADMINISTRATION . . . . . . . . . . . . II-3 2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . II-3 2.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . II-3 2.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . II-4 2.3.1 Maintenance Organization Policies . . . . . . . . . . . II-4 2.3.2 Maintenance Strategy . . . . . . . . . . . . . . . . . II-4 2.3.3 Staffing Resources . . . . . . . . . . . . . . . . . . II-6 2.3.4 Goals and Objectives . . . . . . . . . . . . . . . . . II-7 2.3.5 Accountability . . . . . . . . . . . . . . . . . . . . II-8 3. TRAINING AND QUALIFICATION OF MAINTENANCE PERSONNEL . . . . . . . . II-8 3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . II-8 3.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . II-9 3.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-10 3.3.1 Responsibilities . . . . . . . . . . . . . . . . . . II-10 3.3.2 Maintenance Training Programs . . . . . . . . . . . . II-10 3.3.3 Training Schedules and Support . . . . . . . . . . . II-10 3.3.4 On-the-Job Training . . . . . . . . . . . . . . . . . II-11 3.3.5 Qualification . . . . . . . . . . . . . . . . . . . . II-12 3.3.6 Training In Root-Cause Analysis . . . . . . . . . . . II-13 3.3.7 Training Program Approval, Effectiveness, and Feedback . . . . . . . . . . . . . . . . . . . . . . II-13 3.3.8 Management and Supervisory Training . . . . . . . . . II-14 4. MAINTENANCE FACILITIES, EQUIPMENT, AND TOOLS . . . . . . . . . . II-14 4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-14 4.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-14 4.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-15 4.3.1 Facilities . . . . . . . . . . . . . . . . . . . . . II-15 4.3.2 Tool and Equipment Storage . . . . . . . . . . . . . II-18 4.3.3 Office Equipment . . . . . . . . . . . . . . . . . . II-18 5. TYPES OF MAINTENANCE . . . . . . . . . . . . . . . . . . . . . . II-18 5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-18 5.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-19 5.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-21 5.3.1 Master Equipment List . . . . . . . . . . . . . . . . II-21 5.3.2 Types of Maintenance . . . . . . . . . . . . . . . . II-21 5.3.3 Maintenance Action and Frequency Selection . . . . . II-24 Page 5.3.4 Scheduling . . . . . . . . . . . . . . . . . . . . . II-25 6. MAINTENANCE PROCEDURES . . . . . . . . . . . . . . . . . . . . . II-25 6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-25 6.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-26 6.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-26

6.3.1 Procedures Development and Writing . . . . . . . . . II-26 6.3.2 Procedure Verification . . . . . . . . . . . . . . . II-28 6.3.3 Procedure Validation . . . . . . . . . . . . . . . . II-28 6.3.4 Procedure Approval . . . . . . . . . . . . . . . . . II-28 6.3.5 Procedure Use . . . . . . . . . . . . . . . . . . . . II-28 6.3.6 Procedure Control, Periodic Review, and Revision . . II-29 DOE 4330.4B iii 2-10-94 7. PLANNING, SCHEDULING, AND COORDINATION OF MAINTENANCE . . . . . . II-31 7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-31 7.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-32 7.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-33 7.3.1 Planning for Maintenance Activities . . . . . . . . . II-33 7.3.2 Scheduling Maintenance Activities . . . . . . . . . . II-35 7.3.3 Coordination of Maintenance Activities . . . . . . . II-38 7.3.4 Outage Planning, Scheduling, and Coordination . . . . II-39 8. CONTROL OF MAINTENANCE ACTIVITIES . . . . . . . . . . . . . . . . II-43 8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-43 8.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-44 8.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-46 8.3.1 Work Control Procedure . . . . . . . . . . . . . . . II-46 8.3.2 Work Request . . . . . . . . . . . . . . . . . . . . II-47 8.3.3 Supervision of Maintenance Activities . . . . . . . . II-48 8.3.4 Review of Completed Work Requests . . . . . . . . . . II-49 8.3.5 Temporary Repairs . . . . . . . . . . . . . . . . . . II-50 8.3.6 Control of Non-facility Contractor and Subcontractor Personnel . . . . . . . . . . . . . . . . . . . . . . II-50 9. POST-MAINTENANCE TESTING . . . . . . . . . . . . . . . . . . . . II-50 9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-50 9.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-51 9.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-51 9.3.1 Post-Maintenance Test Requirements . . . . . . . . . II-51 9.3.2 Post-Maintenance Test Program Scope . . . . . . . . . II-52 9.3.3 Post-Maintenance Test Control . . . . . . . . . . . . II-54 9.3.4 Post-Maintenance Test Performance, Documentation, and Acceptance . . . . . . . . . . . . . . . . . . . . . II-55 10. PROCUREMENT OF PARTS, MATERIALS, AND SERVICES . . . . . . . . . . II-56 10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-56 10.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-56 10.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-57 Page 10.3.1 Procurement Policy and Procedures . . . . . . . . . II-57 10.3.2 Procurement Initiation . . . . . . . . . . . . . . . II-57 10.3.3 Procurement Control . . . . . . . . . . . . . . . . II-57 10.3.4 Services . . . . . . . . . . . . . . . . . . . . . . II-59 11. MATERIAL RECEIPT, INSPECTION, HANDLING, STORAGE, RETRIEVAL, AND ISSUANCE . . . . . . . . . . . . . . . . . . . . . . . . . . II-59 11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-59 11.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-59 11.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-60 11.3.1 Receipt and Inspection . . . . . . . . . . . . . . . II-60 11.3.2 Handling . . . . . . . . . . . . . . . . . . . . . . II-61 11.3.3 Storage Material and Equipment . . . . . . . . . . . II-61 11.3.4 Retrieval and Issuance . . . . . . . . . . . . . . . II-63

12. CONTROL AND CALIBRATION OF MEASURING AND TEST EQUIPMENT . . . . . II-64 12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-64 12.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-64 12.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-65 12.3.1 Identification . . . . . . . . . . . . . . . . . . . II-65 12.3.2 Calibration . . . . . . . . . . . . . . . . . . . . II-66 12.3.3 Control . . . . . . . . . . . . . . . . . . . . . . II-67 iv DOE 4330.4B 2-10-94 12.3.4 Evaluation . . . . . . . . . . . . . . . . . . . . . II-69 13. MAINTENANCE TOOLS AND EQUIPMENT CONTROL . . . . . . . . . . . . . II-70 13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-70 13.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-70 13.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-71 13.3.1 Storage and Issuance . . . . . . . . . . . . . . . . II-71 13.3.2 Tool and Equipment Maintenance . . . . . . . . . . . II-71 13.3.3 Use of Special Tools and Equipment . . . . . . . . . II-72 14. FACILITY CONDITION INSPECTION . . . . . . . . . . . . . . . . . . II-72 14.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-72 14.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-73 14.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-74 14.3.1 Standards . . . . . . . . . . . . . . . . . . . . . II-74 14.3.2 Training . . . . . . . . . . . . . . . . . . . . . . II-76 14.3.3 Procedures . . . . . . . . . . . . . . . . . . . . . II-76 14.3.4 Scope of Inspections . . . . . . . . . . . . . . . . II-76 14.3.5 Inspection Program Elements . . . . . . . . . . . . II-77 14.3.6 Reporting Deficiencies . . . . . . . . . . . . . . . II-78 14.3.7 Deficiency Followup . . . . . . . . . . . . . . . . II-78 15. MANAGEMENT INVOLVEMENT . . . . . . . . . . . . . . . . . . . . . II-79 15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-79 15.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-79 15.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-80 Page 15.3.1 Manager Involvement . . . . . . . . . . . . . . . . II-80 15.3.2 Performance Indicators, Goals, and Objectives Results . . . . . . . . . . . . . . . . . . . . . . II-80 15.3.3 Feedback . . . . . . . . . . . . . . . . . . . . . . II-81 15.3.4 Program Reviews . . . . . . . . . . . . . . . . . . II-81 16. MAINTENANCE HISTORY . . . . . . . . . . . . . . . . . . . . . . . II-84 16.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-84 16.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-84 16.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-85 16.3.1 Program Development . . . . . . . . . . . . . . . . II-85 16.3.2 Data Collection . . . . . . . . . . . . . . . . . . II-86 16.3.3 Program Use . . . . . . . . . . . . . . . . . . . . II-86 17. ANALYSIS OF MAINTENANCE PROBLEMS . . . . . . . . . . . . . . . . II-87 17.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-87 17.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-88 17.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-88 17.3.1 Information Collection . . . . . . . . . . . . . . . II-88 17.3.2 Event Analysis . . . . . . . . . . . . . . . . . . . II-89 17.3.3 Cause Determination . . . . . . . . . . . . . . . . II-91 17.3.4 Corrective Action . . . . . . . . . . . . . . . . . II-93 17.3.5 Corrective Action Followup . . . . . . . . . . . . . II-94 17.3.6 Generic Followup . . . . . . . . . . . . . . . . . . II-94

18. MODIFICATION WORK . . . . . . . . . . . . . . . . . . . . . . . . II-94 18.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . II-94 18.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . II-95 18.3 Guidelines . . . . . . . . . . . . . . . . . . . . . . . . II-95 18.3.1 Maintenance Program Interface with Modifications . . II-95 18.3.2 Temporary Repairs/Temporary Modifications . . . . . II-95 DOE 4330.4B v (and vi) 2-10-94 19. ADDITIONAL MAINTENANCE MANAGEMENT REQUIREMENTS . . . . . . . . . II-96 19.1 Seasonal Facility Preservation Requirements . . . . . . . . II-96 19.1.1 Introduction . . . . . . . . . . . . . . . . . . . . II-96 19.1.2 Discussion . . . . . . . . . . . . . . . . . . . . . II-96 19.1.3 Guidelines . . . . . . . . . . . . . . . . . . . . . II-96 vi DOE 4330.4B 2-10-94 CHAPTER I GUIDELINES FOR THE CONDUCT OF MAINTENANCE AT DOE NONNUCLEAR FACILITIES 1. INTRODUCTION. Maintenance has a primary role in preserving DOE property and ensuring safe and reliable operation of facilities. The purpose of these guidelines is to describe the 32 key elements of an overall DOE maintenance management program. The discussion of the key elements includes material that incorporates the concepts included in other Orders associated with matters related to the maintenance program. For example, the discussion on procedures is consistent with the direction of DOE 5480.19, CONDUCT OF OPERATIONS REQUIREMENTS FOR DOE FACILITIES. Similarly, there is considerable carry over from DOE 5700.6C, QUALITY ASSURANCE. The guidance in many cases repeats the information from the referenced Order. This material is retained in these guidelines to facilitate the maintenance organizations' incorporation of the elements and their criteria into the program. In many cases the objectives and criteria of all applicable Orders are consistent and can be met by one program. For each element, a performance objective is provided. These performance objectives cover the broad spectrum of requirements of an effective maintenance management program. Each objective generally covers a single well-defined management area. The supporting criteria are results oriented and typically describe a specific activity that contributes to the achievement of the performance objective. Performance objectives may be accomplished utilizing criteria from other DOE Orders and standards. Therefore, all criteria may not be required. The methods for achieving the desired results are generally not stated. The graded approach is required when applying the criteria. Because the criteria listed may not be applicable to every activity or requirement associated with a performance objective, the emphasis must be on meeting the performance objectives. The 32 maintenance management program elements are shown in Figure I-1 and are listed in the Table of Contents. Each of the seven branches is introduced with a summary paragraph, followed by the maintenance management elements under that branch. Descriptions of the performance objectives and criteria for each element in the branch are also included. The performance objective for each element uses the term "should" throughout the Chapter as a convention to emphasize the use of a graded approach in developing and implementing the required maintenance programs. This "should" convention is maintained even though the reader would expect to see "shall" in sections where there are interfaces with regulations or other DOE Orders. The elements are principles of management that any prudent manager, familiar with maintenance practices, would use in a program to show good stewardship of the resources allotted.

I-2 DOE 4330.4B 2-10-94 [ 3.0 MAINTENANCE MANAGEMEtW PROGRAM ELEMENTS 3 2 CONDITION OF FACILITIES AND EQUIPMENT 3.1 ORGANIZATION, ADMINISTRATION, AND TRAINING d 3,1.1 oRGANlzAnorv STAFFING 3.6 IMPLEMENTATION OF MAINTENANCE ACTIVITIES -., MAINTENANCE EVALUATION ANO ANALYSIS 3.6.1 SURVEILMNCE AND PREVENTIVE MAINTENANCE # - -I 341 1, 3.2.1 FACIIJIW CONDITION INSPECTIONS BY MANAGEMENT 3.5.1 , MAINTENANCE FACILITIES, EOUIPMENT, ANO TOOLS WORK REQUEST (ORDER) SYSTEM 1 ANALYSIS OF ROOT :;U&ElJ:; I L .- 3.42 FORMAL JOB PiANNIW No ESTIMATING 3.1.2 ADMINISTRATION —, -.. r 3.1.3 PouaEs, GOALS, AND OELJECTIVES -, #--3.2.2 CONOITION A:S::A$NT 3.7.2 [ PREDICTWE MAINTENANCE PERIOOIC REVIEW ANO ANALYSIS [ REOUISITIONIN(3 PROCUREMENT #--- + 3.6.3 ‘r 3.7.3 CORRECTWE PERFORMANCE MAf:%!iCE MEASUREMENTANO IMPROVEMENT1 MATERIALS CONTROLI WORK PERU)T:yDN&E M E ) 2 L 3.1.4 TRAINING ANO aJALJflcAnoN 3.3 MAINTENANCE DOCUMENTATION 3.4.4 PRIORllY SYSTEM I CONTROL ANO CALIBRATION of MEASURING ANO TEST EQUIPMENT [ MODIFICATION WORK 1 MANAGEMENT INVOLVEMENT .-. 3.7.5 WORK SAMPLING b 3.7.6 COSfl:H&Fl#ON 3.5.5 MAINTENANCE TOOLS AND Ec~;~:LT 3.3.1 MAINTENANCE PROCEDURES ANO OTHER W:&Ku;EEtimAO SITE MAINTENANCE PIAN 3.4.6 SCHEDULING SYSTEM L 3.4.7 POST-MAJNWG4ANCE 3.7.7 AUDITS ANO LESSONS LEARNEO 3.4.9 EQUIPMENT REPAIR Hl;TEONR~ND INFORMATION Figure I-1 Maintenance Management Program Elements viii DOE 4330.4B 2-10-94 The "graded approach" is an important concept that should be used in maintaining DOE's property. By graded approach, DOE intends that, in the development and implementation of maintenance programs by field elements and operating contractors, the depth of detail required and the magnitude of resources expended for a particular maintenance management element should be commensurate with the element's relative importance to safety, environmental protection and compliance, safeguards and security, fulfillment of the programmatic mission, and/or other facility-specific requirements. The application of the graded approach may result in a decision to modify or omit an element. This judgement should be made in a manner to assure that the policy of this Order is met. In order to clarify the use of Graded Approach the following example is provided. Paragraph 3.4 describes a branch titled Work Control System. This branch is made up of nine elements, each of which supports the design of a system to assure efficient and timely accomplishment of maintenance to produce high equipment availability. In some work control systems, all of these nine elements would be required. However, in less complex systems, all nine elements may not be necessary to accomplish the objective. Development of the maintenance program should focus on the objective (i.e., to ensure maintenance is accomplished in a timely manner and provide high equipment availability). For example, programmatic equipment such as a bench top laser may be operated and maintained by the same individual. The Work Control System may not require use of elements such as Work Performance Time Standards, Priority Systems, or Backlog Work Control. If a piece of equipment or a system is important to personnel safety or environmental protection, if it is very costly, or if failure could seriously impact a program mission, then the maintenance and maintenance systems applied to that equipment or system would be expected to be greater than that applied to equipment and systems that do not have safety, environmental, or programmatic consequences. Similarly, for an item of equipment with minimal impacts in these areas, which is reaching the end of its life cycle, a decision to defer or eliminate maintenance may be appropriate.

