![](media/image1.wmf){width="1.3194444444444444in"
height="1.073611111111111in"} **NASA Procedures and Requirements**

NPR 8831.2E

Effective Date: Nov 18, 2008

Expiration Date: **Nov 18, 2013**

**COMPLIANCE IS MANDATORY**

**Responsible Office: Headquarters Facilities Engineering and Real
Property Division**

**FACILITIES MAINTENANCE\
AND OPERATIONS\
MANAGEMENT**

**DISTRIBUTION:**

**NODIS**

**This Document Is Uncontrolled When Printed.**\
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**Table of Contents**

[Preface](#preface)

[P.1 Purpose](#p.1-purpose).

[P.2 Applicability](#p.2-applicability).

[P.3 Authority](#p.3-authority).

[P.4 Applicable Documents](#p.4-applicable-documents).

[P.5 Measurement/Verification](#p.5-measurementverification).

[P.6 Cancellation](#p.6-cancellation).

[Chapter 1. NASA's Facilities Operation and Maintenance
Program](#nasas-facilities-operation-and-maintenance-program)

[1.1 Introduction](#introduction).

[1.2 Center Participation](#center-participation).

[1.3 Pillars of the Maintenance
Program](#pillars-of-the-maintenance-program).

[1.4 Facilities Maintenance
Definitions](#facilities-maintenance-definitions).

[Chapter 2. Resources Management](#resources-management)

[2.1 Introduction](#introduction-1).

[2.2 Publications](#publications).

[2.3 Maintenance Funding Levels](#maintenance-funding-levels).

[2.4 Facilities Maintenance Budget](#facilities-maintenance-budget).

[2.5 Reimbursable Services](#reimbursable-services).

[Chapter 3. Facilities Maintenance
Management](#facilities-maintenance-management)

[3.1 Introduction](#introduction-2).

[3.2 Facilities Maintenance
Functions](#facilities-maintenance-functions).

[3.3 Management of Facilities Maintenance
Program](#management-of-facilities-maintenance-program).

[3.4 System Concepts](#system-concepts).

[3.5 Factors Affecting Facilities Maintenance
Organizations](#factors-affecting-facilities-maintenance-organizations).

[3.6 Organization and Staffing](#organization-and-staffing).

[3.7 Customer Relations](#customer-relations).

[3.8 Interfaces with Other Support
Organizations](#interfaces-with-other-support-organizations).

[3.9 Physical Plant Information](#physical-plant-information).

[3.10 Data Gathering](#data-gathering).

[3.11 Management Indicators](#management-indicators).

[3.12 Management Analysis](#management-analysis).

[Chapter 4. Annual Work Plan](#annual-work-plan)

[4.1 Introduction](#introduction-3).

[4.2 The Link between Planning and
Execution](#the-link-between-planning-and-execution).

[4.3 Content](#content).

[4.4 Information Sources](#information-sources).

[4.5 Structure and Interrelationship of AWP
Elements](#structure-and-interrelationship-of-awp-elements).

[4.6 Five-Year Facilities Maintenance
Plan](#five-year-facilities-maintenance-plan).

[4.7 Facilities Work Requirements](#facilities-work-requirements).

[4.8 Resources](#resources).

[Chapter 5. Facilities Maintenance Program
Execution](#facilities-maintenance-program-execution)

[5.1 Introduction](#introduction-4).

[5.2 Key Processes Overview](#key-processes-overview).

[5.3 Work Generation](#work-generation).

[5.4 Work Control Center](#work-control-center).

[5.5 Work Reception and Tracking](#work-reception-and-tracking).

[5.6 Work Order Preparation](#work-order-preparation).

[5.7 Work Execution](#work-execution).

[Chapter 6. Facilities Maintenance Management
Automation](#facilities-maintenance-management-automation)

[6.1 Introduction](#introduction-5).

[6.2 CMMS Requirements and Usage](#cmms-requirements-and-usage).

[6.3 Automated System Interfaces](#automated-system-interfaces).

[6.4 CMMS Functions](#cmms-functions).

[6.5 CMMS Peripheral Systems](#cmms-peripheral-systems).

[Chapter 7. Reliability Centered
Maintenance](#reliability-centered-maintenance)

[7.1 Introduction](#introduction-6).

[7.2 RCM Principles](#rcm-principles).

[7.3 Requirements Analysis](#requirements-analysis).

[7.4 Failure](#failure).

[7.5 RCM Program Benefits](#rcm-program-benefits).

[7.6 Impact of RCM on the Facilities Life
Cycle](#impact-of-rcm-on-the-facilities-life-cycle).

[7.7 RCM Program Components](#rcm-program-components).

[7.8 Other RCM Applications](#other-rcm-applications).

[Chapter 8. Reliability Centered Building and Equipment
Acceptance](#reliability-centered-building-and-equipment-acceptance)

[8.1 Introduction](#introduction-7).

[8.2 RCM---Integral to Acceptance](#rcmintegral-to-acceptance).

[8.3 Acceptance Testing](#acceptance-testing).

[8.4 Acceptance Scope](#acceptance-scope).

[8.5 Applications](#applications).

[8.6 Acceptance Data Sheet](#acceptance-data-sheet).

[Chapter 9. Deferred Maintenance](#deferred-maintenance-1)

[9.1 Introduction](#introduction-8).

[9.2 Facility Life Cycle](#facility-life-cycle).

[9.3 General Principles](#general-principles).

[9.4 National Research Council 2- to 4-Percent
Guidance](#national-research-council-2--to-4-percent-guidance).

[9.5 Facilities Condition Assessment](#facilities-condition-assessment).

[Chapter 10. Facilities Maintenance Standards and
Actions](#facilities-maintenance-standards-and-actions)

[10.1 Introduction](#introduction-9).

[10.2 Facilities Maintenance
Standards](#facilities-maintenance-standards).

[10.3 Facilities Condition Standards](#facilities-condition-standards).

[10.4 Work Performance Standards](#work-performance-standards).

[10.5 Continuous Inspection](#continuous-inspection).

[10.6 Facilities Condition
Assessment](#facilities-condition-assessment-1).

[10.7 Maintenance Work Actions](#maintenance-work-actions).

[10.8 Center Appearance and Grounds
Care](#center-appearance-and-grounds-care).

[10.9 Maintenance Support
Information](#maintenance-support-information).

[Chapter 11. Utilities Management](#utilities-management)

[11.1 Introduction](#introduction-10).

[11.2 Planning and Management](#planning-and-management).

[11.3 Central Utility Plant Operations and
Maintenance](#central-utility-plant-operations-and-maintenance).

[Chapter 12. Contract Support](#contract-support-1)

[12.1 Introduction](#introduction-11).

[12.2 Performance-based Contracting](#performance-based-contracting).

[12.3 Outcome Specifications](#outcome-specifications).

[12.4 Partnering](#partnering).

[12.5 Incentives in Government Service
Contracts](#incentives-in-government-service-contracts).

[12.6 Quality Assurance](#quality-assurance).

[12.7 Credit Card Procurement](#credit-card-procurement).

[Appendix A. Definitions](#appendix-a.-definitions)

[Appendix B. Acronyms](#appendix-b.-acronyms)

[Appendix C. Resources](#appendix-c.-resources)

[Appendix D. Sample Maintenance Management Forms and
Documents](#appendix-d.-sample-maintenance-management-forms-and-documents)

[Appendix E. CMMS Sample Screens](#appendix-e.-cmms-sample-screens)

[Appendix F. Predictive Testing and Inspection
(PT&I)](#appendix-f.-predictive-testing-and-inspection-pti)

[Appendix G. Performance
Measurement](#appendix-g.-performance-measurement)

[Appendix H. Annual and Five-Year Maintenance Work Plan
Template](#appendix-h.-annual-and-five-year-maintenance-work-plan-template)

[Appendix I. NASA-Wide Standardized Deferred Maintenance Parametric
Estimate
Method](#appendix-i.-nasa-wide-standardized-deferred-maintenance-parametric-estimate-method)

#  {#section .unnumbered}

# List of Figures {#list-of-figures .unnumbered}

[Figure 2-1 Expenditures Allocable to 2- to 4-Percent-of-CRV
Standard](#__RefHeading___Toc205396759).

[Figure 3-1 Whole Maintenance Universe](#__RefHeading___Toc205396760).

[Figure 3-2 Basic Facilities Maintenance
Program](#__RefHeading___Toc205396761).

[Figure 3-3 Management Indicators](#__RefHeading___Toc205396762).

[Figure 3-4 Continuous Improvement
Process](#__RefHeading___Toc205396763).

[Figure 4-1 Facilities Maintenance Annual Work Plan
Elements](#__RefHeading___Toc205396764).

[Figure 5-1 Work Request Processing](#__RefHeading___Toc205396765).

[Figure 5-2 Stages in Work Generation, Control, and
Performance](#__RefHeading___Toc205396766).

[Figure 5-3 Sample Priority System](#__RefHeading___Toc205396767).

[Figure 5-4 Work Scheduling
Relationships](#__RefHeading___Toc205396768).

[Figure 7-1 Reliability Centered Maintenance (RCM) Decision Logic
Tree](#__RefHeading___Toc205396769).

[Figure 7-2 Failed Equipment Codes](#__RefHeading___Toc205396770).

[Figure 7-3 Stages of Life-Cycle Cost
Commitment](#__RefHeading___Toc205396771).

[Figure 9-1 Effect of Adequate and Timely Maintenance and Repairs on the
Service Life of a Building (Appendix C, resource
25)](#__RefHeading___Toc205396772).

[Figure 9-2 Typical DM Reduction Funding
Profile](#__RefHeading___Toc205396773).

[Figure 10-1 Facility User Inspection](#__RefHeading___Toc205396774).

[Figure 10-2 Equipment/Discrepancy Classification
Form](#__RefHeading___Toc205396775).

[Figure 10-3 Sample FCA Process Model](#__RefHeading___Toc205396776).

[Figure 12-1 Contract Sections](#__RefHeading___Toc205396777).

[Figure 12-2 Function Diagram](#__RefHeading___Toc205396778).

[Figure D-1 Sample Form: Trouble Call
Ticket](#__RefHeading___Toc205396779).

[Figure D-2 Sample Form: Request for Facilities Maintenance
Services](#__RefHeading___Toc205396780).

[Figure D-3 Sample Form: Facilities Maintenance Work
Order](#__RefHeading___Toc205396781).

[Figure D-4 Sample Form: Facilities Maintenance Work Order Continuation
Sheet](#__RefHeading___Toc205396782).

[Figure D-5 Sample Form: Facilities Maintenance Work Order
Material/Equipment Requirements](#__RefHeading___Toc205396783).

[Figure D-6 Sample Form: Shop Load Plan](#__RefHeading___Toc205396784).

[Figure D-7 Sample Form: Master Schedule](#__RefHeading___Toc205396785).

[Figure D-8 Sample Form: Shop Schedule](#__RefHeading___Toc205396786).

[Figure E--1 Sample Operating Locations Drilldown
Screen](#__RefHeading___Toc205396787).

[Figure E--2 Sample Operating Location Equipment
History](#__RefHeading___Toc205396788).

[Figure E--3 Sample Equipment Screen](#__RefHeading___Toc205396789).

[Figure E--4 Sample Safety Plans Screen](#__RefHeading___Toc205396790).

[Figure E--5 Sample Inventory Control
Screen](#__RefHeading___Toc205396791).

[Figure E--6 Sample Work Request Screen](#__RefHeading___Toc205396792).

[Figure E--7 Sample Work Order Tracking
Screen](#__RefHeading___Toc205396792).

[Figure E--8 Sample Planning Screen](#__RefHeading___Toc205396795).

[Figure E--9 Sample Dispatch Screen](#__RefHeading___Toc205396796).

[Figure E--10 Sample Quick Reporting
Screen](#__RefHeading___Toc205396797).

[Figure E--11 Sample Preventive Maintenance
Screen](#__RefHeading___Toc205396798).

[Figure E--12 Sample Preventive Maintenance Frequency Folder (1 of
3)](#__RefHeading___Toc205396799).

[Figure E--12 Sample Preventive Maintenance Frequency Folder (2 of
3)](#__RefHeading___Toc205396800).

[Figure E--12 Sample Preventive Maintenance Frequency Folder (3 of
3)](#__RefHeading___Toc205396801).

[Figure I-1 Theoretical Model for Parametric
Estimates](#__RefHeading___Toc205396802).

# List of Tables {#list-of-tables .unnumbered}

[Table 2-1 NASA Headquarters Instructions, Procedures Guides, and
Manuals](#__RefHeading___Toc205396895).

[Table 2-2 Facilities Maintenance Funding
Thresholds](#__RefHeading___Toc205396896).

[Table 3-1 Facilities Descriptive
Data](#table-3-1-facilities-descriptive-data).

[Table 3-2 Collateral Equipment Descriptive
Data](#__RefHeading___Toc205396898).

[Table 3-3 Work Element Percentages and
Indicators](#__RefHeading___Toc205396899).

[Table 3-4 Sample Management Metrics](#__RefHeading___Toc205396900).

[Table 3-5 Internal Performance
Indicators](#__RefHeading___Toc205396901).

[Table 3-6 External Performance
Indicators](#__RefHeading___Toc205396902).

[Table 5-1 Selected Facilities Maintenance
Cycles](#__RefHeading___Toc205396903).

[Table 7-1 RCM Facility Life-Cycle
Implications](#__RefHeading___Toc205396904).

[Table 7-2 Reactive Maintenance
Priorities](#__RefHeading___Toc205396905).

[Table 8-1 Applicable PT&I Technologies](#__RefHeading___Toc205396906).

[Table 10-1 Suggested Inspection Intervals under Routine Operations and
Average Conditions](#__RefHeading___Toc205396907).

[Table 10-2 Criticality Selection
Criteria](#__RefHeading___Toc205396908).

[Table 10-3 Sample Grounds Care Performance Requirements
Summary](#__RefHeading___Toc205396909).

[Table 10-4 Typical Maintenance Support
Information](#__RefHeading___Toc205396910).

[Table I-1 Condition Assessment Level](#__RefHeading___Toc205396911).

[Table I-2 Facility FCI Example](#__RefHeading___Toc205396912).

[Table I-3 Center FCI Example](#__RefHeading___Toc205396913).

[Table I-4 Sample Deferred Maintenance
Calculation](#__RefHeading___Toc205396914).

[Table I-5 Mapping of NASA Facility Classes into DM Facility
Categories](#__RefHeading___Toc205396915).

[Table I-6 DM Categories with CRV Percent
Values](#__RefHeading___Toc205396916).

[Table I-7 System Condition Percentages](#__RefHeading___Toc205396917).

# Preface {#preface .unnumbered}

## P.1 Purpose {#p.1-purpose .unnumbered}

a.  This document establishes minimum NASA management of facilities
    maintenance objectives and standards in support of *NASA Policy
    Directive [(NPD) 8831.1, Maintenance and Operations of Institutional
    and Program Facilities and Related
    Equipment, ](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PD_8831_001B_&page_name=main)*and
    [*NPD 8700.1, NASA Policy for Safety and Mission
    Success*](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PD_8700_0001_&page_name=main).
    In addition to stressing the NASA Administrator's emphasis on the
    importance of strict compliance with safety regulations, practices,
    and procedures, it requires the practice of several proactive
    methods for meeting those objectives and standards, including the
    adoption of the Reliability Centered Maintenance (RCM) philosophy
    and procedures (*NASA Reliability Centered Maintenance Guide for
    Facilities and Collateral Equipment*), use of Predictive Testing and
    Inspection (PT&I) technologies, and maximum use of fixed-price,
    performance-based contracts coupled with good business practices
    that are cost effective to accomplish maintenance.

b.  This document fixes commonality of facilities maintenance
    definitions Agency wide among the NASA Centers and Component
    Facilities, thereby permitting the application of uniform measures
    of facilities conditions; allowing meaningful, quantitative metrics
    in terms common throughout the Agency and the ability to
    statistically analyze relative variances; compiling an information
    database using terminology and definitions common to and recognized
    by commercial software products and other industrial and Government
    applications; and adding credibility to the NASA facilities
    maintenance budgeting process through standardization.

c.  A requirement in this NPR is identified by "shall," a good practice
    by "should," permission by "may" or "can," an expected outcome or
    action by "will," and descriptive material by "is" or "are" (or
    another verb form of "to be").

## P.2 Applicability {#p.2-applicability .unnumbered}

a.  This NPR is applicable to NASA Headquarters, NASA Centers, and
    Component Facilities.

b.  Because of the differences in NASA Center organizations, this NPR
    does not assume or require a typical facilities maintenance
    organization. Instead, it uses a systems approach to describe the
    functions that should be included in any facilities maintenance
    management system, regardless of its organizational structure.

## P.3 Authority {#p.3-authority .unnumbered}

42 U.S.C. 2473 (c)(1), Section 203 (c)(1) of the National Aeronautics
and Space Act of 1958, as amended.

## P.4 Applicable Documents {#p.4-applicable-documents .unnumbered}

a.  48 CFR Chapter 1, Federal Acquisition Regulation (FAR).

b.  48 CFR Chapter 18, NASA FAR Supplement (NFS).

c.  [NPR
    1441.1](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PR_1441_001C_&page_name=main),
    NASA Records Retention Schedules.

d.  NPR 1800.1, NASA Occupational Health Program Procedures.

e.  [NPD
    7330.1](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PD_7330_001F_&page_name=main),
    Approval Authorities for Facility Projects.

f.  [NPD
    8820.2](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PD_8820_0002_&page_name=main),
    Design and Construction of Facilities.

g.  NPD 8500.1, NASA Environmental Management.

h.  NPR 8553.1, NASA Environmental Management System.

i.  [NPD
    8710.5](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PD_8710_0005_&page_name=main),
    Policy for Pressure Vessels and Pressurized Systems.

j.  NASA-STD-8719.17, NASA Requirements for Ground Based Pressure
    Vessels and Pressurized Systems.

k.  [NPD
    8831.1](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PD_8831_001B_&page_name=main),
    Maintenance and Operations of Institutional and Program Facilities
    and Related Equipment.

l.  [NPD
    8700.1](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PD_8700_0001_&page_name=main),
    NASA Policy for Safety and Mission Success.

m.  [NPD
    1440.6](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PD_1440_006E_&page_name=main),
    NASA Records Management.

n.  NPD 1800.2, NASA Occupational Health Program.

o.  [NPR
    8570.1](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PR_8570_0001_&page_name=main),
    Energy Efficiency and Water Conservation Technologies and Practices.

p.  [NPR
    8715.3](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PR_8715_0003_&page_name=main),
    NASA General Safety Program Requirements.

q.  [NPR
    8800.15](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PR_8800_015A_&page_name=main),
    Real Estate Management Program Implementation Manual.

r.  [NPR
    8820.2](http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PR_8820_002C_&page_name=main),
    Facility Project Requirements.

s.  NASA-STD-8719.7, Facility System Safety Guidebook.

t.  NASA-STD-8719.9, Standard for Lifting Devices and Equipment.

u.  NSS 1740.12, NASA Safety Standard for Explosives, Propellants, and
    Pyrotechnics.

v.  [NASA Reliability Centered Maintenance (RCM) Guide for Facilities
    and Collateral
    Equipment.](http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/RCMGuideMar2000.pdf)

w.  NASA Reliability Centered Building and Equipment Acceptance (RCB&EA)
    Guide.

## P.5 Measurement/Verification {#p.5-measurementverification .unnumbered}

*1. Do Centers' Maintenance Programs comply with the requirements of
this NPR?* To determine compliance, Facility Maintenance and Operations
Program Engineers assigned to Headquarters Facilities Engineering and
Real Property Division will perform annual Maintenance and Operation
program reviews at the Centers. Reviews entail making random site
visits, reviewing Maintenance and Operation Programs and Projects, and
evaluating performance and effectiveness in relation to the Annual
Performance Metrics and Deferred Maintenance Assessment.

## P.6 Cancellation {#p.6-cancellation .unnumbered}

This revision cancels NPR 8831.2D w/ Change 1 dated April 21, 2004.

/S/

Thomas S. Luedtke\
Associate Administrator for Institutions and Management

[DISTRIBUTION]{.underline}:\
NASA Online Directives Information Systems (NODIS).

# NASA's Facilities Operation and Maintenance Program

## Introduction

### NASA's facilities operation and maintenance philosophy is to support NASA's mission by aggressively and proactively pursuing and adopting the safest, most cost-effective, and best blend of Reliability Centered Maintenance (RCM) techniques, sustainability, safety procedures, and other best practices to provide safe, sustainable, efficient, and reliable facilities. 

### *NPD 8831.1, Maintenance and Operations of Institutional and Program Facilities and Related Equipment* states that the policy for managing facilities maintenance, in support of the stated NASA policy, while following good business practices and minimizing life-cycle facilities costs, is the following:

a.  Provide maintenance and repair of facilities and collateral
    equipment that:

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1.  Protects the health and safety of personnel.