2. MAINTENANCE MANAGEMENT. Maintenance management is the administration of a program utilizing concepts such as planning, procedures, schedules, cost control, and evaluation for the effective performance and control of maintenance, with adequate provisions for interfaces with other concerned disciplines such as health, safety, environmental compliance, quality control, and security. Maintenance is a recurring activity that is usually implemented at regular, but sometimes at irregular, cycles. It involves the effort to preserve, protect, and/or sustain property in an acceptable condition so that it may be used for its intended or designated purpose. It includes such proactive methods as inspections, preventive and predictive maintenance programs, surveillance and testing activities, and forecasting/testing techniques. The maintenance requirements of other Federal or State organizations may apply to DOE property (i.e., General Services Administration or Federal Aviation Administration rules regarding some personal property such as vehicles or ADP equipment). In these cases, if there is conflict Field Management should be advised to seek resolution; as a general rule, the more stringent requirement applies. DOE 4330.4B ix (and vi) 2-10-94 Although the primary intent of this Order is to define a Maintenance Management Program applicable to maintenance and repair, the resulting program also defines a management system that should be used for other related work accomplished by maintenance forces at a site, such as custodial work, fabrication, rearrangements, improvements, equipment installation, expense-funded projects, and craft work performed to support environmental and such safety requirements as asbestos abatement. Although this related work is generally performed by craft personnel, it is not "classical maintenance and repair." The Maintenance Management Program should clearly differentiate the budgeting and accounting for classical maintenance and repair from other related work performed by the maintenance organization. The exclusions of services and improvements from the DOE definition of maintenance and repair does not prohibit them from being funded with operating (expense) funds and performed by the facilities' maintenance organization. Many projects will be a combination of repair and improvements work. Chargeable classical maintenance and repair work include such items as: Regularly scheduled inspections, minor repairs, oiling, and adjustments of equipment performed by craft personnel. Work performed on equipment or on a facility to assure its operating capability in fulfilling its designated function. This includes replacements of the same or like parts or work performed to restore original condition. It also includes upgrading of equipment when the primary reason for the upgrade is needed repair or excessive maintenance and operation cost. (Upgrades that are primarily for the purpose of increasing capacity are improvements.) Work performed in response to situations or conditions threatening life, the facility, or programmatic integrity. Normally this emergency maintenance should amount to less than 1 percent of the total work performed. Costs required to administer the organization responsible for maintenance; for tools and equipment to accomplish the work; for maintenance facility operations and maintenance; for training to meet qualifications standards and required certifications for the performance of maintenance and repairs; for monitoring, evaluating, and tracking work status; and for similar activities.

Indirect costs associated with maintenance work, including supervision; planning and scheduling; storage and staging of materials and supplies; calibration, care, repair, and storage of equipment used in monitoring or for the performance of work; and similar activities. Related work that is routinely performed by the maintenance organization but not chargeable as classical maintenance and repair includes: 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. x DOE 4330.4B 2-10-94 Work usually associated with the removal, moving, and placement of equipment (machine tools, facility equipment, etc.). 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. An example would be work performed to support the special requirements of the Resource Conservation and Recovery Act. Some nonmaintenance roads and grounds work, such as grass cutting and street sweeping. 3. MAINTENANCE MANAGEMENT PROGRAM ELEMENTS 3.1 Organization, Administration, and Training The manager assigned within the contractor organization for each plant or facility is accountable for the material condition of the property and for the systems and equipment contained therein. The effective conduct of maintenance in the facility is an integral part of that accountability. It is the responsibility of the manager to establish and ensure that the facility organization and its support elements are organized, trained, and qualified to carry out an effective maintenance program. Accountability and responsibility must be clearly defined within the organization and its support elements for each basic function of the maintenance program as follows: Definition of Technical Requirements; Maintenance Procedures; Planning and Scheduling; Material Procurement and Control; Performance; Documentation; and Evaluation and Analysis. It is important that the policies, goals, and objectives pertaining to the conduct of maintenance be formally established, clearly communicated, and documented. The maintenance management elements of this branch are as follows: Organization and Staffing; Administration; Policies, Goals, and Objectives; and Training and Qualifications. The performance objectives and criteria for each of these elements are discussed in the following subparagraphs. 3.1.1 Organization/Staffing Performance Objective. A clearly defined maintenance organization with specific lines of authority, responsibility, and accountability should be established. Requirements for communication and interface with other facility organizations should be determined. A sufficient number of properly trained management, supervision, and DOE 4330.4B xi (and vi) 2-10-94 craft personnel should be utilized to perform the required maintenance activities. Criteria: a. The maintenance organizational functions and responsibilities are defined thoroughly and an appropriate staff is assigned to ensure effective and timely accomplishment of the required work. b. Engineering and technical support functions have direct and continuous interface with the maintenance organization in order to provide support in determining the cause of repetitive equipment failures and to investigate the root cause of unplanned events.

c. Engineering and technical support functions incorporate the following into all maintenance activities: manufacturers' recommendations, specification for operability, action levels, acceptance criteria, procurement specifications, installation and test requirements, and test equipment and procedures. d. Engineering and technical support functions identify and evaluate potential degradation mechanisms caused by environment and service over time and provide direction for timely mitigation of their effects. e. Contracted maintenance services are controlled and overseen to ensure that contracted work is performed to the same standard established for the maintenance organization. f. Contracted personnel are qualified for the work they are to perform. g. The Quality Assurance (QA) programs specified by the reference in Paragraph 5m, page 3, are applied to maintenance activities commensurate with their safety and security significance. h. Authority, responsibility, and accountability for support organizations are defined by identifying personnel interfaces, periodic self-assessments, procedural interfaces, overall maintenance performance indicators, and indicators related to the support of maintenance tracked by each supporting group. i. The organization achieves a high level of performance in maintenance by effective implementation and control of maintenance activities. j. The organization provides time for and emphasizes long-range planning. k. Maintenance personnel are held accountable for their performance through supervisory counseling, performance appraisals, and, when necessary, disciplinary measures. xii DOE 4330.4B 2-10-94 l. Maintenance staffing and resources are sufficient to accomplish assigned tasks, including time for training. m. Entry-level criteria is established to ensure that maintenance personnel have the requisite background and experience to be trainable for work in facilities. n. Appropriate job qualification requirements are established for all facility maintenance positions affecting the safe and reliable operation of facilities. o. Maintenance job requirements are periodically reviewed, evaluated, and revised, as necessary. p. Adequate engineering and technical support personnel are readily available. q. High quality personnel are recruited for temporary increases in staff to support planned outages or other activities. r. Timely action is taken to anticipate and fill maintenance vacancies, and long-range maintenance staffing plans are developed. s. Appropriate career progression plans are used to develop the management, supervisory, and technical expertise of personnel and thus help to ensure that future maintenance staff vacancies are filled with qualified personnel. 3.1.2 Administration Performance Objective: The administration of the maintenance function should ensure that a high level of performance is achieved through effective implementation and control of maintenance activities by establishing written performance standards, periodically observing and assessing the performance of maintenance personnel and systems, and holding personnel accountable for their performance. References in Paragraphs 5f, k, and m, pages 2 and 3, apply. Criteria: a. The conduct of maintenance activities in a facility is documented, as necessary, to provide for systematic, coordinated, and accurate implementation consistent with maintenance policies, goals, and objectives.

b. Sufficient staff, equipment, and funding is requested, justified, and available so that the maintenance organization can effectively perform its function and adequately train maintenance personnel. c. Administrative work control functions are documented in policies, procedures, and checklists. DOE 4330.4B xiii (and vi) 2-10-94 d. Maintenance documentation establishes the responsibility for maintenance, accountability for work, authority, lines of communication, documentation requirements, required references, and means of review, approval, and updating. e. Maintenance documentation defines the maintenance program and standards for maintenance activities. f. The maintenance program and maintenance standards are communicated to the working level by training workers in good work practices and by supervisors who observe and guide work activities. g. An effective maintenance program need not require extensive documentation, but it should be understood and effectively implemented by all involved personnel in a consistent manner. h. Administrative controls are employed in the conduct of facility maintenance activities. Examples of such activities include scheduling of preventive maintenance, use of special tools and lifting equipment, and use of measuring and test equipment. i. Oral and written communications are effective within the maintenance organization and between the maintenance organization and such supporting groups as operations, safety, and engineering. j. The communication necessary to develop working relationships and keep personnel at all levels cognizant of the information needed in order to perform their function is defined in the maintenance program documents. k. Technical issues associated with maintenance are identified and resolved with involved organizations. l. Rewards and other forms of recognition are given to maintenance personnel for superior performance. m. Maintenance personnel involved in significant or frequent violations of requirements are encouraged to improve through counseling, by remedial training, or by disciplinary measures, as appropriate. n. Performance appraisals and routine personnel feedback with supervisors or managers are utilized to enhance individual employee performance. o. Personnel are encouraged to develop methods to improve safety, reliability, quality, and productivity through such activities as employee participation programs. p. Commitments are routinely met. Open commitment status is tracked and up-to-date. xiv DOE 4330.4B 2-10-94 q. Performance indicators are reviewed and used to improve maintenance performance. r. Long-range planning of major maintenance activities and facility outages establish a scope for funding and staff resources to meet the needs of the maintenance program. 3.1.3 Policies, Goals, and Objectives Performance Objective: Maintenance policies, goals, and objectives should be documented in appropriate manuals and communicated to all maintenance personnel. Maintenance should be conducted based on these goals and objectives. References in Paragraphs 5f and m, pages 2 and 3, apply. Criteria: a. Policies define the maintenance organization, establish administrative objectives and levels of responsibility, and generally serve to consistently regulate and guide the conduct of maintenance activities. b. Maintenance personnel are assigned responsibility for achievement of specific objectives and understand the actions necessary, within the scope of their duties and responsibilities, to achieve these objectives.

c. Maintenance goals are developed and used to improve maintenance performance and for measuring maintenance effectiveness. d. Maintenance objectives are challenging, stated in measurable terms, and address areas where improvement is needed. e. Maintenance goals such as the following are established: Minimize the impact on planned outages by planning and completing maintenance activities in a timely manner; Minimize the number of forced outages; Minimize unplanned challenges to critical systems; Minimize the lost-time accident rate; Minimize facility and equipment downtime; Minimize personnel errors; Minimize process delays in work content and work execution; Reduce repeat maintenance work requests (rework); DOE 4330.4B xv (and vi) 2-10-94 Complete scheduled surveillances and preventive maintenance activities in a timely manner; Minimize the maintenance backlog and reduce the completion time of outstanding deficiencies; Control overtime; and Complete outage and nonoutage work on schedule. f. Goals are substantive in nature, challenging the capability and ingenuity of the maintenance manager. g. Goals and objectives are attainable and are not to be considered "sacred." Initial objectives are revised if proven unfeasible, irrelevant, or impossible. h. Effective safety programs are implemented with clearly defined policies, procedures, and responsibilities to protect maintenance personnel. (References in Paragraphs 5c, d, and l, pages 2 and 3, apply). i. Policies, procedures, and responsibilities clearly define the quality assurance and quality control program interface with maintenance. 3.1.4 Training and Qualification Performance Objective: Training and qualification programs should develop and maintain the knowledge and skills required by maintenance personnel to effectively perform maintenance activities. The reference in Paragraph 5m, page 3, applies. Criteria: a. The responsibility for establishing, maintaining, and implementing the maintenance training programs is defined, understood, and coordinated between the maintenance and training organizations. b. Maintenance training programs are defined and encompass managerial, supervisory, planner/scheduler, engineering, and craft personnel. c. Initial training, consisting of classroom and on-the- job training, develops necessary job-related knowledge and skills and includes areas such as the following: (1) Basic technical and applied science subjects; (2) Maintenance fundamentals and troubleshooting and repair techniques; (3) Facility systems and components; (4) Special maintenance craft skills; (5) Practical factor demonstration; xvi DOE 4330.4B 2-10-94 (6) Work-control procedures; (7) Industrial safety, including hazards associated with work on specific equipment/systems and emergency response; (8) Quality assurance; (9) Maintenance procedures, workmanship standards, and job-specific work practices, including surveillance procedures; (10) In-house and DOE-wide operating experience, including actual events; and (11) Emergency response. d. Continuing training maintains and improves job-related knowledge and skills in areas such as the following: (1) Facility system and component changes; (2) Procedure changes; (3) DOE-wide and in-house operating experiences, including facility operation; (4) Seldom-used knowledge and skills that affect safe and reliable facility operation; and (5) Selected topics from subparagraph c above to correct identified weaknesses.

e. Maintenance organization support and guidance for maintenance training programs normally includes all or portions of the following tasks: (1) Defining the jobs, tasks, skill levels, and responsibilities and identifying individuals to fill these positions; (2) Defining training programs for each position; (3) Determining the content and emphasis of the training needed; (4) Determining and supporting training schedules; (5) Determining the training needs of and tailoring the training program for each individual based on previous education, training, experience, and skill level; (6) Providing instructors and trainers; (7) Establishing qualification criteria, with emphasis on successful performance in the field; (8) Coordinating the conduct of and instruction during on- the-job training; and DOE 4330.4B xvii (and vi) 2-10-94 (9) Providing feedback to the training organizations to enhance and, where necessary, adjust course teaching methods, content, and emphasis. f. Training implementation is coordinated between the maintenance and the training organization to prepare training schedules, determine who should attend, and ensure qualified instructors are available to teach the courses. g. A formal part of the maintenance training program is on- the-job training (OJT), in which facility personnel achieve learning objectives through practical hands-on training conducted within the job environment. h. OJT is conducted in accordance with formally defined training programs that specifically identify items the trainee must accomplish. i. OJT is conducted by personnel who have successfully qualified as OJT Trainers. j. When trainees perform maintenance on installed equipment, a qualified OJT instructor observes 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 facility. k. The number of trainees to simultaneously participate in any OJT is limited in order to ensure that each trainee receives effective and adequate instruction. l. Trainees independently perform maintenance only on facility equipment for which they are qualified. m. Qualification standards and evaluation methods are adequate to verify trainee competence. n. Maintenance managers are directly involved in approving and periodically reviewing the maintenance training program. o. Training programs are systematically improved to ensure that trainees develop the required skills and knowledge. Feedback from job performance is used to help evaluate and refine maintenance skills. p. Management and supervisory training include generic areas such as managerial and supervisory skills, accountability, assessment and observation of routine activities, communication skills, teamwork, and company management philosophies. Position-specific training is provided to first-line supervisors. 3.2 Condition of Facilities and Equipment Facility, equipment, and housekeeping deficiencies should be identified through periodic inspections ranging from management walk- throughs to detailed facility inspections. The maintenance management elements of this branch are: Facility Condition Inspections by management; and xviii DOE 4330.4B 2-10-94 Condition Assessment Surveys. The performance objectives and criteria for each of these elements are discussed in the following subparagraphs. 3.2.1 Facility Condition Inspections by Management

Performance Objective: To establish and conduct periodic inspections of equipment and facilities, ensuring that proper condition, cleanliness, and housekeeping are maintained to support safe and reliable facility operations. Criteria: a. To clearly display the standard for facility condition, managers and supervisors are personally conducting periodic walkdowns and inspections to identify deficiencies and housekeeping discrepancies. b. Equipment and facility condition, cleanliness, and housekeeping standards are established and communicated to all maintenance personnel. c. The results of each inspection are transmitted to the facility manager and maintenance manager. d. Identified deficiencies are corrected in a timely manner so that personnel can see the positive results of the inspection program. e. Personnel are assigned corrective action and deficiencies are tracked to completion. f. Reported deficiencies are monitored to identify recurring, generic, and long-term problems. 3.2.2 Condition Assessment Surveys Performance Objective: All real property and installed equipment should be inspected at predetermined frequencies to ensure that these facilities are maintained in a condition consistent with assigned missions or long-range planning. The reference in Paragraph 5b applies. Criteria: a. Condition Assessment Surveys shall be performed in accordance with the reference in Paragraph 5b. b. The primary maintenance objective of condition assessments is the early detection of potential problems in order to prevent deterioration, possible damage to adjacent materials or systems, and failure of components. c. Selected inspection information available from Preventive Maintenance programs and other sources may be entered into the Condition Assessment Information System (CAIS) (the reference in Paragraph 5b applies). DOE 4330.4B xix (and vi) 2-10-94 d. After the identification of symptoms of problems or deficiencies, a diagnostic analysis is performed to determine whether there is, in fact, a problem, the nature and extent of the problem, and options for corrective action. 3.3 Maintenance Documentation A clear understanding of the contractors' efforts related to their maintenance activities is obtained by a totally integrated Site Maintenance Plan. Such a plan not only describes how similar maintenance functions associated with a site contractor are integrated but also describes the baseline maintenance activities. The single maintenance management element of this branch is the Site Maintenance Plan. 3.3.1 Site Maintenance Plan Performance Objective: Individual operating contractors should develop a Site Maintenance Plan that provides a clear understanding of the total maintenance program as described in Paragraph 10, "Requirements." Criteria: a. The Site Maintenance Plan is a two-part document, composed of the following: (1) The Program Implementation and Baseline Activities. (2) Site Maintenance Action Plans. b. The Program Implementation and Baseline Activities part of the Site Maintenance Plan may include: (1) Site Maintenance Policy. (2) A description of the contractor's application of the graded approach. (3) A brief description of the contractor's management and coordination of maintenance-related activities including, for example, Quality Assurance, Engineering, Operations, Training, and Environment, Safety, and Health. (4) A description of the implementation of Chapter I elements for real property maintenance.

(5) A description of the site's personal property maintenance program. c. This Program Implementation and Baseline Activities part of the Site Maintenance Plan shall be reviewed and approved by the Manager of the field element. This part of the Site Maintenance Plan will be updated as circumstances dictate. xx DOE 4330.4B 2-10-94 d. The Site Maintenance Action Plan (SMAP) part of the Site Maintenance Plan is an annual status submittal which may include: (1) Summary level of maintenance initiatives completed during the past Fiscal Year (FY) by the contractor. (2) Summary level of maintenance initiatives planned by the contractor for the current FY. This includes schedule and deliverables for these maintenance program improvements. (3) Summary of performance indicators. (4) Summary of Maintenance Backlog. (5) Contractor's fiscal data for FY-1 through FY+3 including narrative description of changes with significant impact on resources. e. This SMAP part of the Site Maintenance Plan will be reviewed by the field element and forwarded to Field Management. 3.4 Work Control System The work control system, by which maintenance activities are identified, initiated, planned, approved, scheduled, coordinated, performed, and reviewed for adequacy and completeness, should be designed to ensure that maintenance is accomplished in a timely manner, improves maintenance efficiency, and increases equipment availability. The maintenance management program elements on this branch are: Work Request (Order) System; Formal Job Planning and Estimating; Work Performance (Time) Standards; Priority System; Maintenance Procedures and Other Work-Related Documents; Scheduling System; Post-Maintenance Testing; Backlog Work Control; and Equipment Repair History and Vendor Information. The performance objectives and criteria for each of these elements are discussed in the following subparagraphs. 3.4.1 Work Request (Order) System Performance Objective: A formal, well-defined, work request (order) system should be in place to cover work performed, regardless of whether the jobs are repetitive or one-time tasks. The work request system should ensure that jobs are identified, logged, planned and scheduled, performed, tested, formally accepted, and documented in a "user-friendly" manner. The reference in Paragraph 5m applies. Criteria: DOE 4330.4B xxi (and vi) 2-10-94 a. A work request (order) system is established that clearly identifies the work needed and provides instructions to perform the work. b. The work request forms (work package) for facilities provide procedures and guidance for performing the work and allow documentation for the following: (1) Number sequencing; (2) Equipment and component identification; (3) Description of symptom, problem, or work requested and the responsible person identifying them; (4) Identification of crafts required; (5) Dating of document package; (6) Job priority; (7) Personnel safety; (8) Identification of the safety class of equipment or components or qualification requirements (such as environmental and seismic qualifications); (9) Applicable safety requirements, and time restraints; (10) Identification of special process requirements (such as special work permits, special work instructions, special training, and personnel qualification requirements); (11) Work instructions, hold points to allow inspections, special requirements, use of special materials or tools, test instrument ranges, accuracy, and cleanup requirements;

(12) Required post-maintenance testing, inspections, and acceptance criteria; (13) Work supervisor or appropriate person in charge; (14) Applicable operating and maintenance procedures; (15) Description of work performed, as-found conditions, repairs made, cause-of-failure evaluations, identification of special tools and parts, calibration data, set points, adjustments made, and as-left conditions; (16) Cost code to which work performed is to be charged; and (17) Final reviews and signoff by maintenance, quality control, and other groups in the review process. c. The work request system provides a method for tracking work in process. xxii DOE 4330.4B 2-10-94 d. A procedure is established for performing and documenting emergency maintenance. e. The work request (order) system provides for control of modifications, in-service tests, preventive maintenance (PM), and surveillances. 3.4.2 Formal Job Planning and Estimating Performance Objective: A system of formal job planning and estimating should be used to identify the required support, permits, hold points, work procedures, and material requests that determine the total scope of work and address task sequencing and steps to completion. Outage planning should promote optimum outage performance by providing integration and coordination of all work elements. References in Paragraphs 5f and m apply. Criteria: a. Planning maintenance activities are accomplished by a dedicated planning staff or by maintenance supervisors at facilities with small staffs. If done by a supervisor, the workload allows time to supervise work in progress. b. Adequate procedural controls are established and implemented to assure adequate job planning. c. In-depth work planning is utilized to identify the required support and detailed scoping necessary to accurately schedule daily maintenance. d. Involvement of such required support groups as operations (see the reference in Paragraph 5f), engineering, and quality assurance are coordinated to effectively support the maintenance effort. e. Preplanning obtains such necessary support items as special tools, other equipment, repair parts, and materials required to accomplish the work when needed. f. The planning process normally includes such items as the following: (1) Definition of the problem and identification of the work scope; (2) Identification and review of necessary procedures, drawings, vendor manuals, and maintenance history; (3) Identification of needed and available data for use in analysis of maintenance problems; (4) Procurement of necessary repair parts, materials, tools, and equipment; (5) Assessment of manpower and skill requirements; DOE 4330.4B xxiii (and vi) 2-10-94 (6) Identification and review of resources, including other tasks scheduled to occur in the immediate area during the same time period; (7) Identification of initial facility conditions and prerequisites required for work to be accomplished; (8) Identification of quality control and technical inspection requirements; (9) Establishment of equipment restoration and post- maintenance inspection or testing requirements; (10) Review of work instructions of work packages for completion; (11) Identification of applicable maintenance and operation procedures; and (12) Identification of unique hazards involved (e.g., contaminated systems, confined spaces). g. Pre- and post-job briefings are performed, as appropriate, to brief personnel on work to be performed and identify lessons learned.

h. Advance planning is performed and routinely updated for scheduled and unscheduled outages. Considerations such as work priority, work procedures and instructions, facility/system conditions, length of outage required, staging of documents and material, and coordination of support activities are included. i. Management of outages and planning for outages is performed to minimize the duration of these conditions and to use the available time effectively. j. Preoutage milestones are established, and timely corrective actions are taken when milestones are not being met. k. Outage planning includes the identification of necessary manpower to support the outage and consideration of contingencies that may occur. l. Elements of outage work are defined into manageable segments that can be accomplished by a typical work unit on a definite schedule and are entered into a tracking system to allow completion status to be monitored. 3.4.3 Work Performance (Time) Standards Performance Objective: Work-hours required to perform a planned job through the utilization of estimating the application of engineered standards, the use of job slotting techniques, or other industry-recognized methods should be established to allow the determination of cost estimates, establishment of reasonable schedules, and measurement of productivity. Criteria: xxiv DOE 4330.4B 2-10-94 a. Planners are trained in the use or application of work performance (time) standards. b. Work performance (time) standards are used, where possible, as one basis for job-cost estimates. c. Work performance (time) standards are used as time estimates to ensure that schedules for each job in the daily and weekly schedules are accurate. The standards are reviewed and periodically updated based on actual times taken to perform the work. d. Job-slotting techniques or other industry-recognized simplified methods are used for applying time standards. e. Travel or delay times utilized for planning are derived from records or work sampling, where possible, or developed by the planner for the specific circumstances. f. Productivity measurements are obtained from the use of work performance (time) standards and reported as performance indicators. g. Work utilization measurements are obtained through the work-sampling process, reported as a performance indicator, and employed in conjunction with the maintenance backlog indicator to manage staffing levels with respect to the work backlog. 3.4.4 Priority System Performance Objective: A systematic method of determining job priority or the importance of the work item to be performed should be established and is based on safety, environmental, and facility concerns. Criteria: a. The following items are considered when assigning priorities: (1) Personnel safety; (2) Mission impact; (3) Operability of redundant equipment; (4) Critical path equipment; and (5) Potential for environmental release and damage. 3.4.5 Maintenance Procedures and Other Work-Related Documents Performance Objective: Maintenance procedures and other work- related documents (e.g., drawings and instructions) should be used to provide appropriate work direction and to ensure that maintenance is performed safely and efficiently. References in Paragraphs 5c, f, and m apply. Criteria: DOE 4330.4B xxv (and vi) 2-10-94 a. Compliance requirements for a given procedure are clearly stated in the procedure or in other overall guidance and thoroughly communicated to each craft person. The normal two levels of compliance are:

(1) Step-by-step compliance without deviation; or (2) General intent compliance. b. Preparation, review, approval, and revision of procedures and other work-related documents are formally controlled. c. Documents used in lieu of procedures (such as excerpts from vendor manuals) receive the same level of review and approval as required for procedures. d. Procedures and other work-related documents (such as vendor manuals, drawings, reference materials, and posted job performance aids) are used in support of maintenance and are technically accurate and up to date. e. Procedures are readily available and clearly identified. f. Maintenance procedures are established and utilized as necessary for the conduct of maintenance activities commensurate with the activity's importance to safety and security. g. New and revised procedures are reviewed or verified for technical accuracy prior to use and checked or validated to ensure usability and correctness prior to or during initial use. Validation is done in a shop or training environment on a mockup or simulator or by the craft person and supervisor during the first use of the procedure. h. Procedures are clear, concise, and contain adequate information for users to understand and perform their activities effectively. Items to be considered are as follows: (1) Portions or steps of other documents that are used or referred to when performing a procedure are specifically identified in the procedure. (2) Technical details such as setpoints, control logic, and equipment numbers are consistent among procedures, drawings, and system descriptions. (3) Human factor considerations are incorporated into procedures to promote error-free performance. (4) Skill and training of the craft personnel performing the function. i. Cautions, warnings, and hold points (such as quality checks) are included in the procedures, as needed. xxvi DOE 4330.4B 2-10-94 j. A policy governing the use of procedures and a procedure writer's guide should be implemented. The guidance includes the following: (1) Procedures with purpose and scope; (2) Consistent formats for organization, instruction step format, caution and note format, and page format; (3) Methods to generate clearly understood text and assure consistent use of illustrations; (4) Actions to be taken when procedures conflict, are inadequate for the intended tasks, or when unexpected results occur; (5) Allowances for identification and verification of steps that can be performed out of the written sequence; and (6) Requirements for use of procedures in hazardous situations, such as in friable asbestos locations. k. Temporary changes to procedures, if used, are controlled through appropriate review and authorization prior to use and ensure user awareness of applicable temporary changes. l. A formal program exists to review procedures periodically for technical accuracy, human factor considerations, and the inclusion of in-house and industry operating experience. m. A feedback mechanism is provided for the maintenance personnel to change and/or improve the usability of the procedure(s). n. Ensure that an appropriate level of performance expectation is provided. National consensus standards and/or field- tested workmanship standards should be utilized where appropriate. 3.4.6 Scheduling System