2.  Protects and ensures good stewardship of the environment.

3.  Protects and preserves NASA's capabilities and capital investment.

4.  Reduces energy consumption.

5.  Enables mission performance.

```{=html}
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```
b.  Manage and perform facilities maintenance work cost effectively and
    efficiently by using state-of-the-art maintenance management systems
    and RCM techniques. Management systems shall, as a minimum, include
    a standardized and meaningful annual work plan, accurate facility
    condition assessment techniques, and NASA-owned (NASA- or
    contractor-maintained) Computerized Maintenance Management System
    (CMMS) databases.

c.  Use accepted standards as a guideline to assist in determining
    facilities' maintenance funding requirements, such as NASA's
    Deferred Maintenance analysis, NASA's Facility Sustainment model,
    and the National Research Council's (NRC) recommended 2- to
    4-percent of the facility's current replacement value for its
    facilities and equipment maintenance and repair program.

d.  Continuously and proactively improve technical and managerial
    processes to minimize life-cycle maintenance and repair costs. These
    include Centers' designating a single point of contact to
    communicate and coordinate facilities maintenance and management
    issues with NASA Headquarters for maximum efficiency and
    effectiveness; benchmarking and the identification of "best
    practices"; preparing and adhering to annual and five-year
    maintenance plans; performing self-assessments and applying
    reengineering or process-improvement techniques where appropriate;
    applying NASA RCM principles, as detailed in the NASA Reliability
    Centered Maintenance Guide for Facilities and Collateral Equipment,
    in program development and improvement; implementing Predictive
    Testing and Inspection (PT&I) techniques in maintenance as well as
    new construction acceptance testing, where appropriate and whenever
    possible; and maximizing the population of available CMMS databases.

e.  Provide for the lowest life-cycle costs, improve the safety, and
    establish initial baselines for the subsequent PT&I of facilities
    and equipment through the acceptance process by enforcing the
    construction contractor's quality control responsibilities during
    construction and particularly at the time of equipment acceptance.

f.  Use performance-based contracts with clearly defined scopes to
    capitalize on the contractor's experience and ingenuity; contract
    for results and not just best efforts; maximize value through the
    use of fixed pricing and unit cost pricing with competition; improve
    quality through contractor selection based on past performance,
    measuring against prescribed, objective, and measurable performance
    standards; and follow a formal Quality Assurance Plan.

g.  Implement processes and technologies recommended by the NASA
    Operations and Maintenance of Facilities Innovations Team (OMFIT)
    and Engineering and Construction Innovations Committee (ECIC) to
    improve the operations and maintenance of existing facilities over
    their entire life cycles and to promote the sustainability concept
    of maintainability for new construction, renovations,
    rehabilitations, and repairs.

## Center Participation 

### Videoconferences. NASA Center maintenance management personnel are strongly encouraged to participate in the monthly facility maintenance video/teleconferences. These conferences provide an opportunity to educate personnel in new tools available, facilitate the adoption of best practices, and disseminate information and lessons learned Agency wide. 

### Facility Maintenance Conferences and Workshops. NASA Center civil service and support contractor maintenance management personnel are strongly encouraged to attend facility maintenance conferences and workshops. These conferences and workshops are an opportunity to exchange ideas, make contacts with other Centers' maintenance personnel, and learn new maintenance practices that can be used in Center programs. 

### Center Points of Contact. Each Center and Component Facility will establish a single point of contact for interfacing with the NASA Headquarters, Facilities Engineering and Real Property Division's Maintenance Team concerning facilities maintenance matters. 

## Pillars of the Maintenance Program 

### Safety. Per *NPD 8700.1, NASA Policy for Safety and Mission Success*, it is NASA's policy to protect the public, astronauts, and pilots; NASA workforce; high-value equipment and property; and the environment from potential harm as a result of NASA activities and operations by factoring safety as an integral feature of programs, technologies, operations, and facilities. Safety is the Agency's number one core value. Accordingly, in the operations and maintenance of a Center's facilities, the maintenance organization shall make every effort to ensure that this NASA policy for safety is adhered to in all of its activities and that the procedural requirements contained in *NPR 8715.3,* *NASA General Safety Program Requirements*, are incorporated into their daily activities. 

### Maintenance Funding and Reporting. As the steward of its facilities, NASA is responsible for reporting to higher authority, Office of Management and Budget (OMB) and the Congress, on ways its facilities maintenance funds are spent. To make this possible, Centers shall use Functional Management System (FMS) codes to account for and report to Headquarters their facilities maintenance funding. Additionally, for accuracy and credibility, it is necessary for Centers to capture all costs associated with facilities maintenance work. NASA has adopted the National Research Council's recommendation that 2- to 4-percent of the Current Replacement Value (CRV) should be targeted for only facilities maintenance and minor repair. Refer to chapter 2 of this NPR for more detailed information.

### Maintenance Management Program. Maintenance management consists of all aspects of defining the requirements, job planning, and job execution and analysis. An effective facilities maintenance management program maximizes the useful life of the facilities and equipment, minimizes unplanned downtime, provides an improved work environment, and produces information to make management decisions, all within a given resource level. The approach is mission focused and customer oriented. The challenge for NASA, both at Headquarters and across the Agency, is for continuous improvement within the available resources, as measured and monitored by meaningful and reliable Headquarters and Center performance metrics and trend analysis, and capitalizing on the very best and latest information available through benchmarking and the adoption of best practices. Refer to chapter 3 of this NPR for more detailed information.

### Annual Work Plan. The annual work plan provides Centers with a vehicle to display long- and short-range facility requirements by articulating their needs based on mission impact and the most probable facility availability outcomes under varying budget scenarios. The plan must be designed so that it can be integrated smoothly into NASA's strategic management process, afford Center Facilities Maintenance Managers and other senior managers the ability to make risk-based decisions regardless of the budget environment, and also allow Center facility maintenance organizations to pursue and measure their continuous improvement efforts. Centers should also maintain Five-Year Facilities Maintenance Plans for resource planning beyond the Annual Work Plans. Refer to chapter 4 of this NPR for more detailed information.

### Maintenance Execution. Maintenance execution consists of work request, work reception and tracking, work order preparation, and work execution. The maintenance execution phase should be developed based on the guidance of this NPR, best practices, and available resources and should be customized to address most satisfactorily the needs of each Center. Refer to chapter 5 of this NPR for more detailed information.

### Computerized Maintenance Management System. Facilities maintenance managers at NASA Centers are to use modern maintenance management systems and methods to control work activities, account for resources, and monitor and report work execution through the use of various industry standard metrics and other management indicators. All Computerized Maintenance Management System (CMMS) databases must remain the property of NASA, regardless of whether, NASA or the contractor populates and maintains them, and any applicable maintenance contracts must explicitly include language to that effect. Refer to chapter 6 of this NPR for more detailed information.

### Reliability Centered Maintenance. It is NASA's policy to apply Reliability Centered Maintenance (RCM) principles in program development and improvement. Implementing this policy emphasizes the use of RCM concepts and its supporting programs to reduce life-cycle costs of facilities and systems of varying criticality and failure impact on NASA missions. RCM is to be used as early as possible in the planning and design stages to set technical tolerances, performance criteria, and PT&I standards. RCM concepts are to be used by planners, designers, equipment procurement specialists, construction managers, Operations and Maintenance (O&M) civil service and contractor personnel, and anyone else involved in NASA facilities planning, design, construction, equipment procurement, and maintenance and operations. Refer to chapter 7 of this NPR for more detailed information.

### Reliability Centered Building and Equipment Acceptance. The *NASA Reliability Centered Building and Equipment Acceptance (RCB&EA) Guide* focuses on reducing facility life-cycle costs (especially infant mortality costs---those occurring in the earliest life-cycle stages) by integrating PT&I techniques into the construction contractor's quality control program for equipment acceptance. In today's tight budget environment for facilities operations and maintenance, it is advantageous to use the construction contractor's quality control function to perform noninvasive diagnostic tests to verify equipment condition and installation prior to the contractor's exit from the job site. The *NASA RCB&EA Guide* focuses on using PT&I technologies to test and accept new systems during equipment installation, repair, or rework and the contractor's making installation modifications, as necessary, to meet the prescribed standards. The result is an initial database of equipment condition for the subsequent maintenance program, the avoidance of premature wear caused by latent manufacturing defects or faulty installation, better information upon which RCM decisions will be based, longer equipment life, and ultimately minimum overall facility operating costs. Refer to chapter 8 of this NPR for more detailed information.

### Deferred Maintenance. Formerly known as Backlog of Maintenance and Repair (BMAR), NASA's Deferred Maintenance (DM) shall be the term used in benchmarking with other agencies. With increased funding cutbacks and the need to manage available funding more efficiently, there is a requirement ensuring that NASA's DM is realistic and that any ensuing funding is spent wisely. Refer to chapter 9 of this NPR for more detailed information.

###  Facility Condition Assessment (FCA). FCAs provide NASA Centers with information to properly develop five-year and annual work plans and priorities for facilities maintenance, repair, and revitalization. Headquarters needs adequate FCA information to ensure the proper stewardship over facilities entrusted to NASA, as well as to assist Agency Senior Management and higher authorities in projecting facilities budgetary needs in conjunction with NASA's meeting its mission as directed by the President and Congress. Despite their importance, formal FCAs are time-consuming and costly to perform. Maximum use of RCM procedures and PT&I techniques that monitor facility and equipment condition and continuous inspection that incorporates historic information from the CMMS database, ongoing maintenance and repair efforts, and customer and user feedback are necessary to provide Centers with valuable FCA information that in the past had to be developed manually. This continuous inspection coupled with minimal facility condition inspections provides the FCA without the formal process. Refer to chapter 10 of this NPR for more detailed information.

###  Central Utility Plant Operations and Maintenance. Central Utility Plant O&M is included here because of its close operational and organizational association with facilities maintenance management. The management of utility system inspection and maintenance is directed toward maintaining safety, minimizing system downtime, minimizing cost, and minimizing waste. To provide safety, reliability, high quality, and economical utility services, utilities management must ensure that equipment and distribution systems are maintained in top working order and that distribution line losses are identified and corrected. Standard Operating Procedures (SOPs) must be developed to cover routine operations, startup and shutdown, operator maintenance, preventive maintenance, and other emerging actions such as load shedding. Refer to chapter 11 of this NPR for more detailed information.

### Performance-based Contracting (PBC). NASA is committed to implementing the use of PBC to the maximum extent possible. Under the PBC concept, the Government contracts for specific services and outcomes, not resources. Contractor flexibility is increased, Government oversight is decreased, and attention is devoted to managing performance, results, and ultimate outcomes. Contractor/Government partnering is highly recommended to achieve mutually supportive goals. The PBC should encourage the use of contractor best practices and cutting-edge maintenance practices used in the private sector to give NASA the best product. Data Requirements Documents (DRDs) shall be generated that include metric reports as described in this NPR. Refer to chapter 12 of this NPR for more detailed information.

### Energy Management and Control System Operations. The Energy Management and Control System (EMCS) is a building automation system that provides remote visibility and monitoring of building systems and utilities. As such, the EMCS is a cornerstone to energy efficiency and for the cost-effective operation and maintenance of modern facilities.

## Facilities Maintenance Definitions 

### In order to implement the policies in *NPD 8831.1, Maintenance and Operations of Institutional and Program Facilities and Related Equipment*, and the guidance in this document, it is necessary to standardize definitions and have a commonality of all facilities maintenance Agency wide among NASA Centers and the Centers' Component Facilities. This permits the application of uniform measures of facilities condition; allows meaningful, quantitative metrics in terms common throughout the Agency and the ability to statistically analyze variances; enables compiling an information data base using terminology and definitions common to and recognized by commercial software products and other industrial and Government applications; and adds credibility to the NASA facilities maintenance budgeting process through standardization. In addition to the definitions listed in Appendix A, Centers must use the definitions, and specifically the nine facilities maintenance work elements defined in the paragraphs below, to identify, classify, and analyze facilities maintenance trends, to prepare the Center's Annual Work Plan and five-year plan, and for all other Agency-wide facilities maintenance applications: 

a.  Facility. A term used to encompass land, buildings, other
    structures, and other real property improvements, including utility
    systems and collateral equipment. The term does not include
    operating materials, supplies, special tooling, special test
    equipment, and noncapitalized equipment. The term "facility" is used
    in connection with land, buildings (facilities having the basic
    function to enclose usable space), structures (facilities having the
    basic function of a research or operational activity), and other
    real property improvements.

b.  Equipment. In NASA, equipment is divided into two categories,
    collateral equipment and noncollateral equipment. These are defined
    as follows:

    1.  Collateral Equipment. Encompasses building-type equipment,
        built-in equipment, and large, substantially affixed
        equipment/property and is normally acquired and installed as
        part of a facility project.

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(a) Building-Type Equipment. A term used in connection with facility
    projects to describe equipment that is normally required to make a
    facility useful and operable. It is built in or affixed to the
    facility in such a manner that removal would impair the usefulness,
    safety, or environment of the facility. Such equipment includes
    elevators; heating, ventilating, and air conditioning systems;
    transformers; compressors; and other like items generally accepted
    as being an inherent part of a building or structure and essential
    to its utility. Such equipment also includes general building
    systems and subsystems such as electrical, plumbing, pneumatic, fire
    protection, and control and monitoring systems.

(b) Built-in or Large, Substantially Affixed Equipment. A term used in
    connection with facility projects of any type other than
    building-type equipment that is to be built in, affixed to, or
    installed in real property in such a manner that the installation
    cost, including special foundations or unique utilities service, or
    the facility restoration work required after its removal is
    substantial.

    2.  Noncollateral Equipment. Includes all equipment other than
        collateral equipment. Such equipment, when acquired and used in
        a facility or a test apparatus, can be severed and removed after
        erection or installation without substantial loss of value or
        damage thereto or to the premise(s) where installed.
        Noncollateral equipment imparts to the facility or test
        apparatus its particular character at the time (e.g., furniture
        in an office building, laboratory equipment in a laboratory,
        test equipment in a test stand, machine tools in a shop
        facility, computers in a computer facility) and is not required
        to make the facility useful or operable as a structure or
        building.

        c.  Facilities Maintenance. The recurring day-to-day work
            required to preserve facilities (buildings, structures,
            grounds, utility systems, and collateral equipment) in such
            a condition that they can be used for their designated
            purpose over an intended service life. It includes the cost
            of labor, materials, and parts. Maintenance minimizes or
            corrects wear and tear and thereby forestalls major repairs.
            Facilities maintenance includes preventive maintenance (PM),
            PT&I, grounds care, programmed maintenance, repair, trouble
            calls (TCs) (facilities repair), replacement of obsolete
            items (ROI), and service requests (SR)(Not a maintenance
            item but is work performed by maintenance organizations).
            Facilities maintenance does not include fire department
            protection services personnel, security and custodial
            services, new work, or work on noncollateral equipment. The
            elements of facilities maintenance are defined in the
            following nine paragraphs. Centers should be prepared to
            report their planned and actual facilities maintenance
            effort, including costs of parts, labor, and materials by
            these nine elements when requested by NASA Headquarters.

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1.  Preventive Maintenance. The planned, scheduled periodic inspection
    (including safety), adjustment, cleaning, lubrication, parts
    replacement, and minor repair (no larger than TC scope) of equipment
    and systems for which a specific operator is not assigned. PM
    consists of many checkpoint activities on items that, if disabled,
    would interfere with an essential Center operation, endanger life or
    property, or involve high cost or long lead time for replacement. PM
    is the cornerstone of any good maintenance program. A weak or
    nonexistent PM program could result in safety and/or health risks to
    employees, much more emergency work, and costly repairs.

2.  Predictive Testing and Inspection. Those planned testing and
    inspection activities for facility items that generally require more
    sophisticated means to identify maintenance requirements than in PM.
    For example, specialized tests are used to locate thinning of pipe
    walls and fractures (e.g., eddy current testing, radiographic
    inspections, ultrasonic testing, television cameras, or aural leak
    detectors); to detect roof weaknesses or wet insulation areas (e.g.,
    infrared thermographic viewers or nuclear density devices); to
    identify large equipment wear problems (e.g., vibration analyzers
    and oil analysis for wear metals and lubricant properties); and to
    locate charge or heat buildup in electrical equipment (e.g.,
    infrared thermography).

3.  Grounds Care. Grounds care is the maintenance of all grassy areas,
    shrubs, trees, sprinklers, rights-of-way and open fields, drainage
    ditches, swamps and water holding areas (lakes, ponds, lagoons,
    canals), fences, walls, grates, and other similar improvements to
    land that are included in the NASA Real Property Accountability
    System, and exterior pest and weed control. The maintenance tasks
    include mowing, spreading fertilizer, trimming hedges and shrubs,
    clearing ditches, snow removal, and related work. Included in this
    category is the cost of maintaining grounds care equipment such as
    mowers and tractors.

4.  Programmed Maintenance (PGM). Planned programmed maintenance
    consists of those maintenance tasks whose cycle exceeds one year,
    such as painting a building every fifth year. (This category is
    different from PM in that if a planned cycle is missed the original
    planned work still remains to be accomplished, whereas in PM, only
    the next planned cycle is accomplished instead of doing the work
    twice such as two lubrications, two adjustments, or two
    inspections.) Examples of PGM include painting, roof maintenance
    (flood coat, flashing, patching, incidental repair by replacement),
    road and parking lot maintenance (overlays, seal coating, and
    patching), utility system maintenance (pigging of constricted
    lines), and similar functions.

5.  Repair. The facility work required to restore a facility or
    component thereof, including collateral equipment, to a condition
    substantially equivalent to its originally intended and designed
    capacity, efficiency, or capability. It includes the substantially
    equivalent replacements of utility systems and collateral equipment
    necessitated by incipient or actual breakdown.

6.  Trouble Calls. TCs (a subset of repair) are unplanned and generally
    called in by telephone or submitted electronically by occupants of a
    facility (or facility managers or maintenance workers). Where the
    calls are for nonfacility work (not of a facility maintenance or
    repair nature) the call must be coded so that it is not included
    with TCs included in funding level calculations. Examples of
    nonfacility work are interior pest control and janitorial work, such
    as cleaning up a spill or cleaning carpets. TCs are composed of two
    types of work as follows:

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(a) Routine Calls. Routine calls are unplanned minor facility problems
    that are too small to be estimated (usually less than about 20 work
    hours or \$2,000). They generally are responded to by grouping
    according to craft and location.

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(c) Emergency Calls. Emergency calls require immediate action to
    eliminate hazards to personnel or equipment, to prevent loss of or
    damage to Center property, or to restore essential services that
    have been disrupted. Emergency work is usually a response-type work
    effort, often initially worked by TC technicians. Due to its nature,
    emergency work is not restricted to a level of effort such as
    routine Calls (although in many cases it falls within the work hour
    and/or dollar limit of routine calls).

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7.  Replacement of Obsolete Items. There are many components of a
    facility that should be programmed for replacement because they are
    becoming obsolete (no longer parts-supportable at the end of service
    life), do not meet electrical or building codes, or are unsafe but
    are still operational and would not be construed as broken and
    needing repair. Examples include, but are not limited to, electric
    switchgear, breakers, and motor starters; elevators; control
    systems; boiler and central heating, ventilating, and air
    conditioning (HVAC) systems and controls; fire detection systems;
    cranes and hoists; and air conditioning systems using
    chlorofluorocarbon (CFC) refrigerants.

8.  Service Requests. Service requests are not maintenance items, but
    are so often performed by facilities maintenance organizations that
    they become a part of the baseline. Service requests are requests
    for facilities-related work that is new in nature and, as such,
    should be funded by the requesting organization. Service requests
    are initiated by anybody at the Center, usually submitted on a form;
    often require approval by someone before any action is taken;
    usually are planned and estimated, materials procured, and shop
    personnel discretely scheduled to accomplish the work. Examples of
    these requests include installation of an outlet to support a new
    copier machine, providing a compressed air outlet to a new test
    bench, renovating an office, and installing special cabinetry.

9.  Operations. Operations include those recurring activities required
    to maintain a facility so that it can reliably perform its intended
    function, but which are not considered PM, repairs, or PT&I. These
    activities would include, but not be limited to, items such as
    periodic site visits and inspections, equipment logging, central
    utility or plant staffing, and freeze and storm plan maintenance
    activities.

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(a) General. There are many operational items that are required to
    maintain the reliability and function of facilities, but which are
    not part of some central utility or control/monitoring operation.
    These operations can include items such as logging of small chillers
    and boilers, monitoring generators and replenishing fuel levels,
    maintaining refrigerant inventory and records, and freeze and storm
    plan maintenance activities. These operations are most often
    performed by the same shops and personnel that perform PM and repair
    maintenance, but these activities differ from these other categories
    of maintenance in that they do not intend to perform any
    identifiable preventive or repair work. Their intended function is
    only to detect the need of PM or repair activities before a failure
    or extensive damage occurs. Operations are a necessary element
    (along with RCM, PT&I, and PM) in establishing a proactive
    maintenance program.

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(d) Central Utility Plant Operations and Maintenance. This category is
    unique in that it includes the cost of operations in addition to
    maintenance costs. It should be used only to capture the costs of
    operating and maintaining institutional central utility plants, such
    as a central heating or steam plant, wastewater treatment plant, or
    central air conditioning (A/C) (chiller) plant. The concept is that
    operators are assigned full time to operate the plant, but they
    perform maintenance between various operating tasks, making it
    almost impossible to segregate operational and maintenance costs.
    Therefore, the costs of the full-time operators (and their
    materials) are shown in this category. This facilities maintenance
    element does not include any work outside of the five-foot line of
    the utility plant or project-type work.

(e) EMCS Work Station or Central Console staffing. This operation plays
    a key role in most maintenance organizations in that this staff not
    only operates and monitors sitewide conditions visible on the EMCS,
    but also often receives trouble calls and notifications. As such,
    these operators are the focal point in the real-time management of
    the site maintenance by initiation of work orders or by mitigating
    or dictating immediate maintenance activities according to the
    priority and criticality of alarms and calls. Often this operation
    serves as the only manned maintenance function after normal working
    hours or on weekends and holidays. No modern facility could operate
    efficiently and reliably without some level of EMCS operation.

### Deferred Maintenance. DM, formerly referred to as Backlog of Maintenance and Repair (BMAR), is the unfunded facilities maintenance work required to bring facilities and collateral equipment to a condition that meets acceptable facilities maintenance standards. The key word is "unfunded." If resources are or will be available to do the work during the current year, the work is considered to be scheduled and is not part of the backlog.

# Resources Management

## Introduction 

This chapter discusses resources management as it relates to facilities
maintenance. It covers NASA directives, policy, resources management
requirements, maintenance funding levels, the Annual Budget Call by the
NASA Headquarters CFO, currently called Planning, Programming,
Budgeting, and Execution (PPBE), and reimbursable funds.

## Publications 

Table 2-1 lists NASA Headquarters publications that apply to facilities
maintenance resources management.

[]{#__RefHeading___Toc205396895 .anchor}Table 2-1 NASA Headquarters
Instructions, Procedures Guides, and Manuals

  ----------------- --------------------------------------------------------
  **Publication**   **Title**

  NPD 7330.1        Approval Authorities for Facility Projects .

  NPD 8800.14       Policy for Real Property Management.

  NPR 8800.15       Real Estate Management Program Implementation Manual.

  NPD 8810.2        Master Planning for Real Property.

  NPR 8810.1        Master Planning Procedural Requirements.

  NPD 8820.2        Design and Construction of Facilities.

  NPR 8820.2        Facility Project Requirements.

  NPD 8831.1        Management and Operations of Institutional and Program
                    Facilities and Related Equipment .
  ----------------- --------------------------------------------------------

## Maintenance Funding Levels 

### In *NPD 8831.1, Management and Operations of Institutional and Program Facilities and Related Equipment*, NASA Headquarters recognizes the annual funding level of 2- to 4-percent-of-CRV recommended by the Federal Facilities Council (formerly the Building Research Board), NRC (Appendix C, resource 25), as a reasonable funding target necessary to maintain facilities in a steady-state condition. This level is recognized as an adequate standard until an independent analysis of facilities condition assessment trends indicates otherwise.

### Funding Level Scope. Note that only Center-funded work of facilities maintenance and repairs should be included in the 2- to 4-percent-of-CRV annual funding level. Figure 2-1 identifies the facilities maintenance expenditures that are to be allocated to the 2- to 4-percent-of-CRV goal. The percentage goal does not include DM, service requests (because they are for new work), grounds care, central utility plant O&M, and nonfacilities maintenance work as described in paragraph 2.3.4. 

[]{#__RefHeading___Toc205396759 .anchor}Figure 2-1 Expenditures
Allocable to 2- to 4-Percent-of-CRV Standard

### Funding Thresholds. *NPR 8820.2, Facility Project Requirements*, specifies facility project funding sources and thresholds. Table 2-2 summarizes the facilities maintenance work-type funding thresholds. 

[]{#__RefHeading___Toc205396896 .anchor}Table 2-2 Facilities Maintenance
Funding Thresholds

  ------------------------------------------ ----------------------------
  **Facilities Maintenance Work Elements**   **Center Funding
                                             Limitations**

  Preventive Maintenance                     None

  Predictive Testing & Inspection            None

  Grounds Care                               None

  Programmed Maintenance                     None

  Repair ^1^                                 None

  Trouble Calls                              

  \- Routine ^1^                             Not to exceed \$500,000^2^

  \- Emergency ^1^                           None

  Replacement of Obsolete Items^1^           None

  Service Requests (A New Work               Not to exceed \$500,000^2^
  Requirement)^1^                            

  Central Utility Plant O&M^2^               None
  ------------------------------------------ ----------------------------

Notes:

1\. Limitation is per project or per incident. For facilities work
estimated to cost \$100,000 or more, NASA Form 1509, Facility Project -
Brief Project Document, documentation is required.

2\. All facility projects that fall in the Minor Construction of
Facilities (CoF) Program category (currently exceeding \$500,000) must
have Congressional approval.

### Nonfacilities Maintenance Work. The following types of nonfacilities maintenance work, although related to facilities maintenance and sometimes performed by facilities maintenance organizations, are not counted toward the NRC-recommended 2- to 4-percent-of-CRV calculations:

a.  Custodial and interior pest control.

b.  Refuse collection and disposal.

c.  Operations such as fire protection and security.

d.  Mobile equipment operation and maintenance.

e.  Environmental operations, remediation, and disposal.

f.  Research and development (R&D) shop support, such as model
    fabrication.

g.  Management and supervision overhead.

h.  Maintenance of noncollateral equipment (NASA Equipment Management
    Systems (NEMS) tagged equipment).

i.  Facilities alterations.

j.  Facilities construction.

## Facilities Maintenance Budget 

### NASA uses the PPBE process as the method for aligning the Agency's resources to support its mission and Vision. The Annual Budget Call is an internal name used to described part of the budgeting phase. The Annual Budget Call is issued by NASA's Office of the Chief Financial Officer (OCFO) and requests time-phased work programs expressed in terms of dollars and other resources required to accomplish NASA objectives for the budget year. This serves as the basis for developing the NASA operating budget to support appropriation of funds by Congress, for apportionment requests to Office of Management and Budget (OMB), to distribute resource authority within NASA, and to plan for the efficient and effective use of resources in attaining mission goals. 

### Annual Budget Call by NASA's OCFO. Each year, NASA's OCFO issues guidance to the Centers for submitting their budget requests. The OCFO coordinates this through the Mission Directorates and the Mission Support Offices.

### Annual Budget Call Fiscal Years. Each Annual Budget Call covers a seven-year period consisting of past year, current year, and budget year, defined as follows, plus four future years: 

a.  Prior Year. The fiscal year immediately preceding the current year.
    Prior year costs are actual, not estimated.

b.  Current Year. The fiscal year immediately preceding the budget year.

c.  Budget Year. The fiscal year for which estimates are being
    submitted.

### **Requirements Development and Costing** 

#### All Centers should establish and maintain facilities maintenance classification codes with all work classified to be used with their CMMS. One of the uses of the classification is for budgeting. The Annual Budget Call requests budget estimates. Thus, it is possible to prepare the budget by aggregating the actual expenditures of prior-year historical data and the current-year-to-date accounting data. The current-year-to-date figures can then be extrapolated to the full current year using the current-year Annual Work Plan (AWP). The budget year requirements can then be projected by comparing the prior and current-year work requirements with the budget year from the Five-Year Facilities Maintenance Plan and adjusting the estimates using the standard inflation factors supplied by NASA Headquarters. Through this process, information is available for preparing the budget documentation for submittal. 

#### In accordance with the requirements of paragraph 2.3, Maintenance Funding Levels, Centers should, as a goal, work toward a budget for facilities maintenance and repair of 2- to 4-percent-of-CRV funding. Figure 2-1 identifies the facilities maintenance expenditures that are to be allocated to the 2- to 4-percent-of-CRV goal. Per paragraph 2.3.2, Funding Level Scope, the 2- to 4-percent does not include DM, service requests, grounds care, central utility plant O&M, and nonfacilities maintenance work as described in paragraph 2.3.4, Nonfacilities Maintenance Work. 

#### Because estimated funding requirements are prepared 14 to 19 months in advance of the budget year, many things can occur to change the budget estimates before Annual Budget Calls are executed. The following are some examples: 

a.  Congressional decisions reflected in the final authorization and
    appropriations acts.

b.  Changes in the Center resource requirements (possibly due to
    emergency conditions).

c.  Change in restraints imposed by NASA Headquarters.

### Annual Budget Call Submittal. The Centers submit their responses to the Annual Budget Call requests through the Mission Directorates and the Mission Support Offices.

## Reimbursable Services 

### Many Centers' facilities maintenance organizations perform work on facilities occupied by agencies other than NASA for which the cost is reimbursed by the occupying agencies. They also perform nonfacilities maintenance work that should be reimbursed by the requesting customers. For specific information on policies and procedures for obtaining reimbursement related to NASA facilities occupied by another agency refer to *Financial Management Requirements, Volume 16, Reimbursable Agreements*. This reimbursable work is not included in the annual facilities maintenance budget that the Centers submit to NASA Headquarters. However, reimbursable work should be included in the Center AWPs. The annual budgets and the AWPs address the total facilities maintenance workload, regardless of fund source. {#many-centers-facilities-maintenance-organizations-perform-work-on-facilities-occupied-by-agencies-other-than-nasa-for-which-the-cost-is-reimbursed-by-the-occupying-agencies.-they-also-perform-nonfacilities-maintenance-work-that-should-be-reimbursed-by-the-requesting-customers.-for-specific-information-on-policies-and-procedures-for-obtaining-reimbursement-related-to-nasa-facilities-occupied-by-another-agency-refer-to-financial-management-requirements-volume-16-reimbursable-agreements.-this-reimbursable-work-is-not-included-in-the-annual-facilities-maintenance-budget-that-the-centers-submit-to-nasa-headquarters.-however-reimbursable-work-should-be-included-in-the-center-awps.-the-annual-budgets-and-the-awps-address-the-total-facilities-maintenance-workload-regardless-of-fund-source. .unnumbered}

### Types of Reimbursable Services 

#### Customer-Requested Work. Centers should perform the following types of work with funds provided by the customer requesting the work to avoid impacting the limited funds available for facilities maintenance: 

a.  Construction, addition, and modification work below the \$500,000
    CoF threshold.

b.  Service Request work.

c.  Nonfacilities maintenance work (see paragraph 2.3.4, Nonfacilities
    Maintenance Work).

#### Tenant and Other Occupying Agencies Services. The Centers provide three basic types of services to tenants and other occupying agencies on a reimbursable basis. These services are described in the following paragraphs: 

a.  Occupancy Services. Occupancy services are essential, Center-wide
    support services. Services such as facilities maintenance, utilities
    costs, and janitorial services are a function of the square footage
    of the buildings occupied. Other services may be related to the
    number of personnel resident at the Center. Typically, the rate for
    occupancy services should be constant during each fiscal year to
    allow Center customers to budget for the services. The interagency
    agreements should state when the rates are scheduled to change.

b.  Demand Services. Demand services provide technical support or
    specific deliverable products not available within the capabilities
    of the customer. Typically, demand services are specifically
    requested by the user and are user unique. Each demand service is
    separately priced; if possible, the unit price should be constant
    during each fiscal year to allow Center customers to estimate their
    fund requirements and to budget for the funds. Demand services are
    often requested in writing and are classified by specific functional
    area. The following are examples of demand services:

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1.  Service requests.

2.  Engineering design services.

3.  Construction projects.

4.  Heavy equipment services.

    c.  Other Services. Other services are those paid directly by the
        customer at the time of use, such as food services, or billed
        periodically based on use, such as metered utilities. Few, if
        any, facilities maintenance services are billed at the time of
        use.

### Cost Allocation. The determination of reimbursable costs should be based on the concept of full cost sharing. This concept provides for common cost sharing of services. Therefore, the costs charged to each tenant should directly reflect the tenant's portion of the total cost to NASA for the services. 

#### Occupancy Services. The per-unit rates charged for occupancy services should be the same for all occupants, both tenants and NASA activities, for like services. The annual charges should be computed from prior-year costs with inflationary and expected use-change adjustments. Occupancy services are usually provided by the facilities maintenance organization or by facilities support services contractors. 

#### Occupancy services are separated into those applicable to the employee population and those applicable to the floor space occupied. These costs generally are calculated as follows: 

1.  Population. A projected fiscal year total of all civil service and
    contractor employees is developed for each occupying organization.
    The total portion of the shared cost associated with personnel is
    divided by the total of all Center personnel. The result is the
    fiscal year per-person rate that is applied to each occupant.

2.  Floor Space. The square footage should be summed for each occupant
    by the type of space occupied as per the following example:

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(a) Type I \-- Air-conditioned offices, laboratories, storage, and
    technical spaces.

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(f) Type II \-- Non-air-conditioned shops, work areas, or technical
    spaces (also to be used for any non-air-conditioned space other than
    warehouses or storage facilities).

(g) Type III \-- Non-air-conditioned warehouses and storage facilities.

#### The total shared cost associated with floor space is divided by the weighted sum of all three types of floor space to determine the Type III base rate. The Type I and II base rates are determined by multiplying the base rate by the weighting factor for each type. The square footage totals are multiplied by the respective rates to determine the cost for each occupant. The weighting factors are determined historically from the actual cost of cleaning and maintaining each type of space. 

#### Personnel and floor space costs are then added together to determine the total occupancy cost. 

#### Demand Services. The cost to tenants for demand services is generally developed by adding a surcharge to the incremental Center costs incurred by the demand service work order. Since the surcharges are an integral part of Center operational costs and are routinely expensed by the Centers, they are not identified separately and are not shown on reimbursable work orders. The standard surcharges developed by each Center should consider the full cost-sharing concept. However, some costs are borne by NASA, such as acquisition and depreciation of shop equipment, which do not enter the standard surcharge and, therefore, are not reimbursed by tenants because they are within the NASA institutional budget base. Typically, monthly billings for demand services either are sent to the tenants or are charged to standing accounts.

### Interagency Agreements. While Memorandums of Agreement (MOAs) are helpful in defining Center and tenant services and responsibilities, they are vital in the case of reimbursable services. MOAs avoid misunderstandings about how rates are determined and how bills are rendered, certified, and paid by the tenant. They are critical for long-range planning and budgeting because they enable the Centers to forecast their levels of reimbursement. In the case of facilities maintenance, the accuracy of the AWP depends on the accuracy of the level and type of reimbursable work defined in MOAs and other interagency agreements.

2.5.5 Out-lease of NASA Property. All leases of NASA property to a
tenant (Federal or non-Federal) should include agreements on maintenance
of the leased space. These agreements should follow the direction in
section 2.5 regarding the types of services provided and the structure
for charges for those services. This includes Space Act Agreement,
standard leases, Enhanced-Use Leases (EUL), and other lessor agreements.
Information on the agreements, procedures, and requirements for
out-lease of NASA property can be found in NPR 8800.15.

# Facilities Maintenance Management

## Introduction

### This chapter describes the concepts for and approach to facilities maintenance management within NASA. It describes a generic facilities maintenance management system based on proven techniques. It also provides the flexibility needed at each Center for NASA's diverse, high-technology mission. The purposes of this chapter are as follows: 

a.  To present the methodology and value of sound facilities maintenance
    planning.

b.  To present factors for consideration while developing a facilities
    maintenance organizational structure.

c.  To describe the functional relationships in a facilities maintenance
    management system.

d.  To explain methods of analyzing maintenance functions and their
    relationship to planning and work performance.

### A facilities maintenance management system provides for integrated processes that give managers control over the maintenance of all facilities and collateral equipment from acquisition to disposal. The management system should provide at least the following: 

a.  Address all resources involved.

b.  Accommodate all methods of work accomplishment.

c.  Effectively interface and communicate with related and supporting
    systems ranging from work generation through work performance and
    evaluation.

d.  Support each customer's mission.

e.  Ensure communication with each customer.

f.  Provide feedback information for analysis.

g.  Reduce costs through effective maintenance planning.

h.  Provide a system for accumulation of historical facilities
    maintenance data.

i.  Incorporate RCM and Leadership in Energy and Environmental Design
    (LEED) principles into CMMS datafields and work-order processes to
    account for equipment criticalities.

#### The goal is to optimize the employment of scarce resources (workforce, equipment, material, and funds) to maintain the facilities and collateral equipment needed to support the Center's mission in a safe and efficient manner. An effective facilities maintenance management system maximizes the useful life of facilities and equipment, ensures safety of facilities and systems, minimizes unplanned downtime, and provides an improved work environment within a given resource level. It also produces information for management decisions. 

### **Functional Approach** 

#### This procedures adopts a functional approach to facilities maintenance. The thrust is to identify those functions and processes required to provide an effective facilities maintenance program without specifying an organizational structure. 

#### The following paragraphs cover maintenance management controls, maintenance management concepts, maintenance-related functions and processes, and other factors for consideration in establishing a facilities maintenance organization. The process for establishing the maintenance organization must accommodate Center-unique requirements and conditions. 

### **Mission/Customer versus Condition Approach** 

#### Facilities maintenance normally is regarded as the total responsibility of the facilities maintenance manager, who determines with what and when to accomplish maintenance based on the physical condition of the facilities and appropriate maintenance practices. With limited resources, however, the facilities maintenance manager should work with the customer to provide quality facilities maintenance services as required to support the customer's mission. The facilities maintenance manager should coordinate with the customer in developing attainable solutions to facilities maintenance-related mission-support problems. 

#### Facilities maintenance decisions, such as whether to accomplish work now or defer it, require a knowledge and understanding of the present and future need for the facility under consideration, as well as the economic and safety impact associated with those facilities. Thus, the facilities maintenance manager must maintain perspective in evaluating necessary maintenance requirements and in considering mission criticality and the need for preserving deteriorating facilities. Both mission and customer inputs are integral components of the facilities maintenance system.

## Facilities Maintenance Functions 

### Facilities maintenance may be described as a number of interrelated functions and processes that directly or indirectly lead to the accomplishment of facilities maintenance work. Those functions that are not accomplished by the facilities maintenance organization are outside the responsibility of the primary users of these requirements. This also may be the case when the scope of the work exceeds applicable facilities maintenance funding or resource thresholds (e.g., CoF projects). However, functions are listed to ensure that all related services are considered when establishing a facilities maintenance organization and management system. 

### The relationships among the major functions related to managing facilities maintenance are depicted in Figure 3-1, Whole Maintenance Universe, along with the required information flow and internal communication. The five functional responsibilities at the core of the whole maintenance universe that reside in the Center's maintenance organization are: 

a.  Manage Facilities and Equipment. This includes overall management
    responsibilities for operations and maintenance functions regarding
    infrastructure systems, equipment, and components.

b.  Maintain Building Environment. This is defined as the nine broadly
    defined systems associated with typical building occupancy (i.e.,
    Structure, Roof, Exterior Finish, Interior Finish, Plumbing, Heating
    Ventilation and Air Conditioning (HVAC), Electrical, Conveyance
    (Elevators, Cranes, etc.), and Program Support Equipment). These are
    detailed in the annual NASA Deferred Maintenance Assessment Report
    generated for each NASA Center.

c.  Provide Utilities Services. This includes, but is not necessarily
    limited to, electricity, water (potable, and non-potable), natural
    gas, steam, storm, and sanitary sewers.

d.  Employ and Manage Contracts. This includes all contracts NASA
    implements for the purpose of accomplishing typical building
    operations and maintenance functions.

e.  Manage Materials and Tools. This includes management responsibility
    for materials and tools necessary for conducting the building
    operations and maintenance functions. Particularly significant in
    this management area are potential environmental issues related to
    the use of solvents, lubricants, and various other chemicals and
    reactions relative to ![](media/image2.wmf)operational, maintenance,
    and occupancy of a building.

Figure 3-1 Whole Maintenance Universe

### The support functions in Figure 3-1, shown outside the maintenance organization, are described as follows: 

#### Develop Budgets and Perform Cost Analyses. Although the maintenance organization performs cost analyses and develops an annual budget request, it is only an input to the Center and Agency's budget development. See paragraph 2.4, Facilities Maintenance Budget, for the maintenance organization's budget development.

#### Manage Information Resources. There are a number of information resources in other organizations supporting the maintenance organization. Personnel, cost accounting, and similar staffs are required to manage a Center's maintenance operation. A major function in the maintenance organization is the management of its information systems, such as its CMMS (see Chapter 6, Facilities Maintenance Management Automation). Management of information technology (IT) systems may be performed by an IT contractor.

#### Provide Logistical Support. A maintenance organization requires logistical support for functions such as mobile equipment (particularly large specialized items), transportation, and vehicle fuel. It also must be provided storage for recyclable or reusable equipment and material. The maintenance organization may maintain a small warehouse for supplies and parts commonly used in its operations. Additional parts and supply support is required from the Center's logistics organization.

#### Maintain Organizational Interfaces. A major part of a maintenance organization's operation is its interface with other organizations. Working relationships and procedures must be established to ensure that facilities maintenance functions are performed in an efficient and economical manner to meet Center requirements. These requirements include safety and health, legal, training, security, environmental, fire protection services, and specific requirements received in the form of TCs, service requests, and similar requests.

## Management of Facilities Maintenance Program

### Maintenance at NASA Centers is more than just repairing a leaking pipe or restoring power. It involves the coordinated effort of many talented people to ensure that facilities are in the best possible condition to support the Center's mission. To accomplish this, the maintenance program must be managed to provide the maximum benefits from the available resources without waste.

### A CMMS is an integral component of a Center's facilities maintenance management operations. This automated system is designed to assist facilities maintenance managers in work reception, work planning, work control, work performance, work evaluation, and work reporting. This system, discussed in Chapter 6, Facilities Maintenance Management Automation, is usually linked to other database systems, such as integrated asset program management (IAPM), material management, and personnel management.

### Figure 3-2 depicts the basic facilities maintenance management program. The program has four major aspects: requirements definition, planning, execution, and analysis. Requirements definition includes analyzing facilities condition assessments and the Center's mission to identify, quantify, and document Center operation and maintenance requirements. The Planning and Execution sections of the figure are discussed in Chapters 4, Annual Work Plan, and 5, Facilities Maintenance Program Execution. Analysis is discussed in detail in paragraphs 3.11, Management Indicators, and 3.12, Management Analysis. The following paragraphs briefly describe Figure 3-2 in a clockwise flow starting with requirements definition:

### ![](media/image3.png){width="6.495138888888889in" height="4.425694444444445in"}  {#section-1 .unnumbered}

[]{#__RefHeading___Toc205396761 .anchor}Figure 3-2 Basic Facilities
Maintenance Program

#### **Requirements Definition** 

a.  Facilities Inventory. The facilities inventory is the cornerstone of
    facilities maintenance management. It is included in the Center
    Facilities Maintenance Requirements & Standards block in Figure 3-2.
    It provides the detailed identification of what is inspected,
    operated, and maintained. Without an accurate inventory,
    maintainable items may not receive required maintenance, and
    maintenance budgeting, planning, and scheduling cannot be effective.
    Note that the inventory is not static; it includes continuous
    updates based on facility and equipment changes.

b.  Recurring Maintenance. After identification of what is inspected,
    operated, and maintained, a Center's Reliability Centered
    Maintenance Program starts with identifying recurring maintenance
    requirements utilizing the decision logic tree shown in Figure 7-1.
    The requirements must be derived from analyzing the Center's mission
    to reflect consideration of the Mission Dependency Index and from
    facilities inventory and utilizing a well-established set of local
    standards. The standards used in assessing facilities and
    determining what recurring maintenance and operations effort is
    needed to maintain the Center at NASA's specified quality level must
    include statutory, regulatory, and compliance requirements.
    Requirements are continually updated to include new facilities and
    changes based on the RCM analysis of work data provided during the
    acceptance process, which sets the baseline (see Chapter 8,
    Reliability Centered Building and Equipment Acceptance).

c.  Nonrecurring Maintenance. Nonrecurring requirements are determined
    by facilities condition assessments and analyzing historical data,
    current inventory, and mission requirements. A component of
    nonrecurring work is facility repairs (breakdown maintenance),
    including facility TCs.

#### **Planning** 

a.  Priorities set by management based on mission requirements are
    important considerations in determining what is to be accomplished
    and in what order. The Five-Year Maintenance Plan (see paragraph
    4.8, Five-Year Facilities Maintenance Plan) is an invaluable
    reference for the budgeting process, providing the information
    needed to plan allocation of resources.

b.  Upon receipt of the annual budget, the Five-Year Maintenance Plan
    (including the maintenance organization's CoF work) is reviewed
    again, together with updated facility needs. Because resources are
    constrained and only a portion of the needed work can be
    accomplished, alternative funding is obtained where possible. The
    remaining required maintenance work that cannot be funded in the
    current fiscal year is added to the DM.

c.  A result of the budget process and the review is the well-documented
    AWP that is discussed in Chapter 4, Annual Work Plan. The AWP is
    used to guide the majority of the day-to-day maintenance work. The
    AWP also serves as a baseline reference for the facilities
    maintenance manager when accommodating nonfacilities and newly
    identified facilities maintenance requirements.

d.  Throughout the planning process with the requirements, priority
    setting, five-year plan, and the AWP, an essential element is
    requirements definition. In order for the planning to be effective
    and in concert with the goals of the Center, there must be
    continual, two-way communication between the facilities maintenance
    manager and the Center staff. Proper direction will ensure that
    maintenance work is prioritized, planned, and performed in
    accordance with the Center's mission goals.

#### **Execution**

a.  During execution (see Chapter 5, Facilities Maintenance Program
    Execution), the use of the AWP as a basis for work control helps to
    schedule work in a steady, efficient flow pattern. The nonfacilities
    maintenance requirements and newly identified requirements are
    handled by adjusting priorities and rearranging the work-flow
    patterns as required.

b.  In addition to performing maintenance and repair work, it is very
    important to document the work accomplished in the Center's CMMS and
    on facility drawings as necessary. This documentation, as well as
    historical data entered in the CMMS, is essential when analyzing the
    work performed and in work planning.

#### Analysis. The analysis section of the maintenance management program is often neglected. Proper analysis is an important management function to point out inefficiencies and ways to better execute maintenance requirements by using alternative procedures and avoiding waste. Also, analysis may identify local standards that are overly stringent for mission needs or a priority system that requires "everything to be done yesterday," thereby interrupting scheduled work unnecessarily.

## System Concepts

### In creating an organization and system to perform facilities maintenance, the concepts discussed in the following paragraphs should be applied in implementing the basic maintenance program depicted in Figure 3-2.

### Separation of Functions. The responsibility for generating, planning and estimating, and authorizing work should be separate from the responsibility for performing work. Similarly, it is preferable for the quality assurance (QA) functions to be the responsibility of an autonomous organization, apart from those ordering and performing the work. This provides the system with checks and balances and freedom from the appearance of conflict of interest.

### Planning and Estimating. Work should be planned and estimated in enough detail to define the resources and tasks required to perform the work and to communicate this information to everyone involved. This information must be clear to customers, approving authorities, schedulers, material managers, and craft personnel.

### Estimating Standards. Estimating standards should be the basis for work planning and estimating to permit realistic resource allocation, scheduling, work performance, and evaluation. Several commercial, industrial, and governmental standards are available to assist in work order estimating. Chapter 10, Facilities Maintenance Standards and Actions, provides information on estimating standards.

### Workforce Load Planning. Work planning should provide a sufficient volume of work, well in advance of the required completion date, to permit balancing the facilities maintenance workload among the shops, acquiring material, arranging timely contract support, achieving priorities, and coordinating all the elements. Work should be planned on at least a quarterly basis.

### Continuous Inspection. A program for the periodic inspection of facilities and collateral equipment should, on a timely basis, identify facilities condition, maintenance deficiencies, work required, and changing conditions. PT&I and Facilities Condition Assessment methods should be part of the continuous inspection program. Chapter 10, Facilities Maintenance Standards and Actions, provides detailed information on continuous inspection and condition assessment.

### Five-Year Facilities Maintenance Plan. Centers should develop long-range facilities maintenance plans covering both level of effort and specific or one-time work requirements. These plans should reflect the total maintenance requirements and their prioritization in support of Center mission needs. Such management planning requires developing and justifying resource requirements on a multiyear basis. Centers must prepare both the Five-Year Facilities Maintenance Plans and the AWPs. Chapter 4, Annual Work Plan, provides information on both of these plans.

### **Work Grouping** 

a.  Personnel performing TCs, small service requests, and small repair
    jobs should be organizationally separated from personnel performing
    large facilities maintenance projects when possible. A suggested
    upper limit on the scope of these small jobs is 20 hours of effort.
    Assigning these small jobs to a single shop avoids interrupting the
    workforce devoted to PM, PT&I, PGM, and larger repair jobs. The
    organization of the shops or groupings within a given shop should be
    based on factors such as work volume, geographic proximity,
    availability of transportation, materials, and craft mix.

b.  Work grouping also allows crafts personnel to productively complete
    small jobs by "batching" (i.e., providing crafts personnel with
    multiple TCs at once, grouping work in a particular building or
    area, or providing transportation with commonly used tools and
    materials). This reduces indirect time associated with processing
    small jobs (such as travel time or obtaining tools, equipment, and
    materials).

### Work Scheduling. Work should be scheduled in an orderly manner considering safety, customer requirements, time constraints, material and tool/equipment availability, priority, workforce availability, and work-site availability along with necessary equipment or utility outages.

### Work Status. The CMMS should include reporting systems that provide facilities maintenance managers the status of all work and any significant problems so they can take timely corrective action. Chapter 6, Facilities Maintenance Management Automation, discusses the use of CMMS.

### Quality Assurance. Both Government- and contractor-performed work should be subject to inspections for quality. Quality control is the contractor's (or civil service, if applicable) program in place to ensure that the product or service meets the quality requirements of the specification or work order. QA is the Government's program that validates the product or service quality and, by extension, ensures that an effective quality control program is in place and is performing as previously approved by the Government. In performance-based contracts, written QA plans must be prepared to guide these inspections and should be an integral part of all maintenance work. See Chapter 12, Contract Support, for detailed information on Quality Assurance Plans.

### Condition Assessment/DM. The continuous assessment of the condition of facilities and collateral equipment coupled with the current DM defines the major portion of that total maintenance required to bring facilities up to NASA safety and condition standards. When evaluated with respect to a Center's safety and its mission requirements, the DM is a key element in management planning, budgeting, and allocating facilities maintenance resources. This process is discussed in Chapters 9, Deferred Maintenance, and 10, Facilities Maintenance Standards and Actions.

## Factors Affecting Facilities Maintenance Organizations 

### Physical Characteristics. The physical characteristics of a Center such as size, geographical distribution, climate, equipment, architectural style, and construction materials have a significant impact on the facilities maintenance organization. They directly affect the need for central shop spaces, remote job sites, travel time, special facilities maintenance equipment, facilities maintenance standards, and emergency response plans and equipment.

### Mission. The mission of a Center influences the facilities maintenance organization because it determines the facilities maintenance standards, the equipment mix, the workforce skills mix, work priorities, acceptable planned and unplanned down time, and resource levels. The maintenance organization must be structured to respond to the Center's mission.

### Workforce Composition. Workforce composition is driven in large part by the Center's mission and physical characteristics. It affects the organizational structure and the division between contract and Government workforces. For example, a workforce with a large number of electricians and A/C mechanics may dictate an organization with a separate shop for each craft. With a small workforce, these crafts may be in one shop.

## Organization and Staffing

### Organizational Considerations. Organizations plan, organize, perform, control, and evaluate work. The factors in the following paragraphs are important considerations when designing the organizational structure.

#### Contract Versus In-house. The proportion of the facilities maintenance work accomplished by support contractors significantly impacts the organizational structure. As the contracted portion increases, the Government workforce becomes more involved in contract administration and surveillance. The optimum mix of support contractor and Government personnel should be based on local conditions and priorities and should be consistent with the guidance contained in OMB Circular A-76. The principles of sound facilities maintenance management apply equally to in-house and contract work. In NASA Centers utilizing a maintenance support contractor, the contractor is a key partner in implementing and operating a successful maintenance management program.

#### Labor Agreements. Labor agreements may dictate certain procedures, practices, consultations, and other action. These influence the organizational structure and the Government's flexibility in making changes to the organization, work methods, or work assignments. The human resources department may provide assistance in this area.

#### Functional Lines. The facilities maintenance functions are vital in support of the Center's mission. Where more than one organization has responsibility for performing facilities maintenance, close coordination is necessary. The facilities maintenance organization interfaces closely, with potential for overlap, with related processes such as master planning, major facilities acquisition, and transportation and utilities management. It may be logical to organize along functional lines; however, care must be taken to ensure that lines of communication are open and maintained among all related functions and organizational elements. Senior managers should encourage communication and liaison at all levels.

### Staffing Considerations. A number of factors will influence the staffing of a facilities maintenance organization. In cases where a PBC is utilized to perform the facilities maintenance functions, the contractor is responsible for determining the staffing and skill mix of the workforce to meet the contractual requirements. The Center human resources department may provide advice in staffing matters. The following factors apply to staffing plan development:

####  Workload Balance. The facilities maintenance organization staffing should match the workload characteristics. The personnel resources available in each craft should closely match the amount of work included in the AWP, taking into consideration work priorities and alternative methods of accomplishment. Consider using temporary or part-time employees or one-time contracts to accomplish seasonal, surge, intermittent, or one-time work requirements.

#### Education and Training. The facilities maintenance organization must ensure that personnel have and maintain the skills needed to cope with changing technology to effectively carry out the facilities maintenance program. Skill requirements are identified through periodic reviews of all the organization workload. Comparing skill requirements with the assigned personnel skill inventory will identify shortages for correction through education, training, recruiting, or other action. Skill inventories and requirements identification should address all facilities maintenance program phases, including shop crafts, administrative skills, PT&I technologies, environmental and hazardous materials training, and the use of computers.

a.  As an example, training plays a major role in reaching and
    maintaining skill levels required for an effective RCM program. The
    training should be both of a general nature and technology/equipment
    specific. Management and supervisory personnel benefit from training
    that presents an overview of the RCM process, its goals, and its
    methods. Technician and engineer training should include the
    training on specific equipment and technologies, RCM analysis, and
    PT&I methods.

b.  RCM training is available from professional organizations,
    consultants, equipment manufacturers, and vendors. The following are
    examples of specific areas of training and possible sources for the
    training:

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1.  Infrared thermography (IRT) is complex and difficult to measure and
    analyze. Training is available through infrared imaging system
    manufacturers and vendors.

2.  Vibration monitoring and analysis training is available from
    equipment vendors. The Vibration Institute has published
    certification guidelines.

3.  Electricians, electrical technicians, and engineers should be
    trained in electrical PT&I techniques, such as motor current
    signature analysis, motor circuit analysis, complex phase impedance,
    and insulation resistance readings and analysis. Equipment
    manufacturers and consultants specializing in electrical testing
    techniques provide classroom training and seminars to teach these
    techniques.

#### Licenses, Permits, and Certifications. The license, permit, or certification requirements in the following paragraphs are applicable to Government employees and contractors. When work requiring licenses, permits, or certifications is included in a contract, the contract must state clearly that the contractor should obtain all applicable NASA, State, and/or local government, licenses, permits, or certifications before performing the work.

a.  Specialized personnel and facilities often are required to have
    licenses, permits, or certifications. These requirements apply to
    central utility plant personnel and to environmentally or
    safety-sensitive facilities. To the maximum extent possible, such
    licenses, permits, and certificates should be issued by the State or
    local government rather than by Centers to avoid administrative
    duplication. Centers should issue only those licenses, permits, and
    certificates that are NASA unique and, therefore, not available
    through other existing regulatory organizations. Detailed training
    and certifications requirements may be found in specific safety
    standards, e.g., *NASA-STD-8719.9, Standard for Lifting Devices and
    Equipment*, or *NSS-1740.12, Safety Standard for Explosives,
    Propellants, and Pyrotechnics.* Additional hazardous operation
    safety certification requirements may be designated by each Center
    safety official or designee, but must include the minimum as listed
    in Chapter 4 of *NPR 8715.3, NASA* *General Safety Program
    Requirements.*

b.  Operators of central utility plants, such as at water treatment
    plants, boiler plants, and wastewater treatment plants, should be
    licensed by applicable State and local governments. Also, when
    required by State or local governments, permits for such things as
    incinerators, licenses for other facilities maintenance-related
    operations such as pest control and herbicide applicators, and
    certificates for equipment such as pressure vessels, lifting
    devices, and elevators must be obtained.

## Customer Relations

### Everyone who works at or uses Center facilities is a customer of the facilities maintenance organization. Some are direct customers, requesting and receiving specific services such as TCs or Service Requests. Others are indirect customers, using the facilities and collateral equipment such as HVAC systems maintained by the facilities maintenance organization. Facilities maintenance, which provides institutional, as well as program support, plays a major role in keeping these customers satisfied. This does not occur automatically. Customer relations should be a primary consideration in all facilities maintenance decisions. Facilities maintenance may be the key factor in developing and maintaining the professional reputation of Center institutional managers.

### **Communication**

#### The facilities maintenance organization cannot operate effectively without open communication. Communication is extremely important within the organization to ensure coordination of competing resources. Communication with customers and other Center entities is necessary to ensure that the correct work is accomplished at the correct time and within allocated resources. Communications between the maintenance organization and their customers must be an integral part of the CMMS. The system should provide for customer access to submit requirements and for the customers to obtain status of their requests from submittal through completion. Day-to-day communications may also utilize other Center electronic means, including e-mail and Web page access. Facilities maintenance personnel must be alert to the following barriers to communication: 

a.  Cryptic, incomplete work requests.

b.  Misinterpreting the scope of work specified as "the supervisor
    wants."

c.  Customers' misinterpreting technical answers to their questions on
    project status.

d.  Differing understandings of mission needs.

#### Two-way communication must be encouraged, with the customer articulating customer desires and the maintenance organization providing constructive and continuous feedback through the CMMS or other electronic systems, including e-mail, where possible. This may provide an early warning of changes in workload and identify potential problems. It facilitates orderly workload planning by the facilities maintenance organization and its customers. This is particularly important during periods of limited funding because the maintenance organization often can help a customer translate desires into realistic facilities requirements, thereby obtaining an optimum solution or, at least, an adequate solution within the resources available. A well-informed maintenance organization and a "maintenance informed" Center are in a much better position to produce necessary results within available resources.

#### The reputation of the facilities maintenance organization is built as much on perception as on performance. A positive image of the facilities maintenance organization is created by proactive communications, i.e., keeping the customer informed about the status of the work, responding quickly to the requests, informing the customer in advance about the cost of the work, and reflecting the costs accurately in reimbursable billings and reports. The maintenance organization should have a customer liaison representative to work with each customer organization. The customer liaison should participate in the development of MOAs, AWPs, funding plans, and in the day-to-day support of the customer. However, every member of the facilities maintenance organization is an ambassador for the organization and should be sensitive to each customer's needs and perceptions.

#### The maintenance organization must have open communications with the following personnel and organizations: 

a.  Customers.

b.  Health and safety.

c.  Environmental office and agencies.

d.  Engineering.

e.  Mission personnel.

f.  Center planners.

g.  Support contractors.

h.  Resource management personnel.

i.  Local, State, and Federal regulatory agencies.

j.  NASA Headquarters administrative and support offices.

### Funding Sources. The facilities maintenance organization may find that a significant portion of its work is customer funded. This is especially the case with service requests and work directly supporting R&D programs. In establishing the organizational structure, the variability, time phasing, and duration of customer-funded work should be considered. Provision should be made for estimating and managing customer-funded work. Where the level of customer-funded work is variable or cyclical, use of contracts or temporary workers may be desirable to accommodate peaks and valleys in the workload.

### Customer Mission. Customer relations should facilitate accomplishing the specific job that the customer requested. It includes understanding the customer's mission requirements and using this understanding to communicate with the customer and guide the customer's expectations. Thus, the facilities maintenance organization should understand the mission of each of its customers. This understanding will lead to better resource allocation decisions, enable the organization to meet each customer's needs, and improve the facilities maintenance organization's credibility by meeting real needs within the time and other resources available. Actually, the facilities maintenance organization's real mission is to support the Center mission using the most cost-effective means available.

### **Memorandums of Agreement**

#### MOAs and other formalized agreements spell out support between organizations and agencies. MOAs may cover agreements between the facilities maintenance organization and other Center departments, other Federal agencies, or local governments. Typically, MOAs outline details of services provided and funding responsibilities. It is possible for a Center to be both a receiver of services from, and a provider of services to, another organization. These services may be provided on a reimbursable or nonreimbursable basis. Examples include provision of utilities, shared use of operational facilities such as runways, provision of fire protection services, and maintenance of special facilities such as aviation fueling systems. Examples of MOAs from other Federal agencies are training and support from the U.S. Navy and the General Services Administration (GSA).

#### MOAs may offer significant advantages through better use of facilities and avoid duplication of effort. The facilities maintenance organization should be alert for opportunities to use MOAs. Where services are available under an MOA, the facilities maintenance organization would not need to dedicate organizational resources to provide the service. The increased scope of the combined service may make it possible for the provider to perform the service at a reduced unit cost to all customers by realizing economies of scale. Properly managed, the increased scope also may provide flexibility and increased capability during a time of emergency. An assessment of the impact of MOAs should be made while developing AWPs.

## Interfaces with Other Support Organizations

### Facilities and equipment maintenance program effectiveness often depends on the support provided by other Center organizations. For example, the Office of the Chief Financial Officer may prepare budgets and allocate funds, the Office of Human Resources and Management may control staffing, the Office of Procurement may handle requests for material, and the various supporting staff offices may handle reproduction and correspondence services. Responsibility for facilities planning and engineering, including major facilities and equipment acquisition, may rest with a separate organization, such as the Facilities Engineering Office. Essential services, such as utilities, may be purchased commercially or provided by a separate Government or host activity. The facilities maintenance organization should maintain close communication and cooperation with other supporting organizations, working together to plan and manage the workload.

### Safety and Health. It is NASA's policy to "avoid loss of life, personal injury or illness, property loss or damage, or environmental harm from any of its activities and ensure safe and healthful conditions for persons working at or visiting NASA facilities." (See *NPD 8700.1, NASA Policy for Safety and Mission Success.*) To accomplish this, all individuals must act responsibly in matters of safety. The Center facilities maintenance organization is responsible for their role in safety by maintaining facilities in a safe condition and by performing tasks in a safe manner in accordance with NASA policy.

### Environmental Compliance. Although environmental compliance is not typically one of the primary responsibilities of the Center facilities maintenance organization, virtually every facilities maintenance action has a potential impact on the environment. For this reason, facilities maintenance personnel must be knowledgeable about environmental requirements, adhere to applicable environmental rules and regulations, become involved to the limit of their responsibilities, and maintain open communication links with cognizant NASA environmental protection staff and regulatory officials. Environmental regulation compliance is a primary input item to establish standards.

### Energy Management. The Center facilities maintenance organization is a prime participant in the Center's energy management program as developed in accordance with *NPR 8570.1, Energy Efficiency and Water Conservation Techniques and Practices*. The maintenance organization participates in identifying and is responsible for implementing O&M procedures and/or process improvements that are in the Center's Energy Efficiency and Water Conservation Five-Year Plan. Responsible maintenance organization staff members help conduct energy audits. Analysis of the Center's EMCS data must be included in the maintenance organization's planning to identify changes that indicate maintenance problems or imminent equipment or system breakdowns. All of this energy management program support must be integrated into the maintenance organization's AWP and five-year plan.

### **Contract Support** 

#### Much of the Center facilities maintenance work is performed by contract, either by separate, specific, one-time CoF contracts; specific facilities maintenance contracts (using non-CoF funds); or support services contracts. In the case of the specific, one-time contracts, the facilities maintenance organization's responsibility is limited to initial facilities maintenance and repair requirements identification, perhaps preliminary scope definition or cost estimate preparation, observing the facility's acceptance testing (as appropriate), acceptance of initial baseline data, and resumption of the maintenance responsibility after the contract is complete. For facilities maintenance support services contracts, the facilities maintenance organization has a greater responsibility. It should be involved throughout the acquisition process in each of the following functions: 

a.  Determining the need for the contract.

b.  Serving as a member of the acquisition team.

c.  Drafting the acquisition schedule and milestones.

d.  Preparing the needs analysis.

e.  Writing the acquisition plan.

f.  Writing the statement of work.

g.  Assisting the Office of Procurement in determining the contract
    type.

h.  Writing the quality assurance plan.

i.  Conducting quality assurance surveillance during contract
    performance.

#### Close coordination with the cognizant procurement office is essential in obtaining quality services in a timely fashion. Additionally, emphasis should be placed on advance acquisition planning to ensure continuity of services.

## Physical Plant Information

### Initially, the maintenance organization must know the facility activity status in order to establish a facility's maintenance requirement. The status may range from active to abandoned with each status requiring a different level of maintenance. (See paragraph 3.9.5, Facility Activity Status.) 

### Information describing the facilities and collateral equipment at a Center is essential for planning facilities maintenance actions, efficiently performing facilities maintenance, documenting maintenance histories, following up on maintenance performance, energy reporting, and management reporting. Without this information, neglect of essential systems is likely, leading to inefficient operation, system failure, or loss of service. 

### With the increasing use of CMMS, obtaining the information in computer-readable format is strongly recommended. Chapter 6, Facilities Maintenance Management Automation, addresses CMMS requirements and usage. 

### Complete physical plant information consists of several databases distinguished by the type of information they contain. Chapter 6, Facilities Maintenance Management Automation, discusses databases from the perspective of facilities maintenance management automation. The following paragraphs examine the physical plant information databases in terms of the type of information they contain. 

### Facility Activity Status. The following paragraphs provide insight into some of the facility status classifications. Each status has its own level of maintenance required, ranging from full maintenance for an active facility to no maintenance for a facility with an abandoned status. For detailed information on maintenance requirements for each inactive facility status, see *NPR 8800.15, Real Estate Management Program Implementation Manual*.

a.  Active facility. Any facility that has a specific and present or
    near-term program or institutional requirement. Space utilization
    would normally be at least 50 percent, and/or the usage level
    exceeds 50 percent of the available time for use.

b.  Inactive facility. Any facility that has no specific and present or
    near-term program or institutional requirement. The inactive
    facility may be placed in a "Standby," "Mothballed," or "Abandoned"
    status. The following generally apply to all levels of inactive
    facilities:

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1.  No personnel occupy the facility.

2.  Utilities are curtailed, other than as required for fire, security,
    or safety.

3.  Facility is secured to prevent unauthorized access and injury to
    personnel.

4.  Facility does not receive funding for renewal or other significant
    improvement.

5.  The CRV of inactive facilities should be removed from the Center's
    total. (See Chapter 3.0 of *NPR 8800.15, Real Estate Management
    Program Implementation Manual* for additional information.)

### **Descriptive Data**

#### Descriptive data is the detailed identifying information on the items to be maintained. The data falls into the following two classes: 

a\. Facilities data describing buildings, structures, utilities lines,
and grounds improvements.

b\. Collateral equipment data describing built-in equipment that is part
of a facility or utilities distribution system but maintained as a
separately identifiable entity.

#### Each separately identified and maintained item may be part of a hierarchy of systems and subsystems. For example, a motor may be a component of the water circulating subsystem of an A/C system in a facility. 

#### Descriptive data should identify items to their related systems and subsystems. The number of hierarchical levels depends on Center requirements, but four levels of system/subsystem is the suggested minimum. For equipment, the descriptive data should include the equipment classification or grouping. 

#### Facilities. Table 3-1 provides a list of descriptive factors and attributes used to develop a facilities database. This list is a suggested minimum for facilities management. The items on this list generally are self explanatory. 

#### Table 3-1 Facilities Descriptive Data {#table-3-1-facilities-descriptive-data .unnumbered}

+------------------------------------------+---------------------------+
| Facility Number                          | Material                  |
+------------------------------------------+---------------------------+
| Facility Title                           | Finish                    |
+------------------------------------------+---------------------------+
| Location                                 | Inspection Cycle (years)  |
|                                          |                           |
| Status                                   | PGM Checklist/Guide No.   |
+------------------------------------------+---------------------------+
| Facility Component (e.g., ceiling, door, | Estimated Design Life     |
| floor, flashing, wall, drainage,         | (years)                   |
| parapet)                                 |                           |
|                                          | Funding Source            |
+------------------------------------------+---------------------------+
| Facility System (e.g., exterior,         | Construction Date         |
| interior, roof, tank, fence, grounds)    |                           |
|                                          | Condition Code            |
+------------------------------------------+---------------------------+

#### Collateral Equipment. Table 3-2 is a list of descriptive factors and attributes used to develop a collateral equipment database. This list is a minimum for collateral equipment maintenance management. Centers with PT&I programs will have additional equipment data elements such as location of test points.

[]{#__RefHeading___Toc205396898 .anchor}Table 3-2 Collateral Equipment
Descriptive Data

+--------------------+------------------------------+-----------------+
| Inventory Number   | Estimated Life               | Classification  |
|                    |                              |                 |
| Nomenclature       | Cost                         | Use/User        |
|                    |                              |                 |
| Location --        | Size --                      | Priority        |
|                    |                              |                 |
| Building           | Capacity HP                  | Funding Source  |
|                    |                              |                 |
| Floor              | Voltage Weight               | PM Cycle        |
|                    |                              | Identifiers     |
| Room               | Current Dimensions           |                 |
|                    |                              | PM Guide No.    |
| Zone               | Systems --                   |                 |
|                    |                              | Inspection      |
| Manufacturer       | Major System                 | Identifiers     |
|                    |                              |                 |
| Vendor/Supplier    | Subsystem                    | Condition Code  |
|                    |                              |                 |
| Model              | Major Component              |                 |
|                    |                              |                 |
| Serial Number      | Component                    |                 |
|                    |                              |                 |
| Date Acquired      |                              |                 |
+--------------------+------------------------------+-----------------+
|                    |                              |                 |
+--------------------+------------------------------+-----------------+
|                    |                              |                 |
+--------------------+------------------------------+-----------------+

### **Drawings**

#### Drawings and other graphical data are a significant portion of the physical plant information, especially for buildings, structures, utilities systems, real estate, and land improvements. They also may be a significant portion of the available information for equipment in the form of shop drawings, schematics, photographs, and assembly drawings. Drawings may exist in many forms, including paper, photographs (such as microfilm, microfiche, and aperture cards), video images, and computerized data. Computerized forms include Computer-Aided Design and Drafting (CADD), Geographic Information Systems (GIS) or vector-based drawings. Drawings may be linked to work orders through a CMMS database.

#### Significant challenges in drawing management include keeping drawings up to date, maintaining an indexed library of drawings, and maintaining a linkage between the drawings and the systems they represent. To the maximum extent possible, Centers should require all drawings for new or modified facilities and equipment to be delivered to the Government in computer-readable and revisable form. However, the wholesale conversion of existing drawings to computerized form may not be practical. All drawings should be filed and retained in accordance with guidance provided in *NPR 1441.1, NASA Records Retention Schedules*.

## Data Gathering

### It is necessary to gather facilities and collateral equipment data to support the facilities maintenance program.

### **Existing Databases**

#### Existing databases maintained by the Center provide a starting point for developing an inventory of maintainable facilities and collateral equipment items. However, databases developed for other purposes, such as financial accounting, will not identify all maintainable items, systems, subsystems, and components. Further, they may include items not relevant for facilities maintenance management purposes. Using these databases as a starting point requires screening entries for inclusion in the facilities maintenance database. Where a unified Center database exists, this might take the form of flagging records as part of the facilities maintenance management program. Where the existing data is in a computerized database, it also may be possible to arrange for electronic transfer of portions of the data. This may simplify loading the data into the facilities maintenance management database. Potential existing databases include the NASA Real Property Data System and Center-unique industrial plant, personal, and minor property or collateral equipment inventory systems.

#### Creation of separate databases with common data elements carries the risk of having conflicting data. If separate databases are created, a methodology must be developed and implemented to update the data from one database to the others to avoid inconsistencies.

### Physical Inventory. A physical inventory may be necessary to verify the data imported from other databases and to gather supplemental information to identify maintainable items and their associated systems, subsystems, and components not previously inventoried. Identification tags placed on collateral equipment during the inventory will help to ensure that all maintainable collateral equipment is picked up for entry into the database. Using identification tags also helps to avoid duplication.

#### In-house. It is possible to perform a complete physical inventory using in-house workforce as part of the continuous inspection and PM programs. However, this effort may take a long time and could result in the diversion of a significant portion of the facilities maintenance workforce, thereby adversely impacting routine facilities maintenance.

#### Contract. Contracting for the inventory is an effective method of obtaining the data. The contract may be a separate action, in conjunction with a comprehensive condition assessment, or it may be part of the development of Maintenance Support Information. For more information, see paragraph 10.9, Maintenance Support Information.

#### Inventory Maintenance. Once developed, the facilities and collateral equipment inventory requires continuous updating to reflect additions, deletions, or changes to the physical plant. Normally, this effort is part of the continuing inspection program.

#### Identification Tags. Equipment identification tags should be clearly visible. Using permanent, machine-readable tags, such as preprinted bar code labels, eases maintenance and inventory automation and reduces the potential for data-entry errors.

### User Information. Equipment users or custodians also are a source of inventory information as they receive new equipment or determine that equipment they already have requires maintenance. The initial identification typically will take the form of a request for equipment installation or maintenance. It may also be a response to a call for inventory assistance from the facilities maintenance organization. In either case, the information provided may not be enough for facilities maintenance management purposes. A field investigation may be necessary to obtain all of the maintenance information.

## Management Indicators

### Paragraph 3.11.5, Work Element Relationships, discusses the total facilities maintenance effort and relationships among the individual work-element efforts. However, there are a number of other relationships typically used in the facilities maintenance community for indicating the effectiveness of the facilities maintenance operation and for comparing current performance with goals and objectives. These relationships are called management indicators, performance measures, or simply "metrics." 

### As shown in Figure 3-3, management indicators may be expressed as words (such as "outstanding" or "excellent") or numbers (metrics). Current management theory holds that one cannot manage an operation effectively unless one measures it. Metrics are preferable to word descriptions because they may be trended more easily. Also, they tend to be more precise and objective than words. Regardless of what metrics are used by individual Centers, some system of measurement is vital to the process of continuous improvement. 

### NASA's policy is to continuously improve technical and managerial processes in order to minimize life-cycle maintenance and repair costs. One process to use is benchmarking. Using benchmarking and its related metrics, Center facilities maintenance managers can evaluate maintenance performance, compare performance against maintenance standards, and identify trends. This process will help managers in identifying and implementing best practices and can provide a basis for performance projections to be used in preparing the AWP and the Center's Five-Year Plan. 

### The following paragraphs provide a general definition of a metric, its components, and its attributes. They also discuss the role metrics play in the continuous improvement processes and present examples of metrics used by facilities maintenance organizations.

### **Work Element Relationships** 

#### There are relationships among the facilities maintenance work elements that indicate the strengths and weaknesses of a facilities maintenance program. Table 3-3 shows typical ranges of effort for the principal work elements at a large physical plant of diverse age and complexity.

#### The percentages in Table 3-3 apply to the total facilities maintenance effort. The percentage ranges are guides only. For example, if repairs exceed 20 percent by a significant amount, it may indicate that more effort must be put into PM, PT&I, and PGM. Likewise, if TCs exceed 10 percent, it may indicate that PM and PT&I effort should be increased. The greatest effort, 50- to 60-percent, should be applied to PM, PT&I, and PGM. The limit on service request work is suggested only because of the potential for a large amount of service request work to detract from the maintenance effort. 

#### The ranges in Table 3-3 are recommended as a basis for self-evaluation until each Center accumulates sufficient data to reflect its unique situation. Thereafter, analysis should be based on the relationships appropriate to the Center. 

#### Two of the work elements do not appear in Table 3-3: Central Utility Plant Maintenance and Operations and Grounds Care. Both depend on local circumstances and vary too widely to estimate a meaningful range. 

#### As a general rule, the percentage of work authorized by work order should increase, the percentage of scheduled work should increase, and the percentage of unscheduled work should decrease.

[]{#__RefHeading___Toc205396899 .anchor}Table 3-3 Work Element
Percentages and Indicators

  --------------------------------------------- -------------------------
  **Work Element\***                            **Average Range as
                                                Percentage of Total Work
                                                Effort**

  Preventive Maintenance (PM).                  15--18

  Predictive Testing & Inspection (PT&I).       10--12

  Programmed Maintenance (PGM).                 25--30

  Repair (other than TC).                       15--20

  Trouble Calls (TC).                           5--10

  Replacement of Obsolete Items (ROI).          15--20

  Service Requests (SR).                        0--5

                                                \_\_\_\_\_\_\_\_\_

  Total                                         100%

  Key performance indicators for facilities     
  maintenance.                                  

  Facility Condition Index (FCI) : Upward trend 
  (Agency-wide goal of 4.0).                    

  DM: Downward trend.                           

  Planned Work (PM, PT & I, PGM, and some ROI): 
  Upward trend.                                 

  Unplanned Work (TC, Emergency Repairs, some   
  ROI): Downward trend.                         
  --------------------------------------------- -------------------------

\*Excludes Central Utility Plant Operations & Maintenance, Grounds Care,
indirect labor, and overhead (such as supervision or planning and
estimating (P&E)).

#### **Metrics Definition** 

a.  Metrics are meaningful measures. For a measure to be meaningful, it
    must present data that encourages the right action. The data must be
    customer oriented and be related to and support one or more
    organizational objectives. Metrics foster process understanding and
    motivate action to continually improve the way a process is
    performed. This is what sets metrics apart from measurement.
    Measurement does not necessarily result in process improvement.
    Effective metrics always will. Projecting this improvement, metrics
    can be used in preparing a Center's AWP and Five-Year Plan.

b.  A more useful definition for managers is that a metric is a
    measurement that is made repeatedly at prescribed intervals and that
    provides vital information to management about trends in the
    performance of a process or activity or in the use of a resource.

c.  Each metric consists of a descriptor and a benchmark. A descriptor
    is a word description of the units used in the metric. A benchmark
    is a numerical value of the metric or the limits within which the
    metric is to be kept that management selects as the goal against
    which the measured value of the metric is compared. For example, a
    typical metric is the ratio of planned maintenance work (dollars)
    over total maintenance work (dollars) expressed as a percentage and
    shown in the following equation:

> [Planned Maintenance Work (dollars)]{.underline}

Total Planned Work (dollars)

d.  The planned maintenance work and total planned maintenance work are
    the descriptors, the units of which are dollars. In the example, 80
    percent is the goal or benchmark.

#### **Metrics Attributes** 

a.  Metrics have common attributes that should be considered when they
    are being developed. A good metric has many of the following
    attributes:

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1.  It is customer oriented.

2.  It is linked to a goal or objective.

3.  It is process/action oriented.

4.  It distinguishes good from bad or desirable from undesirable
    results.

5.  It is derived from data that is readily collectable.

6.  It is trendable.

7.  It is repeatable.

8.  It is simple.

9.  It expresses realistic/achievable goals.

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b.  Customer orientation is important because the ultimate success of
    facilities maintenance services is partly dependent on how they are
    perceived by the customer. A metric should be action oriented, which
    means that the organization must have the capability to change the
    metric parameters. Just as what cannot be measured cannot be managed
    effectively, there is no need to measure what cannot be controlled.
    A metric should distinguish good from bad, which again is based on a
    standard or goal, i.e., movement toward the goal is good, and
    conversely, movement away from the goal is bad. The data for the
    metric should be collectable, preferably already contained within
    the accounting system or the CMMS. A metric must be trendable so
    that successive readings can be compared with meaningful results. It
    should be simple, so that those who use it, carry it out, or are
    affected by it can understand it. Finally, the metric must be
    realistic. If it is clearly not achievable, workers will not strive
    to achieve it.

#### **Metrics' Role in Continuous Improvement**

a.  The role of metrics in the continuous improvement process is
    illustrated in Figure 3‑4. This figure illustrates the simple closed
    loop in any management system. The first step is to select the
    descriptor and establish the benchmark, which together make up the
    metric. Establishment of the metric should consider the factors
    listed in paragraph 3.11.5.7, Metrics Attributes.

b.  When the metric is implemented, management should establish the
    baseline, i.e., where the organization is with respect to the
    benchmark. Preferably, this information is known, at least
    approximately, and used when setting the goal (benchmark). Then
    management must develop a system to measure and report the
    descriptor condition regularly over uniform periods of time (e.g.,
    daily, weekly, monthly). The measured value is compared with the
    benchmark to identify the gap between the two. Management then acts
    to close the gap. After several iterations, it may become apparent
    that either the descriptor is not appropriate or the benchmark is
    unrealistic. If this is the case, the metric should be revised and a
    new baseline determined. If the original metric is both suitable and
    realistic, the measurement cycle should be repeated with the gap
    between the benchmark and the measured value becoming progressively
    smaller. In this situation, true continuous improvement is
    occurring.

[]{#__RefHeading___Toc205396763 .anchor}![](media/image4.wmf)Figure 3-4
Continuous Improvement Process

#### Benchmarking. Two organizations that promote the use of metrics for continual improvement are the American Productivity and Quality Council (APQC) and the American Society for Quality (ASQ). While the APQC's emphasis is on benchmarking, the ASQ promotes customer satisfaction as the means to achieve continuous improvement. One of the best methods for achieving continuous facilities maintenance improvement is using metrics with benchmarking. Benchmarking is the process of continuously identifying, measuring, and comparing processes, products, or services against those of recognized leaders in order to achieve superior performance.

a.  Objectives. The objectives of benchmarking are as follows:

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1.  Accelerate the change process.

2.  Achieve both incremental and breakthrough improvements.

3.  Achieve greater customer satisfaction.

4.  Learn from the best to avoid reinventing (applying lessons learned).

5.  Apply best practices using the latest feasible technology.

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b.  Types of Benchmarking:

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1.  Internal. A comparison of internal operations, for example, within a
    Center or NASA-wide.

2.  Competitive. A competitor-to-competitor functional comparison.

3.  Functional. A comparison of similar functions within NASA Centers or
    with industry leaders.

4.  Generic. A comparison of functions or processes that are the same
    regardless of Center or industry.

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c.  Approaches to Benchmarking. The NASA approach found to be successful
    has been generic benchmarking using the hybrid approach.
    Benchmarking approaches are as follows:

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1.  Centralized. Managed by a single corporate entity, e.g., by NASA
    Headquarters

2.  Decentralized. Managed at the local level, e.g., by individual
    Centers.

3.  Hybrid. A combination of the centralized and decentralized
    approaches.

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d.  Facilities Maintenance Management Indicators:

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1.  The benchmark depends on the Center baseline and goal or objective.
    More important, a specific metric by itself is the recognition of
    its usefulness in proactively establishing patterns, trends, and
    correlation with other data to describe past, current, and
    anticipated conditions. Center maintenance managers should utilize
    metrics continuously to evaluate the effectiveness of their
    management.

2.  A major benefit of the metric information is its evaluation over
    several periods to obtain trends. Metrics may be maintained visually
    using graphs, bar charts, or other methods. The periods may be
    monthly, quarterly, annually, or by contract evaluation period. The
    benchmark of "Local" means that the individual Center should
    establish its own benchmarks based on experience and look for
    improvement trends and irregularities.

3.  The metrics presented in Appendix G should be used by Center
    maintenance managers for evaluating various maintenance areas on a
    continual basis. Individual metrics can refer to the maintenance
    organization as a whole or by individual shops, crafts, contracts,
    or subcontracts. These are essentially tools for facilities
    maintenance managers in evaluation of their operations and for
    providing NASA Headquarters metrics data.

#### **Examples** 

a.  Center Metrics. Metrics can be classified using categories, such as
    facility condition, work performance, work elements, budget
    execution, and many others. Examples shown in Table 3-4 are some of
    the metrics that are recommended for Center self assessments. These
    and additional metrics that might be utilized in evaluating a
    maintenance program and benchmarks are contained in Appendix G.

b.  Center Facilities Maintenance Functional Performance Metrics Summary
    Sheet. Table 3-4 is the metrics sheet. The Center's metrics data
    shown in the table is usually submitted to NASA Headquarters in
    November of each year. The following paragraphs provide additional
    insight into the metrics data shown in the table.

[]{#__RefHeading___Toc205396900 .anchor}Table 3-4 Sample Management
Metrics

Note: Benchmarks for the metrics shown above are in Appendix G.

Abbreviations: \$B = billions of dollars; \$M = millions of dollars; CoF
= Construction of Facilities; DM = Deferred Maintenance; FSM =
Facilities Sustainment Mode; LWCIR = Lost Workday Case Incident Rate
(*aka* DART, Days Away, Restricted, and Job Transfer); M&R = Maintenance
and Repair; PGM = Programmed Maintenance; PT&I = Predictive Testing and
Inspection; RIR = Reportable Incident Rate; ROI = Replacement of
Obsolete Items; TC = Trouble Call.

\*Unitless measure.

1.  The unconstrained Center-level funding amount that represents a
    manager's reasonable estimate of the full annual requirement that
    would maintain the Center's facility inventory in a "good
    commercial" level of condition, while not allowing DM to grow
    further and providing a level of reliability that the supported
    programs find acceptable for their missions. A minor amount of DM
    reduction could be included in this figure.

2.  Initial Operating Plan for annual Center-level M&R funding such as:
    PM, PT&I, ROI, PGM, non-CoF repair, and TC.

3.  Due to or influenced by constrained resources (includes direct
    repair costs and other Center cost impacts).

4.  Scheduled Work consisting of PM, PT&I, PRM, ROI, and PT&I "Finds"
    repair costs.

5.  Annual Center-level M&R funding including PGM, PM, PT&I, ROI TC, and
    non-CoF repair.

6.  Reportable Incident Rate during FYxx for O&M and support services
    contracts. RIR = (Total annual \# of injuries incurred x
    200,000)/(Total annual \# of hours worked ).

7.  Lost Workday Case Incident Rate during FYxx for O&M and support
    services contracts. LWCIR represents the number of injuries and
    illnesses per 100 full-time equivalent workers and calculated as:
    (N/EH) x 200,000, where N = the number of injuries and illnesses, EH
    = the total hours worked by all employees during the calendar year,
    and 200,000 is the base for 100 equivalent full-time workers
    (working 40 hours per week, 50 weeks per year).

## Management Analysis

### The maintenance requirements at each of the NASA Centers change continually, as does the maintenance technology. As a result, maintenance programs should be analyzed periodically at both micro and macro levels by facilities maintenance managers. These analyses should be based on personal observations of work being performed, customer feedback, reports (informal and formal), supervisor evaluation, metrics evaluations, and reports from the CMMS.

### Performance Review. Facilities maintenance managers should review the performance indicators periodically to evaluate progress and readjust the maintenance program. Performance reviews may be formal or informal, based on the needs of the organization and the personal style of the manager. The manager analyzes the information contained in the metrics and, when available, the information provided through benchmarking. The manager's performance reviews should consider how to improve the way of doing business rather than continuing to operate in the old ways. The lessons learned from benchmarking often are helpful in determining the actions that should be taken as a result of performance reviews. The following are candidate areas to review: 

a.  Standards of maintenance may require modification because of
    changing mission requirements or changes in the use of facilities.

b.  New maintenance techniques or materials may provide savings, thereby
    enabling additional work to be accomplished within the same level of
    resources.

c.  Initial priorities may be set higher than necessary because of
    incorrect perceptions, lack of management preparation, or lack of
    insight, which may result in expediting work unnecessarily. This, in
    turn, may lead to worker inefficiency and extra management and
    supervisory effort.

### Cost Avoidance. Cost-avoidance opportunities are not always obvious from the day-to-day observation of maintenance operations. When looking at the costs to maintain or repair a facility, the manager and all maintenance personnel should consider measures to avoid facility damage or equipment breakdown. Cost-avoidance action seeks to eliminate all maintenance efforts resulting from inefficiencies, misdirection, and mismanagement. Also, customers must recognize their role in optimizing the expenditure of maintenance funds. The following are factors that should be considered in identifying cost-avoidance measures: 

a.  Preventing facility damage.

b.  Minimizing wear and tear on facilities.

c.  Eliminating the waste of energy.

d.  Recognizing opportunities for multiple use or ways to reuse excess
    or underutilized facilities.

e.  Eliminating, containing, or controlling hazardous material
    contamination with its consequent impact on the use of facilities.

These are not new ideas, and most individuals take reasonable care of
the facilities they use. However, waste may result when proper
consideration is not given to the care and use of facility assets.

### Productivity Enhancements. Facilities maintenance productivity may be enhanced by actions such as the following: 

a.  Improving customer feedback to reduce customer calls to management
    for information.

b.  Using a priority system that enables workers to complete one job
    before starting another.

c.  Empowering maintenance personnel to report problems when found and
    changes to facilities or equipment otherwise not known (e.g.,
    customer-made changes).

d.  Reviewing data-entry procedures to ensure that different personnel
    do not enter data several times into different systems.

e.  Reviewing work-order execution times to identify wasted labor caused
    by material, transportation, or support delays.

f.  Monitoring to look for improved scheduling and travel consolidation
    efficiencies.

#### Two major detriments to productivity enhancements are excessive reporting without reason and the natural tendency to resist change. 

#### One of the most important productivity enhancers is keeping personnel well motivated and encouraging a sense of ownership toward the facilities. This applies for both Government and contractor personnel.

### Alternative Procedures. Maintenance and repair work does not decrease when resources are scarce. On the contrary, more items tend to be deferred, and the maintenance problems grow worse. Accordingly, efforts must be devoted to finding alternative methods to accomplish the same results. The following should be considered: 

a.  PT&I technology with remote sensing of equipment status replacing
    periodic, on-site manual inspection and reporting.

b.  Increasing PM crew capabilities to reduce the number of separate
    crews required to perform maintenance on a particular item of
    equipment.

c.  Replacing scheduled PMs with PT&I schedules.

d.  Process improvement/reengineering.

### AWP Monitoring. The program analysis depicted in Figure 3-2 not only refers to management indicators but also refers to the AWP since it is the baseline or guide for the year's work. The plan should be updated with new information as appropriate. The following questions should be asked when comparing actual performance with the AWP: 

a.  Is the organization within budget?

b.  What is the cause of any budget variances?

c.  Is scheduled maintenance being performed on schedule?

d.  Should RCM root-cause analysis be applied to any identified problem?

e.  Were there any significant emergencies?

f.  Is productivity improving? Is it being hampered by institutional
    factors?

g.  Have there been any mission changes affecting facilities?

h.  Has there been any customer changes affecting facilities?

i.  What customer feedback has been received?

### Performance Indicator Use. The performance indicators discussed in paragraph 3.11, Management Indicators, only are beneficial when they are analyzed by management for use in improving the total program. These may be broken down into internal and external indicators as follows: 

a.  Internal indicators are those where the information is all directly
    available to the facilities maintenance manager and the indicators
    assist the manager in improving operations. A sample of these
    indicators is shown in Table 3-5. Most of these indicators evaluate
    timeliness, efficiency, and maintenance effectiveness.

b.  External indicators are based on information provided by the
    customer or on information that affects the support to the customer.
    A sample of these indicators is shown in Table 3-6. These indicators
    help to inform the facilities maintenance manager of the level of
    customer satisfaction and how well the maintenance organization is
    performing for the customer.

All of these indicators, both internal and external, are derived from
metrics and applied to the specific Center. Appendix G provides an
additional list and discussion of metrics that may be used to evaluate
performance.

  --------------------------------------- -------------------------------
  **Indicator**                           **Performance Measured**

  Average Duration of Work Order          Processing Timeliness
  Processing                              

  Actual Work Order Cost versus Estimated Performance Efficiency
  Work Order Cost                         

  Completion Date versus Estimated Date   Timeliness

  Emergency Trouble Call Response Time    Responsiveness

  Routine Trouble Call Response Time      Responsiveness

  Equipment Availability Rate             RCM Effectiveness

  Mean Time Between Equipment Breakdown   RCM Effectiveness

  Percentage of Overdue PMs at End of     RCM Management Effectiveness
  Month                                   
  --------------------------------------- -------------------------------

[]{#__RefHeading___Toc205396901 .anchor}Table 3-5 Internal Performance
Indicators

[]{#__RefHeading___Toc205396902 .anchor}Table 3-6 External Performance
Indicators

+---------------------------------------+------------------------------+
| #### *                                | #### **Pe                    |
| *Indicator** {#indicator .unnumbered} | rformance Measured** {#perfo |
|                                       | rmance-measured .unnumbered} |
+---------------------------------------+------------------------------+
| Customer Feedback Score               | Customer Satisfaction        |
+---------------------------------------+------------------------------+
| Actual Cost versus Estimate Provided  | Customer Satisfaction        |
| to Customer                           | (indirect)                   |
+---------------------------------------+------------------------------+
| Completion Date versus Estimate       | Customer Satisfaction        |
| Provided to Customer                  | (indirect)                   |
+---------------------------------------+------------------------------+
| Number of Emergency Trouble           | RCM Program Effectiveness    |
| Calls/Month                           |                              |
+---------------------------------------+------------------------------+
| Cost of Unplanned versus Planned Work | Condition Assessment and     |
|                                       | Work-Generation              |
|                                       | Effectiveness                |
+---------------------------------------+------------------------------+
| Deferred Maintenance Estimate         | Level of Maintenance Funding |
+---------------------------------------+------------------------------+

# Annual Work Plan

## Introduction 

a\. In a 1998 commissioned study (Appendix C, resource 31) addressing
the inadequate funding of Government facilities maintenance and repair,
the National Research Council (NRC) concluded that agencies' facilities
M&R programs were underfunded relative to their CRV, noncompetitive with
operations programs, inconsistent between Agencies, overextended,
mismanaged, and difficult to quantify and justify, and their funding was
often and easily diverted. A well-conceived and comprehensive AWP will
clearly substantiate the need for good, strong, and well-articulated
justification for requesting, managing, and properly allocating M&R
funds for the responsible stewardship of NASA facilities.

b\. NASA has adopted a maintenance philosophy that emphasizes using the
optimal mix of strategies to provide required facility availability and
reliability at minimum cost in supporting current and planned NASA
programs. This chapter emphasizes the use of Reliability Centered
Maintenance program data in identifying long- and short-range facility
requirements based not only on mission impact, but on ensuring that NASA
maintenance programs continue to progress toward proactive modes of
operation versus reactive modes. A template for preparing an Annual and
Five-Year Maintenance Work Plan is provided in Appendix H.

c\. The AWP is a tool used by the facilities maintenance manager for the
following purposes:

1.  To justify funding for the maintenance and repair of facilities and
    equipment in an organized manner for presentation to the Congress
    and others.

2.  To identify, with a reasonable degree of accuracy, the Center's DM.

3.  To ensure that all resources are used effectively to provide Center
    maintenance support in a manner that reflects priorities relative to
    mission criticality.

### A well-developed AWP will provide a guide for the year's activity to ensure that NASA Center priorities are followed and the maintenance program progresses in a proactive versus a reactive mode of operation. Excessive reactive maintenance requires correspondingly excessive maintenance management that could be better spent in program planning, proactive maintenance, work evaluation, and analysis of resource expenditure effectiveness. The AWP balances estimated emergency and urgent reactive maintenance with predefined RCM activities such as PGM, PT&I, PM, and proactive maintenance. The plan shall promote the adoption of new maintenance technologies and document the maintenance requirements for the year.

### The added value of the AWP to the facilities maintenance program is in providing a sense of direction that the maintenance workforce can follow, thereby defining their contribution to the organization's accomplishments and enabling them to be more productive. The baseline of work defined by the AWP is then used together with the metrics and benchmarking methodology discussed in Chapter 3, Facilities Maintenance Management, and in Appendix G to evaluate progress and guide future efforts.

### The AWP should be prepared prior to the start of the fiscal year and be ready to execute on schedule. Work that is necessary but unfunded through the regular budget and alternative funding should be identified where possible. Work that is still necessary and unfunded at the end of the fiscal year is added to the DM and monitored for later funding. The AWP must be a flexible working document, incorporating changes throughout the year to accommodate emerging mission and customer requirements and requirements identified during facility condition assessments that cannot wait for the next budget cycle.

## The Link between Planning and Execution 

### Based on the previously gathered information about the Center, the AWP can be developed into the foundation of the maintenance management program. The AWP links the total maintenance requirements, as analyzed and prioritized, and integrates the budget constraints with day-to-day work control and work execution. This linkage is shown in Figure 3-2. 

### Before an AWP can be prepared, the facilities maintenance manager must understand the mission of the Center and the impact of facilities condition on that mission. Because of the nature of the overall NASA scientific mission, its continual change must be taken into consideration. Important long-range plans such as the Center Master Plan, Five-Year CoF Plan, and Five-Year Maintenance Plan (see paragraph 4.8, Five-Year Facilities Maintenance Plan) are dynamic and must be updated annually as the AWP is developed. Further, facility requirements change as individual customers, supervisory direction, and missions change.

### Short-term changes also have an impact on maintenance. The AWP must be flexible enough to accommodate these changes without invalidating the basic plan structure. The following are examples: 

a.  A change in a specific supporting research task may allow the use of
    alternative facilities rather than requiring an expensive
    alteration.

b.  Scientific operations could preempt previously scheduled work in a
    given facility for a period of time, thereby causing a delay in a
    programmed maintenance project.

c.  A change in a test program may demand more reliable power for a
    particular testing period, thereby requiring more preventive or
    predictive maintenance than normally programmed.

d.  The criticality of a specific scientific project or support to a
    space flight could necessitate scheduling a special maintenance
    activity before the launch.

## Content 

### The AWP is a compilation of all maintenance and repair work to be accomplished during the year, including an estimate for unforeseen work. This compilation is the result of analyzing the total work requirements and integrating them with the budget, as shown in Figure 3-2.

### Figure 4-1 shows the specific elements making up a facilities maintenance AWP. Each element can be developed and considered as a separate entity. (In the figure, PM and PT&I are separated by a broken line because PT&I is considered a subset of PM. The same is true of Repairs and TCs. Cumulatively, the elements define the total facilities maintenance program planned at a Center for a given year and the estimated cost in dollars and other resources (i.e., labor, materials, and equipment). However, note that only routine maintenance and repairs are included as part of NRC's 2- to 4-percent of CRV recommended maintenance budget.

[]{#__RefHeading___Toc205396764 .anchor}Figure 4-1 Facilities
Maintenance Annual Work Plan Elements

### The AWP should include an estimate and allowance for reimbursable work. This is to ensure that reimbursable work will complement rather than compete with necessary maintenance work.

### The dollar limits for a work package in each facilities maintenance work element are shown in Table 2-2. CoF projects, although not normally executed by the maintenance organization, are documented in the AWP to ensure coordination of construction and maintenance activities. Besides a listing of projects to be accomplished, the AWP should document any pertinent maintenance-related information that was identified during the design and development of the CoF projects.

## Information Sources 

### Preparing an AWP requires specific information. The facilities and collateral equipment inventory, coupled with the RCM database (see Section 4.6.4), constitutes the basic information needed. Such an inventory database should be augmented by a variety of files and other key documents, including mission statements and objectives from the NASA and Center Strategic Plans and other policy documents, PM requirements, a continuous inspection program, historical funding data, Energy Efficiency and Water Conservation Five-Year Plan (Appendix C, resource 10), and facilities history records. The CMMS is a valuable source of information on facility and equipment maintenance histories, criticality codes, priorities, performance metrics, TC histories, and other unforeseen requirements on which to base a reasonable estimate of the required level of effort for each season of the year. See Appendix H for additional information on suggested information sources.

### The NASA Strategic Plan and Center Mission Statements. Pertinent excerpts from these documents set the stage for justifying to Congress and others why funding is required and the ramifications to big-picture Government interests if the funding is not provided. From their guidance, the AWP should identify and illustrate why short- and long-term facilities maintenance funding is crucial to ensuring facility availability for NASA's critical missions. The AWP builds on the mission statements to provide guidance on setting priorities based on facilities and equipment criticality relative to mission, current condition, and long-range plans that will affect real property assets and future maintenance requirements.

### Center Master Plan and Other Planning Data. This planning documentation will identify not only future construction, acquisition, and disposal plans for the Center that will ultimately impact maintenance and resource requirements, but will also identify other short- and long-range planning information, such as anticipated civil servant and contractor staffing requirements and opportunities for interservice support agreements. Information such as the expected staffing population is important to the AWP in that it is indicative of the level of work being performed at the Center at any time and can provide justification for adequate maintenance funding.

### RCM (PM/PT&I) Database. This database, usually found in the CMMS, is required to develop PM and PT&I funding requirements for the next five years, including all labor, parts, materials, and special tools. RCM may identify the most effective maintenance in terms of retaining the highest reliability at the lowest cost. It may even recommend that no maintenance action be taken on specific items, appearing contradictory to traditional maintenance philosophies. The RCM and PM/PT&I databases should provide the following: 

a.  Inventory of maintainable items.

b.  Facility and equipment criticality and condition codes.

c.  Specific inspections and maintenance tasks to be performed on each
    maintainable item of unattended, maintainable collateral equipment.
    These are periodic tasks to keep equipment items in good operating
    condition for improved reliability and to maximize their service
    lives.

d.  The parameter (e.g., maximum allowable pressure drop, maximum
    allowable bearing temperature, recommended time interval between
    PM/PT&I service) defining when each PM/PT&I task should be
    performed.

e.  The estimated resources required to perform each PM/PT&I task in
    terms of work hours (by craft), materials, tools, and equipment. The
    total of these estimated resource requirements becomes the basis for
    the PM/PT&I portion of the AWP, workforce staffing, and work
    scheduling. Also, these estimates can be used to balance the
    program.

f.  Specific instructions for obtaining condition assessment information
    as part of each maintainable collateral equipment PM/PT&I. The
    information to be recorded includes the condition of the overall
    item of equipment and, in some cases, of a part or subsystem of the
    equipment item. Instructions should also define a procedure for
    describing and documenting the results of the condition assessment.

### **Facilities/Equipment History Database** 

#### Concurrent recording within the historical database of the condition of the items receiving PM/PT&I is one important product of the PM and PT&I programs. A continuous inspection program should be established to provide a basis for determining PGM and repair requirements for items such as roofs, doors, walls, and windows that are not included in the PM or PT&I programs. 

#### Once the facilities inventory is in place, it must be updated continuously to keep the inventory current and to maintain a detailed record of facilities condition. This is accomplished using the continuous inspection program. Historical files are a repository for all of the information on inventory items that is useful in preparing an AWP. These files must be structured carefully so that they include all necessary data, including the following: 

a.  Records of PM and PT&I work accomplished (i.e., identifying work
    completed, dates of performance, and costs in work hours and
    dollars).