Performance Objective: Scheduling and coordinating of corrective and preventive maintenance and modifications should be performed in such a way that maintenance activities are conducted in the proper sequence, efficiently, and within prescribed time limits. An outage schedule should provide for work element completion and testing and should provide management with information necessary to control outage activities. Criteria: a. Maintenance activities are scheduled and coordinated for the purpose of avoiding unnecessary removal from service of equipment and systems from service and providing better manpower utilization. DOE 4330.4B xxvii (and vi) 2-10-94 b. The maintenance work-scheduling process incorporates a tracking system for identifying maintenance work requests being performed and post-maintenance testing. c. Scheduling of daily activities is based on accurate planning estimates to improve the use of craft personnel time on the job. d. A priority system is utilized to schedule work. e. Weekly and/or daily job-scheduling meetings are conducted and the resulting work schedules are published. f. Maintenance activities are scheduled to ensure that appropriate supervision and support is available. g. Facility personnel, especially facility managers, are apprised of scheduled maintenance activities that affect them, thus ensuring proper activity coordination. h. Scheduling considers only those planned activities with complete work packages and with all materials and equipment for the job. i. Within the total available work hours, time is allotted for small call-in jobs, urgent jobs, or other unforeseen events. j. Timely feedback of work progress to schedulers, supervisors, and management is utilized to modify weekly and/or daily schedules, as necessary. k. Planned and forced outages are scheduled in a manner ensuring that required maintenance is performed within the time limits available and that opportunities for performing other needed maintenance are maximized. l. An outage schedule provides for the completion of work elements and testing and provides management with a clear, concise, and understandable method of tracking completion of outage milestones. Supporting schedules are developed where necessary. m. Outage schedules are updated on a timely basis to reflect changing conditions. When necessary, deviations from the outage plan and schedule are communicated to the proper level of management for action. 3.4.7 Post-Maintenance Testing Performance Objective: Post-maintenance testing should be performed to verify that equipment, systems, and components fulfill their design function when returned to service following maintenance. The tests performed are commensurate with the maintenance work performed and the importance of the equipment to facility safety and reliability. References in Paragraphs 5f and m apply. Criteria: xxviii DOE 4330.4B 2-10-94 a. Post-maintenance testing is performed, as appropriate, after corrective and preventive maintenance activities. b. The rigor of the testing performed is based on the work done and the importance of the component or equipment to safe and reliable facility operation. c. The post-maintenance testing program is clearly defined and includes the following elements: (1) Test requirements are identified by the appropriate technical authority. Responsibility for determining post-maintenance test requirements are assigned to functional groups such as operations, maintenance, and technical support.

(2) The scope of the post-maintenance testing program is determined to help ensure that appropriate levels of testing are applied to facility equipment and that redundant or unnecessary testing is minimized. (3) The status of equipment that has undergone maintenance is tracked to ensure that all testing is completed prior to work closeout. (4) Proper post-maintenance tests are conducted, the results documented, and the resulting data verified to have met acceptance criteria and obtained appropriate signoff. d. Equipment that is important to reliable facility operation is tested in accordance with approved procedures. e. Post-maintenance test results are documented and reviewed to ensure proper system/equipment performance prior to returning the system to service. f. For tests involving the participation of more than one support group, one individual should be responsible for coordinating appropriate personnel (e.g., operations, engineering, and maintenance) to perform post-maintenance testing, review results, and take corrective action, as necessary. g. Maintenance rework is identified and documented. Corrective actions, including periodic reviews for generic implications, are taken to minimize rework. 3.4.8 Backlog Work Control Performance Objective: Maintenance backlog should be monitored to ensure that the condition of the property is maintained consistent with the facility's mission. References in Paragraphs 5b and k apply. Criteria: a. The maintenance backlog is measured in estimated work-hours and the number of work requests. This is used to adjust staffing, as required. DOE 4330.4B xxix (and vi) 2-10-94 b. The maintenance backlog is monitored to ensure that proper priority is given to facility conditions important to safety, environment, and facility mission. c. Deferred critical facility maintenance work is documented and justified in writing by management. d. Backlog is managed on the basis of prioritization. e. Budget and staffing levels are evaluated against both the planned maintenance and the amount of work in the backlog. 3.4.9 Equipment Repair History and Vendor Information Performance Objective: An equipment repair history and vendor information program should be established and maintained to provide historical information for maintenance planning and to support the maintenance and performance trending analysis of facility systems and components. The reference in Paragraph 5m applies. Criteria: a. Equipment repair history is used to support maintenance activities, upgrade maintenance programs, optimize equipment performance, and improve equipment reliability. b. The maintenance history program defines what data are to be collected, how the data are to be recorded, and how the data are to be used. c. A cost-effective equipment history program is in place for systems, equipment and components that warrant special attention based on initial cost, cost to maintain, or impact on facility operations or safety. d. Maintenance records are closely correlated with the current issue of the facility master equipment list. e. The facility master equipment list should be a compilation of system and equipment and provide an engineering data base. f. Maintenance history records are considered in planning for corrective maintenance, modifications, and preventive maintenance, and development of facility life-cycle plans. g. Maintenance history records are readily available for use by supervisors, work planners, and maintenance or plant engineers.

h. Maintenance history is periodically and systematically reviewed to identify equipment trends and persistent maintenance problems and to assess their impact on facility reliability. i. Equipment maintenance and repair history files contain items such as the following: equipment and component identification, maintenance records, diagnostic monitoring data, vendor information (or a reference to this xxx DOE 4330.4B 2-10-94 information), corrective and preventive maintenance or modification information, and spare parts information. j. The maintenance record is a chronological list of all maintenance repair work and materials expended on a piece of equipment or component. k. Equipment repair history data is used for such activities as failure analysis, conduct of maintenance assessments, preventive maintenance, predictive maintenance, outage planning, budget preparation, reviews of DOE-wide experience, and plant life extension. l. Vendor information obtained from suppliers is controlled and indexed for ready retrieval. 3.5 Maintenance Facilities, Equipment, and Materials Control System Maintenance facilities, tools, and equipment should be periodically evaluated for adequacy; measuring and test equipment should be controlled and calibrated; and maintenance tools and equipment should be controlled in order to be readily available for craft use. All phases of requisitioning, procuring, receiving, inspecting, handling, storing, retrieving, and issuing of equipment, parts, and materials should be controlled. The maintenance management program elements on this branch are: Maintenance Facilities, Equipment, and Tools; Requisitioning/Procurement; Materials Control; Control and Calibration of Measuring and Test Equipment; and Maintenance Tools and Equipment Control. The performance objectives and criteria for each of these elements are discussed in the following subparagraphs. 3.5.1 Maintenance Facilities, Equipment, and Tools Performance Objective: Maintenance facilities, equipment, and tools should be periodically reviewed for adequacy in supporting facility maintenance and maintenance training. The reference in Paragraph 5m applies. Criteria: a. Maintenance facilities, including storage facilities and laydown and staging areas, are sized and arranged to promote the safe and effective completion of work. b. Maintenance training facilities, shops, satellite work areas, laydown and staging areas, storage facilities, mockups, temporary facilities, shower and toilet facilities, lunch areas, conference areas, and offices are evaluated for adequacy. c. Work area lighting and other environmental conditions should promote safe and effective working conditions. d. Work areas are uncluttered and in an orderly condition. DOE 4330.4B xxxi (and vi) 2-10-94 e. Facility equipment is accessible for maintenance activities. Fixed local area hoists, ladders, and work platforms are provided, as needed. f. Storage facilities for parts and materials being gathered for or issued for a job are adequate and provide environmental controls to protect the parts and materials. g. Tool and equipment storage facilities are located near shops and normal work areas to improve maintenance efficiency. h. Adequate office equipment is provided for efficient and effective work. i. Communication equipment is reliable and provides necessary facility coverage. j. Facility equipment and associated components are properly labeled with sufficient information so that they can be easily identified by personnel.

k. A plan for identifying and using maintenance laydown and staging areas is developed and kept current. l. Communications systems are available and arranged such that maintenance activities can be conducted without interfering with facility operations and controls. Areas that should be considered in particular are testing and troubleshooting of electrical and electronic equipment. 3.5.2 Requisitioning/Procurement Performance Objective: Parts, materials, and services required to perform maintenance activities should be available when needed. The reference in Paragraph 5m applies. Criteria: a. An effective procurement process is provided to ensure that parts, materials, and services are available for work activities when they are scheduled. b. Procurement documents provide clear and adequate technical and quality assurance requirements consistent with design specifications. c. Topics such as storage, in-storage preventive maintenance, and shelf-life requirements are addressed. d. Proper engineering control and approval are obtained on any deviation from design specifications for parts or materials. e. Mechanisms are in place to provide for the expeditious procurement of parts and material on a high priority basis when needed. f. Methods are established to acquire replacement parts not available through the original supplier. xxxii DOE 4330.4B 2-10-94 g. Lessons learned from experience, such as leadtimes, parts usage, and supplier reliability, are factored into materials management. h. Material and parts activity are reviewed to determine possible new additions to be included in spare parts or site stores catalogs. i. Offsite services are used when justified by specifications and/or economic reasons. j. Long lead-time maintenance items services, and their procurement sources, are identified in order to expedite their procurement. k. Deficient, nonconforming, counterfeit, or suspect items are resolved in an effective and timely manner. l. Applicable quality assurance provisions of the reference in Paragraph 5m are followed and applicable records are controlled and maintained to provide documentation for qualified parts and materials and to ensure traceability. m. Material Safety Data Sheets (MSDS) are obtained for chemicals and hazardous materials procured. n. Identification of the need for specialized services from vendors is made early to provide for timely submittal of, bidding on, and award of contracts. 3.5.3 Materials Control Performance Objective: All phases of receiving, inspecting, handling, storing, retrieving, and issuing of equipment, parts, and materials for maintenance should be covered by effectively implemented policies and procedures from the time an item is received until it is installed at the facility. The reference in Paragraph 5m applies. Criteria: a. Effective material control is practical and is achieved when the right materials in the correct quantities are delivered to the job location at the proper time. b. Policies and procedures are prepared to specifically describe the responsibilities and techniques for receiving, inspecting, handling, storing, retrieving, and issuing equipment, parts, and materials. c. Procedures/instructions are available for items requiring special handling. d. Material is inspected to ensure conformance to purchasing requirements prior to release for use and storage. e. Documentation for received material can be accounted for and is retrievable.

DOE 4330.4B xxxiii (and vi) 2-10-94 f. Nonconforming, counterfeit, and suspect items are identified with tags or labels and controlled to prevent unauthorized use. g. Effective material procurement status is provided, including accurate stock records and tracking of purchase orders. h. Materials are stored, protected, and identified in a manner that provides ready availability for its intended use. i. A shelf-life control program is provided for store items that are important to safe and reliable facility operation. j. Materials and equipment are stored by intended end use to prevent inadvertent use of the wrong category of item. k. Periodic inspections of staging areas, stores, and warehouses are performed. l. The quality of stored equipment, parts, and materials is maintained in accordance with vendor information by appropriate means, such as environmental and shelf-life controls and preventive maintenance activities, if necessary. m. Parts and materials issued for installation are properly controlled. Unused parts and materials should be promptly returned to a controlled storage area. Completed work requests/orders document material traceability. n. Critical parts are readily traceable from purchase to installation. o. Flammable and hazardous materials are identified, segregated, and properly controlled during receipt inspection, storage, and issuance. p. Equipment and materials used by nonfacility personnel (personnel not directly employed by the facility operating contractor) are subject to inspection, storage, and issuance controls equivalent to items received through normal facility processes. q. For items requiring special handling instructions, procedures are prepared that include such items as the weight, size, chemical reactivity, radioactivity and susceptibility to physical shock, damage, or electrostatic sensitivity. This also includes lifting instructions. 3.5.4 Control and Calibration of Measuring and Test Equipment Performance Objective: A program for control and calibration of measuring and test equipment (M&TE) should be instituted to ensure the availability of tools and equipment necessary for maintenance, repair, and calibration of installed equipment and instruments. The reference in Paragraph 5m applies. xxxiv DOE 4330.4B 2-10-94 Criteria: a. M&TE includes all devices or systems used to inspect, test, calibrate, measure, or troubleshoot in order to control or acquire data for verifying the conformance of an instrument or piece of equipment to specified requirements. b. M&TE does not include permanently installed system instrumentation, nor does it include test equipment used for preliminary checks where data obtained will not be used to determine acceptability or verify conformance to established criteria. c. All M&TE devices have unique identification numbers that accurately identify the specific devices and provide positive traceability. d. A master list identifying all M&TE is developed and kept current. e. The M&TE calibration program is based on standards that are traceable to a national standard or that are recognized standards unto themselves. f. Procedures are used to calibrate M&TE to control the performance of calibrations, provide repeatable calibrations, and provide acceptance criteria. g. A calibration frequency that helps maintain M&TE accuracy and availability is established. h. Procedures specify that M&TE should be functionally checked before use.

i. Facilities are provided to control storage, issuance, and calibration of M&TE. j. Any M&TE with suspected or actual deficiencies is segregated and marked to prohibit its use. k. M&TE devices that are not fully calibrated or usable are clearly marked to indicate their limitations. l. M&TE documentation includes records for accountability and traceability of use. A recall system is developed for recalibrations. m. M&TE devices found out of calibration or defective receive timely evaluations to determine the validity of all measurements/tests for which they were used. n. M&TE reliability problems are trended to determine any corrective actions needed. o. Periodic reviews are conducted to determine that the control of M&TE is effective. p. Critical equipment calibrated with out-of-tolerance test equipment is evaluated in a timely manner for operability and should be recalibrated as necessary. DOE 4330.4B xxxv (and vi) 2-10-94 q. Results of M&TE calibrations are trended and corrective actions are determined for any M&TE reliability problems. 3.5.5 Maintenance Tools and Equipment Control Performance Objective: Methods should be established to provide for the storage, issue, and maintenance of an adequate and readily available supply of tools and equipment and also for the development of special tools and equipment needed in the maintenance program. Criteria: a. Proper tools, equipment, and consumable supplies are available to support work requirements. b. The process of providing tools and equipment for the facility includes proper storage and issue controls. c. Special tools, jigs, and fixtures should be identified and stored to permit retrieval when needed. d. Proper loading, lifting, and transporting equipment are available. e. Maintenance tools and other support equipment are included in the preventive maintenance program. f. Special tools, test rigs, special equipment, lifting and rigging equipment, and mockups are suitable for their intended use and properly identified. g. Specific instructions are provided to control the use of lifting and rigging equipment. h. Scaffolding and rigging equipment are identified, tested, and properly stored. i. Equipment and tools are maintained in a high state of readiness. j. The process of providing and developing tools and equipment for the facility include consideration of safety, availability for future use, cost-effectiveness, control, and storage. k. Worn, defective, or otherwise unusable tools are identified, segregated, and disposed of so that only safe, usable tools are available for use. 3.6 Implementation of Maintenance Activities A proper balance of corrective and preventive maintenance should be employed to provide a high degree of confidence that property degradation is identified and corrected, that equipment life is optimized, and that the maintenance program is cost-effective. Surveillance inspection and testing activities should provide assurance that the equipment needed for safe and reliable facility operation will perform within required limits. Predictive maintenance monitoring and diagnosis techniques should be used to xxxvi DOE 4330.4B 2-10-94 plan needed maintenance prior to equipment failure. Modification work and temporary modifications should be controlled administratively in the same manner as maintenance activities. The maintenance management program elements on this branch are as follows:

Surveillance and Preventive Maintenance; Predictive Maintenance; Corrective Maintenance; and Modification Work. The performance objectives and criteria for each of these elements are discussed in the following subparagraphs. 3.6.1 Surveillance and Preventive Maintenance Performance Objective: Surveillance, inspecting, and testing activities should provide assurance that the equipment needed for safe and reliable facility operation performs within required limits and that preventive maintenance (PM), defined as including periodic and planned maintenance, is utilized to maintain a piece of equipment within design operating conditions and to realize its maximum reasonable useful life. The potential impact of seasonal variations should be considered. References in Paragraphs 5f and m apply. Criteria: a. A master list of equipment to be included in the PM program is developed and analyzed for cost-effectiveness. b. An effective preventive maintenance program is implemented and includes systems and equipment that affect safe and reliable facility operation. c. Preventive maintenance is performed at predetermined and scheduled intervals and seeks to maximize equipment availability. d. Considerations such as operational experience, vendor recommendations, engineering analysis, cost/benefit analysis, climate, and especially reliability considerations are used as a basis to establish preventive maintenance tasks and intervals. e. Preventive maintenance activities are scheduled and performed within established intervals and, when possible, combined with corrective maintenance activities on the same equipment. A schedule reflecting seasonal transition issues should be established. Preventive maintenance is waived or deferred only with management approval. f. Preventive maintenance documentation provides a record of activities performed, data collected, and, where appropriate, the "as-found" and "as-left" condition of the equipment. g. Preventive maintenance is utilized to assess equipment performance, make adjustments, and perform other corrective actions where needed. DOE 4330.4B xxxvii (and vi) 2-10-94 h. Preventive maintenance work procedures are utilized for facility equipment requiring special permits, special plant conditions or line up, and/or special tools, parts, or lubricants. i. As part of the maintenance surveillance program, functional tests of installed equipment and/or systems (such as standby equipment or nonoperating equipment scheduled for rotation) are conducted and documented. j. Trending data is acquired as part of the maintenance surveillance program for long-term performance evaluations, such as bearing temperatures, pump speed, and vibration data. k. Administrative systems and controls provide for timely completion and review of required surveillances. l. Maintenance surveillance testing programs result in a high degree of reliability in the equipment needed for safe facility operation. m. The effectiveness of the surveillance program is periodically evaluated at an appropriate level of management and the results used to make program improvements. n. Abnormalities found during surveillances or preventive maintenance are immediately reported to higher authority. o. The basis for the planned preventive maintenance program is documented. Any deferral of preventive maintenance tasks has a technical basis. 3.6.2 Predictive Maintenance

Performance Objective: A predictive maintenance program should be established and utilized to monitor; determine trends; analyze parameters, properties, and performance characteristics or signatures of equipment in order to forecast equipment degradation so that "as-needed" planned maintenance can be performed prior to equipment failure. Criteria: a. Predictive maintenance techniques, such as reliability- centered maintenance (RCM) programs, are used to identify the need for preventive maintenance prior to equipment failure so that the predictive maintenance program is effective in reducing the failure of structures, systems, and components. b. The data gathered from tests, diagnostic equipment, fluid analysis, and other similar methods are analyzed, trends identified, and action plans/corrective actions defined. c. In-process monitoring of equipment is controlled by establishing the proper conditions, systems configuration, and operating parameters to help ensure that the data collected are comparable and trendable. xxxviii DOE 4330.4B 2-10-94 d. Equipment monitoring locations are identified and marked to obtain consistent readings each time predictive maintenance data are recorded. e. Mechanisms are established to provide feedback to the facility maintenance program in time to preclude equipment failure. f. The predictive maintenance program provides data to the preventive maintenance program and provides for retrieval of equipment history data. g. For all system/component/part failures, the root cause is determined, if possible, and the preventive maintenance program modified, as required, by feedback of actions taken or results. h. Because all equipment conditions and failure modes cannot be monitored, predictive maintenance is selectively applied where experience indicates that it is most cost-effective or best enhances safety. 3.6.3 Corrective Maintenance Performance Objective: Corrective maintenance should be performed in a manner ensuring that quality repairs are performed and that equipment failing or malfunctioning during service is restored in a timely manner. Criteria: a. A detailed master list of equipment, components, and structures to be included in the maintenance program is developed. b. Maintenance personnel are attentive to identifying and correcting facility deficiencies with a goal of maintaining equipment/systems in optimum operating condition. c. Corrective maintenance activities are controlled to ensure equipment and/or systems are returned to normal operating configuration. d. Good maintenance work practices are followed, including: (1) Proper tools and equipment are used; (2) Good safety practices are followed; (3) Foreign materials and contaminants are excluded from open systems and equipment; (4) Prejob briefings; training; job procedure use; quality workmanship, materials, and parts; and proper postjob reporting are utilized; and (5) Work sites are clean and orderly. DOE 4330.4B xxxix (and vi) 2-10-94 e. Corrective maintenance activities should ensure that the condition that caused the failure is identified, corrected, and documented. f. If it is determined that a warranty or guarantee is of economic value, procedures should be established "to flag" future work on this item to ensure that craft personnel and supervisors do not void the agreement by accomplishment of unauthorized maintenance or repair. 3.6.4 Modification Work

Performance Objective: Modifications and temporary modification work should be accomplished under the same basic administrative controls as those applied to maintenance activities so that there are no increases in risk to facility, equipment, environment, or personnel because of the modification work. Criteria: a. Temporary modifications, defined as temporary repairs allowing equipment to remain in or be returned to service in a condition that is not the same as the original design specification, receive appropriate reviews prior to implementation to ensure the adequacy of the repair and to assess its effect on personnel and equipment safety and reliability. b. Temporary modifications are tracked after their completion for consideration of permanent repairs. Permanent corrective action is taken as soon as practicable. c. Prior to implementation, a review is performed to look at facility modifications to determine future required maintenance activities and to specify that these activities be added to the maintenance surveillance, preventative, and predictive programs, as applicable. d. Changes to processes, alarm setpoints, and computer software required by modifications are controlled. e. The modifications packages identify changes to the spare parts system, dispositions of parts/material reused, etc. f. Documents affected by modifications, such as drawings and procedures commonly used for system operation, tagouts, and maintenance, are updated prior to operation of the system or equipment. g. Onsite modifications, rework, and repairs performed by vendors or construction forces are controlled in a similar manner as other work activities. 3.7 Maintenance Evaluation and Analysis xl DOE 4330.4B 2-10-94 Maintenance evaluation and analysis consists of a program to determine root causes of problems, periodic reviews and analyses to determine efficiency, performance measurement to set a basis for improvement, management involvement to demonstrate a commitment to improvement, work sampling to observe personnel work practices, and cost identification and control to ensure cost-effectiveness. The evaluation and analysis aspects of the program should be a continuous, ongoing effort aimed at the overall improvement of the entire maintenance program. Feedback from internal and external audits and lessons learned should be factored into the maintenance program. The maintenance management program elements on this branch are as follows: Analysis of Root Causes of Problems; Periodic Review and Analysis; Performance Measurement and Improvement; Management Involvement; Work Sampling; Cost Identification and Control; and Audits and Lessons Learned. The performance objectives and criteria for each of these elements are discussed in the following subparagraphs. 3.7.1 Analysis of Root Causes of Problems Performance Objective: A systematic analysis methodology should be used to determine and correct root causes of problems, unplanned events, and occurrences related to maintenance. The reference in Paragraph 5f applies. Criteria: a. Recurring maintenance problems are reduced by identifying and resolving the root causes of the problems. b. An analysis program is established to investigate unplanned occurrences that have an impact on safety or reliability or are of a recurring nature. This program includes the methodical collection of facts describing the unplanned occurrence. (1) All available information and probable causes of an incident or problem should be evaluated.

(2) Analyses of information should include one or more techniques, including the following: event and causal factor charting; barrier analysis; walk-through task analysis; change analysis; and fault tree analysis. (3) Outside experts are utilized when required. c. An acceptable root cause will meet the following criteria: (1) Its correction prevents recurrence of the unplanned occurrence; (2) Its correction is feasible; and DOE 4330.4B xli (and vi) 2-10-94 (3) Its correction does not adversely impact safety, reliability, or operational goals. d. Root causes are categorized in terms of either human performance or equipment performance. e. When all root causes involved have been determined, a corrective action plan is developed, executed, and tracked to completion. f. The analysis program addresses any generic corrective actions that need to be taken after problems with the specific piece of equipment have been determined and corrected. g. After analysis is performed to determine the root cause(s) of failure, corrective action is taken that includes feedback into the preventive and predictive maintenance programs and maintenance training and qualification programs. 3.7.2 Periodic Review and Analysis Performance Objective: Standardized procedures, methodologies, and systems should be developed and utilized for the review and analyses of the efficiency of maintenance programs. References in Paragraphs 5f and m apply. Criteria: a. A periodic assessment of equipment, systems, and facilities is conducted to adjust preventive maintenance actions and tools and equipment availability and to determine inadequacies. b. Reviews of the overall effectiveness and efficiency of the procurement and material control process are conducted. c. Measuring and test equipment is periodically reviewed to verify that it is supporting the safe and reliable operation of the facility. d. The maintenance training program is periodically reviewed to identify training program enhancements or changes in emphasis. e. The work control system is periodically reviewed to ensure that documentation is consistent with the work accomplished and that all necessary work is being accomplished. f. Periodic self-assessments are performed in accordance with the reference in Paragraph 5m. g. Review of a consistent broad range of performance indicators is performed periodically. The results of this review and analysis are used as the basis for program improvements such as the following: (1) Adjustments to preventive maintenance frequencies; xlii DOE 4330.4B 2-10-94 (2) Addition or deletion of preventive maintenance activities; (3) Proposed design changes; (4) Adjustments to spare parts and materials stock levels; (5) Adjustments to staffing and/or training; and (6) Adjustments in tools, equipment, and facilities or modifications to improve facility equipment maintainability. h. The backlog management program is periodically reviewed to verify that actions are effective in maintaining or reducing the backlog to comply with the Backlog Work Control criteria of Paragraph 3.4.8. 3.7.3 Performance Measurement and Improvement Performance Objective: Management and maintenance organizations should have a quantitative means of measuring performance and effectiveness to improve the maintenance system. References in Paragraphs 5k and m apply. Criteria:

a. Each maintenance organization develops a method of measuring maintenance system performance (such as the maintenance and repair costs of buildings measured in dollars per square foot, the growth of backlog of maintenance and repair, the amount of unscheduled maintenance and repair costs, the amount of emergency maintenance costs, or other similar items). b. Programs are routinely implemented to monitor, collect, trend, and analyze performance data (including thermal, hydraulic, electrical, acoustical, and mechanical data) for equipment, systems, and components important to facility reliability and efficiency. c. Performance data is analyzed and the results used to determine the reliability of key facility systems and components and to identify ways to optimize facility reliability and efficiency. d. Maintenance performance indicators and trends such as the following are used to focus management attention on areas that should be documented and addressed: (1) Post-maintenance test results; (2) Periodic surveillance test results; (3) Ratio of preventive maintenance costs to corrective maintenance costs; (4) Maintenance work request backlog; DOE 4330.4B xliii (and vi) 2-10-94 (5) Time to restore component function after failure discovery; and (6) Frequency of maintenance rework. 3.7.4 Management Involvement Performance Objective: To enhance the safety of facility operations, maintenance managers should be sufficiently involved with facility operations and maintenance to be technically informed and personally familiar with conditions at the operating facility. References in Paragraphs 5f and m apply. Criteria: a. Maintenance managers are involved and know what is going on by frequently touring the facility. Effective corrective actions are taken for noted problems. The maintenance program is periodically reviewed by facility management in self-assessments. b. Maintenance performance is checked by observing people at work and also by inspecting, monitoring, and checking equipment and by timely followup of corrective actions. c. Facility tours and personnel contacts are also performed during "off-shifts" and cover selected facility areas and personnel activities. The results and observations of these tours are documented and corrective action plans created where appropriate. d. Senior managers monitor the assessment activities of their subordinate managers and supervisors. e. Management and supervisory assessment and improvement efforts are performance oriented. Line managers and supervisors are responsible for determining and implementing corrective actions. f. Management assessments are conducted to determine the reasons for success or failure in achieving objectives. Results are incorporated into future objectives. g. Maintenance management establishes the percentage of time that first line supervisors are expected to spend supervising field work. h. A key element of management involvement is the establishment of a feedback system to identify problem areas and create participation in improvements. 3.7.5 Work Sampling Performance Objective: A work sampling program for the purpose of determining the extent of various craft activities and their related delay times should be established such that they may be used to measure the utilization of craft personnel in performing work in a maintenance management program. xliv DOE 4330.4B 2-10-94 Criteria: a. When performing work sampling, the craft or shop group is utilized as the unit of measure, not the individual.

b. When performing work sampling, the categories of time affecting the total job (such as travel, job preparation, direct work, and delay time or idle status associated with the work activities) are determined and utilized. c. Work sampling provides a base case or basis against which all subsequent improvements can be measured. d. Work sampling is utilized to measure the effects of planned improvements to craft utilization. e. Maintenance performance is checked by observing people at work. 3.7.6 Cost Identification and Control Performance Objective: Cost accumulation and reporting systems should be established to facilitate the work control system utilized to evaluate maintenance performance. The reference in Paragraph 5a applies. Criteria: a. Accounting for maintenance is established to allow management to understand clearly the scope of planned maintenance efforts for the funding allotted. b. Procedures are in place to define proper cost coding and cost verification. c. Managers and supervisors review cost data to prevent overruns and to detect adverse trends. d. Estimated job costs from the planning effort are evaluated against final job costs. e. Budgets are justified by factual or historical maintenance costs or by some other industry-recognized method that provides information on the resources required to maintain the capital asset in a state of good repair. 3.7.7 Audits and Lessons Learned Performance Objectives: External and internal audits, such as self-assessments, lessons learned, and experience from other DOE sites, should be evaluated and considered for utilization for making appropriate changes to systems, procedures, and management concepts to obtain needed improvements and/or to delete nonessential, noncost-effective, or redundant activities. References in Paragraph 5f and m apply. Criteria: DOE 4330.4B xlv (and vi) 2-10-94 a. Inspections, audits, reviews, investigations, and self- assessments are utilized to provide feedback to the maintenance program. b. The ability to apply lessons learned from in-house maintenance experiences (and the experiences of others) is considered an essential aspect for long-term success. c. Related maintenance experience at other facilities or DOE sites is evaluated and appropriate changes made to systems procedures, and management concepts. d. Procedures are in place to assign responsibility for areas needing improvement corrective action and followup. Corrective actions are tracked and reported until completion. e. Quality assurance, safety, and environmental audits and inspections are promptly evaluated and appropriate action taken. f. Changes or modifications resulting from audits and lessons learned are documented in policies and procedures. xlvi DOE 4330.4B 2-10-94 DOE 4330.4B xlvii (and vi) 2-10-94 CHAPTER II GUIDELINES FOR THE CONDUCT OF MAINTENANCE AT DOE NUCLEAR FACILITIES 1. GENERAL INTRODUCTION. Maintenance has a primary role in ensuring safe and reliable operation of Department of Energy (DOE) reactor and nonreactor nuclear facilities. To carry out this role, a strong maintenance philosophy and culture (i.e., a set of standards, values, and convictions) should exist based on sound and established principles. Achievement of excellence in maintenance requires a team effort and a dedicated commitment to raising standards.