b.  Records of PGM and repair work accomplished (i.e., identifying PGM
    and repair work done, dates of work performance, and costs in work
    hours and dollars).

c.  Condition assessment information developed during maintenance work.

d.  Condition assessment information developed during the continuous
    inspection program.

e.  Designation of candidate items for ROI.

f.  Designation of candidate items for disposal or declaring excess.

## Structure and Interrelationship of AWP Elements 

### Preventive Maintenance. The PM requirements for maintainable collateral equipment items are defined using manufacturers' recommendations, R.S. Means Cost Data or similar guides, historical information, the technical expertise and experience of the maintenance staff, task and periodicity guidance from other Centers for like equipment, and other sources. After defining and summarizing the PM requirements relative to the work standards and identified tasks, their estimated costs in work hours and dollars for a fiscal year will be calculated. These totals define the level of effort (i.e., labor and funds) required to accomplish the unconstrained PM program. Those figures would then be evaluated in terms of projected facilities maintenance funding and labor levels and the estimated requirements for the other elements of the AWP. Such an evaluation is used to establish target resource allocations for the PM program on an annual basis during the five-year planning period. See Table 2-2 for dollar limitations.

### Predictive Testing & Inspection. PT&I involves gathering condition data on potential sources of failure. A PT&I program provides some of the condition data needed to carry on other elements (e.g., PGM or repair) of an AWP. Because it entails a dedicated effort drawing upon facilities resources, PT&I is an element of the AWP. PT&I can greatly impact an AWP because it extends the reach of the inspection program. For example, vibration analysis of a generator might be the basis for either accelerating or deferring a scheduled major overhaul. Or, infrared testing of a roof might indicate the need for small repairs now and avert a major CoF repair project in the future. See Table 2-2 for dollar limitations.

### Grounds Care. Grounds care normally is accomplished with a relatively constant level of effort during the growing season. The level of effort can be predicted with a high degree of accuracy. See Table 2-2 for dollar limitations.

### **Programmed Maintenance** 

#### PGM work refers to recurring work performed at longer than one-year cycles and is best laid out in the Five-Year Maintenance Plan. It involves predefined, specific work tasks. PGM work schedules often are determined on the basis of actual conditions, rather than by fixed intervals. Because of this reliance on condition data to schedule PGM tasks, a continuous inspection program that includes PT&I and user input is required. See Table 2-2 for dollar limitations.

#### Condition codes should be established and recorded in the RCM and facilities history databases for each applicable inventory item maintenance function. They should be structured to trigger the identification of candidate PGM work when a certain condition level is recorded through the PT&I and continuous inspection programs.

#### Candidate PGM work can be costed and evaluated for programming in a particular annual program on the basis of projected funding levels. It is a case of analyzing all of the PGM requirements against other AWP requirements and allocating resources based on priorities. Work can be accomplished by civil service employees, incumbent support service contractors (if the work is determined to be within the scope of the contracts), or by a separate new contract.

### **Repair** 

#### Repair implies urgency because it involves fixing something broken or failing. It is work planned and executed as a single function, e.g., replacing a boiler or repairing leaking tanks. Repairs can be further divided into two categories: (1) repair as a result of PT&I (scheduled), and (2) repair as a result of breakdowns (unscheduled). Non-CoF repair work must be within the Center Director's funding authority. See Table 2-2 for dollar limitations.

#### Repair requirements are identified from the RCM and continuous inspection programs, including input from users, occupants, and facility maintenance personnel. A clear distinction cannot always be made between PGM and repair. For example, pavement sealing and painting of entire structures are considered PGM, but repairing potholes and spot painting are considered repair. As a rule of thumb, repair usually involves fixing portions of an overall facility or system, whereas PGM involves some restoration of the entire system.

#### Local replacement criteria should be established. For example, barring extenuating circumstances, an item should be a candidate for replacement rather than repair if the repair cost exceeds 50 percent of the replacement cost.

### Trouble Calls. TCs address items that break or are damaged unexpectedly. While a facilities maintenance manager uses the historical information in the CMMS to estimate in the AWP the expected level of TC effort, the manager should adjust the estimate upward to reflect inflation and physical plant additions or downward to reflect improvements in the maintenance program and decreases in the size of the physical plant. See Table 2-2 for dollar limitations.

### Replacement of Obsolete Items. ROI requirements are identified through a variety of sources, particularly RCM analysis. For example, trends indicating that several same-year, same-model mechanical units used in a particular application are likely to fail in the near future may be indicative that the best course of action would be to replace all of them, regardless of past individual maintenance history; the breakdown of one of several same-model pumps may lead to the discovery that parts are no longer available for that pump; PM inspection reports may identify equipment items failing to meet new electrical code requirements; or manufacturer's data for a newly purchased pump may indicate that similar onsite pumps are no longer parts-supportable. RCM database and equipment history files need to be structured and procedures established to recognize this type of information and to flag the associated equipment item as an ROI candidate. The facilities maintenance manager can then prioritize ROI candidates and evaluate them for replacement on the basis of safety and operational impact. See Table 2-2 for dollar limitations.

### Service Requests. Small service requests are often performed by the same organization that performs TC work. While service requests are nonmaintenance work and do not fit within NRC's 2- to 4-percent of CRV suggested funding, small service requests are similar to small TCs in that they consist of minor facilities support work needed to maintain routine installation operations. An analysis of the TCs accomplished and the service request records identifies the relative levels of effort allocated to each of these similar elements of the AWP. Caution must be exercised to ensure that service request work does not take disproportionate precedence over important maintenance work. Normally, outside contractors perform work generated by large service requests. Service request work includes facilities construction and additions costing less than the CoF \$500,000 threshold (unless the CoF process as outlined in NPR 8820.2 is followed). See Table 2-2 for dollar limitations.

### Central Utility Plant Operations and Maintenance. Central utility plant O&M normally requires a nearly constant level of effort (depending on the season), adjusted for inflation, and the addition or deletion of facilities. See Table 2-2 for dollar limitations.

### Rehabilitation, Modification, Repair, Construction, and Additions. Rehabilitation, modification, repair, construction, and additions are CoF categories described in *NPD 8820.2, Design and Construction of Facilities*; *NPR 8820.2, Facility Project Requirements*; and *NPD 7330.1, Approval Authorities for Facilities Projects*.

## Five-Year Facilities Maintenance Plan

### Facilities maintenance organizations in both the public and private sectors widely accept the concept of an AWP as an aid for both the budgetary and the work-execution processes. The AWP can assist the facilities maintenance manager in establishing goals within projected resources and in planning to meet those goals. The AWP should evolve from a multiyear plan derived from a complete and continuously updated list of facilities requirements as shown in Figure 3-2. Such multiyear planning promotes achieving long-range goals and consistent direction in facilities maintenance management.

### The Five-Year Maintenance Plan is based on the total maintenance requirements, which in turn, are based on mission, criticalities, and established standards. This plan provides the necessary information for budget forecasting and initial planning and preparation of the AWP (see paragraph 4.6.1). This procedure ensures that the highest priority of maintenance work is scheduled and not lost in the budgeting process. The plan should provide a balance of RCM to minimize the deferral of maintenance along with a realistic estimate of emergency and routine maintenance and repair. The plan should provide for the management of the DM such that the DM is controlled by a steady reduction of requirements or stabilized within the locally established guidelines of the Center.

### Appendix H provides a template for producing Five-Year and Annual Maintenance Plans. The Five-Year Maintenance Plan is the result of a conscious evaluation of the NASA Strategic Plan, Center Master Plan, Five-Year CoF Plan, and mission goals of the Center. A well-developed and up-to-date Five-Year Maintenance Plan ensures that major maintenance repair or replacement is not wasted by the execution of a large CoF project or facility-use change. Further, additional PM and PT&I funding can be programmed in advance to accommodate new growth and mission changes. This will ensure immediate and continued maintenance of new facilities as they come on line, thereby reducing future deterioration and premature failures.

## Facilities Work Requirements 

### **Total Requirements** 

#### An elusive goal of facilities maintenance managers is to develop and maintain a system to define a complete, unconstrained list of all existing and predictable facilities maintenance work requirements. Such a list should include not only the DM but also current and continuing requirements for PM, PT&I, Grounds Care, PGM, Repair, TCs, ROI, and projections for new work to respond to evolving organizational and facilities maintenance requirements.

#### The total requirements should include estimates of unforeseen work that has a high degree of predictability (e.g., weather-related events, such as thunderstorms and snowstorms). These requirements can easily add up and, unfortunately, are performed at the expense of routine maintenance, thereby increasing the DM. When this unforeseen work is quantified and programmed, it can be used to reduce DM during years when the unforeseen work is light.

#### The total maintenance requirements (shown in Figure 3-2), both identifiable and unforeseen, can be compiled as a list or database to serve as the basis for defining the Five-Year Facilities Maintenance Plan and the AWP. The database would then contain all potential facilities maintenance work. Thus, it should be the task of the facilities maintenance manager to use the database to construct the balanced AWP that most effectively responds to conflicting priorities within programmed resources.

### **Deferred Maintenance** 

#### The DM, formerly known as "Backlog of Maintenance and Repair (BMAR)," is the total of essential, but unfunded, facilities maintenance work necessary to bring Centers to the required facilities maintenance standards. It is work that should be accomplished during the year but cannot be accomplished within available resources. It does not include new construction, additions, or modifications, but does include unfunded CoF repair projects.

#### DM is an excellent indicator of the condition of Center facilities and collateral equipment. It reflects the cumulative effects of underfunding facilities maintenance and repair. Review of DM trends and comparison of DM with the CRV and facilities maintenance funding provide indications of the adequacy of the resources devoted to facilities maintenance.

#### An annual reevaluation of the DM is necessary for the development of the AWP. This not only authenticates the work that continues to be deferred as DM, but it also identifies work items in the DM covering deficiencies that have progressed to the point where they need to be included in the AWP. See Chapter 9, Deferred Maintenance, for a more detailed discussion on DM.

## Resources

### While most AWP preparation focuses on defining the requirements and matching those requirements to projected funding levels, the personnel resources required to execute an AWP are also a critical aspect of the planning process. The timely mobilization of personnel with the requisite skills is a complex task. Generally, three categories of personnel are available to execute the AWP: Civil service personnel, support services contractors, and outside contractors.

### As the Five-Year Facilities Maintenance Plan evolves, the facilities maintenance manager should explore alternatives for matching projected work with personnel resources. The earlier the manager can define the work requirements, the more efficient mobilization of those resources can be. For example, if the Five-Year Facilities Maintenance Plan indicates that electrical work will exceed current shop resources in three years, the manager can take steps early to adjust the support services contract or identify specific work to be performed by outside contractors. 

### The construction of new or altered facilities also may increase maintenance work requirements that should be planned for in advance. Otherwise, when the new or expanded facilities are accepted, there may be insufficient maintenance resources to accommodate them. This often leads to premature failures since no maintenance is provided for the new facilities, thereby increasing the life-cycle cost of facilities and equipment. Over time, this can also result in additions to the DM. 

# Facilities Maintenance Program Execution

## Introduction

This chapter describes the work functions required to execute a
maintenance program. These functions begin with work generation and
proceed through work reception and tracking, work-order preparation, and
work execution. The various steps required to perform these functions
are described. They are not meant to present an organizational structure
but to include suggested functional work areas required to implement a
maintenance program. Additionally, in this chapter, the term "shops" is
used to refer to the facilities maintenance workforce, including both
civil service employees and, in most cases in NASA, support services
contract employees.

## Key Processes Overview

### The AWP is the basis for a year's initial work planning. (See Chapter 4, Annual Work Plan.) This plan is augmented with customer requests, identification of new requirements, equipment breakdowns, and other emergent requirements. It is important to document the specific maintenance work items in the AWP and all requests for maintenance, repair, and service work. Work requested is received, processed, and, if approved, converted into a work order as shown in Figure 5-1. Work disapproved is returned to the customer with an explanation or request for clarification. Work that is valid but cannot be accomplished within the immediate resources is then deferred. If it is still valid at the end of the year and cannot be funded, it will be considered for inclusion in next year's AWP or the DM. All documents should be filed and ![](media/image5.png){width="5.209722222222222in" height="3.497916666666667in"}retained in accordance with guidance provided in *NPR 1441.1, NASA Records Retention Schedules*.

[]{#__RefHeading___Toc205396765 .anchor}Figure 5-1 Work Request
Processing

### Centers should have work control systems that receive, classify, identify, estimate, approve, schedule, track, account for, analyze, and report all work throughout the facilities maintenance process, from inception to completion as shown in Figure 5-2. In NASA Centers, the control system utilizes CMMS. It comprises the tools, techniques, checks, management controls, and documentation needed for effectively managing the workflow with an automated system. (See Chapter 6, Facilities Maintenance Management Automation.) 

![](media/image6.png){width="5.875in" height="4.552083333333333in"}

[]{#__RefHeading___Toc205396766 .anchor}Figure 5-2 Stages in Work
Generation, Control, and Performance

## Work Generation

### Work generation is the process of determining the maintenance workload in the facilities maintenance management system. A part of work generation is documenting the workload in the CMMS. Facilities maintenance work comprises recurring and nonrecurring maintenance work. Recurring work includes PM, PT&I, grounds care, central utility plant O&M, and the facilities condition assessment program. The recurring maintenance programs, customer needs, and facilities and equipment failures generate nonrecurring maintenance work in most cases.

### Facilities Maintenance Work. A significant portion of the facilities maintenance workload results from ownership and inventory. This is largely recurring/repetitive work that can be predicted based on knowledge of the maintainable facilities and collateral equipment and utilizing NASA's RCM program. (See Chapter 7, Reliability Centered Maintenance.) This work forms the basic elements of the AWP. Examples of this work include PM, PT&I, PGM, and recurring work, such as grass cutting and relamping. The scope and extent of these kinds of work are typically defined when a facility is acquired. (See Chapter 8, Reliability Centered Building and Equipment Acceptance.)

### Facilities Condition Assessment Program. In effective facilities maintenance programs, most of the facilities maintenance work other than PM and operator maintenance is generated from the facility condition assessment program and predictive testing conducted by or under the auspices of the facilities maintenance organization. Condition assessments are evaluations of Center facilities, including collateral equipment, utilizing continuous inspections, PT&I, and CMMS data. The inspections include those occurring during day-to-day maintenance operations; operator, user, and facility manager inspections; and separate supplemental inspections. The Center's CMMS, TC, and repair data are evaluated as part of the condition assessment to determine trends that can be used in evaluating the condition of a facility and its maintenance program. The facility condition assessments are used to validate and update the Center's AWP, DM , ROI, and Five-Year Plan. Chapter 10, Facilities Maintenance Standards and Actions, describes the condition assessment program and its inspections. 

### **Trouble Calls**

#### Normally, TCs are reported by telephone to the work reception desk. Operating the work reception desk is one of the functions performed by the work control center (see paragraph 5.4, Work Control Center). It is recognized that at some Centers, the term "trouble call" means anything that is wrong and needs correcting. Therefore TCs coming to a work control center must be evaluated. Only facilities maintenance and repair items should be included in the facilities program. Other items such as a coffee spill on a carpet, weeds that need to be removed, a floor needing to be cleaned, supplies needed in a restroom, ants or bugs in a desk needing pest control, must be assigned or passed along to the appropriate program. TCs must be properly coded to maintain records for facilities evaluations and budgets.

#### Although TCs can be placed by anyone, the recommended practice is to designate one individual in each major building or organization as the point of contact for placing TCs. This minimizes duplication of effort and simplifies work tracking. Emergency calls are accepted from anyone. In recognition of the limited scope of work covered by a TC, it is normally not estimated or scheduled, but it is tracked for execution. Appendix D, Figure D-1, is a sample format with data element definitions for a TC ticket that can be used to document and track TCs. This format should be automated to permit entering the request in the CMMS at a computer terminal and automatically issuing the work order to the shops. All documents and records should be filed and retained in accordance with guidance provided in *NPR 1441.1, NASA Records Retention Schedules*. 

### Service Requests. A service request is new work requested by a customer. It may be either a small job that does not require planning and estimating or a large job that requires planning, estimating, and scheduling. The request may be submitted on a Request for Facilities Maintenance Services form as shown in Appendix D, Figure D-2 or another appropriate Center form. The form should be automated for submitting, recording, and processing the request. Normally, service requests are customer funded. All documents and records should be filed and retained in accordance with guidance provided in *NPR 1441.1, NASA Records Retention Schedules*.

### Other Requests. Other requests for facilities maintenance work include work not identified as part of the facilities maintenance inspection program. Examples are maintenance deficiencies found during a fire safety inspection or a request for repairs for a problem that has occurred since the last facilities maintenance inspection. These requests should be tracked separately to provide status and execution feedback to the customer and to monitor the effectiveness of the facilities maintenance inspection program.

## Work Control Center 

### The Work Control Center (WCC) is the nerve center for facilities maintenance management. It is the preferred central location for managing the execution of facilities maintenance work. The following are WCC functions: 

a.  Receiving and logging work generated from all sources.

b.  Assigning a unique identifier or designator to each work item.

c.  Assigning initial classifications to the work.

d.  Tracking the work as it progresses through the facilities
    maintenance system.

e.  Maintaining records on requested work, inspections, jobs in
    progress, and completed work.

### The work control function may be assigned to any organizational element in the facilities maintenance organization; however, it is suggested that it be assigned directly under the facilities maintenance manager, independent of the shops or planning and estimating functions. It may be staffed and operated by civil service or contract employees. However, if operated by a support services contractor, care must be taken to ensure that the contract specifies detailed performance requirements and that an effective quality-assurance program is maintained. In addition, if the contractor is tasked with operating and maintaining the CMMS, the contract must provide for direct Government access to the CMMS facilities maintenance management database and report generators. This is required for purposes of queries on work status, analysis of work statistics, preparation of facilities maintenance reports, and facilities maintenance management surveillance. Providing CMMS terminals at designated Government offices will enable the Government to accomplish this.

## Work Reception and Tracking 

### The major work reception functions, in addition to ensuring that requested work is defined as clearly as circumstances permit, are as follows:

### Work Reception. Work reception accepts and records work requirements resulting from the work-generation process. Emergencies are evaluated when they are received in work control and the appropriate action is taken to ensure the emergency situation is stabilized (see paragraph 5.3.4, Trouble Calls). Work reception initiates the administrative control of the work-management data as the work progresses through the maintenance-management system.

### Work Identification. Each item of work is given a unique identifier or designator, much like a serial number. This identifier permits tracking the work item through its life cycle of planning, approval as a work order, execution, and historical documentation. The identification scheme should meet the Center's needs. The use of automation simplifies the identification process. For example, CMMS-generated identifiers can be purely sequential numbers because the computer can track all of the attributes such as fiscal year, work classification, and fund source associated with each identification number. The work identifier should not be changed once it is assigned, even if the work is combined with another work item. The computer can provide the cross-reference to the combined identifier.

### **Work Classification** 

#### Work classification provides the ability to subject work to the proper levels of review and control and to perform management analyses of the workload. The suggested categories for work classification are discussed below. These categories extend beyond the minimum required for financial accounting and budgeting and provide additional detail for managing the facilities maintenance organization. They are important for managing the workload and understanding where resources are expended.

#### The use of automated systems permits ready accumulation and analysis of the data. Centers may wish to add additional classifications for local use. The following are some methods of classifying work: 

a.  Funds type.

b.  Approval level.

c.  Work elements.

d.  Special interest.

e.  Size.

f.  Method of accomplishment.

#### Each method is discussed below. Note that the work classification within any of these categories may be changed during the course of the work planning. Thus, the use of an unchanging, unique identification system, such as described in paragraph 5.5.3, Work Identification, is particularly important.

a.  Funds Type. Funds type describes whether the work is reimbursable or
    nonreimbursable. If the work is reimbursable, the fund citation
    normally identifies the customer; if it is nonreimbursable, the
    funds citation normally identifies the appropriation and project or
    program. Funds type is not the same as funds source because funds
    source does not identify the specific reimbursable customer,
    program, or project.

b.  Approval Level. Approval level identifies who has the authority to
    approve the work. Specific approval levels are determined by Center
    policy and, when documented, become a local "standard." Common
    practice is to delegate work-approval authority to permit routine
    and recurring work approval at the lowest responsible level in the
    facilities maintenance organization. Some work, such as TCs of an
    emergency or routine nature, may be preapproved within specific
    guidelines. The designation of individuals authorized to approve
    work based on a hierarchy of cost, urgency, or other management
    considerations should be documented in the WCC.

c.  Work Elements. Work element identifies which of the following
    standard work elements (see paragraph 1.5, Facilities Maintenance
    Definitions) applies:

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1.  PM.

2.  PT&I.

3.  Grounds Care.

4.  PGM.

5.  Repair.

6.  TC.

7.  ROI.

8.  Service Request.

9.  Central Utility Plant O&M.

> The above work element categorization is useful in analyzing the
> relationships described in paragraph 3.11.4, Work Element
> Relationships.

d.  Special Interest. This classification identifies and permits the
    accumulation of statistics on the work performed in support of
    specific or special interest programs or initiatives, or work not
    otherwise accounted for by special funding programs. Examples
    include the following:

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1.  Energy Conservation.

2.  Safety.

3.  Environmental Compliance.

4.  Handicapped Access.

5.  Community Relations.

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e.  Size. Work size, grouped in dollar or level-of-effort ranges,
    indicates the amount of management effort required. This
    classification is useful in determining the type of funds used, the
    approval level, and the method of accomplishment.

f.  Method of Accomplishment. The method of accomplishment identifies
    whether the work will be accomplished by civil service employees, by
    established support service contractors (if the work is determined
    to be within the contract scope), or under a separate, new contract.

### **Work-Tracking System** 

#### A work-tracking system enables work tracking from the time the work enters the facilities maintenance system until it is either disapproved or completed. A Center's CMMS is the tool to be utilized for work tracking and status reporting.

#### Work status refers to the state of work progress in the facilities maintenance system as it proceeds from generation to completion. It includes the identification of actions completed, actions pending, responsible parties, and milestone dates. Work status is a key element in maintaining good customer relations by making it possible to provide responsive feedback to the customer. The CMMS should provide the means for documenting and reviewing work status. A suggested way of accomplishing this is assigning status codes or milestone data to each item of work. Personnel with CMMS access can then examine the status information and use it when preparing reports.

#### At a minimum, the CMMS should contain the estimated or actual start and completion dates and identify the responsible party for each of the following milestones in the facilities maintenance process: 

a.  Work Reception (including classification and identification phases).

b.  Planning and Estimating.

c.  Final Authorization.

d.  Scheduling.

e.  Material Management.

f.  Work Performance.

g.  Final Inspection.

#### Not all milestones are applicable to all work. For example, for TCs, only status information related to work reception and work performance would be tracked. Data for final authorization, scheduling, material, work performance, and final inspection would not be recorded for requests for cost estimates only. The shop load plan and master schedule typically contain material and work performance status information for scheduled work.

## Work-Order Preparation 

### The work order (Appendix D, Figure D-3) is the document directing facilities maintenance work execution once the requested work has been approved. Normally, planners and estimators (P&E) prepare work orders. An exception is the TC ticket discussed in paragraph 5.6.2 below. The work order includes an estimate of the resources required to perform the job (work hours by craft, materials, equipment, tools, and specialized support); the steps or tasks required performing the job; and documentation of coordination and outages required. It should also include safety requirements, job priority, job accounting information, and any other information required by management and the shops to schedule, perform, and evaluate the work. Safety requirements should include, but not be limited to, appropriate safety items such as confined space entry, lockout/tag out, oxygen depletion, chemical or explosive handling, fall protection, safety training and certification requirements, and any other specific safety requirements associated with the task to be accomplished under the work order (refer to NPR 8715.3 NASA General Safety Program Requirements, paragraph 8.3). The work-order form should be automated (included in the CMMS). 

### For small jobs, typically less than 20 work hours, the cost of detailed planning and estimating and scheduling may exceed the benefit. However, the craft supervisor responsible for the TC must review the TC task and specify safety requirements such as those in paragraph 5.6.1 above. In these cases, use of a TC ticket format (Appendix D, Figure D-1) is suggested. This ticket should be automated (included in the CMMS). 

### Work Review, Screening, and Authorization. Work review, screening, and authorization is typically a two-step process. Requests for work receive an initial screening prior to job planning and estimating. The second step provides final approval and release of the planned and estimated work order for scheduling. In the case of TCs and work on small jobs, this may be accomplished in one step, within the decision authority of the work reception desk, bypassing planning and estimating. In Figure 5-2, the dotted arrow connecting the preliminary and final work authorization blocks symbolizes this.

#### Preliminary Work Authorization. Authorization is the process by which facilities maintenance work is approved for performance. This may be a phased process in which preliminary approval is obtained prior to detailed planning and estimating as shown in Figure 5-2. The preliminary screening determines if requested work should be accepted for continued processing, rejected, returned to the customer for additional information, or given preliminary approval for detailed planning and estimating. For work of limited scope, it may also serve as the final authorization if funds are available.

#### **Final Authorization** 

a.  Once the work order is planned and estimated, it is forwarded for
    final authorization. The review process checks the work order to
    ensure that it is responsive; complies with applicable safety,
    health, environmental, and security standards; is within the scope
    of the AWP; and is within funding and approval levels. This review
    normally takes place in the facilities maintenance organization.
    However, on complex or critical jobs, the customer should review the
    work order to check its technical adequacy.

b.  When reviews are completed and funds are available, the work order
    is authorized for execution by the appropriate approving official
    (see paragraph 5.5.4.3b., Approval Level).

### Planning and Estimating. Center work control systems should contain a planning and estimating function. This function provides the detailed definition of maintenance tasks or steps to be taken, the resources required (material, equipment, tools, and labor), and special considerations such as safety outages and coordination. It supports budgeting, resource allocation, and work performance decision processes and provides a benchmark for work performance evaluation. A part of the planning and estimating function is the process of developing the work order documenting the detailed work tasks and preparing an estimate of the resources required. The work order includes statements of the job steps or phases for each craft, a list of the required materials, and the identification of special tools or equipment needed. It includes an estimate of the time required for each phase, copies of sketches or drawings, the identification of safety requirements and required outages, and allowances for staging, travel, site cleanup, and other job-related actions. For contracted work, the work order is replaced by the Statement of Work (SOW) that includes sketches, a job specification or performance work statement, and a cost estimate appropriate to the contract form used. Planning and estimating provide the basis for the following: 

a.  Deciding to approve, disapprove, or defer work.

b.  Developing costs and budget estimates.

c.  Determining the method of accomplishment.

d.  Preparing the shop load plan, the master schedule, and the shop
    schedule.

e.  Evaluating shop or contractor performance and efficiency.

f.  Establishing contract costs.

#### Facilities Maintenance Standards. Facilities maintenance standards are discussed in Chapter 10, Facilities Maintenance Standards and Actions. They establish the level and condition in which facilities and equipment are maintained. Standards serve as guides in determining the facilities maintenance work. P&Es determine the job tasks by comparing existing conditions with the prescribed maintenance standards and then selecting job tasks (maintenance actions) that bring the facility up to those standards.

#### Performance Standards. Planning and estimating is a skill requiring substantial knowledge of the crafts and methods involved. However, it is unlikely that one person is expert in all aspects of a craft. There are a number of estimating guides and standards available to assist P&Es in preparing work orders and estimates (see list in Appendix C). Equipment manufacturers also produce standards. All standards must be applied with care, taking into consideration local conditions, area cost factors, and experience. However, use of cost-estimating guides and standards is encouraged as a means of improving the quality, reliability, and consistency of estimates. 

#### Work Planning. Work planning consists of identifying specific tasks to be performed, phasing those tasks, identifying the skills and crafts required for the tasks, and specifying the material and equipment for the tasks. It includes identifying specific health and safety requirements, coordination, outages, equipment availability, and other constraining parameters. As with the other P&E functions, established standards also can provide assistance in work planning. Table 5-1 provides examples of selected facilities maintenance tasks, with the cycle or interval between performances of the task suggested for use by NASA Centers. The intervals listed assume average conditions. Centers may adjust these to suit local use and environmental conditions.

#### Cost Estimating. Cost estimates are developed by multiplying unit labor, equipment, and material costs by job task quantities, and adding the appropriate burden rates for overhead and indirect costs. The exact type of the cost estimate depends on its intended use. For example, overhead costs, profit, bond expense, and taxes required for contract work are omitted for in-house work. Cost estimates can be classified based on the amount of detail considered in their preparation as scoping estimates or final estimates. Cost estimates normally are prepared using industry-accepted standards (see R.S. Means Company, Inc., Appendix C) or historical data. These factors are discussed in the following paragraphs:

[]{#__RefHeading___Toc205396903 .anchor}Table 5-1 Selected Facilities
Maintenance Cycles

Note: These cycles should be adjusted locally based on historical
experience and environmental conditions.

a.  Scoping Estimate. This estimate is based on broad unit cost
    guidelines; it does not involve a detailed job plan or design. It is
    not appropriate as the basis for job performance evaluation or
    contract negotiations. The scoping estimate is used in situations
    that do not call for details and high accuracy. Examples include
    estimates for developing budgets, estimates to aid in screening work
    packages to be included in the DM, or preliminary estimates for
    initial decisionmaking on a request for work.

b.  Final Estimate. This estimate is based on detailed job plans (as
    found in a facilities maintenance work order) or final contract
    plans and specifications. It is more reliable than a scoping
    estimate. Job performance evaluations, contract negotiations, or
    other exacting uses should be based on a final estimate because it
    reflects a detailed knowledge of the individual facilities
    maintenance actions and the resources required. A final estimate can
    substitute for a scoping estimate, but it is more costly to produce.

c.  Historical Estimate. The historical estimate uses prior performance
    of the maintenance tasks involved as its basis. It can have
    excellent validity, provided the new job tasks and methods are
    comparable to the historical database used in preparing the
    estimate. There is minimal cost in developing a historical estimate.
    However, care must be taken to ensure that the historical data
    applies to the current job scope. Periodic validation of
    historically based estimates against estimating standards is
    necessary to ensure that they are in line with accepted standards.
    This type of estimate is especially valuable for repetitive or
    recurring tasks such as PM.

#### Funding Identification. Funding identification covers the identification, allocation, and authorization of the proper funds. It includes Center operating funds, customer reimbursable funds, and special funds.

#### Each work order includes a funding citation and accounting data identifying which funds to charge for the work. In some cases, funds are customer furnished (reimbursable). In others, funds are specifically budgeted by the Center for facilities maintenance. When work is customer funded, appropriate funding documents should be furnished in a timely manner to ensure that work is not delayed unnecessarily. A correct funding citation ensures that the proper account is charged and provides valid accounting data for management reporting.

#### Customer-funded work could be time sensitive to support a given mission. As a result, a suspense system should be in place to track work requests waiting for funding so as to preclude unnecessary administrative delays and customer dissatisfaction.

### **Priority Systems** 

#### The work-order system must make provision for differing work priorities. This allows high-priority work to be done first while managing all work to ensure its accomplishment in accordance with Center needs. Figure 5-3 shows a sample priority system. The priority is normally determined as part of the work-review process. It guides material procurement, scheduling, and work execution.

#### Priorities require periodic review to ensure that they conform to organization and mission needs. When using a CMMS, a special designator can be added to the database to help track high-visibility projects. An example would be safety items from an inspection. While these items could fall in several of the priorities shown in Figure 5-3, they may need to be tracked as a group for accomplishment. A special local code designation will ensure that they can be readily highlighted for management purposes. 

  -------------------------- -----------------------------------------------------
  **General Maintenance Work 
  Priority System**          

  **Priority/Description**   **Narrative**

  1\. Emergency              Safety of life or property threatened; immediate
                             mission impact; loss of utilities. Begin immediately;
                             divert resources as necessary; overtime may be
                             authorized.

  2\. Urgent                 Maintenance or repair work required for continued
                             facility operation; should be completed to ensure
                             continuous operation of the facility and to restore
                             healthful environment. Not a life-threatening
                             emergency. Respond upon completion of current work
                             but within a specified period of time (specified by
                             local Center, such as same day or within 4 hours).

  3\. Priority               Work that is to support the mission on a priority
                             basis or to meet project deadlines. Complete in order
                             of receipt with mission work taking priority.

  4\. Routine                The facilities maintenance work can be scheduled
                             routinely within the capability of the facilities
                             maintenance organization. Facilities work is subject
                             to availability of resources and may be consolidated
                             by facility or zone or as directed to obtain
                             efficiency of operation.

  5\. Discretionary          Work that is desired but not essential to protect,
                             preserve, or restore facilities and equipment;
                             typically, new work that is not tied to a specific
                             mission milestone.

  6\. Deferred               Work that may be safely, operationally, and
                             economically postponed. The work should be done, but
                             cannot be scheduled because of higher priority work,
                             funds shortage, work site access, or conditions
                             outside the control of the maintenance organization.
                             The work may be reclassified if conditions permit or
                             included in the DM.
  -------------------------- -----------------------------------------------------

[]{#__RefHeading___Toc205396767 .anchor}Figure 5-3 Sample Priority
System

## Work Execution 

### After planning and approval comes work execution, which includes the following: 

a.  Obtaining material, tools, and equipment.

b.  Scheduling the work.

c.  Performing the work.

d.  Monitoring work accomplishment.

e.  Final inspection.

f.  Reporting work completion.

### **Material Management** 

#### Material management includes ordering, stocking, storing, staging, issuing, and receiving material for use on work orders. Material management can be performed by an element of the facilities maintenance organization, a central supply department not a part of the facilities maintenance organization, or a combination of these. (Tool management may be assigned to the same organization that has the material management responsibility.) Working from material requirements lists prepared by P&Es as part of the work order, the material manager is responsible for obtaining the material and advising the work schedulers when the material is available for job accomplishment. In the case of PM, other recurring and standing work, and TCs, material managers should have available, or provide ready access to, frequently used parts and supplies. This material may be preexpended shelf stock, or it may be available from vendors by use of a Government credit card or from vendors who are accessible under quick procurement instruments such as blanket purchase agreements.

#### The range and depth of material stocked should be based on historical demand, standby items (spares for critical systems), and projected requirements for future work. Inventory high and low limits should be established based on use rates, economic reorder quantities, and delivery times to minimize investment in inventory. Where advantageous, alternate material management strategies can be used such as "just-in-time" parts delivery. The benefits available are the reduction in inventory costs associated with storage, management, pilferage, and cannibalization. Many automated maintenance management systems include support for computerized material management functions. Bar coding is used extensively in material management to speed data entry and reduce data-entry errors.

### Scheduling. Scheduling work orders is necessary to ensure a balanced flow of work to the shops in accordance with priorities, external factors (such as weather), and operational considerations. It facilitates optimum use of resources and provides information to optimize the distribution of shop staffing by craft. The AWP identifies resource levels for each facilities maintenance program work element. It also identifies major work items to a fiscal year. However, most facilities maintenance work orders, including Service Requests, will not have individual visibility in the AWP. They are included as part of a level-of-effort resource allocation for the fiscal year. Within the fiscal year, work scheduling may be done at three levels: the shop load plan, the master schedule, and the shop schedule. The relationship of these plans is depicted in Figure 5-4.

[]{#__RefHeading___Toc205396768
.anchor}![](media/image7.png){width="5.864583333333333in"
height="7.28125in"}Figure 5-4 Work Scheduling Relationships

#### **Shop Load Plan** 

a.  The shop load plan is usually maintained by the organizational
    element responsible for the work control function. It schedules work
    to the shops on a periodic basis, typically quarterly, and looks
    several quarters into the future. This plan reflects the backlog of
    estimated work as defined in the AWP for the current and following
    year. Work may be added or shifted among the schedule periods as new
    work is identified or work priorities change, although the plan for
    the next schedule period should be fairly stable. A Center may find
    it convenient to divide the next quarter's shop load plan into a
    short-term (30-day) plan and a midterm (following 60 days) plan for
    closer scheduling.

b.  The shop load plan considers available production resources (i.e.,
    work hours by craft, tools and special equipment, and contract
    limitations), availability of items to be maintained such as times
    for shutdowns and external factors such as weather. It considers
    work already scheduled or in progress; allowances for recurring work
    such as PM, PT&I, and TCs; and long-lead-time material requirements.
    With these factors in mind, the planner loads work orders into each
    quarter to balance the workload for each maintenance resource and to
    ensure optimum employment of that resource within the work-order
    priority system.

c.  The shop load plan also facilitates analyzing the workforce
    composition compared to the workload. It identifies personnel or
    skill shortages or excesses and gives facilities maintenance
    managers time to respond. Close coordination with the master
    schedule regarding the status of work in progress is required.
    Appendix D, Figure D-6, contains a sample shop load plan.

#### Master Schedule. The master schedule is maintained in the shop organization, usually under the direction of the senior shop supervisor. Within the scheduling framework of the shop load plan, it is the week-by-week shop schedule, identifying jobs to individual shops. It covers a shorter time period than the shop load plan, typically 6-to-12 weeks. Work orders are initially placed in the master schedule and noted as awaiting material. When material is available and the job is ready to start, it is firmly scheduled. Close coordination with the shop load plan and shop schedules is required. The master schedule changes as priorities are adjusted, new work is identified, and material status changes. The shop load plan can be used as a model for the master schedule. Appendix D, Figure D-7, contains a sample master schedule.

#### Shop Schedule. Within the framework of the master schedule, the shop schedule is used to schedule the day-by-day work orders and craft personnel within a shop. It is maintained by the shop supervisor and used to assign work and track progress. The shop schedule can be patterned after the master schedule. Appendix D, Figure D-8, includes a sample shop schedule.

#### Schedule Automation. The shop load plan, master schedule, and shop schedule are all based on the same database, differing slightly in the information displayed and the period covered. It is possible to maintain a single scheduling system on a networked CMMS working from a shared database, provided the CMMS has the necessary scheduling features. This gives the added advantage of automatically coordinating the schedules and changes at all levels of management. Some CMMSs may have an integrated scheduling module (See Appendix E, paragraph 8, Work Management, for a sample work scheduling module) that provides functional equivalents to the shop load plan, the master schedule, and the shop schedules that can be used to prepare detailed project schedules for the more complex work projects.

#### **Scheduling Considerations** 

a.  The following factors should be considered in scheduling work
    performance:

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1.  Preventive Maintenance. PM (including PT&I) provides the baseline
    workload for the facilities maintenance shops. An effective PM
    program minimizes the need for TCs and repair. Efficiencies can be
    obtained by using employees dedicated to PM work because they become
    familiar with the equipment. PM work orders should be scheduled and
    grouped by facility or geographical area to minimize travel.

2.  One-time Work Orders. Work orders for one-time jobs require the
    greatest scheduling coordination and management effort. This is due
    to the unique requirements of each job.

3.  Repetitive Work Orders. These are similar to PM jobs in that they
    are a predictable level of effort and frequently are a continuing or
    repeating work requirement such as Grounds Care, street sweeping,
    relamping, and Central Utility Plant Operations Maintenance. Like
    PM, they are scheduled as part of the baseline shop workload.

4.  Trouble Calls. TCs of an emergency nature are assigned to the shop
    most qualified to address the problem and take precedence over any
    other work, including work in progress. This TC work proceeds until
    the situation is corrected or stabilized. To complete the correction
    of a problem, such as a water-main break, may require the subsequent
    issue of a repair work order. Most routine TCs can be accomplished
    by the work center assigned to perform small jobs, as discussed in
    paragraph 3.4.8, Work Grouping. Equipping key facilities maintenance
    workers with radios, cell phones, or pagers can enhance their
    response and productivity.

5.  Small Jobs. Small jobs, typically those requiring less than 20 work
    hours and issued on TC tickets, are normally worked on a first-come,
    first-served basis, subject to the availability of material. Because
    they can represent a fairly constant level of effort and normally
    involve routine methods and materials, it is common practice to have
    a shop dedicated to this size work.

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b.  When a TC shop is used, it should be able to complete about 90
    percent of TCs and small work orders; the remaining 10 percent are
    used as fill-in work for other shops. This shop should be sized to
    be able to complete urgent (nonemergency) work within the day and
    non-emergency routine work within 5-to-10 workdays of receipt,
    subject to material availability. The size and type of the TC shop
    depends on local conditions and historical data such as volume,
    nature of work, geographic proximity, and availability of
    transportation and materials. In the interest of efficiency and
    minimizing travel time, small jobs may be grouped by building or
    geographic area. The use of dedicated, radio-equipped vehicles
    stocked with preexpended, commonly used facilities maintenance
    material and proper tools will improve productivity.

### Work Performance. When all material is available and coordination and scheduling are completed, the work order is executed. Work proceeds to completion in accordance with the approved work order. However, the shops should be free to communicate with the P&Es to resolve questions about the work. If field conditions differ substantially from the work order or the effort and material required differ substantially from the work-order estimate, the supervisor should check with the P&E for an amendment or clarification and review the priority and schedule to ensure that completion dates will not be missed. The threshold for a work-order amendment is based on Center management needs; however, a 20-percent or greater increase from the estimate is suggested as a deviation requiring a work-order amendment.

#### Quality Control. This function is a responsibility of the organization executing the work. Shop supervisors usually have the primary responsibility for work quality control based on policies and procedures of the organization responsible for the work.

#### Quality Assurance. Regardless of who performs work, it should be subject to inspections for quality and compliance with work requirements. See paragraph 3.4.11, Quality Assurance, and Chapter 12, Contract Support, for details on quality assurance programs.

### **Work Acceptance** 

#### Final Inspection. Final inspections are performed as appropriate depending on the nature and size of the completed work. If the work to be inspected is for a customer, the customer should participate in the final inspection in order to accept the work. If customer expectation goes beyond the work-order scope, the job should be reviewed promptly for resolution.

#### Defective Work. Defective or rejected work occurs for a number of reasons, including poor workmanship, an incorrectly scoped and prepared work order, defective material, or poorly defined customer requirements. 

a.  When defective work is discovered, it shall be corrected by the
    performing organization to satisfy the work requirements.

b.  Correction of safety-related deficiencies shall likewise be
    accomplished immediately by the performing organization.

#### **Rework Causes and Correction** 

A decision to rework a job should be based on cost-benefit
considerations, including Center operational commitments, cost to rework
the job, expected added benefit as a result of rework, and availability
of resources. Separate work orders should be established to accumulate
rework data. Other situations that would require rework are jobs that do
not meet safety regulations and/or other mandatory laws. The evaluation
process should address causes of defective work and methods of reducing
rework. Remedial actions may include revising internal procedures such
as quality control procedures, providing additional employee training
and skill development, changing material specifications, adding early
material acceptance inspections, revising facilities maintenance
standards and requirements, and increasing customer involvement with
work order preparation and approval. Each Center should have a policy
for handling rework. In cases where rework of contract efforts is being
considered, the cognizant procurement office shall be consulted.

In general, the customer should not have to bear the cost of facilities
maintenance rework resulting from errors by another party, and the
Government should not have to bear the cost of rework that results from
a contractor's error or negligence. Inspection clauses shall be included
in contracts to require the contractor to perform rework at the
contractor's own expense, to reimburse the Government for rework
performed by the Government, or to reduce contractor payments for rework
not performed. The amount of rework should be considered as an
evaluation factor when determining contract award fees.

#### Completion Reporting. When the work has been completed and accepted, a completion report is submitted. This reporting involves recording in the CMMS the work completion, the resources used, and closing the work order. Care must be exercised to identify and record all of the work accomplished, particularly when the initial request is sketchy or incomplete. The labor and material used are recorded for record and accounting purposes. The results are recorded in the facility or equipment history files, and evaluation action is initiated. The information reported should include unanticipated conditions encountered, a concise description of the work accomplished, and additional material used but not listed in the work order. Work order forms (including TC tickets) should include space for the technician to enter completion data. Shop supervisors should review the completion data. All documents and records should be filed and retained in accordance with guidance provided in *NPR 1441.1, NASA Records Retention Schedules*.

### Management Information (Metrics, Analysis, and Reporting). The loop on the maintenance management system is closed by evaluating completed work to compare actual work performance with estimates for quality assurance (whether performed in-house or by contract) and to ensure conformance with work-order instructions, standards, customer satisfaction, and accuracy of completed work for costing and reporting purposes. It appraises the performance of each element of the facilities maintenance management system and initiates corrective action when needed. Thus, evaluation provides for the continuous improvement of workflow through the organization and the CMMS.

#### Determining Information Requirements. Reports, charts, and other displays that do not directly contribute to facilities maintenance management, or other Centers' or NASA Headquarters' needs are a waste of scarce resources. Therefore, information should be collected, processed, or documented to support a clear need. A summary of recommended facilities maintenance indicators and reports is given in paragraph 5.7.6.3, Analysis, Reports, and Records. Centers should specify the information to be displayed and distributed in their reports. Data that is not required to support management functions should not be collected or maintained. Over time, data loses its value to the manager. For example, a summary of last year's TCs by month and by trade would be more useful to the manager at this point than a voluminous record of all the actual calls. Managers shall develop archiving plans to reduce the volume of outdated data in the active database while retaining those elements of the data that are useful for trending and analysis. The archived data also shall be maintained for possible future use in providing historical data for performance-based contracts.

#### Covered Functions. As discussed in Chapter 6, Facilities Maintenance Management Automation, the Center's CMMS includes day-to-day work records and historical data. This electronic data and information from other electronic systems that may or may not interface with the CMMS can be used to cover the full range of facilities maintenance functions.

####  {#section-2 .unnumbered}

#### **Analysis, Reports, and Records** 

a.  One major function of a CMMS is to provide maintenance data for
    automated analysis and reports to support management needs. The
    analysis should examine both status and trends. Graphical
    presentation of numerical data and trends will aid managers in
    understanding the implications of the data. The following is a
    discussion of several types of analyses and reports that may be
    important to a facilities maintenance manager.

b.  Information provided in the reports is available for analysis with
    metrics, as discussed in paragraph 3.11, Management Indicators, and
    Appendix G. This analysis is a portion of the facilities maintenance
    program shown in Figure 3-2.

c.  The following descriptions are intentionally unstructured. Managers
    should select and tailor them to fit local data and needs.

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1.  Status Reports. The following reports provide a "snapshot" of where
    maintenance operations are at a given time:

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(a) Inventory. This report could include displays of facilities and
    maintainable collateral equipment inventory statistics, use, user,
    age profiles, and similar data. Significant portions of this
    information can be used in space management and planning.

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(h) Status of Funds. This type of report would provide up-to-date status
    of funds by source, including amounts authorized, reserved, and
    obligated. It would also include a comparison of planned versus
    actual expenditure rates.

(i) Status of Work. This report, which should be obtained from CMMS
    data, could provide the status of all work submitted to the
    facilities maintenance organization. It would show a short title for
    the work, work-generation date, who or which organizational element
    has action, and an estimated completion date, if applicable.
    Variations of this report could include arranging the information by
    customer, work classification, status (grouping work items with
    similar status into one report), or facility. It could take the form
    of a history of selected work items showing work progress through
    the facilities maintenance system.

(j) Status of Major Projects. This report would include major
    undertakings such as CoF projects, major facilities maintenance
    projects, and projects of special Center interest. The reports
    should reflect cost estimates, project milestones, and progress
    against those milestones.

(k) AWP Execution Status. The CMMS should provide a display of annual
    resource requirements and the status for the major line items within
    each element that makes up the AWP. This includes PM, PT&I, Grounds
    Care, PGM, repair, TC, ROI, Service Requests, Central Utilities
    Plant Operations & Maintenance, CoF, and related factors. It also
    should display current budget estimates for out-years and the DM .

(l) Status of DM. This report should give the facilities maintenance
    manager an update on the amount of DM by facility and facility
    classification (Mission Critical , Mission Support, and Center
    Support) and total for the Center. It should also include the amount
    of DM by system, such as roofs; heating, ventilating, and air
    conditioning (HVAC) systems; structures; roads; and other systems.
    This will facilitate long-range programming in the Five-Year
    Maintenance Plan and provide information for the NASA Headquarters
    metrics.

(m) Contracts. This report could include the status of contracts,
    contract execution, pending and executed modifications, and delivery
    orders. This should cover support service, one-time facilities
    maintenance, and CoF contracts.

(n) Materials. This report could include the status of materials
    inventory, orders, and jobs awaiting material.

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2.  Work Performance Reports

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(a) Work Input. Reports on work input include statistics on work
    generation and the characteristics of that work. They may include
    information on service requests (arranged and tabulated by date of
    request, customer, special interest area, facility number, and
    craft) and work orders generated by the inspection program (PM
    inspections, PT&I, continuous inspections, operator inspections, and
    specialized inspections), PM program, PGM program, repair program,
    and TCs.

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(o) Work Execution. Reports on work execution include information on
    shop schedules, planned work, job status, estimated versus actual
    job performance, delayed or late jobs, and related performance
    indicators. They also include progress on the PM, PGM, PT&I, and
    condition assessment programs.

(p) Utilities. This report would contain information on production,
    consumption, costs, conservation measures and targets, and related
    factors such as weather profiles.

(q) Other Reports. This category is a catchall for those reports not
    directly tied to facilities maintenance but closely related to or
    supporting facilities maintenance efforts. Examples include
    personnel status, correspondence tickler and tracking system, and
    automation system statistics.

# Facilities Maintenance Management Automation

## Introduction 

### A requirement exists for facilities maintenance managers throughout NASA to use modern maintenance systems and methods to control their work activities, account for resources they are provided, and monitor and report work execution through the full use of various industry standard metrics and other management indicators. Because of the scope, complexity, and high value of the NASA Center facility inventories, all NASA Centers and most Component Facilities use a CMMS.

### The past decades have seen the application of computer technology to facilities maintenance management expand as computer systems became more powerful, less costly, and easier to use. NASA Centers have acquired and implemented various CMMSs for use in managing their facilities maintenance program. In many cases, the CMMS shares information interactively with other systems and provides for direct system access by end users.

### All NASA Centers and Component Facilities have recently reached a consensus in using one common CMMS throughout the Agency to streamline and simplify reporting, consolidate and centrally manage seat licenses, and reduce CMMS costs. NASA Centers and Component Facilities that are acquiring new CMMS systems shall purchase the common system.

### All data, including all resource costs (labor, materials), equipment, and incidentals, must be available for Government use and retention for historical purposes, regardless of who, Government or contractor, is responsible for populating and maintaining the database. Where a contractor operates the CMMS, it must be made clear in the contractor's contract that the CMMS maintenance data is Government property and must be turned over to the Government at the end of the contract.

## CMMS Requirements and Usage 

Chapter 3, Facilities Maintenance Management, discusses the functions,
processes, management concepts, and system of controls recommended for
facilities maintenance. Centers should evaluate their maintenance
management data requirements and establish their electronic data needs
prior to investigating and acquiring a new CMMS or modifying an existing
CMMS. Centers should acquire only what is required to accomplish the
maintenance organization goals. Of course, once a CMMS is acquired,
resources shall be dedicated to initially populate the systems (modules)
and to continually keep them up to date. The data, once entered, must be
utilized for day-to-day operations and management of the Center's
maintenance program to be cost effective. Periodic review of the CMMS
data should be made to keep the system abreast of current requirements,
deleting unnecessary data entries and adding new ones as required.

## Automated System Interfaces 

Facilities maintenance management automation brings the benefits of
automation to facilities maintenance functions and processes. Chapter 3,
Facilities Maintenance Management, not only discusses functions
recommended for facilities maintenance but also identifies closely
related supporting functions and processes. The CMMS should directly
support or interface with existing related automated systems such as
financial accounting (Asset Management System (AMS) module of the
Integrated Financial Management Program (IFMP)), RCM databases, and
personnel administration systems.

## CMMS Functions 

### The Center's CMMS shall support the major functions discussed in the following paragraphs as they apply to facilities maintenance. Information entered in the functional areas of the CMMS is critical for the day-to-day maintenance operations, management of the Center's maintenance program, providing data to support the budget process, and providing historical information critical for use in performance-based contracting. In all of the functional areas, items entered should contain key management information such as criticality codes, condition codes, and downtime associated with an item. Descriptive nomenclature of items must be standardized to permit the sorting of data. If data is available in separate databases, Centers shall provide a link between those and the CMMS in order to collect total maintenance costs, including material and subcontract costs. See Appendix E for typical monitor screen CMMS images used for various functions.

### Manage Facilities and Equipment. This function contains the facilities maintenance processes and procedures to be used in managing the facilities maintenance workload. In addition to the automation of the administrative processing associated with maintenance management, the major advantage of having a CMMS is the capability to process a large amount of data in order to identify trends that would not be readily apparent by reviewing individual work orders. This processing provides the data needed for benchmarking and for preparing facility condition assessments. A major effort of the CMMS is tying together the various RCM activities. This function also includes facilities planning and processes normally associated with CoF funding and shall support those portions of CoF work that are a logical outgrowth of the facilities maintenance effort, such as repair, modification, or rehabilitation. The following paragraphs highlight files/modules that are a part of most CMMSs and that are used in managing maintenance programs.

#### Facility/Equipment Inventory. These data files/modules contain a detailed inventory of all facilities and maintainable collateral equipment subject to the facilities maintenance management system (and could include other information, if needed, for planning, space management, or accounting purposes). For facilities, these files/modules include information such as identifier, size, cost, date acquired, category codes, uses, location, users, material condition codes, and other similar information. For equipment, they include nomenclature, manufacturer, part number, cost, serial number, date acquired, size, location, identifiers to major system or use, warranty, specific facilities maintenance requirements, life expectancy, and similar information. Current and reliable data will enhance analysis and budget preparation and may be needed in developing customer charges under NASA's Cost Accounting System. Tables 3-1 and 3-2 list representative data elements.

#### Work Input, Control, and Scheduling. This data file/module contains information on work requested by customers, work generated internally, and work status as it proceeds from requirement identification to work completion or request disapproval. It includes information on customer, cost estimate, funding, scheduling for execution, and execution status for each work order. This data provides the ability to track facilities projects, requests for facilities maintenance, TCs, and Service Requests. The CMMS may include the capability to receive work requests electronically and accomplish the approval process electronically. Centers should establish a Web site on the local Intranet to provide customers with a link to work status reports and any other appropriate maintenance information. A selective combination of electronic and voice interface with customers would probably provide the best support. Appendix D provides sample forms for use in facilities maintenance, including several in CMMS database formats.

#### Reliability Centered Maintenance. This data file/module contains information on facilities and equipment criticality codes, maintenance requirements, and schedules. It contains data for equipment and facilities maintenance actions required, predictive testing test points, diagnostic aids, references to or excerpts from original equipment installation and O&M manuals and equipment drawings, schedules, frequency, materials, safety requirements, and related procedures. Linked with the inventory, the combined data files can be used to create PT&I schedules, PM schedules, and work orders or PM task descriptions for use by technicians and mechanics. Criticality codes will be recorded but updated on an iterative basis as missions and environments change. The CMMS should include the ability to analyze PT&I results, process parameters (including normal baseline temperature, pressure, and flow readings), diagnose the possible causes of abnormal readings, project trends in test results, and schedule facilities maintenance actions or further inspection based on the trends. PT&I "Finds" and their corrective work shall be identified in the CMMS to ensure that priority work is highlighted and tracked. Information and data in the PT&I database should be made available to maintenance engineers, managers, and craftspersons through the CMMS. This will ensure that pertinent information needed for maintenance and failure analysis is readily available.

#### Correlation of Maintenance Data. Benefits can be realized by correlation of various metrics, trends, and data from the PM, PT&I, and other databases. An important function of a CMMS is to automate that correlation, with limit alarms, as new input is made for followup action.

#### Continuous Inspection. This data file/module contains information for the continuous inspection program. (See paragraph 10.5, Continuous Inspection.) It should include facilities maintenance standards, facility condition inspection schedules, and inspection and test procedures. Linked with the inventory, it can be used to create the inspection orders and work sheets used by inspectors. The results of inspections from PT&I, PMs, operators, facility managers, facility users, and facility condition inspections should be entered in the CMMS history files for use in the FCA.

#### Facility/Equipment History. These data files/module contain summaries of the maintenance histories of the facilities and collateral equipment. They contain summaries of PM, PGM, repairs, TC, rehabilitation, modifications, additions, construction, and other work affecting the configuration or condition of the items. They include completed and canceled work orders. These files also include the current material condition assessment of each item, derived from the continuous inspection program, for use in developing the FCA and the DM . By using the CMMS to tie the FCA to the continuous inspection program and specifically to the PT&I database, condition assessments will be more current and equipment condition information, short- and long-term repair and replacement requirements, and DM information are available to the facilities maintenance managers and craftspersons when needed. The maintenance history records can be used to support proactive maintenance techniques, such as root-cause failure analysis and reliability engineering. 

### Provide Utilities Services. Utilities services are essential to a Center in that no operations would be possible without the electric power, steam, water, and related services they provide. Utilities also represent a major cost of operations. Computer support, both in terms of direct control of system components and analyses to identify losses in efficiency, is vital to energy conservation efforts as well as to effective system maintenance and management for optimal reliability and cost efficiency. The utilities data file/module contains detailed information on utilities consumption, distribution, use, metering, allocation to users, and cost. It could include modeling capability and linkage to utility control systems.

### Assist in Formulating and Administering Contracts. Contracts provide the majority of Center facilities support services. In many cases this extends to both recurring facilities maintenance efforts and one-time, specific facilities maintenance projects. Computerized support for contract preparation and administration in support of the Contracting Officer is essential for a well-managed facilities maintenance program. This data file/module contains information on contracts supporting the broad spectrum of facilities maintenance management as required by the Contracting Officer, Contracting Officer's Technical Representative (COTR), and Quality Assurance Evaluators (QAE). With other database files, it provides a picture of each contractor's past performance, current loading, and planned work. It could include information on specifications, Government-furnished property, quality assurance, payment processing, delivery orders issued, schedules, and related matters. It should cover both contracts for specific facilities maintenance requirements and support services contracts.

### Develop Budgets and Perform Cost Analyses. Management is largely the process of allocating and directing resources to accomplish an organization's goals. The functions listed above focus on facilities maintenance work and work methods. The budget and cost analysis functions obtain and track resources. In an environment of competition for limited resources to perform an ever-expanding workload, managers need sophisticated tools and techniques to account for resources, demonstrate efficient use of resources, and prepare persuasive requests for future resource allocations. Computer support to perform in-depth analyses of requirements is essential to meet this end. Refer also to Chapter 2, Resources Management.

### Additional Database Functions. The functions discussed above are typically found in NASA Center CMMSs. The functions in the following paragraphs may be included in the CMMS or, in most cases, in separate databases that should be interfaced with the Center's CMMS.

#### Reports and Metrics. This function can be customized for each Center's use as part of the CMMS, provided other key information, such as complete cost information and project management data, is available. Management should define for all maintenance and operations the management information required from the contractor and civil service staff so that results/performance-oriented reports and metrics can be developed in the CMMS and tracked. This will ensure that the Government can analyze and evaluate performance and overall maintenance management at that Center.

#### Job Estimating. This data file may contain shop or flat rate guides, estimating tables, work performance (time and motion) standards, such as engineered performance standards, labor and material rates, and local cost and time factors in computer-usable form. Sources include commercial services, Government-developed standards, developed Facilities Engineering Job Estimating (FEJE) software, and local experience. After the P&Es define the work elements comprising a job, they can use this data file to estimate task and work order crafts, materials, equipment, tools, time, and costs.

#### Tools/Materials. Tools and material data files typically contain the inventory of centrally managed tools and materials for use in support of facilities maintenance. The material data file aids in assigning materials to work orders, supports the preparation of material requisitions, tracks the receipt of materials on order, and documents related information. Also, these data files record accountability data for shop tools and equipment.

#### Environment. This data file contains environmental information, including permits, licenses, the history of violations and citations, potential hazards, environmental compliance and related actions underway, and tracking of work or materials of special environmental interest. For example, it might include data on polychlorinated biphenyl (PCB) or asbestos hazards. This file can track the disposal of hazardous waste and hazardous materials or the need for and processing of renewals of discharge permits. Environmental Protection Agency (EPA) rules require detailed records on the management of ozone-depleting substances such as CFCs and hydrochlorofluorocarbons (HCFCs) used as refrigerants. These records can be accommodated readily in a computerized database.

#### Space Management/Planning. This data file typically includes user name and user data for each facility, space within the facility, or other managed asset. It may include other information for use in managing the space, such as configuration, utilities services, finishes, furnishings, environment, communications, assigned function or task, and accounting information.

#### **Facility Graphic Documentation and Configuration Control**

a.  CADD, GIS, and similar systems, such as automated mapping/facility
    management, permit the digitized storage of graphic data on
    individual facilities, such as drawings, photos, and other pictorial
    information. GIS offers a three-dimensional definition of a
    facility, plus associated databases, that together are a powerful
    facilities engineering tool. For example, a GIS for a street network
    could include data on underground utilities showing each utility
    (water, gas, electricity, sewage, storm drainage), parking, traffic
    volume, pavement condition, and landscaping, each in a separate
    plane. GIS technology fully integrates graphics and text.

b.  One GIS system is the Geographic Resources Analysis Support System
    and its three subsystems, GRID, IMAGERY, and MAP-DEV. GRID analyzes,
    overlays, and models maps and displays. IMAGERY displays,
    georeferences, compares, and classifies satellite and aerial
    photographic imagery. MAP-DEV enables the digitizing and integrating
    of landscape data generated from hard copy maps, digital elevation
    files, and other sources for analysis. This technology holds great
    promise for facilities maintenance applications.

c.  Graphic documentation includes references to hard copy drawings,
    manufacturers' shop drawings, as-built drawings, and drawings
    prepared at the Center. Master plan drawings are in this group.
    Centers may wish to require the submission of all drawings,
    particularly those for facilities projects, in digitized form. Also,
    Centers should consider digitizing existing drawings for inclusion
    in the digital graphics library.

#### Provide Management Support. Management support functions provide the routine internal organizational, administrative, and overhead processes. They include functions related to internal administrative support, document tracking, and personnel accounting performed within the facilities maintenance organization. While the internal management support functions do not interface directly with the facilities maintenance customers, shortcomings in this area directly impact customer support. Dealing with largely administrative matters, management support function productivity can improve through automation. Well-established computer software programs are available for these areas. However, automation of management support and administrative functions is outside the scope of this NPR.

## CMMS Peripheral Systems 

### There are peripheral systems that can be integrated into the CMMS to enhance facilities maintenance operations. These systems can be more efficient, reduce paperwork, and provide more accurate and complete records in accomplishing maintenance tasks. The selection of a system should be based on the specific maintenance requirements, a cost study, and resource availability. The following are some systems that could be considered.

### Bar Coding Systems. There are a number of bar coding systems available that can be employed in a Center's facilities maintenance program. These systems vary from the simple identification of an equipment item to sophisticated systems that permit input and downloading of data. Systems are available that permit bar code tags to include such things as the equipment item's history and its preventive maintenance program. These tags are updated along with the CMMS as changes take place, thereby, providing current status at any time. Systems include software that must be integrated into the Center's CMMS and handheld bar code readers (terminals) with high-contrast liquid crystal displays (LCD) and a keyboard system that can be used by the technician performing the work. Systems may include a beeper subsystem that confirms scanner and keyboard entries and alerts the operator of error conditions.

#### In one system, a technician's daily schedule and task instructions are downloaded from the CMMS into the handheld terminal and given to the craft person at the start of the shift. When the technician arrives at the work site, the equipment bar code tag is scanned. This registers the arrival time and displays the equipment item maintenance functions to be performed. As each work item is completed, the technician checks it off using the terminal keyboard. This process continues until all functions have been completed. Any comments are entered, and the equipment bar code tag is scanned again to record the completion time. The technician then proceeds to the next work location and goes through the same scenario. When the day's work is completed, the handheld terminal is returned for downloading into the CMMS where the equipment files are electronically updated. The next day's work schedule and instructions are then downloaded to the handheld terminal for use on the next shift where the process is repeated. 

#### Another system utilizes a radio frequency or a cellular digital system to communicate with the Center's CMMS. In this system, a technician is given a handheld terminal at the start of the shift. A paper copy of the day's work schedule is provided to the technician or the schedule has been downloaded from the CMMS into the handheld terminal. When the technician arrives at the work site, the equipment bar code tag is scanned. Using the bar code tag identification the handheld terminal is connected by radio frequency, or a cellular digital system, to the CMMS where the equipment item's history and the day's work functions can be displayed on the handheld terminal's LCD, as needed. As work is completed, the information is entered in the handheld terminal by the technician and through the wireless system recorded in the CMMS. With this system, the real time status of assigned work is recorded in the CMMS for review at any time.

### Handheld Computers. This is another CMMS peripheral system that is available for use in a Center's maintenance program. This is a wireless system where information flows to and from the Center's CMMS. The system could be used to eliminate paper-based work orders, particularly those for TCs, small Service Requests, and small repair jobs. This would reduce the workload on the work control center and the technicians. With this system, the technician receives work orders, work order changes, and updates electronically. The technician reports work start electronically, and when work is completed, the completion report and comments are entered electronically. Because information flows wirelessly to and from the CMMS, the work control center sees the exact status of every assigned work order, from assignment through work start to completion. At the end of a technician's shift, the handheld computer is returned for the next shifts' use.

### Quality Assurance Database. At least one NASA Center has developed software that assists QA evaluators (QAEs) in monitoring performance-based contracts (Payment Analysis and Support System developed by Johnson Space Center (JSC)). Typically, QAEs inspect and evaluate the contractor's performance using Surveillance Guides associated with each contract line item number. Summary results are entered into the database by portable data collectors, and the program tabulates all entries and calculates deductions for unsatisfactory work and work not performed. The advantages of using this and similar databases are labor reduction by reducing redundant operations and mathematical calculations and by maintaining good contract documentation without the paper.

# Reliability Centered Maintenance

## Introduction 

### Refer to the [*NASA Reliability Centered Maintenance Guide for Facilities and Collateral Equipment*](http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/RCMGuideMar2000.pdf) for a more extensive discussion and detailed information on RCM than that provided in this document. 

### RCM is the process used to determine the most effective approach to maintenance. It involves identifying actions that, when taken, will reduce the probability of failure and that are the most cost effective. It seeks the optimal mix of proactive maintenance and reactive maintenance. RCM is an ongoing process that gathers data from operating systems' performance and uses this data to improve design and future maintenance. These maintenance strategies, rather than being applied independently, are integrated to take advantage of their respective strengths in order to optimize facility and equipment operability and efficiency within the given constraints.

### The RCM philosophy employs proactive maintenance and reactive maintenance techniques in an integrated manner to increase the probability that a machine or component will function in the required manner over its design life cycle. Proactive maintenance practices includes PM and PGM. Reactive maintenance includes repair or run to fail. The goal of the philosophy is to provide the stated function of the facility, with the required reliability and availability at the lowest cost. RCM is data driven and requires that maintenance decisions be based on maintenance requirements supported by sound technical and economic justification. As with any philosophy, there are many paths or processes that lead to a final goal. This is especially true for RCM, where the consequences of failure can vary dramatically.

### NASA has adopted a streamlined approach to the traditional or rigorous RCM process practiced in some industries. This is due to the high-analysis cost of the rigorous approach, the relatively low impact of failure of most facilities systems, the type of systems and components maintained, and the amount of redundant systems in place. Underlying NASA's RCM approach is the concept that maintenance actions should result in real benefits in terms of improved safety, required uninterrupted operational capability, and reduced life-cycle cost. It recognizes that unnecessary maintenance is counterproductive and costly and can lead to an increased chance of failure.

## RCM Principles 

### The primary principles upon which RCM is based are the following: 

RCM is function oriented. It seeks to preserve system or equipment
function, not just operability for operability's sake. Redundancy of
function through multiple equipment improves functional reliability but
increases life-cycle cost in terms of procurement and operating costs.

RCM is system focused. It is more concerned with maintaining system
function than individual component function.

RCM is reliability centered. It treats failure statistics in an
actuarial manner. The relationship between operating age and the
failures experienced is important. RCM is not overly concerned with
simple failure rate; it seeks to know the conditional probability of
failure at specific ages (the probability that failure will occur in
each given operating age bracket).

RCM acknowledges design limitations. Its objective is to maintain the
inherent reliability of the equipment design, recognizing that changes
in inherent reliability are the province of design rather than
maintenance. Maintenance can, at best, only achieve and maintain the
level provided for by design. However, RCM recognizes that maintenance
feedback can improve on the original design. In addition, RCM recognizes
that a difference often exists between the perceived design life and the
intrinsic or actual design life and addresses this through the Age
Exploration (AE) process.

RCM is driven by safety and economics. Safety must be ensured at any
cost; thereafter, cost-effectiveness becomes the criterion.

RCM defines failure as any unsatisfactory condition. Therefore, failure
may be either a loss of function (operation ceases) or a loss of
acceptable quality (operation continues).

RCM uses a logic tree to screen maintenance tasks. This provides a
consistent approach to the maintenance of all types of equipment. (See
Figure 7-1.)

RCM tasks must be applicable. The tasks must address the failure mode
and consider the failure mode characteristics.

RCM tasks must be effective. The tasks must reduce the probability of
failure and be cost effective.

RCM acknowledges two types of maintenance tasks and run-to-failure. The
tasks are interval time- or cycle-based and condition-based. In RCM,
run-to-failure is a conscious decision and is acceptable for some
equipment.

RCM is a living system. It gathers data from the results achieved and
feeds this data back to improve design and future maintenance. This
feedback is an important part of the Proactive Maintenance element of
the RCM program.

## Requirements Analysis 

### Using RCM facilitates developing maintenance standards for ensuring, even in the procurement and installation phases, that a system meets its designed reliability or availability. RCM determines maintenance requirements by considering the following questions: 

What does the system do? What is its function?

What failures are likely to occur?

What are the likely consequences of failure?

What can be done to reduce the probability of the failure, identify the
onset of failure, or reduce the consequences of the failure?

[]{#__RefHeading___Toc205396769 .anchor}

### Figure 7-1 provides a decision logic tree for use in RCM analysis to determine the type of maintenance appropriate for a given maintainable facilities equipment item. Note that the logic, as presented, results in a decision in the bottom blocks concerning whether a particular piece of equipment should be reactively maintained ("Accept Risk" and "Install Redundant Units"), PMed ("Define PM Task and Schedule"), or predictively maintained ("Define PT&I Task and Schedule").

## Failure 

### Failure is the cessation of proper function or performance. RCM examines failure at several levels: the system level, subsystem level, component level, and sometimes even the parts level. The maintenance approach shall be based on a clear understanding of the consequences of failure at each level. For example, a failed lamp on a control panel may have little effect on overall system performance. However, several combined, minor components in degraded conditions could collectively cause a failure of the entire system.

### Identify the System Functions. This step involves examining the capability or purpose of the system. Some items, such as a circulating pump, perform an on-line function (constantly circulating a fluid); their operational state can be determined immediately. Other items, such as a sump pump, perform an off-line function (intermittently evacuating a fluid when its level rises); their condition can be ascertained only through an operational test or check. Functions may be active, such as pumping a fluid, or passive, such as containing a fluid. Also, functions may be hidden, in which case there is no immediate indication of a failure. This typically applies to an emergency or protective system such as a circuit breaker that operates only in the case of a short circuit (electrical failure of another system or component).

### Identify Failures. The proactive approach to maintenance analysis identifies potential system failures and ways to prevent them. Proactive maintenance, along with human observations during normal operations or maintenance tasks, also identifies prefailure conditions that indicate when a failure is imminent. (The latter is a basis for selecting PT&I applications.) Figure 7-2 is a list of failure codes that may be used to identify recurring problems by category. These will provide a means of identifying areas, systems, and equipment where root cause failure or other proactive analysis may be applied. The CMMS and work order form shall include fields for failure codes in order to maintain historical data. 

  -------------- ---------- -- -------------- ---------- -- -------------- ----------
  **CATEGORY**   **CODE**      **CATEGORY**   **CODE**      **CATEGORY**   **CODE**

  Drain          DRAN          Power supply   PSPL                         

  Engine         ENGN          Pressure       PSWC                         
                               switch                                      

  Elevator       LVTR          Pulley         PULL                         

  EMCS           EMCS          Pump           PUMP                         

  Bearings       BRGS          Enclosure      NCLS          Regulator      RGLT

  Belts          BLTS          Evaporator     EVAP          Rheostat       RSTT

  Breaker        BRKR          Fastener       FSNR          Roof           ROOF

  Cable, power   CABL          Filter         FLTR          Seal           SEAL

  Capacitor      CPTR          Flashing       FLSH          Shell          SHLL

  Commutator     CMTR          Gear           GEAR          Shaft          SHFT

  Compressor     CPRS          Generator      GNTR          Starter        STRT

  Computer       CPTR          Humidistat     HSTT          Stator         STTR

  Condenser      CNDN          Impeller       IMPL          Support/base   SPPT

  Connector      CNTR          Inductor       NDCT          Switch         SWCH

  Controller     CNTL          Light          LGHT          Thermistor     THMS

  Cooler, swamp  COLS          Logic, PLC     PLOG          Timer          TMER

  Cooling Coil   COIL          Lubrication    LUBE          Transformer    TRAN

  Coupling       CPLG          Meter          METR          Tube, boiler   TUBE

  Crane          CRNE          Motor          MOTR          Valve          VLVE

  Damper         DMPR          Packing        PCKG          Winding        WNDG

  Door, power    PDOR          Pipe           PIPE          Window         WIND

                               Piston         PSTN                         

                                                                           
  -------------- ---------- -- -------------- ---------- -- -------------- ----------

[]{#__RefHeading___Toc205396770 .anchor}Figure 7-2 Failed Equipment
Codes

### Identify the Consequences of Failure. The most important consequence of failure is a threat to safety. Next, is a threat to the environment or mission accomplishment (operating capability). The RCM analysis should pay close attention to the consequences of the failure of infrequently used, off-line equipment and hidden function failures. Also, it should consider the benefit (reduced consequences of a failure) of redundant systems.

### Identify the Failure Process. Determining the methods and root causes of failures provides insight into ways to detect or avoid failures. The examination, which investigates the cause of the problem and not just its effect, should consider factors such as wear, overload, fatigue, or other processes.

### Verify the System. Before efforts are expended on a system, it is important to verify that the system was installed or is being used as originally designed. This review of the design and maintenance support information may reveal the root cause of a past or anticipated problem. Although the existing design may have been correct, the installation, while functional, may have been improper, or there may have been latent manufacturing defects. These deficiencies should be discovered and corrected by the contractor during the acceptance process, before the equipment is accepted by the Government and the contractor leaves the job site. If, after acceptance, the installation is still under warranty, the problem may be resolved without an additional expenditure of NASA resources. Changes in the intended use of equipment can also create problems leading to excessive wear and premature failure.

### Modify the System. Redesigning the system to eliminate the weakness may be the most desirable solution since it can eliminate a potential cost. However, redesign may not be possible in many facilities maintenance situations.

### Define the Maintenance Task. The following factors should be considered when defining the maintenance task: 

a.  Once it has been determined that the failure of a facility or
    equipment item will have a direct effect on the safety or mission
    operation and redesign cannot improve its reliability, then a PT&I,
    PM, or PGM task or combination of tasks should be identified that
    will lessen the chances or consequences of a failure. Where
    applicable, predictive technologies should be used to monitor the
    condition of the facility or equipment. If the technology or local
    expertise is not available, a preventive maintenance program is
    normally applicable.

b.  Maintenance tasks can be time directed (e.g., every eight weeks),
    condition directed (e.g., when pH is greater than 7.3), or
    inspection directed (e.g., if a component is found worn). A
    particular bearing can be monitored for vibration (PT&I), routinely
    lubricated and checked (PM), or replaced prior to its expected
    failure point (PGM).

c.  The total system should be evaluated to ensure that all the
    individual tasks maintain the system at the same degree of
    reliability. The tasks should also be grouped to ensure that they
    can be executed in the most economical manner. This may be
    accomplished by grouping multiple tasks on an individual equipment
    item or by grouping like tasks on numerous items of equipment in a
    given facility or zone of several facilities.

### Install Redundant Unit(s). Situations exist where, despite all effective maintenance efforts, the risk of a potential failure is still unacceptable. Very critical areas such as a mission control or communication center may require uninterrupted facility equipment to maintain power or climatic control. The criticality may preclude even shutdown for maintenance purposes. In these situations, redundancy is justified and recommended. The problem may be corrected through additional distribution or switching of power or ventilation ducts, provided the system can accept the additional loads. The need for a redundant system should be determined before the situation becomes critical. This will preclude premature failure resulting from a lack of maintenance on a system that cannot be shut down. Often, the loss to the mission would be of much greater cost than the redundant system. This need requires close coordination and communication with the customer.

### Accept the Risk. It may be that further safety or environmental precautions are not possible or that the economic or operational cost of a failure is insignificant or substantially less than the cost of any effective redesign or maintenance procedure. In the former case, the accepted risk should be identified and quantified, and all parties concerned should be made aware of the risk and appropriate recovery procedures. In the latter situation, it does not make business sense to implement a PM or PGM task. This philosophy is known as "run-to-failure."

## RCM Program Benefits 

### Safety. Per *NPD 8700.1, NASA Policy for Safety and Mission Success*, NASA policy is to "...Avoid loss of life, personal injury or illness, property loss or damage, or environmental harm from any of its activities and ensure safe and healthful conditions for persons working at or visiting NASA facilities...." By its very features, including analysis, monitoring, taking decisive action on systems before they become problematic, and thorough documentation, RCM is highly supportive of and an integral part of the NASA safety policy.

### Reliability. RCM places great emphasis on improving equipment reliability, principally through the feedback of maintenance experience and equipment condition data to facility planners, designers, facilities maintenance managers, craftspersons, and manufacturers. This information is instrumental in continually upgrading the specifications for equipment to provide increased reliability. The increased reliability that comes from RCM leads to fewer equipment failures and, therefore, greater availability for mission support and lower maintenance costs.

### Cost. Due to the initial investment required in obtaining the technological tools, training, and equipment condition baselines, a new RCM program typically results in a short-term increase in maintenance costs. This increase is relatively short lived. The cost of repair decreases as failures are prevented and preventive maintenance tasks are replaced by condition monitoring. The net effect is a reduction of both repair and total maintenance cost. Often, energy savings are also realized from the use of PT&I techniques.

### Scheduling. The ability of a condition-monitoring program to forecast maintenance provides time for planning, obtaining replacement parts, and arranging environmental and operating conditions before the maintenance is done. PT&I eliminates unnecessary maintenance performed by a time-scheduled maintenance program, which tends to be driven by the minimum "safe" intervals between maintenance tasks. Additionally, a principal advantage of RCM is that it obtains the maximum use from equipment. With RCM, equipment replacement is based on equipment condition---not on the calendar. This condition-based approach to maintenance thereby extends the operating life of the properly maintained facility and its equipment.

### Efficiency/Productivity. Safety is the primary concern of RCM. The second most important concern is cost-effectiveness. Cost-effectiveness takes into consideration the priority or mission criticality and then matches a level of cost appropriate to that priority. The flexibility of the RCM approach to maintenance ensures that the proper type of maintenance is performed on equipment when it is needed. Maintenance that is not cost effective is identified and not performed.

## Impact of RCM on the Facilities Life Cycle 

### The facilities life cycle is often divided into two broad stages, acquisition (planning, design, construction, and acceptance) and operations. RCM affects all phases of the acquisition and operations stages to some degree, as shown in Table 7-1. Decisions made early in the acquisition cycle profoundly affect the life-cycle cost of a facility. Even though expenditures for plant and equipment may occur later during the acquisition process, their cost is committed at an early stage. As shown conceptually in Figure 7-3, planning (including conceptual design) fixes two-thirds of the facility's overall life-cycle costs. The subsequent design phase determines an additional 29 percent of the life-cycle costs, leaving only about 5 percent of the life-cycle costs that can be impacted by the later phases.

+-------------+---------------------------+---------------------------+
| *           | **Acquisition             | **Operations              |
| *Life-Cycle | Implications**            | Implications**            |
| Phase**     |                           |                           |
+-------------+---------------------------+---------------------------+
| Planning    | Requirements Validation   | Requirements Development  |
|             |                           |                           |
|             | Contract Strategy         | Modifications             |
|             |                           |                           |
|             | RCM Implementation        | Alterations               |
|             | Strategy                  |                           |
|             |                           | Upgrades                  |
|             | Funding Estimates         |                           |
|             |                           | A&E Scope of Work         |
|             | Construction              |                           |
|             |                           | Funding Estimates         |
|             | Equipment                 |                           |
|             | (Collateral/R&D)          | O&M Considerations        |
|             |                           |                           |
|             | Labor                     | Annual Cost               |
|             |                           |                           |
|             | Training                  | Labor                     |
|             |                           |                           |
|             | Operations                | Spare Parts               |
|             |                           |                           |
|             | A&E Scope of Work         |                           |
+-------------+---------------------------+---------------------------+
| Design      | A&E Selection             | A&E Selection             |
|             |                           |                           |
|             | Drawings                  | Drawings                  |
|             |                           |                           |
|             | Specifications            | Specifications            |
|             |                           |                           |
|             | Acceptance Testing        | Acceptance Testing        |
|             | Requirements              | Requirements              |
+-------------+---------------------------+---------------------------+
| C           | Contractor Selection      | Contractor Selection      |
| onstruction |                           |                           |
|             | Mobilization              | Construction              |
|             |                           |                           |
|             | Construction              | Acceptance Testing        |
|             |                           |                           |
|             | Activation (R&D)          |                           |
+-------------+---------------------------+---------------------------+
| Acceptance  | Equipment Acceptance and  | Equipment Acceptance and  |
|             |                           |                           |
|             | Handoff                   | Handoff                   |
|             |                           |                           |
|             | Establishing Baselines    | Establishing Baselines    |
|             |                           |                           |
|             | Contract Closeout         | Documentation             |
+-------------+---------------------------+---------------------------+
| O&M         | Not Applicable            | RCM Operations            |
|             |                           |                           |
|             |                           | Training/Certification    |
+-------------+---------------------------+---------------------------+

[]{#__RefHeading___Toc205396904 .anchor}Table 7-1 RCM Facility
Life-Cycle Implications

### The decision to include a facility in the RCM program, including PT&I, is best made during the planning phase. As RCM decisions are made later in the life cycle, it becomes more difficult to achieve the maximum possible benefit from the RCM program.

### Even though maintenance is a relatively small portion of the overall life-cycle cost, three to five percent of a facility's operating cost, RCM is still capable of introducing significant savings during the O&M phase of a facility's life. Savings of 30- to 50-percent in the annual maintenance budget are often obtained over time through the implementation of a balanced RCM program.

## RCM Program Components 

### An RCM program includes reactive and proactive maintenance. Refer to the *NASA Reliability Centered Maintenance Guide for Facilities and Collateral Equipment* for more in-depth information. 

### Reactive Maintenance. Reactive Maintenance also is referred to as breakdown, repair, or run-to-failure maintenance. When applying this technique, maintenance or equipment repair or replacement occurs only when the deterioration in an equipment's condition causes a functional failure. 

#### This type of maintenance assumes that failure is equally likely to occur in any part, component, or system. Thus, this assumption precludes identifying a specific group of repair parts as being more necessary or desirable than others. If an item fails and repair parts are not available, delays ensue while parts are obtained. If certain parts are urgently needed to restore a critical machine or system to operation, a premium for expedited delivery shall be paid. 

#### There is no ability to influence when the failures occur because no (or minimal) action is taken to control or prevent them. When this is the sole type of maintenance practiced, a high percentage of unplanned maintenance activities, high replacement part inventories, and inefficient use of the maintenance effort often result. A purely reactive maintenance program ignores the many opportunities to influence equipment survivability. On the other hand, reactive maintenance can be used effectively when it is performed as a conscious decision based on the results of an RCM analysis that compares the risk and cost of failure with the cost of the maintenance required to mitigate that risk and the cost of failure. For example, periodic maintenance on a standard, inexpensive bathroom fan could not be cost-effective. Typically this type of fan would be run-to-failure and simply replaced at that time, since the cost of maintenance or repair would probably exceed the cost of a replacement fan. Table 7-2 suggests the criteria to be used in determining the priority for repairing or replacing the failed equipment in the reactive maintenance program.

[]{#__RefHeading___Toc205396905 .anchor}Table 7-2 Reactive Maintenance
Priorities

  -------------- ----------------- -----------------------------------------------------
  **Priority**                     

  **Number**     **Description**   **Criteria Based on Consequences of Equipment/System
                                   Failure**

  1              Emergency         Safety of life or property threatened. Immediate
                                   serious impact on mission.

  2              Urgent            Continuous facility operation threatened. Impending
                                   serious impact on mission.

  3              Priority          Degrades quality of mission support. Significant and
                                   adverse effect on project.

  4              Routine           Redundancy available. Impact on mission
                                   insignificant.

  5              Discretionary     Impact on mission negligible. Resources available.

  6              Deferred          Impact on mission negligible. Resources available.
  -------------- ----------------- -----------------------------------------------------

### **Proactive Maintenance** 

#### A proactive maintenance program is the capstone of the RCM philosophy. Proactive maintenance improves maintenance through better design, installation, maintenance procedures, workmanship, and scheduling. The ten most commonly recognized proactive techniques to extend machinery life, described in detail in the *NASA Reliability Centered Maintenance Guide for Facilities and Collateral Equipment*, are the following: 

a.  Preventive Maintenance.

b.  Predictive Maintenance.

c.  Specification for new/rebuilt equipment.

d.  Precision rebuild and installation.

e.  Failed-part analysis.

f.  Root-cause failure analysis.

g.  Reliability engineering.

h.  Rebuild certification/verification.

i.  Age exploration.

j.  Recurrence control.

#### The characteristics of proactive maintenance are the following: 

a.  It uses feedback and communications to ensure that changes in design
    or procedures are promptly made available to designers and managers.

b.  It employs a life-cycle view of maintenance and supporting
    functions.

c.  It ensures that nothing affecting maintenance occurs in isolation.

d.  It employs a continuous process of improvement.

e.  It optimizes and tailors maintenance techniques and technologies to
    each application.

f.  It integrates functions (that support maintenance) into maintenance
    program planning.

g.  It uses root-cause failure analysis and predictive analysis to
    maximize maintenance effectiveness.

h.  It adopts an ultimate goal of on-going equipment maintenance.

i.  It periodically evaluates the technical content and performance
    interval of maintenance tasks (PM and PT&I).

#### A successful maintainability program will have the following attributes: 

a.  Corporate commitment.

b.  Program support.

c.  Maintainability planning.

d.  Maintainability implementation.

e.  Program updating.

#### An additional critical step in implementing an effective proactive maintenance program is the design for maintainability process. Design for maintainability was a NASA-sponsored research project conducted by the Construction Industry Institute. Design for maintainability integrates facility operations and maintenance knowledge and experience at an early stage in the project-delivery process. Incorporating maintainability concepts, including RCM, early in the life of a project, where influence potential is high, will result in the principal benefits of less rework, smoother startup and turnover, and less costly maintenance after project turnover. Design for maintainability represents a method to formally incorporate proactive maintenance into construction projects. It will allow active participation of operation and maintenance staff in determining facility project design requirements and ensure these requirements are satisfied. Additional information on this concept is available from Construction Industry Institute publications. 

#### The design for maintainability model process has six major milestones: 

a.  Management commitment to maintainability. Demonstrated through
    commitment of resources, development policies, and designating a
    maintainability champion.

b.  Establishing a maintainability program. Demonstrated through
    development of a maintainability staff, procedures, and a
    lessons-learned database.

c.  Obtaining maintainability capabilities. Demonstrated by establishing
    project-level maintainability responsibility and developing
    resources for project maintainability reviews.

d.  Planning maintainability implementation. Demonstrated by forming
    project cross-functional teams, defining maintenance strategies and
    maintainability goals, and integrating appropriate RCM technology.

e.  Implementing maintainability. Demonstrated by conducting project
    maintainability meetings, applying maintainability concepts to
    design and construction, providing documentation, and conducting
    maintenance training.

f.  Updating the maintainability program. Demonstrated by evaluating
    program effectiveness and updating the process in the
    lessons-learned database.

#### Within the ideal process milestones and the success attributes, maintainability must be accomplished through several different approaches applied individually or in combination. These approaches are: 

a.  Standard design practice.

b.  Contract specifications, such as Specification-kept-intact
    (SPECSINTACT), having appropriate maintainability and RCM clauses
    included.

c.  Cross-functional project teams.

d.  Pilot maintainability programs.

e.  Integration of maintainability into existing project programs and
    processes.

f.  Formal maintainability program.

g.  Comprehensive tracking of lessons learned.

#### In summary, design for maintainability is the first step of an effective maintenance program, linking proactive maintenance and RCM goals to the design and construction process. If adequate measures for cost-effective maintainability are not integrated into the design and construction phases of a project, the risk increases that reliability will be adversely impacted and total life-cycle costs increase significantly. Appropriate levels of maintainability seldom occur by chance. It requires upfront planning, setting objectives, disciplined design implementation, and feedback from prior projects. It is vital to identify critical maintainability and reliability issues and integrate them into facility project designs to achieve long-term facility owning and operating benefits. 

### Preventive Maintenance. PM consists of regularly scheduled inspection, adjustments, cleaning, lubrication, parts replacement, calibration, and repair of components and equipment. It is performed without regard to equipment condition. PM schedules periodic inspection and maintenance at predefined intervals in an attempt to reduce equipment failures for susceptible equipment. As equipment ages, the frequency and number of checkpoints may need to be reevaluated using the age exploration process. This is a process that uses PT&I and other methods to extend the period between PM tasks while maintaining equipment condition. This process can result in substantial maintenance savings. These savings are dependent on the PM intervals set, which can result in a significant decrease in inspection and routine maintenance. However, it should also reduce the frequency and seriousness of unplanned machine failures for components with defined, age-related wear patterns. 

#### Traditional PM is keyed to failure rates and times between failures. It assumes that these variables can be determined statistically. Therefore, a part due for failure can be replaced before it fails. PM assumes that the overhaul of machinery by disassembly and replacement of worn parts restores the machine to like-new condition with no harmful side effects and that the new components are less likely to fail than the old components of the same design. 

#### Failure rate, or its reciprocal, mean-time-between-failures, is often used as a guide to establishing the interval at which maintenance tasks should be performed. The major weakness in the application is that failure-rate data determines only the average failure rate. In reality, failures are equally likely to occur at random times and with a frequency unrelated to the average failure rate. For some items, failure is not related to age, and consequently, timed maintenance can often result in unnecessary maintenance. PM can be costly and ineffective when it is the sole type of maintenance practiced. 

### **Predictive Testing and Inspection.** 

#### PT&I, also known as predictive maintenance or condition monitoring, uses primarily nonintrusive testing techniques, visual inspection, and performance data to assess machinery condition. It replaces arbitrarily timed maintenance tasks with maintenance that is scheduled only when warranted by equipment condition. Continuing analysis of equipment condition-monitoring data allows for the planning and scheduling of maintenance or repairs in advance of catastrophic and functional failure. Collected PT&I data is used for trend analysis, pattern recognition, data comparison, tests against limits and ranges, correlation of multiple technologies, and statistical process analysis to determine the condition of the equipment and to identify the precursors of failure. PT&I does not lend itself to all types of equipment or possible failure modes and, therefore, should not be the sole type of maintenance practiced. 

#### A variety of PT&I methods are used to assess the condition of systems and equipment. These technologies include intrusive and nonintrusive methods as well as the use of process parameters to determine overall equipment condition. The data acquired permits an assessment of the system or equipment performance degradation from the as-designed condition. The most common PT&I technologies, described in greater detail in Appendix F and the *NASA Reliability Centered Maintenance Guide for Equipment and Collateral Equipment*, are the following: 

a.  Vibration Analysis.

b.  Lubricant and Wear Particle Analysis.

c.  Thermal Imaging and Temperature Measurement.

d.  Passive (Airborne) Ultrasonics.

e.  Electrical Testing and Motor Current Analysis.

f.  Flow Measurement and Leak Detection.

g.  Valve Operation.

h.  Corrosion Monitoring.

i.  Process Parameters.

j.  Visual Observations.

## Other RCM Applications 

### In addition to their applicability during the operations and maintenance phase of equipment life cycles, RCM principles should be used in performing the FCAs and in preparing the AWP; in establishing the Center's DM; during facilities planning, design, new construction, modification, equipment procurement and in the preparation of architect and engineering (A&E), construction, equipment procurement, and maintenance and operation contracts; in the acceptance testing of new or major-repaired equipment by the contractor during the acceptance process; and in the quality assurance of performance-based contracts. Appropriate RCM clauses and criteria shall be included in all Requests for Proposals, Requests for Quotations (RFQs), and in the contracts themselves.

### Facilities Condition Assessment. (See also Chapters 4, Annual Work Plan, and 9, Deferred Maintenance). RCM is valuable during the continuous FCA process. Individual system reliability and O&M costs and numbers of TCs, plotted over the equipment's service life, can be tracked by the CMMS. Equipment condition relative to other similar equipment can be tracked by reviewing the PT&I data and can be statistically trended in a spreadsheet. Similarly, other indices, such as PT&I alarms and equipment availability, can be tracked. The sum of all of this data will result in a rank ordering of the equipment in terms of condition, availability, and cost to maintain the function.

### Annual Work Plan. (See also Chapter 4, Annual Work Plan, for a more detailed discussion.) RCM principles, and particularly PM and PT&I, are integrated into the Center's maintenance program through the Annual- and Five-Year Work Plans. These are required to develop PM and PT&I funding requirements for the next five years, including all labor, parts, materials, and special tools. RCM will identify the most effective maintenance, in terms of retaining the highest reliability at the lowest cost, and include criticality codes based on mission support, condition code, specific inspections and maintenance tasks to be performed, equipment parameters, the estimated resources required, and specific instructions for obtaining condition assessment information as part of each maintainable collateral equipment PM/PT&I.

### Deferred Maintenance. (See also Chapter 9, Deferred Maintenance, for a more detailed discussion.) Facilities maintenance within NASA is crucial in ensuring facility availability for critical missions throughout the Agency and in NASA's stewardship of the Government facilities with which it is entrusted. The effect of reduced maintenance is not always noticeable immediately, and therefore, it is essential that Centers have sufficient management information available to plan long- and short-term maintenance requirements properly, recognize adverse funding trends, and be able to articulate the effects of reduced maintenance on facility availability and the mission. After the RCM process is used to identify facility and equipment availability and condition deficiencies, the DM identifies to higher authorities, i.e., OMB and Congress, unfunded facilities maintenance work for those items necessary to support the Center mission and the consequences of inadequate funding.

### **SPECSINTACT** 

#### Early in the planning of a new facility, consideration must be given to the extent RCM analysis and PT&I techniques will be used to maintain the facility and equipment. The fundamental determination is the amount of built-in condition monitoring, data transfer, and sensor connections to be used. It is more economical to install this monitoring equipment and connection cabling during construction than later. Planning, designing, and building-in the condition monitoring capability ensures that it will be available for the units to be monitored. Continuously monitored equipment tied into performance analyzers permits the monitoring of its function and signs of any degradation. Installed systems also reduce labor requirements relative to obtaining the data manually.

#### NASA has integrated RCM principles into its standard construction specifications, SPECSINTACT. The emphasis is to design new equipment with a high degree of reliability, at the lowest reasonable cost, thereby, achieving improved maintainability and ease of monitoring. Maintainability and monitoring factors that should be considered by the designer include the following: 

a.  Access. Equipment, its components, and facilities should be
    accessible for maintenance. There should be clear access to collect
    equipment-condition data with portable data loggers or fluid sample
    bottles.

b.  Material. Materials must be chosen for durability, ease of
    maintenance, availability, and value.

c.  Standardization. Use of special or one-of-a-kind materials,
    fittings, or fixtures is to be minimized, and the use of common
    equipment component parts maximized. Standard equipment that can
    have multiple uses should be selected, where feasible.

d.  Quantitative Maintenance Goals. Quantitative measures of maintenance
    (such as mean-time-between-maintenance (MTBM) and maintenance
    downtime) should be used during design to set maintainability goals.

e.  On-line Data Collection. Installed data-collection sensors and links
    may be justified for high-priority, high-cost equipment or
    inaccessible equipment.

f.  Management Indicators. Management indicators and the analysis method
    should be incorporated into the system design. Often, the
    performance parameters monitored for equipment or system control can
    be used to monitor equipment condition.

g.  Performance Measures. RCM performance measures such as operating
    time or equipment loading are directly equipment related. The data
    to be used and the collection method are incorporated into the
    system design.

### Acceptance. (See also Chapter 8, Reliability Centered Building and Equipment Acceptance, for a more detailed discussion.) In today's tight budget environment for facilities operations and maintenance, there is great advantage to NASA in using the construction contractor's quality control function, prior to the contractor's receipt of final payment and exit from the job site, to perform noninvasive diagnostic tests (PT&I) to verify that there are no latent manufacturing defects and the quality of the installation of newly installed equipment.

### Performance-based Contract Monitoring. (See also Chapter 12, Contract Support, for a more detailed discussion.) Performance-based contract and outcome monitoring require the contractor to meet specific standards of performance. These are often based on metrics and indicators that are derived from RCM principles and obtained through PT&I technologies. Percentage availability, for example, is a performance metric that is compared to a standard set by the Center based on baseline data obtained at the time of equipment acceptance or during RCM analysis. Further, the degree of QA required of the Government is dependent not only on the contractor's performance, but also on the RCM criticality codes applied to each facility and equipment. PT&I techniques may be prescribed in the Government's formal QA Plan as methods used to inspect the contractor's work and RCM analysis may be used by the QAE to observe overall trends. For example, trends identifying increased TCs or downtime for specific units of equipment may be indicative of a lack of preventive maintenance that the contractor is obligated to perform.

# Reliability Centered Building and Equipment Acceptance

## Introduction 

### During the course of new construction, major repair, or rehabilitation of facilities, it is not unusual to discover installed systems or equipment that are out of alignment and balance, that contain latent defects from manufacturing and installation, or that simply do not operate as intended. For example, evaluations of new construction of at least two NASA Centers revealed that 85- to-100 percent of the rotating equipment was misaligned, out of balance, or contained defective bearings. These types of systems or equipment defects result in premature failures, which require unbudgeted corrective action by O&M staff. Given today's tight facilities O&M budgets, each Center shall, for new construction, major repair, or rehabilitation of facility projects, employ an acceptance process that includes the use of PT&I to verify system and equipment condition. This should be done prior to acceptance of the work and the contractor's departure from the job site and turning the keys over to the operations and maintenance staff. The expected result is a facility that is safer and is less costly to maintain. The acceptance process can achieve these results by: 

a.  Ensuring there are no latent factory or installation defects.

b.  Verifying building systems and equipment performance through
    functional performance testing.

c.  Providing full documentation and training for the O&M staff to
    improve their performance.

### Building and equipment acceptance is one element of a larger, more comprehensive construction quality program known as "commissioning." Currently, there are four variations of commissioning being practiced: Traditional commissioning, total building commissioning, total building recommissioning, and NASA's customized application of a portion of commissioning called, Reliability Centered Building and Equipment Acceptance (RCB&EA).

### Traditional Commissioning. Traditional commissioning involves performing random tests and checks on facility systems to ensure that they are properly balanced, functionally operational, and comply with the design intent. It systematically checks operating parameters such as pressure, temperature, minimum and maximum air flow, lighting levels, electrical amperage and voltage, torque, fluid volumes, and other thermodynamic measures at key locations, as well as balanced conditions. It is a method of acceptance testing that, when performed on a random basis at random sampling points, checks to ensure that the outcome indices at those points are in compliance with the outcome requirements stated in the design specification. Although the method ensures that the installation meets the design requirements, traditional commissioning reflects the conditions in a snapshot in time, specifically on the day(s) that the system is being inspected for acceptance. Also, it generally fails to emphasize the quality of the equipment installation itself, such as latent manufacturing and installation defects. Even if the installation is in compliance with the design and reflects the proper process parameters at the time of equipment acceptance, these undetected defects may result in premature equipment failure and operational and maintenance problems due to misalignment or similar conditions discovered at a later date. The problem then becomes one of many warranty issues, which, based on typical NASA history, often are inadequately enforced.

### Total Building Commissioning. Total building commissioning is a continuous, systematic process of ensuring that facility systems are planned, designed, installed, tested, and capable of being operated and maintained to perform according to the design intent and the user's needs. The total building commissioning process is optimally applied to all phases of a construction project\--program planning, design, construction/installation, acceptance, and postacceptance/occupancy. Commissioning team involvement begins at the earliest stages of project planning, where its expertise in such areas as system sizing, code compliance, maintainability, user-friendliness, product quality and reliability, ergonomics, and projected life-cycle costs are applied to the design. The commissioning staff is also involved in monitoring the quality of the construction in terms of workmanship, specification, and code compliance throughout the construction, using traditional commissioning tests and inspection procedures for quality assurance and for system acceptance. Finally, the quality team monitors the installed system following acceptance to ensure that there are no latent installation defects or degradation of system performance and operational quality. This rigorous commissioning process is intended to provide the following benefits: 

a.  Ensure that a new facility begins its life with systems at optimal