These guidelines describe key elements of programs that support maintenance at DOE nuclear facilities. Their implementation, using the graded approach as discussed below, should result in a high level of performance in facility maintenance and, therefore, contribute to safe and reliable facility operation. The discussion of the key elements includes material that incorporates the concepts included in other Orders associated with matters related to the maintenance program. For example, the discussion on procedures is consistent with the direction of DOE 5480.19, CONDUCT OF OPERATIONS REQUIREMENTS FOR DOE FACILITIES. Similarly, there is considerable carry over from DOE 5700.6C, QUALITY ASSURANCE, DOE 5480.20, PERSONNEL SELECTION, QUALIFICATION, TRAINING, AND STAFFING REQUIREMENTS, AT DOE REACTOR AND NON-REACTOR NUCLEAR FACILITIES. The guidance in many cases repeats the information from the referenced Order. This material is retained in these guidelines to facilitate the maintenance organization's incorporation of the elements and their criteria into the program. In many cases the objectives and criteria of all applicable Orders are consistent and can be met by one program. Experience has shown that better operating facilities have well-defined, effectively administered policies and programs to govern maintenance activities. These guidelines have been prepared to assist Managers of Field Elements and contractors in the review and development of programs important to facility maintenance. For the purpose of these guidelines, maintenance includes those functions performed primarily by mechanical, electrical, instrument and control, and material management/services procurement organizations. Although these organizations may be under different managers, applicable sections of the guidelines still apply to these respective organizations and functions. Not all activities in the maintenance area are addressed. Some activities, such as methods for compliance with Technical Safety Requirement surveillance and in-service inspection requirements and the technical aspects of specific equipment maintenance, are not included because they involve facility-specific situations requiring unique direction; however, use of these guidelines should support and complement performance in those activities. These guidelines have also been written to assist contractors and field elements in understanding and conducting a maintenance program at DOE nuclear facilities to meet the underlined performance objectives contained in the elements described in Chapter II. These guidelines use the term "should" throughout the Chapter as a convention to emphasize the use of a graded approach in developing the required maintenance implementation plans previously described in Paragraph 10d. This "should" convention is maintained even though the reader would expect to see "shall" in sections where there are interfaces with other DOE Orders xlviii DOE 4330.4B 2-10-94 such as 5700.6C. It is expected that contractors may use different approaches or methods than those defined in these guidelines, but all facilities are required to meet the intent of these guidelines. Some explanation of the intent of the guidelines is provided in the Introduction and Discussion sections for each element, and the specific guidelines that follow reflect generally accepted methods for conducting maintenance functions and related activities.

It is recognized that, because of the Department's diverse nuclear facilities, not all guidance established in the guidelines applies to all nuclear facilities. Therefore, a graded approach for maintenance programs for nuclear facilities is directed. However, because of the significance of these facilities, documentation and approval of the maintenance program must be obtained as required in Paragraphs 10d and e. At those DOE facilities where the graded approach indicates deviations from these guidelines are considered to be necessary and appropriate, or because of the uniqueness of the DOE nuclear facility, the guidelines do not appear to be applicable, such deviations or nonapplicability should be identified in the Maintenance Implementation Plan, and the approval of the Manager of the Field Element per Paragraph 10e. These guidelines should also be useful to field element and contractor managers and staff members responsible for the oversight of facility programs supporting maintenance. In particular, this document could be used to assess the effectiveness and adequacy of contractor policies, procedures and facility actions in the area of maintenance. Groups reviewing nuclear facility maintenance performance could use this document as a reference to support some aspects of their activities. Each section of this document is organized into three subsections. The Introduction subsection briefly describes the objective to be achieved. Addressing each of the objectives is a requirement for an adequate maintenance program. The Discussion subsection describes the actions needed to accomplish the objective and includes a brief explanation of why these actions are necessary or important. The final subsection, Guidelines, provides specific guidance for meeting the section objective. 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. Persons wishing to obtain an overview of this document need only read the Introduction and Discussion subsections of each section. 2. MAINTENANCE ORGANIZATION AND ADMINISTRATION 2.1 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. Effective implementation and control of maintenance activities are achieved primarily by establishing written policies, procedures, and standards for maintenance; periodically observing and assessing performance; and holding personnel accountable for their performance. DOE 4330.4B xlix (and vi) 2-10-94 This Paragraph discusses the policies resources, goals and objectives, and accountability needed in facility maintenance. The reference in Paragraph 5f applies. 2.2 Discussion A high level of performance in facility maintenance is accomplished by establishment of high standards by senior management, communicating standards to personnel who perform maintenance, selecting and training high quality personnel, providing sufficient resources to the maintenance organization, setting goals and objectives, closely observing and assessing performance in maintenance, effectively coordinating maintenance activities with operations and other facility organizations, and holding workers and their supervisors accountable for their performance in conducting maintenance activities. Another key to obtaining and maintaining high quality maintenance performance is establishing an organization that provides time for and emphasizes long-range planning.

Sufficient staff, equipment, and funding should be allocated to the maintenance organization so that its functions can effectively be performed. Resources can be allocated on a case-by-case basis, depending on the organization utilized. One indication that sufficient resources have been allocated is how well the maintenance goals are met. Maintenance goals and objectives are discussed later in this Paragraph. Contractor and facility management should establish maintenance standards, considering input from the maintenance staff and craft personnel who will more eagerly support standards they have helped to develop. These standards should define maintenance objectives, establish expected performance levels, and clearly define maintenance responsibilities and accountabilities. Standards for maintenance activities should be integrated into maintenance procedures and programs. Maintenance standards should also be communicated to the working level by training workers in good work practices and by supervisors observing and guiding work activities. Performance in maintenance should be closely monitored by field element personnel and facility managers through direct observation and maintenance reports. Progress toward achieving goals should be examined to effectively measure the performance of the maintenance organization. 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. 2.3 Guidelines 2.3.1 Maintenance Organization Policies It is a primary responsibility of the maintenance manager1 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 1The term maintenance manager is used throughout the guidelines to denote the manager responsible and hence accountable for the maintenance functions. l DOE 4330.4B 2-10-94 policies, including the responsibility of maintenance personnel,2 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 that are used to guide maintenance organization activities. These documents should also specify the types of controls necessary to implement maintenance policies. 2.3.2 Maintenance Strategy a. Working Relationships Each facility should develop an integrated approach to maintenance so that working relationships are developed among all organizational units that support the maintenance function (e.g., operations, health physics, stores, quality control, engineering, and procurement). The maintenance strategy should chart the relationship among these supporting groups, as related to overall facility maintenance, by defining responsibility, authority, and accountability. This will entail identification of: 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 for each supporting group (e.g., number of plant work orders on hold because of a lack of spare parts). b. Long-Range Planning

Effective management of the maintenance program requires long- range planning. By establishing a scope of long-range major activities, funding and staff resources can be managed to meet the needs of the maintenance program. Items such as the following should be part of long-range planning: Recurring major maintenance items such as major component overhaul, inspections, and rebuilds; Timing of planned maintenance and reactor refueling outages or equipment outages; Major projects and modifications requiring maintenance organization involvement; 2The term maintenance personnel denotes any individual performing a maintenance function. DOE 4330.4B li (and vi) 2-10-94 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 end of their service life; Outage planning should reflect availability of resources; Value-impact assessment of maintenance methods, processes, and approaches/alternatives to performing work should be done periodically; Government and industry issues and events that will change or impact the maintenance program; Budget changes or projects that may divert major dollars from maintenance activities; and Contractor and corporate long-range support. 2.3.3 Staffing Resources Maintenance managers are responsible for helping to select high-quality personnel, for effective use of available resources, for assessment of resource adequacy, and for making recommendations regarding needed changes to the appropriate managers. They should be involved in defining entry-level criteria and screening of new personnel. High-quality personnel should be selected to establish a staff of supervisory, engineering, planning, technical (craft), warehousing, and other support personnel needed to support the maintenance program. The entry-level criteria should ensure that maintenance personnel have the requisite background and experience to be trainable for work in nuclear facilities. A written or practical test has been used to demonstrate this minimum level of competence. If engineering personnel are not directly assigned to the maintenance organization, the maintenance manager should ensure that adequate engineering support is readily available (e.g., system engineers who are actively involved with daily maintenance activities such as troubleshooting and the evaluation of 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 for training activities. A training and qualification program should be developed for maintenance supervisors, planners, craft, and warehouse personnel to ensure that high-quality performance by maintenance personnel is achieved and maintained. Career progression plans should be developed that help ensure that future maintenance staff vacancies can be filled with qualified personnel. These progression plans include providing experience opportunities and training to potential candidates for specific positions. All maintenance management and supervisory positions should be filled with permanent contractor personnel. lii DOE 4330.4B 2-10-94 2.3.4 Goals and Objectives 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:

Minimize the impact on planned outages by planning and completing maintenance activities in a timely manner; Minimize the number of forced outages; Minimize the lost-time accident rate; Minimize facility and equipment downtime; Minimize personnel errors; Minimize process delays in work controls and work execution. Minimize radiological exposure consistent with the reference in Paragraph 5e; Control and reduce contaminated areas; Reduce repeat maintenance work requests (rework); Complete scheduled surveillances and preventive maintenance activities in a timely manner; Minimize the maintenance backlog and reduce the completion time of outstanding deficiencies; Control overtime; and Complete outage and nonoutage 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 determination and estimate, a challenging but achievable goal should be established. Meeting goals generally requires a definite set of actions. Action plans should be developed with input from personnel involved in conducting maintenance activities, reviewed by the maintenance manager, and approved by the facility manager. Guidance is provided in Paragraph 15 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 accomplishment; rather, the purpose of goals is to improve maintenance performance. Goals for routine tasks or tasks that are easy to meet with little action should not be used. 2.3.5 Accountability DOE 4330.4B liii (and vi) 2-10-94 Managers, supervisors, engineers, planners, craft, warehouse personnel, and other personnel who support maintenance should be recognized for their performance. Rewards and other forms of recognition should be given for superior performance. Personnel involved in significant or frequent violations of maintenance requirements should be encouraged to improve through counseling, by remedial training, or by disciplinary measures where appropriate. A performance feedback program, such as performance appraisals, should be used to evaluate facility maintenance personnel. This program should include or should 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 their manager or supervisor. 3. TRAINING AND QUALIFICATION OF MAINTENANCE PERSONNEL 3.1 Introduction A maintenance training and qualification program consistent with references in Paragraphs 5g and m should be implemented to develop and maintain the knowledge and skills needed by maintenance personnel to effectively perform maintenance activities. The program should be designed so that the maximum potential of maintenance personnel is fulfilled. This Paragraph describes the implementation of training and qualification programs for maintenance personnel. Guidance is also provided for training program evaluation and record keeping.

The maintenance manager and supervisors should be directly involved in training maintenance personnel. This involvement should, as a minimum, include close coordination with the contractor 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. 3.2 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 these positions; Defining training programs for each position; Determining the content and emphasis of the training needed; Determining and supporting training schedules; liv DOE 4330.4B 2-10-94 Determining the training needs of and tailoring the training program for each individual based on previous education, training, experience, and skill level; Providing instructors and trainers; Establishing qualification criteria, with emphasis on successful performance in the field; Coordinating the conduct of and instruction during OJT; Qualifying individuals as they complete their training programs; and 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 a key consideration in obtaining safe, efficient, and high-quality maintenance. The maintenance manager should be involved in the construction of new maintenance training facilities and 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: Training class size; Type of training (e.g., classroom, laboratory, on-the-job training); Use of mockups; Environmental controls; Services (e.g., electricity, air, water, and gas); Training equipment (e.g., lecture boards, projectors and screens, and simulators); and Equipment similar to that installed in the facility for practical training. 3.3 Guidelines 3.3.1 Responsibilities The responsibilities for establishing, maintaining, and implementing the maintenance training programs should be clearly defined and understood. A key element for success is personal involvement of managers and supervisors in the development, scheduling, and conduct of maintenance training. 3.3.2 Maintenance Training Programs Training should be defined and should include managerial, supervisory, planning, engineering, warehousing, craft positions, contractor personnel, and other positions, as deemed necessary. Courses should then be obtained or developed. DOE 4330.4B lv (and vi) 2-10-94 3.3.3 Training Schedules and Support The maintenance manager and supervisors should work closely with the training organization to accomplish items such as the following: Prepare schedules that reflect instructor, training facility, and trainee availability and include (as appropriate) self-study, classroom instruction, practical training, vendor or other noncontractor employee training, and OJT.

Review each trainee's previous education, experience, and skill level to determine which portions of the training program can be exempted for the position. One method to accomplish this is to require potential employees to pass a written test as part of the interview process. Based on the test results, the training program and milestones for that individual are established. Ensure qualified instructors are available to teach specific courses. 3.3.4 On-the-Job Training On-the-job (OJT) training is practical hands-on training in which employees achieve learning objectives through training conducted in 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 day-to-day work activities. Accordingly, maintenance department supervisors and selected experienced craft personnel are directly involved in OJT. Some key elements of OJT are listed below: OJT 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 what the 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. OJT Trainer Qualification--OJT should be conducted by personnel who have successfully qualified as OJT trainers. Personnel with maintenance experience in the training department, as well as personnel in the maintenance department itself, may be used as OJT trainers. These trainers should have good verbal communication skills and technical knowledge and should have the ability to effectively provide trainees with 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 facility. Prior to 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 components that will be manipulated. The results lvi DOE 4330.4B 2-10-94 of incorrect actions should be discussed, particularly if they would 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 a radiation work permit is used). The trainer should review any information recorded by the trainee on official work and data sheets and stress to the trainee the importance of maintaining accurate training and facility records. In addition, the instructor should discuss out-of-specification values and their consequences and the required reporting of such issues with the trainee. Number of Trainees--To determine the number of trainees allowed to simultaneously participate 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 distracted 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. However, it may be prudent to have only one trainee for work involving a live, high-voltage circuit or conducting a reactor protection system surveillance test.

Trainee Conduct of Maintenance--The maintenance manager should establish a policy that allows trainees to independently perform 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 requirements before being assigned to perform independently a task on that equipment. The need to make progress in training should be considered when scheduling maintenance tasks for the trainee. 3.3.5 Qualification In conjunction with the training organization, maintenance management should review an individual's training accomplishments prior to qualification for a given task. A similar method should be established to review the qualification of contractor personnel. This review should include the following: Verifying completion of all designated 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 acquired (not as a verification of total expertise and proficiency but as an indicator of competency upon which to build); and DOE 4330.4B lvii (and vi) 2-10-94 Formal qualification approval and documentation. 3.3.6 Training In Root-Cause Analysis In addition to training in technical maintenance functions as described in the preceding, 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 leadership should be placed with individual(s) 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 given the background necessary to select and implement an approach that is suitable for a particular situation. 3.3.7 Training Program Approval, Effectiveness, and Feedback 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 initial and continuing training program enhancements and emphasis. Feedback on the trainee's perception of and suggestions for improving the training program should be obtained. Any performance trends that indicate maintenance knowledge or skills needing improvement should be considered during the review of the maintenance training programs. Changes to the training programs by the training organization should include recommendations from the maintenance manager. 3.3.8 Management and Supervisory Training There should be a formalized training program that addresses and provides the necessary training to develop and maintain management and supervisory skills. This training should include generic areas such as 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 properly communicate with their people and carry out their responsibilities. This is especially important to the first-line supervisors to aid them in managing maintenance activities. Career progression planning should be used to help customize the training program for personnel being considered for specific supervisor and manager positions.

4. MAINTENANCE FACILITIES, EQUIPMENT, AND TOOLS 4.1 Introduction Maintenance facilities, equipment, and tools should efficiently support facility maintenance and maintenance training. Maintenance lviii DOE 4330.4B 2-10-94 facilities directly affect maintenance personnel training and the ability to maintain the facility in an optimum state of readiness. Maintenance facilities include storage for equipment, tools, supplies, and parts. This Paragraph provides guidance in determining needs for the facilities, tools, and equipment necessary to support maintenance. References in Paragraphs 5l and m apply . 4.2 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 activity to be performed are examples of items to be considered in providing adequate maintenance facilities. Maintenance training facilities, shops, satellite work area, 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 work place where high quality work can be performed. 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 effectively accomplish maintenance depend on such variables as facility purpose, design and layout, installed equipment, and work force composition. The process of providing and developing tools and equipment should include considerations of cost, control, and storage. Tool and equipment control are addressed in Paragraph 13. 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. Maintenance facilities, tools, and equipment use 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 a long-range project and not done to address an immediate need. 4.3 Guidelines 4.3.1 Facilities a. Shops and Satellite Work Areas 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 DOE 4330.4B lix (and vi) 2-10-94 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 are:

Fume removal; Temperature, humidity, and dust control; Equipment space considerations; Lighting; Demineralized water; Noise control; Facility service and instrument air; Electrical power supplies; and Radiological controls. Environmental conditions often have a significant impact on personnel performance. Supervisors need to be responsive to maintaining work place environmental controls conducive to increased maintenance quality and work efficiency. Each shop and satellite work area should have storage that is convenient and encourages craft personnel to keep the area neat and clean. Shelves, cabinets, lockers, and tool boxes are examples of storage facilities that could be provided for items such as tools, parts, reference materials, and personal items. b. Laydown and Staging Area 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, area 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; Radiological control; Labeling of facilities to designate responsibility and entry authorization; and Contingency plans for changes (such as unanticipated radioactive airborne contamination) that could render a facility unusable for its intended purpose. lx DOE 4330.4B 2-10-94 Reactor refueling and other 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. c. Storage Facilities 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 items 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 items such as material receipt, inspection, handling, storage, retrieval, and issuance (Paragraph 11) and tool and equipment control (Paragraph 13). Inventory level of spare parts, supplies, and equipment to support safe and reliable operation of the facility (Paragraphs 10 and 11). d. Temporary Facilities Temporary facilities are required for activities involving airborne radioactivity and contamination control and contractor support during outages. Planning and coordinating temporary facilities with other groups, such as radiological protection and operations, results in more efficient use of space. Such necessary services as electrical 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. Major temporary facilities should be controlled through the plant's design change programs to ensure additional building services (such as electrical, compressed air, and water requirements) do not overload the installed plant systems. e. Decontamination Facilities

Decontamination facilities should be used to reduce the volume of solid radioactive solid waste, permit clean work on formerly contaminated equipment, and reduce contamination on reusable tools and equipment. Examples of decontamination facilities and methods include a wash-down area, solvent rinse, ultrasonic bath, acid bath, DOE 4330.4B lxi (and vi) 2-10-94 electropolishing, hydroblasting, and sand blasting. Use of these facilities and methods can reduce exposure, repair time, and solid radioactive waste volume and provide better tool management. 4.3.2 Tool and Equipment Storage Storage facilities should be centrally located to shops and normal work areas to improve maintenance efficiency. Storage facilities should provide for day-to-day tool and equipment use for craft personnel and for special tools and equipment, test rigs, and the ready retrieval of mockups when needed. These facilities should provide environmental controls for temperature, humidity, dust, and radioactive contamination, as needed. Facilities should also meet manufacturers' special 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 of tools. See Paragraph 13 for additional information on tool and equipment control. 4.3.3 Office Equipment 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 office equipment should be accessible and maintained in a reliable working condition. When computerized data bases 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. 5. TYPES OF MAINTENANCE 5.1 Introduction A proper balance of corrective and preventive maintenance should be employed to provide a high degree of confidence that facility equipment degradation is identified and corrected, that equipment life is optimized, and that the maintenance program is cost-effective. The maintenance program includes preventive, predictive, and corrective maintenance. This Paragraph provides guidelines in establishing the proper relationship of the types of maintenance in the maintenance program. This Paragraph does not address Technical Safety Requirements; however, operations maintenance surveillance, inspections, and in-service inspections should be considered as essential source data in establishing the scope of the predictive and preventive maintenance program. References in Paragraphs 5e and f apply. 5.2 Discussion Many factors should be considered in establishing an effective and efficient balance of the types of maintenance. On important systems and equipment, a thorough technical analysis using methods such as reliability-centered maintenance (RCM) may be needed to establish this balance. On less important systems, the amount of preventive lxii DOE 4330.4B 2-10-94 maintenance to be performed may be determined using a more basic judgmental engineering analysis. A proper balance of the types of maintenance may include, on one extreme, no preventive maintenance for equipment that is allowed to run until it fails, if the failure would not adversely impact facility operations. On the other extreme, for equipment whose failure can limit safe or reliable operation or result in forced outages, extensive preventive maintenance may be required. The purpose of preventive maintenance is to eliminate or minimize this latter type of failure.

Costs associated with preventive maintenance should be offset by improved facility reliability and availability and by reduced corrective maintenance. Excessive or unnecessary preventive maintenance can consume resources that could otherwise be used to extend the scope of the preventive maintenance program and may also increase maintenance errors, rework, and personnel radiation exposure. For the purposes of these guidelines, the types of maintenance are defined as follows: Corrective maintenance is repair and restoration of equipment or components that have failed or are malfunctioning and are not performing their intended function. As a rule of thumb, if the specific component (e.g., packing or bearing) requiring maintenance has failed, the action required to repair it should be classified as corrective maintenance. Preventive maintenance includes periodic and planned maintenance actions taken to maintain a piece of equipment within design operating conditions and extend its life and is performed prior to equipment failure or to prevent equipment failure. This includes technical specification surveillance, in-service inspections, and other regulatory forms of preventive maintenance. Operations maintenance surveillances are, in addition to Technical Safety Requirement surveillance, the periodic actions, tests, or inspections conducted by the operations or maintenance organization to improve the reliability of equipment. These surveillances may include minor component lubrication, functional tests of standby equipment or nonoperating equipment scheduled for rotation, and data acquisition at specific frequencies for long-term performance evaluation such as bearing temperature, pump speed, and the data requirements for predictive maintenance described in Paragraph 5.3.2c. - Periodic preventive maintenance activities are accomplished on a routine basis (typically based on operating hours or calendar time) and may include any combination of external inspections, alignments or calibrations, internal inspections, overhauls, and component or equipment replacements. - Planned preventive maintenance activities are performed prior to equipment failure and can be initiated by predictive or periodic maintenance results, by vendor DOE 4330.4B lxiii (and vi) 2-10-94 recommendation, or by experience. These include items such as scheduled 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 due to packing leakage would be corrective maintenance, but scheduled repacking prior to leakage would be planned maintenance. Predictive maintenance activities involve continuous or periodic monitoring and diagnosis in order to forecast component degradation so that "as-needed" planned maintenance can be performed prior to equipment failure. Not all equipment conditions and failure modes can be monitored; therefore, predictive maintenance must be selectively applied. Reliable predictive maintenance is normally preferable to periodic internal inspection or equipment overhauls. The elements needed to successfully implement the maintenance program discussed above include the following: A master equipment list should be developed to help in selecting and scheduling preventive maintenance and for 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 preventive maintenance actions required and the frequency needed for performing each preventive maintenance action. Each preventive maintenance action should be scheduled in a manner that allows consideration for performing other related maintenance at the same time (Paragraph 7). Preventive maintenance actions that are deferred past a grace period (normally, 25 percent of the established interval) or missed should be reviewed and approved by the maintenance manager, and reported periodically to the facility manager. The maintenance program should be reviewed periodically to determine the effectiveness of the program on overall facility reliability. Changes should be considered during this review to optimize the maintenance program (Paragraph 15). 5.3 Guidelines 5.3.1 Master Equipment List A detailed master list of 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. This list can also be used effectively in establishing the maintenance history program (Paragraph 16). 5.3.2 Types of Maintenance a. Corrective Maintenance lxiv DOE 4330.4B 2-10-94 Corrective maintenance consists of all those actions performed to restore failed or malfunctioning equipment to service. Corrective maintenance activities should ensure that the condition that caused the failure is identified, corrected, and documented. Analysis should be performed to determine the root-cause or causes of failure and corrective action should be taken, including feedback into the preventive and predictive maintenance programs and maintenance training and qualification programs. Priorities for corrective maintenance should be established, based on plant objectives and the relative importance of the equipment. b. Preventive Maintenance Preventive maintenance consists of all those systematically planned and scheduled actions performed for the purpose of preventing equipment failure. The preventive maintenance program should define the required activities and the frequency at which they should be performed. Selection of required preventive maintenance actions should be based on manufacturer's recommendations, plant experience, and good engineering practice. The frequency of preventive maintenance should be based on adequately implementing the entire program, considering such elements as predictive maintenance results, vendor recommendations, ALARA considerations, and monitoring of performance. Further, any deferral of planned tasks should have a technical basis. Maintenance action is often scheduled on a routine basis (e.g., by calendar hours or run time) on equipment to prevent breakdown and involves servicing such as lubrication, filter changes, cleaning, testing, adjustments, calibration, and inspections. Planned maintenance is done prior to equipment failure. This can be initiated by predictive or periodic maintenance results, by vendor recommendation, or by experience. This includes items such as the following: Scheduled 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.

Planned maintenance is typically done during outages or on spare or redundant equipment that is available during facility operation. c. Predictive Maintenance Predictive maintenance consists of the actions necessary to monitor, find trends, and analyze parameter, property, and performance characteristics or signatures associated with a piece of equipment that indicate the equipment may be DOE 4330.4B lxv (and vi) 2-10-94 approaching a state in which it may no longer be capable of performing its intended function. The predictive maintenance program should be effective in reducing the failure of structures, systems, and components by using techniques that indicate the need for preventive maintenance prior to equipment failure. The data gathered should be analyzed, trends should be identified, and action needed should be defined. Action should be taken to provide feedback to the maintenance program in time to preclude equipment failure. The predictive maintenance program should provide data to the preventive maintenance program and provide and retrieve equipment history data. Root causes should be determined, if possible, and action taken and results fed back into the program. Predictive maintenance actions are determined by the data required to describe equipment performance, for example: Vibration analysis (including spectral analysis and bearing temperature monitoring) and lube oil analysis (ferrography) are used to monitor rotating equipment. Infrared surveys (thermography) are performed on heat- producing equipment such as motors, circuit breakers, batteries, load centers, and insulated areas to monitor for high resistance or insulation breakdown. Motor-operated valves are tested and analyzed. Such tests as operating current, voltage, and timing checks should be used. Selected instrument data are identified, normal values and acceptance criteria are established, and readings are monitored and trended for the operation condition of the equipment to detect degradation. When predictive maintenance requires in-process monitoring of the equipment, such action should specify establishing the proper conditions, systems configuration, and operating parameters to help ensure that the data collected are comparable and trendable. Equipment monitoring locations should be identified and marked to obtain consistent readings each time the predictive maintenance data are provided. Knowledgeable individuals must review and analyze these data for the predictive maintenance program to be successfully used to predict and address incipient failures. 5.3.3 Maintenance Action and Frequency Selection Using the master equipment list, preventive actions and their frequencies are analyzed to identify periodic actions that should be taken to improve equipment performance. The actions selected and their frequencies should be determined, based on such considerations as the following: Regulatory and code requirements; Vendor recommendations; lxvi DOE 4330.4B 2-10-94 Experience at this and similar facilities; Maintenance history; Engineering judgment; Cost/benefit evaluations; Available personnel; Minimizing personnel radiation exposure using the ALARA principles; Function, ease of replacement, and demonstrated reliability of equipment or system; Optimizing equipment or system availability during unit operating conditions; and Operating history.

This effort should include the analysis of failure modes and frequencies, the determination of failure causes (Paragraph 17), and identification of preventive maintenance actions that could improve facility reliability and reduce operating costs. The justification for the preventive maintenance program should be documented, and the maintenance manager should approve the preventive maintenance program, including new or revised preventive maintenance actions and their frequencies. Effective monitoring and diagnostic methods (predictive maintenance) are normally preferred to periodic internal inspection or equipment overhauls. These techniques can reduce maintenance errors, rework, and radiation exposure. In establishing a balance between corrective and preventive maintenance as they pertain to the various facility systems and equipment, the overriding consideration must be safe and reliable facility operations achieved on a cost-effective basis. Methods used to determine how each type of maintenance is to be applied to each facility system and equipment should be established by the facility. 5.3.4 Scheduling Each preventive maintenance action should be scheduled at appropriate intervals and, when possible, combined with corrective maintenance activities on the same equipment and with other related maintenance based on equipment similarity or proximity. See Paragraph 7.3.2 for additional information on scheduling. 6. MAINTENANCE PROCEDURES 6.1 Introduction Maintenance procedures and other work-related documents (e.g., drawings and instructions) should be prepared and used to provide appropriate work direction and to ensure that maintenance is performed safely and efficiently. One of the key elements needed to consistently perform maintenance in a safe and efficient manner is DOE 4330.4B lxvii (and vi) 2-10-94 the proper use of written procedures. A balanced combination of written guidance, craft skills, and worksite supervision is required to achieve the quality workmanship essential to safe and reliable facility operation. This Paragraph describes important concepts for preparation, verification, validation, approval, control, use, and periodic review and revision of maintenance procedures. References in Paragraphs 5f and m apply. 6.2 Discussion Experience has shown that deficient procedures and failure to follow procedures are major contributors to many significant, undesirable events. The probability of error increases with the use of poorly written procedures. Maintenance procedures should provide technical guidance to craft personnel to help ensure that work is accomplished in a systematic, correct manner. This guidance must be technically accurate, complete, up to date, and presented in a clear, concise, and consistent manner that minimizes human error. Guidance should be provided for the development and issuance of maintenance procedures including development and writing, verification and validation, approval, control, periodic review, use, revision, and change control. Other factors, such as control of reference material, procedure identification and storage, and the requirement to maintain accurate procedures, must also be considered. 6.3 Guidelines 6.3.1 Procedures Development and Writing

Procedures should be written for and used in all work that could result in a significant process transient, degraded facility reliability, or a personnel or equipment hazard. The complexity of the work is also an indicator of the need for a procedure. Procedures should also be written for each preventive maintenance action or written generically for similar preventive maintenance actions (including applicable equipment lists). Since these procedures are used repeatedly, information such as resources and skill levels required; time to accomplish the action; special tools and materials needed; facility or system conditions needed; and clearance, radiation work permit, and other safety requirements and precautions should be included in the procedure, as well as the actual steps to perform the preventive maintenance. Information provided in procedures should be clear and concise and should minimize the need for interpretation. Experienced craft personnel and engineers can be trained to write maintenance procedures or procedure writers can be used with craft personnel or engineers providing technical input. Maintenance procedures must be written for the audience intended to use them--that is, for the craft person--and should consider the following: Procedure identification and status (titling or numbering, location, and page and revision identification); Procedure purpose and scope; lxviii DOE 4330.4B 2-10-94 Consistent format (for organization, instruction step format, instruction step designation, caution and note format, and page format); Clearly understood text, using standard grammar and punctuation; appropriate level of detail; concise instruction steps in logical sequence; proper arrangement of multiple verb objects; specific nomenclature; quantitative and compatible values; referencing and branching methods; coordination of multiple actions; warning and caution location; effective formatting; and clear table, graph, and data sheet layout; Consistent use of illustrations (e.g., preparation, compatibility, views, level of detail, legibility when reproduced); Clear indication of steps that could initiate an equipment trip or transient or the initiation or interruption of any process action; Clear indication of hold points, independent verification requirements, or data to be recorded; Systematic facility and system prerequisites, precautions and limitations, required special tools and materials, and required personnel; Clear indication of acceptance criteria, follow-on steps, and restoration instructions; Steps that inform operations personnel of expected alarms or equipment operations; Guidance to craft personnel to notify the operations organization of maintenance that cannot be completed as originally planned or will be delayed and extended past the anticipated schedule and/or across shift changes; and Procedure development and preparation using personal computer desktop publishing and computer-aided writing programs; this also aids in providing easy-to-read text and clear illustrations. 6.3.2 Procedure Verification Verification is a review to ensure the proper format and technical accuracy of a new or revised procedure. This review should ensure that the format incorporates human-factors principles and other appropriate administrative policies. The technical accuracy review should also include a review of the procedure against the design requirement for that system or component. This may be accomplished by comparing the vendor manual and design specifications to the procedures.

Verification should be conducted by one or more reviewers who were not involved in writing the procedure. Other disciplines such as health physics and operations should be considered for the review process. DOE 4330.4B lxix (and vi) 2-10-94 6.3.3 Procedure Validation Validation is a review of a procedure to ensure its usability and correctness. This validates that the procedure provides sufficient and understandable guidance and direction to the craft person and that the procedure is compatible with the equipment or system being maintained. Validation may be conducted in a shop, in a training environment, on a mockup or simulator, or in some cases by the craft person and supervisor during the first use of the procedure. 6.3.4 Procedure Approval Approval should be consistent with facility technical specifications or their equivalent and administrative procedures. As a minimum, the maintenance manager or designee should approve maintenance procedures. 6.3.5 Procedure Use Procedures should be readily available and clearly identified to ensure the user can determine the purpose, applicability, physical completeness, and proper approval. Identification markings should also be sufficient for the user to be able to compare a procedure to some centralized, controlling record to verify that the procedure is the most current revision. Procedures should be checked prior to use to ensure that the most current and correct revision is being used. Procedure compliance requirements should be clearly stated in the procedure or provided as general administrative guidance and should be thoroughly understood by facility personnel. Compliance requirements may vary considerably, depending on the proficiency of the craft person and the potential impact of the maintenance being performed on safety, reliability, and continuity of operations. Managers and supervisors should require and enforce procedural compliance requirements established by facility administrative controls. Normally, two levels of compliance are defined: Step-by-step compliance without deviation (such compliance is normally expected for maintenance on safety equipment, for equipment important to facility reliability, and for any activity that could result in a transient or facility shutdown). General intent compliance (the experienced judgment of the craft person or supervisor is exercised to carry out the maintenance). Other compliance categories and definitions may be used, such as identifying a group of steps that may be performed out of sequence. Procedures or portions of procedures required to be in hand and reviewed step by step when performing maintenance should be clearly identified. Procedure users should understand the need to use procedures with forethought and good judgment, even when step-by-step lxx DOE 4330.4B 2-10-94 compliance is not required. Procedure users should question and seek resolution for any situation that, in their judgment, warrants supervisory assistance. Supervisors or managers should resolve such inquiries in a timely manner. Maintenance and, if appropriate, operations supervisors should be notified immediately when a procedure cannot be followed as written or unexpected results occur. In these instances, work should be stopped with the equipment or system restored to a safe condition. Procedures may need to be changed or revised as described in Paragraph 6.3.6 before restarting. 6.3.6 Procedure Control, Periodic Review, and Revision

Responsibilities for procedure program administration should be clearly defined. Procedures should be controlled in accordance with facility administrative requirements. All procedures should be periodically reviewed (e.g., every 2 years or prior to use for infrequently used procedures) for changes affecting content (such as reference material revisions, permanent incorporation of changes, incorporation of industry and in-house experience) and for philosophy and format enhancements and human-factors considerations. Checklists for the review should be utilized to ensure the scope and depth of the review is consistent and adequate. Procedure revisions should receive the same review and approval as new procedures as described in Paragraphs 6.3.2 through 6.3.4 above, with the extent of these reviews varying dependent upon the extent of the revision. A method should exist to ensure that technical specification and other commitments are not inadvertently changed or deleted in the process of revising procedures. Controls are needed to allow for procedure changes (temporary alternations of procedures so that work can be safely continued) and revisions (permanent alterations of procedures that incorporate outstanding temporary changes and other needed updates). Changes and revisions are necessary to correct errors and to ensure that procedures reflect current maintenance practices and requirements. Procedure changes do not normally involve retyping or reissuing an entire procedure. As a minimum, these changes should be reviewed and approved by technically competent supervisors, even though these changes may or may not become permanent later. For example, a typical procedure change may require a review by an engineer for technical content, by a maintenance supervisor for good maintenance practice and human-factors principles; and by an operations supervisor for regulatory compliance, facility operations, and approval. Changes that are needed to remain in effect beyond their original intent should receive the same review and approval as a revision as soon as feasible (normally, within 2 weeks). Procedure change information should be inserted neatly in the body of the procedure to avoid missing the changes when the procedure is used. A procedure revision should be initiated when a change has been outstanding for an extended period (normally, longer than 6 months), when a procedure has been affected by several changes, or when a single change becomes so extensive that the procedure is difficult to follow. When the procedure is revised, all DOE 4330.4B lxxi (and vi) 2-10-94 effective procedure changes should normally be incorporated into the revision. A system should also be in place to ensure that facility, system, and component changes or modifications adequately identify procedures impacted by the change and provide for their revision as required. Copies of each procedure should be controlled so that only the currently approved revision with any applicable changes is available for use by craft personnel. Vendor manuals or the portions of a vendor manual and other reference materials used in support of maintenance should be technically accurate, up to date, and controlled. Reference material used in lieu of facility-prepared maintenance procedures (e.g., an instruction section of a vendor manual and vendor or contractor drawings) should receive the same review and approval as facility maintenance procedures. When vendor recommendations conflict with maintenance experience, a documented engineering evaluation may be required.

7. PLANNING, SCHEDULING, AND COORDINATION OF MAINTENANCE 7.1 Introduction An effective system for planning, scheduling, and coordinating maintenance activities should be implemented in order to: ensure that maintenance is accomplished in a timely manner; improve maintenance efficiency; reduce radiation exposure (ALARA); and increase equipment availability. Planning and scheduling involve assigning priorities that reflect the importance of maintenance work relative to safe and reliable facility operation; identifying logistics, personnel support, and other preparation; and minimizing any adverse impact that the maintenance activity has on facility operation. Coordination of work ensures that needed support (e.g., clearance tagouts, radiation work permits, quality control) is available (References in Paragraphs 5f, e, and m apply). The processes of planning, scheduling, and coordinating work are discrete tasks that are closely related and are usually delegated to one of several functional groups. Planning, scheduling, and coordinating work usually involves a planning group, a scheduling system (work control system), a scheduling group (which may be a part of the planning group), and a coordination group (which may be a part of the planning group). Outage planning, scheduling, and coordination are usually managed by a dedicated group of individuals in order to control this significant effort. This Paragraph describes a system for effective planning, scheduling, and coordinating routine maintenance activities, as well as forced and planned outages. 7.2 Discussion Planning for work is an important part of the maintenance process. In-depth work planning identifies the required support and detailed lxxii DOE 4330.4B 2-10-94 scoping necessary to accurately schedule daily maintenance. Defining the work to be performed and providing appropriate procedures or instructions can reduce maintenance errors. Assigning work priorities that reflect the relative importance of each job to facility operation maximizes the effect of maintenance in upgrading safety and reliability. Planning also reduces delays in accomplishing work by ensuring support items such as special tools, other equipment, and repair parts and materials required to accomplish the work are available when needed. This, in turn, results in increased efficiency and contributes to maintaining a higher level of facility condition. Scheduling of corrective and preventive maintenance and of planned and forced outage work is necessary to ensure that maintenance is conducted efficiently and within prescribed time limits. Scheduling daily activities based on accurate planning estimates will improve the use of time on the job and help reduce radiological exposure. Scheduling of planned outages is important to support the return of the facility to service on schedule (and within the approved budget) and results in improved availability and capacity factors. A contingency schedule should be maintained so that if a forced outage occurs, the forced outage time is minimized and effectively used and that needed maintenance is performed prior to restart.

Coordinating maintenance activities is necessary to help ensure that work can be effectively accomplished. Examples of areas where interdepartmental coordination is necessary include preparing and using safe work permits (SWP), radiation work permits (RWP), and fire or burn permits; entering confined spaces; equipment clearance tagouts; and quality control verifications. Intradepartmental coordination is also needed among the mechanical, electrical, instrument and control, and contractor groups for many work activities. A planner, supervisor, or a designated individual within the maintenance organization or within the group responsible for the major portion of the job should be assigned the lead in identifying and coordinating needed support. 7.3 Guidelines 7.3.1 Planning for Maintenance Activities a. Planning Group Organization Planning maintenance activities can be accomplished by a dedicated planning staff or by maintenance supervisors at facilities with smaller staffs. If a dedicated group is used, it may be established as a central planning group or decentralized with planners for each discipline working within their respective groups. A centralized planning group offers the benefit of improving the coordination among the various facility groups and providing a central point for obtaining planning and scheduling information. A decentralized planning group facilitates a closer working relationship between each planner and the individual shop craft person and can lead to increased planner credibility. However, this approach DOE 4330.4B lxxiii (and vi) 2-10-94 can diminish coordination among the planners. In addition to maintenance personnel, the planning effort can be enhanced by assigning knowledgeable and experienced personnel from disciplines such as safety, operations, quality control, and radiological protection to the planning group. The alternative of assigning maintenance supervisors the responsibility for planning work has the advantage of having the most knowledgeable individuals perform the planning, but their workload must be adjusted to allow the maintenance supervisors to carry out all of their assigned responsibilities properly. A small facility may function well with maintenance supervisors responsible for all planning. A larger facility may gain by having a dedicated planning group to relieve the first-line supervisor of most planning duties and allow adequate time for other supervisory duties such as observing and directing ongoing maintenance activities at the work sites. b. Planning Group Responsibilities All work requests or work packages should be reviewed by the planner. However, different levels of planning attention should be applied to different jobs; for example, correcting a packing leak on a manual valve does not normally need the same level of planning effort as overhaul of a major pump. The review should address the following items: Definition of the problem and identification of the work scope (e.g., by work site inspection, by review of preventive maintenance activities, and other corrective maintenance that should or could be worked within the tagout boundary for the equipment); Identification and review of necessary procedures, drawings, vendor manuals, and maintenance history; Identification of needed and available data for use in analysis of maintenance problems (Paragraph 17); Procurement of necessary repair parts, materials, tools, and equipment; Assessment of staffing and skill requirements for facility, non-facility, and subcontractor