    productivity.

b.  Improve the likelihood that the facility will maintain this level of
    performance.

c.  Restore an existing facility to high productivity.

d.  Ensure facility renovations and equipment upgrades function as
    designed.

### Total Building Recommissioning (also referred to as LEED-EB). The commissioning of existing buildings is known as building recommissioning and is a low-cost method to improve building performance. Over time, the efficiency of a building's systems can decline, especially if they were never commissioned or where improperly commissioned during building acceptance. Recommissioning finds and corrects equipment problems and also tunes up systems and equipment, ensuring they operate in an integrated manner. Based on energy savings, recommissioning can deliver simple paybacks that rarely exceed four years and are often two years or less. In addition to saving energy, recommissioning:

a.  Extends equipment life and reduces premature equipment failure.

b.  Reduces operating and maintenance costs.

c.  Decreases risk and increases the asset value of the building.

d.  Helps ensure a healthy, comfortable, and productive working
    environment for occupants.

### Recommissioning existing buildings helps to restore and improve the original intended operating performance. The U.S. Green Building Council (USGBC) has developed a recommissioning program for existing buildings known as LEED-EB (Existing Buildings). Similar to the LEED-NC (New Construction) program, LEED-EB provides owners and operators of existing buildings a method to implement sustainable operations and maintenance practices and reduces the environmental impact of a building over its functional life cycle. LEED-EB requires that existing building commissioning (recommissioning) be performed to verify that fundamental building systems and assemblies are performing as intended to meet current needs and sustainability requirements.

### NASA's Building and Equipment Acceptance. NASA's application of commissioning is a customization of a portion of the traditional and total commissioning processes that NASA calls Reliability Centered Building and Equipment Acceptance. NASA recognizes that there can be substantial benefits even when commissioning concepts are applied only to the acceptance phase of a construction project. These benefits can be gained during acceptance by using available PT&I technologies in addition to traditional operational parameters to identify latent manufacturing, shipping, and installation-induced defects. Identifying and correcting these defects can reduce premature failures, increase safety and reliability, and decrease life-cycle costs. NASA's portion of the commissioning concept concentrates on facility and equipment acceptance rather than on total commissionings' cradle-to-grave detailed oversight and evaluations because of the following: 

a.  NASA's placing safety as a top priority.

b.  The current Federal budget process and constraints.

c.  NASA's emphasis on reducing life-cycle costs within available and
    limited resources.

d.  The institution of a strong and vibrant RCM program in place Agency
    wide.

### Many of the problems, safety concerns, and associated costs inherited during the O&M phase are the result of inadequate or nonexistent standards and procedures for equipment acceptance. Thus, the focus of NASA's equipment acceptance is on ensuring that the contractor detects latent manufacturing and installation defects through an effective quality control program before final acceptance of the installation by the Government.

### This chapter provides a brief overview of NASA's acceptance process. Refer to the [*NASA Reliability Centered Building and Equipment Acceptance Guide*](http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/RCB&EGuideJUL04.pdf) for more detailed information and extensive discussion of the subject. 

## RCM---Integral to Acceptance 

### The RCM approach takes a life-cycle view of facilities and collateral equipment and seeks to ensure that facilities and collateral equipment are properly built and installed in order to reduce the probability of premature failure. A key element in the transition from good design to full operation is the construction and acceptance phase. 

### Initial Planning and Design. The long-term reliability of an installation or refurbishment begins with the initial planning and design. The initial criteria and equipment design determines the inherent equipment reliability, maintainability, and supportability. Moreover, as discussed in Chapter 7, Reliability Centered Maintenance, about 95 percent of the total equipment cost is determined by the end of the planning and design phase. Even though expenditures for plant and equipment may occur later during the acquisition process, their cost is committed at an early stage. The decision to include a facility in the RCM program, including PT&I, is best made during the planning phase. As RCM decisions are made later in the life cycle, it becomes more difficult to achieve the maximum possible benefit from the RCM program. It has been estimated by NASA facilities and collateral equipment designers that the cost to make a system change once the system is built is anywhere from 10 to 1,000 times more than if the change was incorporated during the system design. Clearly, the planning and design phase of facilities and collateral equipment life cycle is the time to focus on the ability to sustain operation through the use of effective acceptance testing, proper trending, necessary maintenance, and the performance of timely repair, when needed.

### Construction and Acceptance. Contracts for construction work at NASA Centers shall require contractor responsibility for an adequate quality control program in place for the proper installation of the facility and equipment in accordance with the design requirements. Throughout the installation and at the time of acceptance, PT&I must be performed to verify that not only is the installation acceptable, i.e., that there are no latent factory or installation defects, but also, that the required baselines are established. Consequently, any contractor performing work at NASA Centers must have an understanding of the RCM process and how it affects the project. NASA contracts shall require the contractor to use personnel who are trained and certified in the appropriate PT&I technologies for acceptance testing to ensure that the results are accurate and consistent. The Center's Construction Manager shall ensure that all interim testing is performed and that the results meet the specifications and are documented and included with the final acceptance documentation. The Construction Manager shall ensure that the acceptance testing has been performed and determine if the acceptance testing results are within the required tolerances. When all acceptance criteria have been met, the Construction Manager shall collect all of the required documentation, including all manufacturers manuals, drawing redlines, and all acceptance testing data, and deliver them to the appropriate Center operations and maintenance personnel.

### Maintenance and Operations. RCM can introduce significant savings during the Maintenance and Operations phase of a facility's life. Savings of 30-to-50 percent in the annual maintenance budget are often obtained through the introduction of a balanced RCM program. O&M personnel are ultimately responsible for the proper operation and maintenance of systems and equipment. However, how the facility and its equipment will be operated and maintained shall be considered during the planning, design, and construction phases. During these phases, maintenance and operations needs are best served by carefully and realistically identifying and defining the PT&I and PM requirements. Although the performance of maintenance and operations occurs during the operations stage of the life cycle, some preparatory activities can be carried out during the acceptance stage. These activities can include O&M personnel selection, training requirements, procedure preparation, review of specifications, and collection of baseline condition monitoring data from the Construction Manager. Refer to Chapter 7, Reliability Centered Maintenance, of this document and to the *NASA Reliability Centered Maintenance Guide for Facilities and Collateral Equipment* for guidance on the use of RCM during facilities operations and maintenance.

## Acceptance Testing 

### After construction is complete, it is important to verify that the systems and equipment are operating in accordance with the construction specifications. NASA's contracts shall accomplish this by requiring the contractor to verify, as an element of the contractor's quality control program, that the equipment specified is properly installed in accordance with design and local codes and standards, that there are no latent manufacturing or installation defects, and that individual and integrated systems and equipment operation is in accordance with the design intent. During NASA's acceptance process, individual equipment is acceptance-tested using PT&I that focuses on equipment performance and by traditional thermodynamic testing. Providing this initial baseline data for comparisons and trending allows for planning and scheduling PM or repairs in advance of failure.

### Facilities contain a myriad of equipment and systems, from the simplest light switch to a computer-controlled air conditioning system. While all equipment can benefit from the reliability centered acceptance process, it must be understood that even though an acceptance test is available, it is not always cost effective to perform. The decision to perform reliability centered acceptance should be based on the RCM techniques in the *NASA RCM Guide for Facilities and Collateral Equipment* and the *NASA Reliability Centered Building and Equipment Acceptance Guide*.

### Table 8-1 indicates the most appropriate and commonly used PT&I technologies with respect to the most common acceptance testing applications. These PT&I tests have become some of the most effective methods for testing new and in-service equipment for hidden defects.

### Preliminary and final acceptance testing and documentation of the test results is to be performed by the contractor as part of the contractor's QC program. The contractor shall correct all detected deficiencies, and the condition monitoring data shall be retaken prior to acceptance of the facility and/or equipment by NASA. The NASA Center shall observe and monitor this condition testing, analysis, and documentation as part of its QA program and ensure that the contractor provides all preliminary and final condition monitoring and analysis data to the Construction Manager.

## Acceptance Scope 

The acceptance scope includes, but is not limited to, the following:

a.  Documenting the design intent. Verifying that equipment and systems
    have been properly installed in accordance with the contract
    documentation and the manufacturer's written installation
    instructions.

b.  Verifying the performance of each piece of equipment and each
    system, documenting the equipment and system performance, and
    ensuring that there are no latent manufacturing and installation
    defects.

c.  Verifying that equipment has been placed into operation with the
    manufacturer's observation and/or approval.

d.  Verifying that adjusting, balancing, and system testing has been
    properly performed.

e.  Assembling and submitting record drawings.

f.  Training Center and/or the user's personnel in the proper operation
    of each piece of equipment and each system.

g.  Documenting warranty start and end dates.

h.  Assembling and submitting all records of code authority inspections
    and approvals.

i.  Validating the accessibility of all work relative to the maintenance
    requirements of each piece of equipment and promptly advising NASA
    of items of noncompliance.

j.  Identifying, documenting, and reporting all deficiencies of the work
    relative to the contract documents for tracking and correction
    through a deficiency-tracking program.

k.  Submitting acceptance documents in an approved format.

[]{#__RefHeading___Toc205396906 .anchor}Table 8-1 Applicable PT&I
Technologies

## Applications 

### Roofs. Roofs are normally constructed layer by layer and comprise many different types of materials. Moisture must not be allowed to enter the roof structure or materials during the construction phase, as any trapped moisture will eventually degrade the roof and structure and can cause a premature failure of the roofing system. Whereas traditional roof inspections usually look for the effects of leaks, infrared thermography should be used to look for wet insulation caused by water ingress during construction, improper installation, or roof boundary failures.

### Insulation/Building Envelope. Building insulation is installed during construction but, in most cases, prior to the building's being completed. Consequently, acceptance inspections must occur before the walls and ceilings are completed. On completion of the insulation installation, a construction detail showing the insulation material type, amount, and location shall be generated and submitted by the contractor. This information shall be forwarded to the appropriate RCM official for inclusion in the maintenance database. Infrared thermography or ultrasonic mapping should be used during acceptance to identify insulation voids, insulation settling, and areas of moisture intrusion.

### Piping Systems. Industry-standard acceptance tests for water, plumbing, and air systems first require a pressure test of all piping and fittings. During this test, an ultrasonic scan should be performed on all accessible aboveground piping to help discover any leaks. For hot water systems, after the pressure and hydro tests have been completed and after piping insulation has been installed, the system should be charged with hot water, and an infrared scan should be performed to verify insulation integrity. For steam systems, ultrasonic scans should be performed on steam traps.

### **Mechanical Systems** 

#### Vibration Analysis. Analysis of system and equipment vibration levels is one of the most commonly used PT&I techniques to determine the condition of rotating equipment and its structural stability in a system. It will detect deficiencies associated with wear, imbalance, misalignment, mechanical looseness, bearing damage, belt flaws, sheave and pulley flaws, gear damage, flow turbulence, cavitation, structural resonance, and fatigue. Vibration measurements in the acceptance process shall be performed by technically qualified persons who are trained, experienced, and certified in vibration measurement and shall be taken under specified operating conditions. Test documentation, including machine layout drawings indicating vibration measurement locations, shall be submitted to, validated by, and signed by the NASA Construction Manager or other authorized official prior to final equipment acceptance.

#### Balance. Only 10-to-20 percent of rolling element bearings achieve their design life. Premature bearing failure is frequently due to excessive vibration caused by imbalance, misalignment, improper installation, and outside structural stresses. Acceptance testing for precision balance by the contractor at the time of equipment acceptance of motor rotors, pump impellers, and fans is one of the most critical and cost-effective techniques for achieving increased bearing life and resultant equipment reliability. NASA contracts shall require that balance measurements be performed by a technically qualified person trained, experienced, and certified in machinery balancing.

#### Alignment. The forces of vibration from misalignment cause gradual deterioration of seals, couplings, bearings, drive windings, and other rotating elements where close tolerances exist. The use of precision equipment and methods at the time of acceptance, such as reverse dial and laser systems, is necessary to bring alignment tolerances within precision standards. Precision alignment will increase the average bearing life, thus, increase machinery reliability and availability and decrease maintenance costs.

#### Lubrication and Hydraulic Fluids. Lubricating and hydraulic fluid analysis is performed during acceptance for three reasons: To determine the machine mechanical wear condition; to determine the fluid condition; and to determine if the fluid has become contaminated. There is a wide variety of tests to provide information on these, usually packaged by independent testing laboratories to address all three areas. In addition to assessing the condition of the fluids at the time of equipment acceptance, these tests are necessary to provide a baseline for future RCM actions.

#### Ultrasonic Testing. Airborne ultrasonics are used by the contractor during equipment acceptance to hear noises associated with leaks, mechanical anomalies, corona discharges, and other high-frequency events. In addition to evaluating heat exchangers, ultrasonics can be used to verify boiler casing and associated piping integrity and the proper operation of steam traps.

#### Infrared Imaging. See paragraph 8.5.5.1, Infrared Imaging.

### **Electrical Systems** 

#### Infrared Imaging. Infrared thermography (IRT) is a noncontact technique used during acceptance to identify hot and cold spots in energized electrical equipment, large surface areas such as boilers and building walls, and other areas where "stand off" temperature measurement is necessary. More specifically, IRT is used to detect faulty conditions in transformers, motor control centers, switchgear, substations, switchyards, and power lines. In mechanical systems, IRT is used to identify blocked flow conditions in heat exchangers, condensers, transformer-cooling radiators, and pipes and to verify fluid levels in large containers such as fuel storage tanks. IRT is also used to identify misaligned drive belts and sheaves, drive couplings, motor bearing, and missing or bad insulation in roofs. Paragraphs 8.5.1. through 8.5.3. discuss IRT's applications specific to structural systems.

#### Power Factor Testing. Providing the optimum power factor maximizes the efficient use of electrical power. Power factor, sometimes referred to as dissipation factor, a measure of the power loss, is a dimensionless ratio that is expressed in percentage of the resistive current flowing through insulation to the total current flowing. Consequently, the power factor test is used for making routine comparisons of the condition of an insulation system and for acceptance testing to verify that the equipment was manufactured and installed properly. The test is nondestructive, and regular maintenance testing will not deteriorate or damage insulation. Its most frequent applications are with electric motors, circuit breakers, motor control centers, switchgears, and transformers.

#### Insulation Resistance Testing. An insulation resistance test is a nondestructive direct current (DC) test used during acceptance to determine the condition of the insulation of electrical systems. It indicates that the insulation under test can withstand the voltage being applied. The insulation resistance is generally accepted as a reliable indication of the presence of contamination or degradation. Its most frequent applications are with motors, switchgears, motor control centers, circuit breakers, and transformers.

#### Insulation Oil Testing. High- and medium-voltage transformers, some high- and medium-voltage breakers, and some medium-voltage switches are supplied with mineral oil as an insulation medium. Performing oil tests prior to turnover is needed to ensure that proper oil is installed, that the necessary inhibitors have been added, and to ensure that no combustible gas products are present. Further, when insulation systems are subjected to stresses, such as fault currents and overheating, combustible gas generation can change dramatically. In most cases, these stresses can be detected early on; the presence and quantity of the individual gases can be measured and the results analyzed to indicate the probable cause of generation.

#### Motor Circuit Evaluation (MCE) and Motor Circuit Analysis (MCA). MCE is used during acceptance to evaluate the condition of motor power circuits. Any impedance imbalances in a motor will result in a voltage imbalance. Voltage imbalances in turn will result in higher operating current and temperatures, which will weaken the insulation and shorten the motor's life. MCA is a method of detecting the presence of broken or cracked rotor bars or high-resistance connections in end rings. While MCA is an effective test on in-service motors, it is not generally used for acceptance testing. It is, however, normally performed at initial startup so a baseline can be established.

#### Battery Impedance Testing. As a battery ages and begins to lose capacity, its internal impedance rises. This is a parameter that can be trended, comparing the current value with the original value taken at acceptance, with previous readings, and with other identical batteries in the same battery bank. Additionally, battery impedance testing will indicate the existence of an internal short in the battery, an open circuit in the battery, and premature aging due to excessive heat or discharges. There are no set guidelines or limits for this test. Each type, style, and configuration of battery will have its own impedance, so it is important to take these measurements during acceptance to establish a baseline.

#### Airborne Ultrasonics. Deficiencies in electrical systems, such as corona discharges, loose switch connections, and internal arcing in deadfront electrical connections, can all be discovered during acceptance using ultrasonic test devices. Corona discharge is normally associated with high-voltage distribution systems and is produced as a result of a poor connection or insulation problem. The discharges generally occur at random, are the precursor to a failure, and are in the ultraviolet region and not normally detectable using thermography.

## Acceptance Data Sheet 

Acceptance data shall be recorded on a formal Acceptance Date Sheet and
provided to the Center Construction Manager as part of the facility or
equipment documentation package. A separate sheet shall be filled out
for each equipment unit being evaluated during the acceptance process
and may result in a voluminous total package. Refer to the *NASA
Reliability Centered Building and Equipment Acceptance Guide* for
Acceptance Date Sheet samples.

# Deferred Maintenance

## Introduction 

### Inadequate funding for maintenance and repair programs throughout the Federal Government has historically been a standing problem. Agencies' needs have received little sympathy from the highest levels of Government for several reasons, including the following: 

a.  There is an assumption that maintenance can always be put off for a
    month, a year, or even five years in favor of current operations
    with higher visibility and perceived as better payback on the
    investment.

b.  The Federal Government decision making authority for maintenance and
    repair programs is widely dispersed and is not structured in a
    manner that properly places accountability and responsibility for
    the care of facilities on a specific steward.

c.  The relationship of facilities to Agency missions has not been
    recognized adequately in the Federal strategic planning and
    budgeting process.

d.  Definitions and calculations of facilities-related budget items,
    methodologies for developing budgets, and accounting and reporting
    systems for tracking and repair expenditures are inconsistent. A
    concern is that inappropriate items have been included in the
    maintenance backlog to inflate the overall estimate as justification
    for a higher budget appropriation.

e.  Agencies have not satisfactorily convinced higher authority about
    the implications of deferral of funds that, when invested in
    preventive and timely maintenance, will be cost effective, protect
    the quality and functionality of the facilities, and protect the
    taxpayers' investment.

f.  All of these are indicative of the reasons why good, convincing,
    standardized, and accurate data, presented in an organized and
    meaningful way, is so important to NASA.

### This chapter discusses DM (formerly referred to as BMAR). (See also the related discussions in Chapter 4, Annual Work Plan, and on Facility Condition Assessment in Chapter 10, Facilities Maintenance Standards and Actions). DM is one of the metrics used by NASA and other Federal agencies to assess the condition of their real property assets. The trending of DM and other metrics help guide decisionmakers toward spending priorities for these assets in support of the Agency's mission. DM has become the topic of renewed interest, concern, and scrutiny within the highest levels of the Federal Government, including the U.S. Congress, the Office of Management and Budget (OMB), the Department of Defense, and the Department of the Treasury.

### Definition. DM is the total of essential, but unfunded, facilities maintenance work necessary to bring facilities and collateral equipment to the required acceptable facilities maintenance standards. It is the total work that should be accomplished but that cannot be achieved within available resources. It does not include new construction, additions, or modifications. DM does include unfunded maintenance requirements, repairs, ROI, and CoF repair projects.

### DM, when applied correctly, can be an excellent overall indicator of the condition of Center facilities and collateral equipment as a group. It reflects the cumulative effects of underfunding facilities maintenance and repair. Review of DM trends and comparison of DM with the CRV and facilities maintenance funding provide indications of the adequacy of the resources devoted to facilities maintenance.

### Accurate and complete maintenance and repair program data is critical for NASA's obtaining the budget appropriations necessary to maintain its facilities so that they operate adequately and cost effectively, their functionality and quality are preserved, and they provide a safe, healthy, productive environment for the people who work and visit them every day. Further, as the steward of the facilities under its custody, NASA, and by extension, each Center, has an obligation to the public to realistically and truthfully report its critical, unfunded maintenance requirements and its impacts on mission. The DM is one of the tools by which the overall facility conditions, unfunded requirements, and the impacts on missions are reported. It must be kept in mind that, while the DM functions to report the conditions, it has not historically resulted in consistent or specific funding to address the shortfalls in maintenance funding. Recognizing and integrating the DM into the existing funding request process will be key to the success of obtaining actual funding in reducing DM.

### With this perspective in mind, the work of communicating the funding needs for maintenance has not been completed until the DM results have been translated into funding requests, such as ROI, CoF, and program funded projects. Maintenance organizations should take an active leadership role in providing input to these various funding mechanisms. Input should include clear and concise language that defines the requirements, justifications, criticality, and urgency of these items as they relate to meeting mission and safety requirements. Through this methodology, maintenance organizations set the stage by which DM items become visible and take their proper place in the competition for funding among other construction and program needs.

## Facility Life Cycle 

### Most constructed facilities are designed to provide at least a minimum acceptable level of shelter and service for 30 years. With proper management and maintenance, buildings may perform adequately well beyond their intended design life cycle and may adapt and serve several different functions.

### The service life of a facility depends on many factors, such as the quality of the building's design, the durability of the construction materials and component systems, the incorporated technology, the location and climate, the use and intensity of use, and damage caused by human error and acts of God. These all influence how well and how quickly a facility ages and the amount of maintenance and repair it requires over its life cycle. Although a building's performance inevitably declines because of aging, wear and tear, and functional changes, its service life can be optimized through adequate and timely maintenance and repairs, as illustrated in Figure 9-1. Conversely, when maintenance and repair activities are continuously deferred, the result can be an irreversible loss of service life.

### Facilities that are functionally obsolete, are not needed to support NASA's mission, are not historically significant, and are not suitable for transfer, adaptive reuse, stand by, or mothball, should be placed on the demolition list. 

[]{#__RefHeading___Toc205396772
.anchor}![](media/image8.png){width="5.809027777777778in"
height="3.176388888888889in"}Figure 9-1 Effect of Adequate and Timely
Maintenance and Repairs\
on the Service Life of a Building (Appendix C, resource 25)

## General Principles 

To be credible, the maintenance and repair estimates should be developed
on the basis of a condition assessment of all facilities as follows:

a.  All maintenance deficiencies should be identified and cost-estimated
    based on a current facilities condition assessment that includes
    input from continuous inspections.

b.  Deficiencies that will be corrected as part of the current year AWP
    shall be subtracted from the estimates upon completion.

c.  Deficiencies in facilities that do not support the Center's
    long-term or near-term mission goals, as articulated in the master
    plan, shall be included in the estimates.

d.  The developed estimates should be reevaluated annually. This not
    only authenticates the work that continues to be deferred, but it
    also identifies work items in the estimates covering deficiencies
    that have progressed to the point where they absolutely need to be
    included in the AWP.

## National Research Council 2- to 4-Percent Guidance 

### There is no single, agreed-upon guideline that determines how much funding is required to adequately maintain facilities. However, in 1990, the NRC (Appendix C, resource 30) recommended that, "An appropriate budget allocation for routine Maintenance and Repair (M&R) for a substantial inventory of facilities will typically be in the range of 2- to 4-percent of the aggregate current replacement value of those facilities."

### Lacking an actual requirements-driven budget, the annual facilities maintenance budget should average 2- to 4-percent of CRV. (See Figure 2-1.) However, this rule of thumb applies only when the facilities have reached a steady-state maintenance condition (i.e., when the backlog has been reduced to an acceptable level). What an acceptable level is depends on the nature of the backlog and the mission of the Center. For example, a large backlog for interior painting may be acceptable, while a large backlog of roof repairs may indicate serious problems and should be reduced quickly.

### Figure 9-2 illustrates the relationship between the backlog and annual maintenance funding levels as a percentage of CRV. It shows also a method of backlog reduction. For illustrative purposes only, Figure 9-2 assumes that 3.5 percent of CRV is the optimum steady state maintenance funding level and that a backlog under 2 percent of CRV is acceptable. In this example, annual maintenance funding initially averages 2 percent of CRV, and the backlog is increasing each year. Then, baseline annual maintenance funding increases to 5 percent over a two-year period, and additional funding is programmed for backlog reduction over a six-year period. As the backlog is reduced to below 2 percent of CRV, special funding for backlog reduction decreases, but baseline maintenance funding remains at 3.5 percent. If the backlog begins to increase, maintenance funding should be increased again to reduce the backlog to below 2 percent of the CRV.

### Metrics. Evaluation of DM and other maintenance performance indicators against a baseline is discussed in paragraph 3.11, Management Indicators, and listed in Appendix G. An elimination of the DM is not always possible or desirable since DM can provide an ability to balance resources in the long term. Appendix G lists other metrics, of which DM is a factor. 

## Facilities Condition Assessment 

### Maintenance and repair requirements and equipment condition are determined and validated through the facility condition assessment process. (See Chapter 10, Facilities Maintenance Standards and Actions, for more detailed discussion.) This assessment should be conducted continuously during normal PM and PT&I inspections, observations by the facility manager or other responsible individuals, and other work order repairs. It is important for the FCA process to focus on what is really important\--mission; life, health, and safety issues; and systems most critical to a facility's performance\--in order to optimize available resources, provide timely and accurate data for formulating maintenance and repair budgets, and provide critical information for the ongoing management of facilities.

![](media/image9.jpeg){width="5.986805555555556in"
height="4.733333333333333in"}

[]{#__RefHeading___Toc205396773 .anchor}Figure 9-2 Typical DM Reduction
Funding Profile

### NASA Centers shall identify and quantify facility conditions in order to support annual and five-year work plans. The DM is the delta between the work requirements identified in the FCA and those that can be satisfied within the funding available. Adoption of the RCM philosophy, PT&I, CMMS, and proactive maintenance approaches provide Centers with information related to facility condition that was not previously available. These new information sources, coupled with increased customer and user input, have the potential to provide valuable FCA data without having to perform many of the discrete inspections required under the traditional FCA processes.

### *NPD 8831.1,* *Maintenance and Operations of Institutional and Program Facilities and Related Equipment*  requires that Centers continuously assess facility conditions to identify and quantify their DM so as to be 80-percent accurate at any time. Since a Center's facilities are in a constant state of change due to normal wear and tear, renewal tasks, and reconfiguration, the FCA process must be dynamic if an accurate estimate of a Center's condition is to be obtained. In order to facilitate this, all DM should be maintained in the Center's CMMS in a format that can be updated with the results of the continuous inspection program and with additions to and deletions from the facilities and equipment inventory. The CMMS records should identify DM by facility and classify each item as mission critical, mission support, or Center support and further classify each item by the type of system, such as roofs, HVAC systems, structures, roads, or similar systems.

# Facilities Maintenance Standards and Actions

## Introduction 

Maintenance standards provide the basic information that identifies what
portions of the facilities asset inventory receive maintenance and to
what level they are to be maintained. They also provide the benchmarks
for conducting condition assessments and estimating workload. This
chapter discusses maintenance standards in detail. Paragraph 3.12,
Management Analysis, discusses the use of metrics and benchmarking in
setting and updating maintenance standards.

## Facilities Maintenance Standards 

### Centers should use generally accepted facilities maintenance standards, as detailed in this NPR and the references contained in Appendix C, appropriate for the NASA objective of providing facilities to support safe, "world class" research and operations. The standards, which form a part of the PM programming, should be the basis for evaluating the condition of the facilities and for determining the minimum and desired material condition of facilities and collateral equipment. Centers should develop and use maintenance cycles that take into account the manufacturers' recommended maintenance, the level of local use, and environmental conditions.

### In addition to the facilities maintenance standards used to identify deficiencies not visually discernable and those outlined in Appendix C, the following types of deficiencies would be expected to be prioritized and remedied according to safety and mission-impact significance. Any of the deficiencies listed below that are not remedied in a reasonable amount of time may be indicative of a Center that does not have a proactive facilities maintenance program: 

a.  Peeling or flaking paint.

b.  Rust stains or corrosion.

c.  Stained or mildewed concrete surfaces.

d.  Leaking roofs.

e.  Leaking pump seals.

f.  Failed asphalt or concrete paving.

g.  Debris on grounds or in mechanical areas.

h.  Spalled or scaling concrete.

i.  Tripping hazards.

j.  Leaking steam traps.

k.  Stained or broken ceiling tile.

l.  Worn or broken floor tile.

m.  Painted surfaces worn through to base materials.

n.  Carpet wear paths or ripples.

o.  Electrical or mechanical equipment not meeting current codes.

p.  Unsecured or failed pipe insulation.

q.  Overheated motors or other electrical devices.

r.  Abandoned-in-place conduit, wiring, cables, piping, and other
    equipments (unless facility is to be excessed).

s.  Traffic signs and markings not meeting the *Manual on Uniform
    Traffic Control* *Devices*.

t.  Faded or illegible building signs.

u.  Leaking and nonoperational components.

v.  Broken or cracked windows.

w.  Permanent electrical extension cords.

x.  Equipment and systems operating well past life cycle.

y.  Unaddressed environmental issues, such as lead paint, asbestos, and
    PCBs.

z.  Failed foundations and structures.

a.  Outdated maintenance IT support software and hardware.

b.  Outdated building automation, fire, security, and safety systems
    configurations.

c.  Substandard PM programs.

d.  Unmetered utilities.

e.  Energy-inefficient equipment and systems.

f.  Inadequate brush clearance around buildings in fire hazard areas.

### As a general rule, Centers should have appropriate landscaping, color-coded and identified piping, efficient and reliable heating and air conditioning equipment, and other amenities suitable for facilities to support the safe, "world class" research and operations that are NASA's goal.

### Centers shall use maintenance standards, conduct periodic condition assessments of their facilities against the maintenance standards, and determine and carry out the maintenance actions required to meet the standards. In order to set the standards and accomplish these actions, maintenance support information (MSI) shall be collected. This chapter provides suggested methods to collect the MSI and then develop and implement maintenance standards, continuous inspections, condition assessments, and maintenance actions. By using the following, a facilities maintenance organization can maximize its capabilities: 

a.  Following standards.

b.  Using good planning and estimating practices.

c.  Accurately recording work accomplishment.

d.  Analyzing internal work through metrics and benchmarking.

e.  Accepting improvement changes.

## Facilities Condition Standards 

### A maintenance standard is the expected condition or degree of usefulness of a facility or equipment item. It is often a statement of the desired condition or a minimum acceptable condition beyond which the facility or equipment is unsatisfactory. Maintenance standards shall be applied not only when inspecting facilities and equipment currently on hand, but also when specifying or accepting facilities and equipment being procured or installed. 

### Recorded facility or equipment conditions may vary based on the perspective of the individual inspector. Therefore, clear, unambiguous standards are necessary to ensure that there is consistency in the inspection results obtained by the individuals performing the inspections. 

### **Types** 

#### Facilities condition standards may take many forms. The following are some examples: 

a.  Error or leakage rate.

b.  Wear (e.g., remaining tire tread).

c.  Elapsed time since last overhaul.

d.  Chemical composition.

e.  Vibration level.

f.  Availability.

g.  Maximum allowable deflection.

h.  Operating temperature.

#### The applicable standard depends on the item, its intended use, and the mission criticality or health and safety aspects of that use. Thus, identical items can have different standards when used for different applications. Maintenance standards provide benchmarks for FCAs, PT&I, PM, operator inspection, and determination of maintenance requirements.

### **Sources** 

#### There are many sources of maintenance standards, each with different force, effect, and applicability. Appendix C contains a list of publications that provide information on maintenance standards. Some cover specific types of facilities and equipment; others are more general. Common sources include the following: 

a.  Laws and regulations.

b.  Manufacturers or vendors.

c.  Trade or industry associations.

d.  Government publications.

e.  Locally developed standards.

f.  Specialized standards.

g.  Energy efficiency and reduction standards.

#### The MSI discussed in paragraph 10.9, Maintenance Support Information, contains much of the information necessary to develop the condition or performance standards for facilities and installed equipment. This information is then evaluated against legal requirements, regulations, industry standards, intended use, and mission-supporting requirements to determine the applicable maintenance standard for the item.

### **Setting Standards** 

#### **Existing Facilities** 

a.  Normal practice is to set standards while establishing a maintenance
    program for a facility or equipment item. The source of the standard
    used is that which best covers the operational use of the facility
    or equipment. Where individualized standards are necessary,
    knowledgeable operations and maintenance personnel should work
    together with reliability engineers, where applicable, to develop
    and document an appropriate standard.

b.  Care should be taken when developing a local standard. Many existing
    standards may be outdated, obsolete, and may not reflect recent
    changes in technology. Consequently, they may be inadequate,
    typically addressing only very general or minimal performance
    criteria.

c.  Paragraph 10.9, Maintenance Support Information, discusses the
    process of collecting MSI to support standards development.

#### New Facilities and Equipment. Historically, the vendor or construction/installation contractor has been the source of maintenance standards and related information (including maintenance procedures) for new facilities and equipment. An alternative is to develop facilities MSI for the new facility or equipment as part of the design process. In fact, this is one of the primary functions of a proactive maintenance program, which bases the specifications for new facilities and equipment on such maintenance-related information as facility and equipment history, reliability, and life-cycle cost data obtained from maintaining and operating the equipment and facilities being replaced.

#### **Methods of Setting Standards** 

a.  Due to the unique nature of certain NASA facilities, existing
    maintenance standards or requirements may be inappropriate. As a
    result, it may be difficult to develop a comprehensive and efficient
    maintenance plan for an individual item. In any case, however,
    standards can be researched and developed by Centers, either in
    house or by an A&E contractor, as described in paragraphs 10.4, Work
    Performance Standards, and 10.9, Maintenance Support Information.

b.  Standards should be tailored to the specific needs and missions of
    the Center. One philosophy used in setting and using standards is
    described in Chapter 7, Reliability Centered Maintenance.

## Work Performance Standards 

### Standards of work for specific tasks are necessary to plan work properly, to evaluate the quality of the work performed, and to evaluate the efficiency of the work control process. This is particularly important in the case of maintenance work because most of the work orders are relatively small compared to major repair work. Additionally, the jobs are normally spread out over a large area. When uncontrolled, typical maintenance work can involve an extensive amount of travel time as compared with work performance time. Repetitive jobs, in particular, should be evaluated with respect to applicable standards and reviewed for possible improvements in efficiency. 

### Preventive maintenance is a primary example of repetitive work, typically with similar tasks performed on many items of equipment in many different locations. A well-designed PM program incorporates standard time estimates. Actual performance times are recorded for subsequent evaluation and for reference when planning and scheduling future PM cycles. A facilities maintenance manager can evaluate the effectiveness of a PM crew by the amount of time expended on a job versus the standard time. Further, the manager can look for trends as explained in Chapter 3, Facilities Maintenance Management. 

### **Maintenance Work Standards** 

#### The construction industry has developed work standards primarily for cost estimating. Commercial bids are tracked, and the associated cost and time estimates are analyzed and used to publish construction industry standards. Some of these construction cost and time standards can be applied to maintenance work, principally to larger projects such as the replacement of major items.

#### This data is updated and published annually for use in estimating, budgeting, and planning maintenance work on a per-project or annual basis. These publications cover areas such as maintenance and repair task, time, and cost data; PM task, time and cost data; equipment rental costs; city cost indexes; historical cost indexes; audit information; and life-cycle costing. These standardized task descriptions, times, and costs are developed for both in-house workforces and contractor operations. This or similar data can be used along with local data to develop initial maintenance work orders that can be updated with experience. (See Appendix C for a list of these publications.)

### **Engineered Performance Standards** 

#### Engineered performance standards (EPS) are a comprehensive tool for planning and estimating facilities maintenance and related facilities work. They provide methodology and a series of standard maintenance tasks and task times, which are combined to develop a work order plan and work order estimate. The system builds the estimate by aggregating the incremental times for tasks and adding time allowances for setup, cleanup, travel time, and local factors. EPS can be applied manually or by computer.

#### The work order plans and estimates that the EPS produces are consistent and repeatable, and, thus provide good benchmarks for planning work and evaluating performance. EPS estimates are based on average crafts personnel working with proper tools under average conditions. A well-qualified crew will beat the EPS estimate consistently, and an inexperienced crew is likely to lag the EPS estimate.

#### Publications are available to provide detailed EPS guides. (See Appendix C for a list of those publications.) A computerized version of EPS is also available.

### Local Standards. Local experience documented in maintenance history files is a valuable source of information for work order planning and estimating and may be used as a basis for standards. However, actual maintenance tasks and performance times for past work should be spot checked against standards to ensure that the times are reasonable and work practices are efficient, effective, and in line with current codes, standards, and technology. A major value of a CMMS is to provide completed work information to validate the appropriateness of the standards used and to help tailor them to local conditions.

### Other Standards. A variety of facilities cost estimating standards is available. Many are focused on new construction, renovation, or facilities repair tasks. However, they can be useful in estimating maintenance work, especially work that is similar to construction, provided adjustments are made for job scope. One example of this is SPECSINTACT, as managed by the Director, Facilities Engineering and Real Property Division, NASA Headquarters.

### Reliability Centered Maintenance. Critical to RCM are the design, construction, acceptance, and performance standards associated with equipment and the various PT&I technologies. Chapter 7, Reliability Centered Maintenance, in this guide, the *NASA Facilities RCM Guide*, and the *NASA Facilities and Equipment Acceptance Guide* all discuss standards in detail and provide acceptable ranges for performance. Equipment approaching the limits of or operating outside of the acceptable range are candidates for remedial action.

### Reliability Centered Building and Equipment Acceptance. Centers shall employ equipment acceptance standards, an element of the facility and equipment acceptance process, and noninvasive diagnostic tests that verify systems and equipment condition and installation prior to the exit of the installing contractor from the job site. The purpose of the standards and testing is to verify that the system performs according to design intent with no latent manufacturing or installation defects. It is less costly to maintain and meets the required operational efficiencies. Facilities and equipment commissioning and acceptance is discussed in Chapter 8, Reliability Centered Building and Equipment Acceptance.

### Failure Modes and Effects Analysis. The *NASA Reliability Centered Maintenance Guide for Facilities and Collateral Equipment* discusses the use of Failure Modes and Effects Analysis (FMEA) to identify the multiple failure modes associated with every function within a facility system, subsystem, or component. Effects of these failures may be used to determine the maintenance standards required to address the criticality of the system, subsystem, or component.

## Continuous Inspection 

### Inspections are the cornerstone of facilities maintenance management. They identify needed maintenance work, provide feedback on the effectiveness of the facilities maintenance program, and form the basis for changes to the program. NASA Centers should continuously assess facility conditions in a manner that results in the identification and quantification (in terms of dollars) of the repair needs that will address the deferred maintenance. 

### **General Inspection Requirements** 

#### During an inspection, if the inspector uncovers unsafe conditions, the inspector shall notify the individual in charge of the operation and determine whether people and/or property are in imminent danger. If so, there should be a strong consideration by the operator to cease operations until corrective action is taken. The Center's safety office shall be notified of the situation as soon as possible. 

#### Safety is recognized as a leading value in the maintenance process and, therefore, an important part of the inspection program. Facility and equipment deficiencies identified in the continuous inspection program will be evaluated for failure and failure consequences (risk assessment) to identify safety impacts. 

#### Centers should develop a procedure for performing and documenting risk assessments of deficiencies identified in the continuous inspection program, for notifying the Center's safety office of any safety deficiencies, and for ensuring that the deficiencies are made safe.

### Inspection Types. A Center's continuous inspection program should include the following: 

#### Predictive Testing & Inspection. PT&I uses advanced technology to sense building, electrical equipment, and machinery operating characteristics, such as vibration spectra, temperature, noise, and pressure and to compare the measured values of these characteristics with historical data or other preestablished criteria to assess the items' conditions. PT&I permits condition-based rather than time-based initiation of the maintenance effort to correct any problems identified. Evaluation of the PT&I data can be used to project future maintenance requirements for inclusion in the AWP or Five-Year Plan. See Chapter 7, Reliability Centered Maintenance, for additional information about PT&I.

#### Preventive Maintenance. Inspections are a major part of preventive maintenance and are performed on a time- or other interval-based schedule, normally using prespecified checklist items. These inspections may include minor adjustments and minor repairs (no larger in scope than TCs) of equipment included in a PM program. The inspection results should include a condition assessment documented in the Center's CMMS for use in projecting future maintenance requirements. PMs typically cover untended equipment.

#### Operator Inspections. Operator inspections are the examinations, lubrication, minor repairs (no larger in scope than TCs), and adjustments of equipment and systems that have an operator assigned. Typically, they apply to equipment or systems such as those in a central utility plant. Operators should provide condition assessments for documentation in the CMMS.

#### Facility Manager/Management Inspection. Periodic inspections should be performed by the Facility Manager. These inspections should include common spaces, hallways, equipment rooms, roofs, grounds, and other areas not covered by individual facility users. Users of private spaces, such as offices, should be evaluated as described in paragraph 10.5.3.5, Facility User/Occupant Inspection. The facility manager should document the facility condition on, at least, a semiannual basis.

#### Facility User/Occupant Inspection. The facility user should be surveyed on a semiannual basis. The user's inspection input could be reported on a form such as the one shown in Figure 10-1. This is in addition to the facility manager's inspection. Figure 10-2 should be printed back-to-back with the Figure 10-1 form to ensure that the facility user's input can be coded into the CMMS for data integration and analysis.

[]{#__RefHeading___Toc205396774 .anchor}Figure 10-1 Facility User
Inspection

Circle a number from the two furthest-left columns to identify which
item failed.

Circle a letter from the right column to identify how item failed.

**Which Equipment?**

**[PLUMBING]{.underline} [HVAC]{.underline}**

(1--15) (20--25)

1\. Urinal 20. Control

2\. Toilet 21. Thermostat

3\. Water line 22. Filters

4\. Valve 23. Duct

5\. Faucet 24. Refrigerant

6\. Fuel line 25. Steam Trap

7\. Sewer

8\. Steam **[BUILDING TRADES]{.underline}**

9\. Storm (40--61)

10\. Natural Gas line 40. Door

11\. Fire Sprinkler 41. Window

12\. Irrigation 42. Hinge

13\. Heater 43. Lock

14\. Pump 44. Handle/Knob

15\. Container 45. Push/pull gate

46\. Stops

**[ELECTRICAL]{.underline}** 47. Glass

(70--83) 48. Closures

70\. Switch 49. Ceiling/floor tiles

71\. Outlet 50. Carpet

72\. Panel 51. Partitions

73\. Fixture 52. Ext. Bldg.Struct.

74\. Light (lamp) 53. Signs

75\. Ballast 54. Asphalt

76\. Battery 55. Concrete

77\. Wiring 56. Fencing

78\. Breaker 57. Curbs

79\. Conduit 58. Shop equipment

80\. Timer 59. Steps

81\. Cords 60. Wall

82\. Transformer (isol.) 61. Vehicle equip.

83\. Other

Specify

[]{#__RefHeading___Toc205396775 .anchor}Figure 10-2
Equipment/Discrepancy Classification Form

### Inventory. The facilities and equipment inventory is the baseline for what is inspected and maintained. The inventory should permit identifying inspected items, items subject to PM inspection, and items subject to operator inspection. Chapter 3, Facilities Maintenance Management, discusses facilities and equipment inventories.

### **Frequency of Inspection** 

#### As the name implies, continuous inspections should be ongoing, with all facilities and equipment inspected periodically. The frequency of inspection depends on a number of factors, including the following: 

a.  Importance of the facility.

b.  Legal or regulatory requirements.

c.  Likelihood of condition changes since the last inspection.

d.  Safety considerations.

e.  Availability of inspection resources.

#### Table 10-1 provides suggested inspection intervals for a number of facilities and systems. These apply to facilities and equipment under average conditions supporting routine operations. Centers should adjust the frequencies to suit local conditions, regulatory requirements, known equipment conditions as a result of PM and PT&I, operational requirements, and user inputs.

### Inspection Procedures. Preparing for and conducting an inspection involves many of the following steps, some of which may not apply in the case of PM inspections and operator inspections: 

a.  Identify the items to be inspected, based on the inventory.

b.  Obtain the facility or equipment history. This includes information
    on completed and pending work orders, as well as the results of past
    inspections and the current use of the facility or equipment.

c.  Review the applicable physical condition standards with a view
    toward the planned use of the facility or equipment. (Facilities or
    equipment scheduled for disposal or deactivation normally will have
    lower maintenance standards.)

d.  Identify planned changes to the configuration and use of the
    facility or equipment.

e.  Identify the inspector skills, specialized tools, and equipment
    required for the inspection.

f.  Schedule the inspection and set the inspection route, considering
    the operational requirement for the facility, the availability of
    inspectors, and related factors. Factors such as safety
    certification requirements, mission criticality, observed rate of
    deterioration or condition change, and system availability determine
    inspection schedules and frequency.

g.  Conduct the field inspection and document the conditions found,
    includes noting of appropriate asset identification (ID) tags. The
    documentation should be a clear and concise presentation of the
    conditions found and permit determining and estimating corrective
    action. (Serious and safety-related deficiencies shall be entered
    into the work control system for immediate action.)

[]{#__RefHeading___Toc205396907 .anchor}Table 10-1 Suggested Inspection
Intervals under Routine Operations and Average Conditions

### Inspection Followup. The following actions are normally taken with regard to deficiencies found during an inspection: 

#### Reporting Conditions and Recommendations. Inspections are intended to be used for determining and initiating corrective action. Therefore, it is important that problems be reported and a recommended corrective action be submitted to cognizant facilities maintenance managers for decisions on corrective action. The following are a range of corrective actions: 

a.  Issuing work orders.

b.  Expanding the types and increasing the frequencies of PT&I tests to
    allow for closer monitoring of the problem. Tag or retag assets with
    appropriate ID tags.

c.  Including corrective action in the AWP or Five-Year Plan.

d.  Preparing a facility project.

e.  Modifying maintenance standards or actions.

f.  Including the deficiency as part of the DM.

g.  A combination of the above.

#### Estimating Corrective Actions. The cost estimate associated with an inspection report typically is a scoping estimate. However, repair work orders normally require a detailed estimate. All of the information obtained during the identifying and estimating process should be documented, including any impact on the customer. All information is then entered into the work control process for further determination of prioritization, approval or deferral, and scheduling for accomplishment, as discussed in Chapter 5, Facilities Maintenance Program Execution.

## Facilities Condition Assessment 

### NASA Centers shall identify and quantify facility conditions to support Annual and Five-Year Work Plans. The FCA is the method by which the Centers meet this obligation. Traditional methods of FCA have proven costly and, historically, have diverted money from needed maintenance. However, adoption of the RCM philosophy, PT&I, CMMS, and proactive maintenance approaches provide Centers with information related to a facility condition that was not previously available. These new information sources, coupled with increased customer and user input, have the potential to provide valuable FCA data without having to perform many of the discrete inspections required under the traditional FCA processes. Any facility and equipment deficiencies identified in the FCA will be evaluated for failure and failure consequences (risk assessment) to identify safety impacts. When the evaluation identifies a safety impact (hazard to personnel or NASA property) the Center's safety office shall be notified, and appropriate action shall be taken to alleviate the hazard. In addition to safety deficiencies, appropriate followup action shall be taken to correct any other deficiencies identified.

### NASA Headquarters also requires adequate FCA information to ensure its proper stewardship over facilities entrusted to NASA, as well as to assist the Agency senior management and higher authorities (Congress, OMB) in projecting facilities' budgetary needs relative to NASA's mission.

### A third use of the FCA process is as a tool to evaluate contractor performance under a performance-based contract. While the FCA cannot address all aspects of the contractor's performance, it can be used to ascertain the direction in which the Center is headed. For example, an increase in the number of equipment units in a PT&I alarm condition and/or an increase in the normalized TC rate may be leading indicators of a degrading condition for specific facilities, systems, and equipment.

### *NPD 8831.1, Maintenance and Operations of Institutional and Program Facilities and Related Equipment,* requires that Centers continuously assess facility conditions to identify and quantify their DM so as to be 80-percent accurate at any time. This includes electrical, mechanical, and utility systems; buildings; roads; and grounds. FCAs are inspections and evaluation of data to ascertain condition only and do not include such maintenance actions as adjustments, lubrication, or repair. Since a Center's facilities are in a constant state of change due to normal wear and tear, renewal tasks, and reconfiguration, the FCA process must be dynamic if an accurate estimate of a Center's condition is to be obtained.

### Following the general philosophy of maintaining reliable performance at the least cost, the FCA process should be more heavily weighted towards system function and customer (facility user), than on age and appearance. Further, the process should not be labor intensive and should be at the least cost. To meet these requirements, Centers should utilize all of the inspection techniques listed in paragraph 10.5, Continuous Inspection, as appropriate, along with their CMMS databases. Maintaining strict database management and accuracy is essential if a real-time FCA process is to exist. The assessment should determine the condition or operational status of each item of equipment or facility as compared to a predetermined facilities condition baseline. Appropriate followup action should be taken to correct any deficiencies identified to include them in the AWP and to update the Center's DM and ROI records and the Five-Year Plan.

### Facility Classification. A consistent facilities-type classification process should be used that allows like facilities to be compared to one another statistically and financially. All facilities shall be classified into one of the following: 

a.  Office.

b.  R&D Facility.

c.  Computer (Special Purpose) Facility.

d.  Hangar/Aircraft Support.

e.  Production Facility.

f.  Non-Buildings (Trailers, temporary structures, air- or
    tension-supported facilities).

g.  Laboratories.

h.  Central Utility/Power Plant Facilities.

i.  Utility Distribution Systems.

j.  Roads and Grounds.

k.  Other Miscellaneous Facilities.

### Facility Criticality. Facility and infrastructure criticality is defined in terms of safety, impact on the mission, impact on the Center, and other categories listed in Table 10-2. Single points of failure---equipment that, when it fails, causes the entire system to fail---should also be considered. 

[]{#__RefHeading___Toc205396908 .anchor}

Table 10-2 Criticality Selection Criteria

  ----------------- --------------------------------------------------------
  **Criticality**   **Criteria**

  1\.               Environment, health, safety impact with a single point
                    of failure.

  2\.               Mission impact, single point of failure.

  3\.               Environment, health, safety impact, multiple failures
                    required.

  4\.               Mission impact, multiple failures required.

  5\.               Center impact (nonmission).

  6\.               Significant economic consequences.

  7\.               Employee morale.

  8\.               Public relations.
  ----------------- --------------------------------------------------------

### FCA Process Model. Figure 10-3 is a sample basic model for Centers to use in establishing an FCA program. CMMS data, statistical analysis, facility user, and Facility Manager input should be used in conjunction with the TC, PM, and PT&I databases.

### **FCA Analysis** 

#### Use of CMMS Data. The assessment should use CMMS data as an integrated part of its evaluation. The data can be analyzed statistically and searched for patterns or clusters that indicate changes in the condition of facilities and equipment, provided that the CMMS has been populated with accurate and complete data. For maximum benefit to the FCA analysis, the CMMS should have data in the fields as shown on the following flow chart:

#### ![](media/image10.png){width="5.979166666666667in" height="5.319444444444445in"} {#section-3 .unnumbered}

[]{#__RefHeading___Toc205396776 .anchor}Figure 10-3 Sample FCA Process
Model

a.  Condition codes.

b.  Failure codes.

c.  Cost data (labor and material).

d.  Facility type.

e.  System criticality.

f.  Functionality.

g.  Age of the equipment.

h.  Parts availability.

i.  Repair history.

j.  Serviceability.

k.  Energy efficiency.

#### Statistical Analysis of CMMS Data. The data should be normalized by, among other things, the type of facility, square footage and the number of occupants, and the normal and standard deviations determined and trended over time. The trend line ideally should have a negative slope, indicating an improved condition. 

#### Analysis of Energy Management and Control System Data. EMCS data should be analyzed as part of the FCA process to determine energy efficiency/consumption changes, which may indicate a deteriorating equipment or system condition that requires O&M action. (See Appendix C, resource 6.)

## Maintenance Work Actions 

Maintenance actions are the specific work tasks performed by the
maintenance workers. These actions are the basis for work orders,
workforce scheduling, and preparing budget estimates and work plans.
Maintenance actions used in work orders are normally detailed, covering
task specifics, while actions used for budgeting and long-range planning
are more often generic or statistically derived.

## Center Appearance and Grounds Care 

### Standards. Facilities design, colors, facades, and landscaping should fit in with other external architectural features, including signage, traffic flow, and visual and acoustic barriers. The resultant system should blend with local community standards and decor and properly represent NASA to the public. Where possible, the plan should emphasize low-maintenance features. Specific design guidelines are beyond the scope of this NPR. Facilities master plans often include landscaping plans, standards, and guidelines prepared by landscape architects. Landscape plans should include recommended maintenance actions. Facilities maintenance planning, including inspections and recurring maintenance, should ensure that facilities and grounds appearance represent NASA's best interests.

### Grounds Care Guidelines. A large number of resources are available for obtaining guidelines for grounds care. These include Government publications, local agricultural extension services, trade and industry publications, and commercial grounds care services. Grounds maintenance plans should conform with the Center's master plan and have the support and approval of senior Center managers. Grounds care frequently involves using controlled chemicals, such as pesticides and herbicides, fertilizers, and other materials with potentially adverse environmental impacts. All work plans shall include appropriate environmental and safety requirements.

#### **Maintenance Levels** 

a.  Based on land use, frequency of visitation, and visibility, Centers
    may wish to vary the quality (and cost) of grounds maintenance
    services specified for different parts of the Center. The following
    four levels are suggested:

```{=html}
<!-- -->
```
1.  Level I - Administrative areas.

2.  Level II - Industrial, warehouse areas.

3.  Level III - Open storage, waterfront areas.

Level IV - Railroad and power line rights-of-way.

b.  Each maintenance level contains a distinctive mix of service
    requirements.

c.  The service quality decreases as the maintenance level increases
    (e.g., grass cutting weekly in Level 1, every two weeks in Level II,
    monthly in Level III, and quarterly in Level IV (sufficient to
    reduce the fire hazard)).

#### Level of Service. There are three methods of specifying the level of grounds care maintenance: Frequencies, standards, and outcomes. Grounds care contract experience over many years at different locations has shown that specifying frequencies is preferable to specifying standards. Frequencies are easy to plan, schedule, enforce, and estimate costs. Grounds Care standards such as grass height or shrubbery appearance are difficult to estimate and enforce. Specifying outcomes, such as "lawns shall be green and well maintained at all times" is highly subjective and reliant on the contractor's proposed plan as part of the selection criteria, but is used with increasing frequency with outcome-based contracts.

#### Performance Requirements Summary. Grounds care contracts should contain a performance requirements summary in simple tabular form. Table 10-3 is a sample of a performance requirements summary. Chapter 12, Contract Support, discusses grounds maintenance and other performance and outcome-type contracts in greater detail. 

## Maintenance Support Information 

### Gathering MSI is a process of collecting life-cycle maintenance information on facilities and equipment. Table 10-4 is a list of typical MSIs. Some may not apply in all cases. This table provides a basis for an MSI checklist. 

### Historically, collecting, documenting, organizing, and maintaining facilities and collateral equipment MSI has been difficult. Modern CMMSs can be used to perform most of these functions automatically. 

[]{#__RefHeading___Toc205396909 .anchor}Table 10-3 Sample Grounds Care
Performance Requirements Summary

[]{#__RefHeading___Toc205396910 .anchor}Table 10-4 Typical Maintenance
Support Information

###  **Maintenance Support Information Library** 

#### NASA facilities are aging, and there is a reduction in the frequency of replacement. Therefore, more attention must be given to maintaining existing facilities effectively and to collecting and recording MSI for those facilities. This requires a managed maintenance library system. Maintenance documentation becomes more valuable as facilities age. The library control procedures in the maintenance organization shall ensure that MSI documents are identified, cataloged, and maintained so that they are available during the entire life cycle of the facilities and equipment. All documents and records should be filed and retained in accordance with guidance provided in *NPR 1441.1, NASA Records Retention Schedules*.

#### The MSI library can be dispersed if it is controlled and periodically inventoried. The library is most useful when it is readily available to the personnel who need the information and can obtain it without undue effort. In the long term, this information will improve the effectiveness of the total maintenance operation. As MSI is incorporated into the CMMS, more of the maintenance personnel in the shop areas have access to the information, and necessary control is afforded by the CMMS itself.

#### MSI control is particularly important during the turnover of maintenance operations between contractors or from in-house to contractor operation. MSI that is considered unimportant during a transition period may become vital when an item of equipment starts to fail.

#### For new facilities and equipment, the vendor or construction contractor frequently provides MSI. However, it often is not in a form or in an amount sufficient to meet facilities maintenance needs. Further, personnel are not always available to develop facilities maintenance standards and procedures based on vendor- or contractor-provided information. Training provided by the contractor or vendor may or may not be adequate.

### **Policy** 

#### *NPR 8820.2, Facility Project Requirements*, makes provisions for obtaining MSI as part of the facilities project preparation and implementation process.

#### Paragraph 10.9.3, Maintenance Support Information Library, discusses the library and the need for having all existing MSI documents under library control. The following paragraphs address obtaining MSI for new facilities as part of the design process. Similar procedures can be used to obtain an A&E to gather information for existing facilities.

### **Planning** 

#### Identifying MSI should be an integral part of the planning process for new facilities. Its cost should be included in budget estimates for project design. MSI should be a deliverable prepared by the A&E designer. MSI should be due when the facility is nearing completion, prior to beneficial occupancy. In this way, maintenance requirements should receive full consideration in the design process. This should result in a more easily maintained facility with full maintenance data and systems support at the time of occupancy.

#### Where the Center lacks adequate MSI for existing facilities, especially mission-critical facilities, use of an engineering services contract to gather MSI is recommended. This contract may be combined with a condition assessment or inventory contract or handled as a separate contract solely for MSI.

### **Procedures** 

While the management of A&E contracts may fall outside the
responsibility of the facilities maintenance organization, the
facilities maintenance organization should take an active role in
developing MSI requirements. The following paragraphs describe a typical
approach to the development of MSI and the organizations responsible for
the necessary actions.

#### Center Responsibility. The Center is responsible for the following: 

a.  Determining whether a new or existing facility or equipment requires
    MSI and budgeting for the acquisition of MSI.

b.  Including a requirement for MSI in an appropriate contract (i.e., in
    the A&E's design scope of work for a new facility, as part of the
    scope of work for an engineering services contract for condition
    assessment or inventory, or as the scope of work solely for MSI
    development). This includes determining the level of MSI detail,
    submission form, and formats required from the contractor.

#### Joint Center and Contractor Responsibility. The Center and the contractor should work together to identify items that require MSI.

#### Contractor Responsibility. The A&E contractor may be tasked to provide any or all of the following items: 

a.  For new facilities or collateral equipment, specifying the MSI
    required from the construction, equipment installation, supply
    contractor, or equipment vendor as follows:

```{=html}
<!-- -->
```
1.  For existing facilities or collateral equipment, obtaining the
    information directly from the manufacturers or vendors of the
    existing facilities and equipment.

2.  Integrating the contractor-furnished information with the facility
    design features and using the facility data (including Center
    operational requirements) to update the facility and equipment
    inventory and to document appropriate maintenance standards and
    procedures.

3.  Assembling the MSI into the required deliverable formats.

```{=html}
<!-- -->
```
b.  If any of these items are required, the requirements documents (and
    resultant contract) shall reflect the project needs and deliverables
    accordingly.

### **Deliverables**

### The deliverables required by the MSI specifications may take several forms. In the past, hard copies of manuals, drawings, and maintenance procedures have been the most common deliverables required. However, other formats are possible. Where automated inventory and maintenance management systems are in use, the MSI acquisition should include uploading the MSI into the CMMS. Deliverables should be in computer-readable formats, including computer-aided design and drafting (CADD) and GIS drawings. MSI specifications should call for linkages between drawings, drawing components, and CMMS databases where appropriate.  {#the-deliverables-required-by-the-msi-specifications-may-take-several-forms.-in-the-past-hard-copies-of-manuals-drawings-and-maintenance-procedures-have-been-the-most-common-deliverables-required.-however-other-formats-are-possible.-where-automated-inventory-and-maintenance-management-systems-are-in-use-the-msi-acquisition-should-include-uploading-the-msi-into-the-cmms.-deliverables-should-be-in-computer-readable-formats-including-computer-aided-design-and-drafting-cadd-and-gis-drawings.-msi-specifications-should-call-for-linkages-between-drawings-drawing-components-and-cmms-databases-where-appropriate. .unnumbered}

# Utilities Management

## Introduction 

11.1.1 This chapter provides guidance for utilities planning and
management and describes the concepts and philosophy for the O&M of
central and satellite utility plants, such as central heating plants,
central chilled water (chiller) plants, air compressor plants, and water
and wastewater treatment plants. These central utility plants are
normally operated and maintained by a Center's facilities maintenance
organization.

#### 11.1.2 Current policies affecting the planning and management of utilities are: *NPR 8570.1, Energy Efficiency and Water Conservation; NPR 8553.1, NASA Environmental Management System (EMS)*; *Energy Policy Act (EPAct) 2005*; and *Executive Order 13423, Strengthening Federal Environmental, Energy, and Transportation Management*. Comprehensive planning and management of utilities are essential for securing adequate and cost-effective supplies of current and expected needs of electricity, natural gas, steam, water, and wastewater treatment for NASA. The intent is to secure the most reliable utility services at the lowest cost consistent with NASA's mission, environmental standards, and waste reduction. The utilities are required to support various energy-consuming systems at NASA facilities. Some of the primary energy-consuming systems commonly found at NASA facilities include the following:  {#current-policies-affecting-the-planning-and-management-of-utilities-are-npr-8570.1-energy-efficiency-and-water-conservation-npr-8553.1-nasa-environmental-management-system-ems-energy-policy-act-epact-2005-and-executive-order-13423-strengthening-federal-environmental-energy-and-transportation-management.-comprehensive-planning-and-management-of-utilities-are-essential-for-securing-adequate-and-cost-effective-supplies-of-current-and-expected-needs-of-electricity-natural-gas-steam-water-and-wastewater-treatment-for-nasa.-the-intent-is-to-secure-the-most-reliable-utility-services-at-the-lowest-cost-consistent-with-nasas-mission-environmental-standards-and-waste-reduction.-the-utilities-are-required-to-support-various-energy-consuming-systems-at-nasa-facilities.-some-of-the-primary-energy-consuming-systems-commonly-found-at-nasa-facilities-include-the-following .unnumbered}

a.  Heating and power plants.

b.  Steam distribution systems.

c.  Hot water and chilled water distribution systems.

d.  Electrical distribution systems.

e.  Compressed-air distribution systems.

f.  Wind tunnels.

## Planning and Management 

### While existing utility requirements are satisfied, future growth, as well as emergency situations, should be anticipated and properly planned for. Factors to consider are the future needs of the utilities and system capabilities, potential threats to existing services, alternative solutions to ensure adequate future supply, and finding and developing new sources of the energy products. Where necessary, utility systems upgrades should be implemented where new sources have not been identified. Utility planning and management instituted to promote system efficiency should also include emergency preparedness. 

### At the Center level, utilities management has the following major functions: 

a.  System development. System development is directed toward the design
    or planned improvement of generation, distribution, and collection
    facilities to achieve efficient and economical system operation.
    Inherent in system development is the evaluation of alternatives,
    such as the types of energy to be used, centralized versus
    decentralized systems, and the means to acquire utility services.

b.  Operations and distribution. Operations and distribution are
    directed toward maximizing the efficiency of production,
    distribution, and collection equipment using minimum labor and
    materials.

c.  Inspection and maintenance. Inspection and maintenance are directed
    toward minimizing cost and system downtime while ensuring safety.

d.  Usage control. Usage control is directed toward minimizing waste.

#### In addition to ensuring adequate, reliable, and cost-effective utility services, proper utilities planning and management requires attention to such external factors as privatization initiatives, electric utility deregulation, utility purchasing options, and the future of demand-side management.

#### Utilities and central plants should normally be interfaced and controlled with modern building automation systems (BAS) or energy management and control systems (EMCS) for control technology. This will allow for modern energy efficient control, visibility, monitoring, trending, and metering. Interface of these larger systems with modern controls technology is necessary in order to optimize both energy and maintenance efficiency through use of trending, utility-use tracking, load-shedding planning, and establishing baselines for future equipment modeling and cost analyses. Proper interface of these technologies will greatly enhance the possibility of cost-saving measures such as peak shaving and possible energy-saving performance contracts.

### **Privatization** 

#### The privatization of utility functions is the transfer of in-house operations to private entities. Privatization can be executed by outsourcing or by asset sale. Outsourcing is contracting services through a competitive bidding process, while maintaining financial, management, and policy control over the services. Asset sale is the transfer of ownership to the private sector, where the Government has no role in the oversight of the sold assets (see Appendix C, resource 22). The goal of privatization is to achieve savings resulting from the introduction of new technologies, increased worker productivity, and improved operating efficiencies. The following factors will greatly reduce the risk in privatization: 

a.  Clear need and demand for service.

b.  Visible total cost of in-house service.

c.  Capability to provide oversight of and monitor the effectiveness of
    contractors.

d.  Local control of decision to privatize.

e.  Clearly defined goods and services.

f.  Ability to define acceptable quality in measurable terms.

g.  Flexibility to balance cost and quality.

h.  Competitive markets.

11.2.3.2. The focus of many privatization efforts is to achieve a high
level of reliability while optimizing in-house resources. In-house
expertise must be maintained in order to facilitate contractor
relations. Careful communication and planning with personnel are
imperative when it comes to alleviating the perceived threat of
contracted services. The best available in-house skills are needed to
establish contractor accountability and review performance evaluations.
The benefit of privatization is that the burden of daily operations is
transferred to the contractor who has greater flexibility to hire the
necessary expertise and implement technology on an as-needed basis,
thereby optimizing resources.

### **Fuel Source Planning** 

#### Dual-fuel capability is any technology that provides the ability to switch from one fuel source to another for generating energy, thus reducing dependence on any one source of supply. A facility with dual capability can switch relatively easily and quickly to a second fuel if the first fuel is either unavailable or more expensive per delivered BTUs than the second fuel. Field installations should pursue alternative energy sources and identifying candidate projects. For many NASA Centers, the most feasible of these is natural gas conversion, but other possibilities, as diverse as refuse-fired steam plants or geothermal heat exist. The benefits of such initiatives include reduced susceptibility to petroleum market forces, less pollutant emissions, and possible reduction in facility maintenance requirements. Expansion of natural gas usage could allow replacement of high-energy-consuming electrical equipment and appliances with gas-fired units.

#### The main practical application of dual-fuel capability is to support the purchase of natural gas on the "spot" market---an alternative contracting mechanism for purchasing natural gas. The spot market refers to the purchase of gas from the producer rather than the local gas utility. The end user can make spot purchases either directly from the producer or indirectly via a gas marketer. Spot market transactions are usually short-term, "interruptible" purchases. Interruptible deliveries can be interrupted by any one of a number of contingencies: unusually cold weather, producer shutdowns, and/or a temporary lack of pipeline capacity.

#### Short-term interruptible contracts make supplies less certain. In addition, while spot market gas is normally cheaper than gas purchased under long-term contracts, prices can increase more quickly. Both possibilities make dual-fuel capability almost essential when purchasing spot gas. When natural gas is unavailable or undergoes a rapid escalation in price, a facility can switch dual-fuel boilers relatively quickly to burn fuel oil instead. Such a facility can then switch back to natural gas when it becomes available and affordable. Some local distributors will reduce the price of their natural gas if the field installation agrees to switch to an alternative fuel during a time when capacity has been curtailed. Such an arrangement can result in savings for both the local distribution company and the field installation.

#### The spot market for natural gas expanded dramatically when the Natural Gas Policy Act (NGPA) of 1978 deregulated the market. All field installations with the potential for participation in wholesale natural gas contracting may participate in the central procurement program offered by the Defense Logistics Agency (DLA). Field installations interested in taking advantage of the potential cost savings available in the spot market for natural gas should contact the Defense Energy Support Center (DESC) for information about their Competitive Direct Supply Natural Gas Program.[^1] The GSA National Center for Utilities Management also provides contracting support to Federal agencies.

### **Electric Utility Deregulation National Status** 

#### Electricity competition in the United States is continuing to reshape the electric utility business. Historically, electric utilities have been vertically integrated utilities regulated by state Public Service Commissions (PSC), which are also known as Public Utility Commissions (PUC). The commissions have allowed the utilities to operate as natural monopolies within defined geographic boundaries. The typical electric customer purchased power in a packaged deal---electricity production, transmission and distribution, metering, billing, and special services. The transmission and distribution services will continue under the regulatory guidelines set forth by the PUC.

#### The functional operations of a utility will not change. However, the power generation, and energy services will be contracted in a nonregulated environment that fosters competition. The Federal Government has shared the responsibility of implementation to the states since each state has different operational concerns in electric service. In some states, the authority to implement retail competition, be it the state legislature or the PUC, has not been clearly defined.

### NASA Host State Electric Utility Deregulation Update. Various aspects of electric utility economics functions are being scrutinized by individual states as the Nation transitions into a competitive electric power market. States that have been the most aggressive in passing laws and implementing open-access transmission on the retail level are those states where the average cost of electricity is 20- to 60-percent above the national average. Contact information regarding the electric utility deregulation status for each NASA host state can be found in Appendix C.

### Utility Purchasing Options. Many different utility purchasing options exist. However, the purchase process has become more complex due to utility deregulation. Being aware of energy utilization enables our understanding of rate applicability and appropriateness. 

#### **Rate Structures** 

a.  Utility providers design rate structures that capture the cost of
    production and delivery of the commodity. The components of the rate
    structure vary depending on the volume, time of use, and customer
    size. The price mechanisms used to set rate structures include the
    cost for capital investment, service delivery, operating expenses,
    pollution control, and environmental and social externalities.

b.  Rate structures imposed usually reflect consumption patterns and
    users. Most electric utilities offer one of the four following
    models as follows:

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1.  General rate structures are geared toward users with low-consumption
    volume that is variable and difficult to forecast.

2.  Stable-volume rate structures are for users with predictable loads
    and minimum time-of-use or seasonal variation.

3.  Interruptible rates are for users with alternative power supplies.
    At the request of the utility supplier, service may be interrupted
    or curtailed for a limited period during the supplier's peak. The
    user can receive credit for helping to relieve the supplier's burden
    of peak supply.

4.  Modular rates are for users whose consumption is difficult to
    forecast. Typically, consumption is sufficiently high to qualify for
    these rates.

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c.  Within the rate structures mentioned, price components may vary
    depending on mechanisms imposed or negotiated. Bill components may
    include the basic customer service charge, energy-use charge,
    energy-demand charge, taxes, and environmental-compliance recovery.
    High-consumption users can take advantage of other pricing
    mechanisms that may yield alternative cost-saving opportunities,
    such as real-time pricing (RTP), voltage-service discounts, and
    riders.

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1.  RTP is the hourly energy pricing usually purchased a day in advance.
    Typically, rates are higher during peak use periods. With RTP,
    facility managers can plan to implement energy-use strategies to
    reduce consumption during high-price periods. Depending on the
    energy supplier, RTP can be applied to usage that exceeds baseload
    definitions. The baseline capacity is purchased at standard rates.
    The RTP rates are supplied to the customer a day in advance. If the
    next day's usage exceeds the baseline, then the RTP rates are
    charged. For usage below the baseline, the customer receives a
    credit at the RTP rates per unit of the commodity.

2.  Electric utilities offer discounts to customers who take advantage
    of high-voltage service. The utility feeds the high-voltage service
    directly to customer-owned distribution equipment such as
    transformers, switchgear, and safety equipment.

3.  Riders are associated with the use of new technology and
    participation in pilot programs or experimental services. Riders may
    be special charges or discounts applied to existing rate schedules.
    The rider type and amount will vary with the utility provider.

#### **Load Aggregation**

a.  Load aggregation is the grouping of facilities with similar energy
    requirements and energy-use patterns for the purpose of creating a
    conglomerate to increase purchasing power, thereby, reducing the
    energy costs.

b.  Load aggregation includes central collection of energy use data from
    geographically dispersed sites. With the proper instrumentation,
    energy load data can be gathered to explore the best available rate
    options for a defined group of uses at multiple service accounts or
    facilities. If the user profiles are similar, the composite
    information can result in an attractive energy use profile and load
    factor. The attractiveness comes in the consistency and
    predictability of energy use patterns, which reduces the power
    producer's risk in generating electricity, thereby reducing the
    price. With load aggregation, measuring when and how energy supplies
    are used enables the aggregators to negotiate the best price for
    energy contracts.

c.  Differences in climates, occupants, and building construction are
    additional issues of concern when considering the potential for load
    aggregation.

d.  Load aggregation enables the end-users to develop competitive
    leverage against host utilities.

#### Unbundled Services. Transmission and distribution services will still be regulated to ensure accessibility, safety, and reliability. Transmission entities will be regulated by the Federal Energy Regulatory Commission and will provide service via the power exchange or independent system operators. The distribution entity will remain as at present---wires will still be used to supply electricity in compliance with state regulations. Generation companies, the owners of power plants, will sell power to power pools and distribution companies. They will also have opportunities to contract with the power exchange, independent system operators, and retail customers. Competitive energy services, dubbed as retail services, will introduce a broad range of energy-efficiency programs and services in a deregulated environment. The energy retailer will have opportunities to market customers, procure power for customers, and provide account management services.

#### Competitive Bidding. Competitive bidding is the process of comparing bids solicited from individual contractors. All bids shall be evaluated under the same guidelines. The contract award usually goes to the bidder offering the best-value solution.

#### Existing Utility Service Providers. Local utility providers will still play an important role in future electricity procurement. They will still provide transmission and distribution services for NASA Centers. The purchasing options are as follows: 

a.  Continue all services with the local utility company.

b.  Select a hybrid arrangement with the utility supplying base loads
    and an alternative provider supplying critical or excessive loads.

c.  Select alternative providers for generation and energy services.

#### **Federal Support for Power Procurement** 

a.  Two Government entities, the DESC and the GSA, offer varying degrees
    of electricity procurement support. The DESC's mission is to provide
    the DoD and other Government agencies with comprehensive energy
    support in the most effective and economical manner possible.

b.  GSA's Public Utilities Division also provides electricity
    procurement services for Federal agencies. GSA has organized a
    Center of Expertise to facilitate activities relative to energy
    conservation and management, deregulation and utilities, and other
    public utilities interests. Each GSA region will assist facilities
    with price negotiations and contracting services. Appendix C
    contains the list of regions along with the geographic areas of
    coverage, regional energy coordinators, and model areawide contract.

#### **Alternative Utility Service Providers** 

a.  The competitive power market will involve a variety of agents to
    coordinate electricity transactions: utility companies, power
    producers, independent system operators, and power marketers.

b.  Utility companies will be the basic electric service providers with
    an obligation to serve incumbents and those who live within the
    service area. Utilities will be regulated, with the mandate to
    provide universal service, ensure social and environmental
    responsibility, and construct and maintain all distribution lines.
    The only changes in the core business of the utility and
    transmission service will be the price and terms of electric
    service, since the utility will be the reseller of electricity from
    the market.

c.  Nonutility power producers will engage in a competitive bidding
    process to provide electricity. The end user will be responsible for
    arranging delivery services. The diversity of power producers
    increases the opportunity to coordinate generation operations and
    maintenance. However, strict scheduling will be needed to ensure the
    delivery of safe and reliable power.

d.  An independent system operator will be commissioned to maintain
    network efficiency and reliability of the generation and
    transmission system. The independent system operator will also be
    charged with monitoring fair and open access to the transmission
    system. Controlled service areas will be or will have been
    established in order for the independent system operator to maintain
    a balance of supply resources with user demands and to dispatch
    generators accordingly.

e.  Power marketers typically serve as intermediaries between buyers and
    sellers, reduce prices, and offer value-added services. As commodity
    brokers, power marketers compete with each other to find and deliver
    the most economical and reliable power available to the customers.

#### Utility Energy Efficiency Service Contracts. Alternative contract mechanisms for implementing energy-efficiency improvements are specified in *NPR 8570.1, Energy Efficiency and Water Conservation*.

### **Data Management** 

#### The modern building automation industry has developed utility management systems that integrate the ability to collect billing-grade metering, process, bill, trend, evaluate/manage, and control utilities. This can often be accomplished with minimal investment, through use of the existing building automation infrastructure.

#### Metering of all utilities, including process-related services, provides sufficient data to review billing transactions, usage patterns and levels, and system efficiencies. Data management packages the metered information in a manner that provides visual identification of problems and opportunities. Performance problems can be quickly identified followed by immediate corrective action. Opportunities for energy-efficiency projects can be evaluated and justified with data. This knowledge base helps energy managers and facility management personnel with proper resource allocation.

#### Some utilities are currently offering group billing to consolidate accounts for those customers with multiple facility metering. Electronic files are available upon the customer's request. These services reduce the burden on energy accounting and reporting functions. Data management provides the following services: 

a.  Streamlined billing process that reduces accounts payable
    encumbrance and simplifies data entry.

b.  Utility bill validation that identifies incorrect billing factors
    and provides usage versus weather statistics.

c.  Energy analysis that identifies building or system inefficiencies,
    tenant-usage patterns, and billed versus actual demand.

d.  Rate schedule appropriateness that verifies account ownership and
    ensures best available rates for service, late fees, taxes, and
    surcharges.

e.  Retrofit evaluation that assesses energy retrofit cost avoidance and
    determines effectiveness of energy management programs.

f.  Budget preparation that provides data for preparing cost and usage
    trending reports.

## Central Utility Plant Operations and Maintenance 

### Objectives. The objective of the O&M of central utility plants is to provide reliable, economical, and efficient central plant and utility services to support Center needs and missions, while complying with all regulatory requirements.

### Plant Operations and Maintenance Considerations. The concept for the O&M of a central utility plant is that operators are assigned full time to operate the plant, but they perform maintenance between various operating tasks. Operator maintenance, as it is often referred to, involves a significant integration of facilities and equipment inspection and maintenance with routine watch-standing operations.

#### Staffing. Central utility plant operations and maintenance normally require a nearly constant level of effort, varying only with seasonal changes. Operators as a minimum must meet license, permit, and certification requirements per paragraph 3.6.2.3, Licenses, Permits, and Certifications. In addition to these requirements, plant operators must be thoroughly familiar with the assigned plant and its operating, maintenance, and safety requirements. Staffing levels can be greatly reduced (although not eliminated), while greatly enhancing reliability, through the application of BAS or EMCS technology. Critical failure and out-of-tolerance conditions shall be established as alarmable points for the EMCS operator work station. While application of this type technology has been an industry practice in the HVAC industry, the modern trend and capability exists to expand this approach to cover electrical system, potable water treatment and distribution, waste water handling and treatment, chemical treatment, and other operations.

#### Maintenance Actions. Condition-monitoring (PT&I) and PM actions are frequently a part of the operating procedures for central utility plants and are performed by the operators as part of their routine watch-standing duties. Additionally, plant operators may be directly involved with the repairs, ROI, and PGM on those portions of the plant they operate. Maintenance action development should use the techniques discussed in Chapter 7, Reliability Centered Maintenance.

#### Standards. Central utility plants are usually process oriented, production, and service focus for standards that emphasize equipment and system availability. These standards should identify conditions that require nonoperator assistance, as well as conditions addressed by the operators. The methods for setting standards discussed in paragraph 10.3, Facilities Condition Standards, are applicable and should be used.

#### Operator Maintenance (Inspections). Operator maintenance is the examination, lubrication, minor repair (usually no larger in scope than TC), and adjustment of equipment and systems in the assigned plant. This maintenance and the inspections are directed toward minimizing system downtime and minimum cost. Operators should provide condition assessments for documentation in the CMMS as a part of the continuous inspection program.

#### Standard Operating Procedures. Standard operating procedures shall be developed to cover routine operations, startup and shutdown, operator maintenance, PM, PT&I, and emergency actions such as load-shedding plans, emergency customer notification, and local utility company coordination. Contingency plans shall be developed and kept current.

#### Inspection and Certification. All central utility plant boilers and unfired pressure vessels shall be inspected and certified in accordance with *NPD 8710.5, NASA Safety Policy for Pressure Vessels and Pressurized Systems*.

### Heating Plant Operations. The operation of a central heating plant includes startup and shutdown of heating equipment and operator maintenance and inspection. Operations include the efficient and economical production of steam or high-temperature hot water to ensure its availability to the Center at the lowest-possible cost. This work also includes record keeping of operations and conditions and analysis of records to correct nonoptimal practices. It includes water treatment; monitoring warranties; testing operations and capabilities of the central heating plant; periodic operation and inspection of idle equipment; and cleaning, preservation, lubrication, and adjustment of plant equipment. Also included are boiler emissions testing and record keeping for environmental regulations and permit compliances. Heating plant operations require control of the following functions:

#### Equipment Scheduling. Equipment scheduling requires matching heat generation with heat load requirements. This requires knowledge of demand curves, unit-cost curves (with selection of single-boiler operation or multiboiler operation), banking and startup costs, loading factors, and monitoring of both equipment selection and scheduling.

#### Equipment Operation. Equipment should be operated to achieve operating efficiency at operating loads. To accomplish this, boiler performance should be analyzed based on actual operational data taken from logbooks and used to identify changes required to achieve optimum efficiency in steam/hot water production. Hourly log entries shall include weather data; stack temperature; feed water data; steam/hot water quantities, pressures, and temperatures; and carbon dioxide and oxygen readings. The optimum thermal efficiency curve for each unit should be obtained from the boiler manufacturer and used in operating the boilers. Many of these logged data points, which have historically been manual, can be obtained with automation technology. Likewise, energy efficiency and reliability should be enhanced through use of EMCS automated control strategies that optimize the selection and quantities of equipment that operate for a given plant load.

#### Water Testing and Treatment. At each daily shift turnover that a plant is in operation, the operators should collect feedwater, boiler water, and condensate samples from each operating boiler for testing. Tests results should be maintained within Center-established limits for phosphate, sulfite, pH range, hardness, causticity (alkalinity as OH), and total dissolved solids. Test results should be recorded with plant reports and logs.

#### Plant Reports and Logs. The operators shall maintain operating logs on all operating equipment that note operator checks and adjustments and a record file noting normal or abnormal operating conditions, deficiencies or malfunctions, and corrective action taken. All recording charts and logs should be filed chronologically and kept in accordance with Center policy.

### Central Chilled Water (Chiller) and Air Compressor Plants. Plant operations shall be conducted in accordance with applicable manufacturer's recommendations (such as manuals, specifications, brochures, literature, directives, and pamphlets), and Center-established policies including, but not limited to, safety, energy conservation, and specific mission requirements. A part of operations should be the performance of any needed minor adjustments and repairs (see paragraph 11.3.2, Plant Operations and Maintenance Considerations).

#### Cooling Tower Systems. The O&M of cooling tower systems should include the performance of any needed minor adjustments and repairs to structures and components and monitoring and treating circulating water to prevent accumulation by precipitation of scale, corrosion, biological growths, and other foreign materials. Also included should be flushing and cleaning the cooling tower pans (sumps) and disposal of sludge from the pans. Sludge disposal shall be in accordance with environmental rules and regulations since sludge is considered hazardous waste.

#### Chemical Treatment of Closed-Loop Distribution Systems. Centers shall establish and maintain a chemical treatment program for the central cooling plant distribution systems. Inspection checks and subsequent adjustments should be made to chemicals at least every 90 days to maintain pH limits of 7.0-to-10.0, and nitrite levels of 500-to-1,000 ppm as NO~2~. Detailed records of the results of all inspection checks and chemical treatments should be maintained.

#### Plant Reports and Logs. Equipment deficiencies beyond the scope of operator maintenance shall be noted on operational log sheets or recorded in the CMMS. Log sheets shall be filled out as part of each operational check. Cooling tower and closed-loop distribution system data shall be recorded in the CMMS for future contracting purposes. (See Chapter 12, Contract Support.)

#### Modern trends in the operation and control of chillers have resulted in great improvements to the efficiency and reliability of chilled water plants. Strategies for equipment staging, variable flow to reduce low-temperature differential, and reduced condenser water temperature capabilities of some modern equipments allow for reduced maintenance problems and improved water-temperature control and quality, while greatly improving energy efficiency. Even with these trends, many plants are still operated with constant high condenser water temperatures and manual-operator selection of equipment. Since these plants are a primary consumer of energy and maintenance, there is a potential of huge payback through optimizing these operations. Also, staffing levels can be greatly reduced (although not eliminated), while greatly enhancing reliability, through the proper application of BAS or EMCS technology. Critical failure and out-of-tolerance conditions shall be established as alarmable points for the EMCS operator work station. 

### Water Treatment Plants. These plants include water pumping and treatment equipment and storage tanks. The plants should be operated and maintained as recommended by the equipment manufacturers and in accordance with Center, local, state, and Federal laws, rules, and regulations. A certified water treatment plant operator should operate the plant. The potable water should be free of taste and odor and meet required water quality standards.

### Wastewater Treatment Plants. Centers shall comply with all requirements of their National Pollutant Discharge Elimination System (NPDES) permits, as imposed by the EPA (or as imposed by the state or local government). Properly qualified personnel with required state certification shall operate the wastewater treatment facilities. All certifications shall always be maintained current and valid.

#### General Waste Water Treatment Operations. Wastewater treatment facility operations should provide continuous, cost effective, and efficient treatment of all wastewater delivered to the facility. Such operations include general operation of plant equipment, valves and piping, sampling and lab analyses, waste and effluent disposal, and other related services. Treatment facility conditions shall meet applicable health and safety standards and be maintained clean and orderly at all times. Operations shall be accomplished with proper regard to equipment and components to ensure operating efficiency and longevity of service life. 

#### Waste Disposal. Waste shall be disposed of at a frequency sufficient to maintain clean and orderly collection sites with no overflow of waste material. Wastes (including sludge, grit, screenings, and other waste solids) shall be routinely collected and transported to a properly classified disposal site. Wastes deemed hazardous shall be transported and disposed of in accordance with Department of Transportation (DOT) and EPA requirements. All waste disposal practices shall be accomplished in accordance with all applicable environmental regulations. All records, receipts, manifests, and log entries shall be maintained in accordance with NPDES permit and state and local requirements.

#### Sampling and Laboratory Analysis. Sampling and laboratory analytical services shall be provided to support regulatory agency operating requirements. Such sampling and testing procedures shall be accomplished in accordance with applicable operating permit conditions. A complete set of laboratory records shall be kept for all laboratory tests, including: date and time of sampling, type of sample, name of sample, sampling location, test performed, and test results. In addition, results of such laboratory analyses shall be assembled into reports to conform to the procedures and requirements of the NPDES permit (or other state and local permits, if applicable) and submitted to the EPA (or state and local agency). Copies of all testing records and associated correspondence shall be maintained on file by the NASA organization responsible for operatng the system and related equipment. These records shall be part of the CMMS records.

# Contract Support

## Introduction 

### Historically, NASA has contracted for support of its maintenance activities. Typically, contracts would specify a level of effort to be provided, rather than specifying the results to be achieved. However, the following are some of the problems associated with that approach:  {#historically-nasa-has-contracted-for-support-of-its-maintenance-activities.-typically-contracts-would-specify-a-level-of-effort-to-be-provided-rather-than-specifying-the-results-to-be-achieved.-however-the-following-are-some-of-the-problems-associated-with-that-approach .unnumbered}

a.  It provides no incentive for contractors to be innovative or
    efficient.

b.  It is uneconomical for the Government because it hires a "marching
    army" of contractor employees for a term of employment, instead of
    contracting for a job to be completed.

c.  It may foster a personal services environment wherein NASA is
    perceived as the "employer" who supervises the efforts of contractor
    "employees."

d.  It can contribute to a breakdown of project discipline (e.g., when
    the project office becomes concerned with how to keep the contractor
    busy, unplanned and often unnecessary "extras" may be added to the
    contractor's tasking).

e.  It creates the opportunity for unnecessary enrichment of the labor
    skill mix, thereby, driving up labor costs.

f.  It requires the Government to perform extensive surveillance
    because, absent clearly stated contract objectives, the contractor
    must receive continual clarification from Government technical
    representatives.

### NASA's policy is to "Utilize performance-based contracts and best-value principles to the maximum extent feasible and practical to shift cost risk to contractors and maximize competitive pricing." It is also NASA's policy to include risk management as an essential element of the entire procurement process, including contract surveillance. In following these policies, NASA has committed to converting its method of procuring facilities maintenance services from a cost-reimbursement approach to a fixed-price, performance-based contracting approach. Refer to the NASA Guide Performance Work Statement (GPWS) for Center Operations Support Services (COSS) dated March 1997 and its Addendum dated July 1999 for complete background information, guidance, and templates that may be used by Centers for their own customized Performance Work Statement (PWS) and QA guidance that proactively considers the elements of risk management. See paragraph 12.6, Quality Assurance.

## Performance-based Contracting 

### Under the PBC concept, the Government contracts for specific services and outcomes, not resources. Contractor flexibility is increased, Government oversight is decreased, and attention is devoted to managing performance and results and ultimate outcomes. 

a.  The SOW contains explicit, measurable performance requirements
    ("what"), eliminates process-oriented requirements ("how"), and
    includes only minimally essential reporting requirements that are
    based on risk. The Government employs a measurement method (e.g.,
    project surveillance plan) that is clearly communicated to the
    contractor and where the contractor is held fully accountable.
    Incentives can be used, but must be relevant to performance and
    center on the areas of value to NASA and those of high risk that are
    within the control of the contractor. The SOW should encourage the
    use of contractor best practices and also include the requirement
    for the contractor to use cutting-edge maintenance practices, as
    utilized in the private sector, to give NASA the best product.

b.  It is NASA's policy to maximize the use of firm-fixed-price
    contracts, combined with indefinite-delivery/indefinite-quantity
    (IDIQ) unit-price provisions where necessary. In implementing this
    policy, as much "core" work as possible should be included in the
    firm-fixed-price portion of the contract. IDIQ work should be held
    to a minimum because of its cost.

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1.  Fixed-Price Work. To shift cost risk to the contractor, fixed
    pricing and fixed-unit pricing are used to the maximum extent
    feasible and practical. Because the contract requirements (time,
    location, frequency, and quantity) are known or adequate historical
    data is available to allow a reasonable estimate to be made, the
    contractor can agree to perform for a total price---similar to a
    single work order. The contractor does not get paid for work that is
    unsatisfactorily performed or not performed at all, and deductions
    are made in accordance with the Schedule of Deductions (Section E of
    the contract).

2.  IDIQ Unit-Price Work. Not every item of work can be adequately
    quantified at contract inception to allow it to be firm, fixed
    priced. For example, few can predict the frequency and quantity of
    environmental spill cleanup actions that may be required over a
    given year or the exact number of chairs and other preparations
    required for VIP visits and special occasions two years away. Often,
    historical data is inadequate to enable fixed pricing certain
    services. Indefinite quantity contract requirements are performed on
    an "as ordered" basis. A fixed-unit price to perform one occurrence
    or a given quantity of each type of work is bid for the requirement
    implementation. Payment is based on the unit price bid per unit
    (Section B of the contract) times the number of units performed or
    on an agreed-to price. Because each instance of IDIQ work is ordered
    and paid for separately, each delivery order must be inspected and
    accepted as being satisfactorily completed before payment is made,
    as if each were a separate mini-contract. Contract prices for
    unit-priced tasks include all labor, materials, and equipment for
    performing that specific work. The unit prices offered are
    multiplied by the quantity of units estimated to be ordered during
    the contract term, but only for purposes of proposal evaluation.
    Work will only be paid for as ordered and completed.

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c.  The contract should be a completion type (something is accomplished)
    as opposed to a term/level-of-effort type of contract (effort is
    expended). If level of effort, staffing levels, or a skill mix of
    workers are specified, the contract is [not]{.underline} performance
    based.

d.  Contractor-Government partnering is highly recommended to achieve
    mutually supportive goals (see paragraph 12.4, Partnering).

e.  The Center Procurement Office should be contacted for assistance.
    The contracting officer will determine the appropriate contract
    type.

### Facility Organization's Responsibilities. The Center's facilities organizations shall work together with the users. It is recommended that the facilities organization participate in the preparation of the activities noted in the sections B, C, E, J, L, and M shown in Figure 12-1, at a 

[]{#__RefHeading___Toc205396777 .anchor}

Figure 12-1 Contract Sections

### minimum, and in the activities noted in the sections A, D, F, G, H, I, and K at the discretion of the contracting officer. This includes identifying all functions and services to be included in the contract, developing the functional tree diagram (which shows the relationships of the functions in the contract), and preparing a WBS for the technical section (Section C) and the Performance Requirements Summary (PRS), which is precisely coordinated with the tree diagram. The maintenance organization shall ensure the contract states that maintenance data entered in a CMMS is Government property and, as such, must be available for Government use and retention for historical purposes, regardless of which, Government or contractor, is responsible for populating and maintaining the database. Where the contractor operates the CMMS, it shall be made clear in the contract that the CMMS maintenance data is Government property and will be turned over to the Government at the end of the contract. The WBS shall include all contract requirements to be purchased. {#minimum-and-in-the-activities-noted-in-the-sections-a-d-f-g-h-i-and-k-at-the-discretion-of-the-contracting-officer.-this-includes-identifying-all-functions-and-services-to-be-included-in-the-contract-developing-the-functional-tree-diagram-which-shows-the-relationships-of-the-functions-in-the-contract-and-preparing-a-wbs-for-the-technical-section-section-c-and-the-performance-requirements-summary-prs-which-is-precisely-coordinated-with-the-tree-diagram.-the-maintenance-organization-shall-ensure-the-contract-states-that-maintenance-data-entered-in-a-cmms-is-government-property-and-as-such-must-be-available-for-government-use-and-retention-for-historical-purposes-regardless-of-which-government-or-contractor-is-responsible-for-populating-and-maintaining-the-database.-where-the-contractor-operates-the-cmms-it-shall-be-made-clear-in-the-contract-that-the-cmms-maintenance-data-is-government-property-and-will-be-turned-over-to-the-government-at-the-end-of-the-contract.-the-wbs-shall-include-all-contract-requirements-to-be-purchased. .unnumbered}

### Functional Diagram. Figure 12-2 is an example of a functional diagram at one NASA Center. It represents graphically the highest level of the WBS and should be the starting point in preparing the PBC documentation. It identifies, graphically, each function that is included in the PBC. Each of these functions will be individually addressed and will have a counterpart subsection in Section C of the contract where the requirements, performance indicators, and other supplemental information are discussed. In this specific example, each shaded box represents a function discussed in the technical sections of the contract \-- Subsections C.8 through C.27. The large hashed-shaded area indicates that the five functions within it include operations support as well as maintenance. The white box functions are not in the contract, but are shown to indicate relationships. Functional diagrams will vary by Center, depending on the functions being contracted. However, their preparation and use are important and are the basis of the WBS and the contract documentation.

### ![](media/image11.wmf){width="9.431944444444444in" height="6.5in"} {#section-4 .unnumbered}

[]{#__RefHeading___Toc205396778 .anchor}Figure 12-2 Functional Diagram

## Outcome Specifications

### Performance-based specifications can be stated in terms of outputs or outcomes. For example, a typical performance-based contract will have numerous output requirements for maintaining facilities, such as performing PM, testing and treating circulating water in HVAC cooling towers, and performing certain operational checks. An outcome requirement, however, simply might be that "buildings are available and fully functional to the user when needed" and integrates all service necessary to produce that result. Contractor flexibility is increased by allowing the contractor to decide what work tasks are needed and to propose cutting-edge technologies and techniques that may be more effective than traditional approaches. Government oversight is decreased, and attention is devoted to managing final results. A certain amount of risk is introduced for NASA by transferring additional responsibility to the contractor and, therefore, is not appropriate for all functions. The use of output (versus outcome) requirements is suggested for the following circumstances:

a.  The Center determines that the criticality of the function is too
    important to allow a contractor to deviate from proven work methods.

b.  There is a mandated regulation or operational procedure that
    requires a specific work method to be followed.

c.  A procedural requirement is mandatory for safety considerations.

d.  The function has very high visibility and a proven methodology has
    provided excellent results in the past.

### Use of Metrics. Performance specifications require the identification of a standard of performance for the contractor's work. For example, an appropriate outcome specification may require the contractor to achieve a certain equipment availability. That is an outcome requirement. The metric or indicator associated with that requirement is percent availability. The percentage number that the contractor must achieve is the standard (benchmark), set by the Center based on the current baseline performance that is acceptable to and being achieved by contractor or civil service forces at the Center. Unless these metrics are known, there is no rational basis for which to require a standard, and the use of the outcome specification may not be justified.

### Refer to the *NASA Guide Performance Work Statement for Center Operations Service Support Addendum (July 1999)* for additional, detailed information on outcome specifications.

## Partnering 

### Partnering describes how well the customer and the contractor work together, i.e., how well they communicate, how they resolve disputes, and how they execute the contract to fulfill each other's needs. It is a commitment by both parties to cooperate, to be fair, and to understand each other's expectations and values. It is an agreement between NASA and the contractor to work cooperatively as a team, to identify and resolve problems, and to achieve mutually beneficial performance and result goals.

### Partnering is a relationship between organizations where the following occurs: 

a.  All parties seek win-win solutions to problems rather than solutions
    that favor one side.

b.  Value is placed on the relationship. There is an interdependence
    wherein if one party succeeds, all parties will benefit.

c.  Trust and openness are a normal part of the relationship. The
    sharing of ideas and problems without fear of reprisal or
    exploitation promotes fair and rapid solutions to problems.

d.  An environment of cost savings and profitability exists.

e.  All understand that no one benefits from the exploitation of the
    other party.

f.  Innovation is encouraged.

g.  Each party is aware of the needs and concerns of the other. No
    actions are taken without first considering the effect they have on
    each party.

h.  Each individual has unique talents and values that add value to the
    group.

i.  Overall performance is improved. Gains for one party help the whole
    group and are not at the expense of another party.

### NASA Centers should seek to partner with their support contractors. Benefits that are usually achieved by participating organizations include improvements in contractor-customer relationships, reduction in claims, reduction in time growth, reduction in cost growth, and fair and mutual interpretations of the specifications.

## Incentives in Government Service Contracts 

### In contracting for support, it is assumed that the contractor will perform as specified in the contract. Experience has shown that contractors can meet contract requirements with performance ranging from a minimum of acceptable to a top performance of excellent. Incentives in Government service contracts are generally more negative than positive, with emphasis on deductions in invoice for poor or nonperformed work. Rather than just deductions, incentives can be used to encourage the contractor to expend effort and resources and employ cutting-edge, breakthrough maintenance practices as used in industry to attain top performance. Following are examples of incentives that could be used.

### Incentive Fee. An incentive-fee provision can be included in a contract to encourage the contractor, through a suitable monetary incentive, to provide the management, equipment, materials, labor, and supervision necessary for performance improvement. Most often when positive fee-type incentives are used, the fee starts at 100 percent and then is reduced for subjective opinions of areas of dissatisfaction. A better incentive is the reverse, i.e., starting at zero and increasing for areas or instances of greater, objectively measurable performance.

### Award Term. The award term is an innovative incentive approach, similar to ones used in private industry. This incentive approach potentially allows continued performance of the contracted effort for an additional period of time, not to exceed some specific potential total contract period, based on overall contractor performance. A provision for a reduction in the contract term for poor contractor performance, such as up to 18 months, could also be included. As an example of an award-term contract, a contract base period could be two or three years with the first year being a startup period wherein the evaluation results would not be included in any award-term decision. Each subsequent year, the contractor's technical performance would be evaluated and the results would be used to reduce, maintain, or increase the contract term depending on the contractor's performance. The performance requirements could also increase over a period of time. For example, if the contract is a three-year core-term contract. If performance is rated as very good for the second and third years, then years four and five are added. If the fourth-year rating is excellent, a sixth-year is added. If the fifth-year is rated excellent, a seventh year is added, and so on for a maximum contract term of ten years. Of course, an award-term evaluation plan must be used in this process.

## Quality Assurance 

### QA is a program undertaken by NASA to provide some measure of the quality of goods and services purchased from a contractor. How much QA is necessary depends on the quality of the contractor, criticality of the services, and the nature, amount, and assumption of risk involved. The QA plan should be developed concurrently with the Performance Work Statement, Section C, since the latter defines the work outputs and the quality standards, while the former defines how the work outputs will be observed and measured.

### Risk Management. Risk management is an organized method of identifying and measuring risk and developing, selecting, and managing options for handling these risks. It is NASA's policy to include risk management as an essential element of the entire procurement process, including contract surveillance. It implies the control of future events, is proactive rather than reactive, and is comprises four elements: 

a.  Risk Assessment. Identifies and assesses all aspects of the contract
    requirements and contractor performance where there is an
    uncertainty regarding future events that could have a detrimental
    effect on the contract outcome and on NASA programs and projects. As
    the contract progresses, previous uncertainties will become known
    and new uncertainties will arise.

b.  Risk Analysis. Once risks are identified, each risk should be
    characterized as to the likelihood of its occurrence and the
    severity of its potential consequences. The analysis should identify
    early warning signs that a problem is going to arise.

c.  Risk Treatment. After a risk has been assessed and analyzed, action
    be taken. Actions includes the following:

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1.  Transfer. Transfer the risk to the contractor. For example, modify
    the contract requirements so that the contractor has more or less
    direct control over the outcome.

2.  Avoidance. Determine that the risks are so great that the current
    method is removed from further consideration and an alternative
    solution is found. For example, delete a specific element of work
    from the contract to have it assumed by the on-site researchers.

3.  Reduction. Minimize the likelihood that an adverse event will occur
    or minimize the risk of the outcome to the NASA program or project.
    For example, increase the frequency of surveillance, change the type
    of surveillance or identify alarm situations, and promptly meet with
    the contractor to resolve this and future potential occurrences.

4.  Assumption. Assume the risk if it can be effectively controlled, if
    the probability of risk is small, or if the potential damage is
    either minimal or too great for the contractor to bear. For example,
    allow the contractor's own QC of certain custodial functions at a
    remote location be the sole QA surveillance method for the Center
    for that work.

5.  Sharing. When the risk cannot be appropriately transferred, or is
    not in the best interest of the Center to assume the risk, the
    Center and contractor may share the risk.

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d.  Lessons Learned. After problems have been encountered, the Center
    should document any warning signs that, with hindsight, preceded the
    problem, what approach was taken, and what the outcome was. This
    will not only help future acquisitions but could help identify
    recurring problems in the existing contract.

### As part of the cost-conscious emphasis practiced throughout NASA, it is undesirable to perform a 100-percent inspection on all work performed, but rather, considering risk as discussed in paragraph 12.6.2, select the optimum combination of inspection methods, frequencies, and populations that, when applied to a sample population, will be indicative of the whole. The use of an ISO-9000-type QA program is predicated on the following: 

a.  The contract vehicle is a combination firm-fixed-price and
    IDIQ-negotiated procurement based on evaluating technical and cost
    proposals and past performance.

b.  The Request for Technical Proposals' evaluation criteria heavily
    consider past performance and require the offerors (and their
    subcontractors) to address how they intend to meet the quality
    standards for the specific contract.

c.  Award is based on a best-value consideration of price and technical
    merit and past performance.

d.  A partnering concept and agreement are in force to reduce
    adversarial relationships and foster a team approach to providing
    the required services.

In general, this approach starts with minimal performance evaluation,
recognizing the high expectations of good performance from a quality
contractor. The follow-on degree and type of monitoring of the
contractor's work depends on the overall performance and the perception
of increased or decreased risk to the desired outcomes. Closer scrutiny
may be in order if there is a downward trend in performance, if the
degree of unacceptable risk increases, or if the performance is
otherwise unacceptable. Less frequent inspections or a less stringent
method may be selected if the contractor's performance is constantly
superb, if there is a greater comfort level in risk to the desired
outcome, and if there is a high degree of satisfaction. The key is
flexibility in assigning available Quality Assurance Evaluators' assets
where they are needed most. Consult the NASA GPWS for COSS for a more
detailed discussion of the QA program.

### Quality Assurance Methods of Surveillance. There are seven generally recognized QA surveillance methods. The successful QA plan, considering the number of QAEs, will use a combination of any or all of these, based on the population of items inspected, their characteristics and criticality, and the location of the service. Where sufficient Government QAEs are not available, a third party (contractor) could be used to perform the QA function for the Government. These seven methods are as follows: 

a.  100-percent Inspection. Usually used for services that are
    considered critically important, have no redundancy, have relatively
    small monthly populations, or are included in the indefinite
    quantity portion of the contract.

b.  Random Sampling. Uses statistical theory to determine the
    performance of the whole while evaluating only a properly selected,
    statistical sample. Random sampling tables are used to determine the
    required sample sizes, and random number generators are used to
    determine the samples to be evaluated. Random sampling is useful
    when evaluating a large, homogeneous population.

c.  Planned Sampling. Similar to random sampling (less the statistical
    accuracy) in that it is based on evaluating only a portion of the
    work for estimating the contractor's performance. Samples are
    selected based on subjective rationale, and the sample sizes are
    arbitrarily determined. Planned sampling is most useful when
    population sizes are not large or homogeneous enough to make random
    sampling practical.

d.  Unscheduled Inspections. These types of inspections should not be
    used as the primary surveillance method but, rather, in a supportive
    role. This inspection method may be used where there has already
    been an indication of poor performance or excessive complaints. The
    additional, unscheduled inspection could confirm the situation.

e.  Validated Customer Feedback. A valuable method of evaluating the
    contractor's performance with minimal QA assets expended. It is
    important that the QAE validates all feedback prior to addressing
    the situation with the contractor. This evaluation method is most
    valuable for routine, recurring, and noncritical work such as
    custodial services, grounds maintenance, and refuse collection.

f.  RCM Metrics and Trends. Another surveillance method is the use of
    RCM-based metrics and reliability trending. The QAE can use metrics
    to assess the performance and effectiveness of maintenance actions
    as discussed in paragraph 7.9.7, Performance-based Contract
    Monitoring. See Appendix G for some of the metrics that may be used
    for this QA method.

g.  Contractor-Centered Quality Control. Obtaining self-assessment
    feedback from the contractor's program and validating it, as
    necessary, is the least labor-intensive method for NASA QAEs. It
    relies on the quality of the contractor's own QC program. It is best
    used when the contractor's performance is repeatedly excellent and
    reliable, the work is relatively noncritical, and it is in
    conjunction with other inspection methods. In addition to the
    contractor's QC program, the contractor may be required to perform
    QA of the QC program. In the contractor's QA program, the contractor
    would have a specific approach to monitoring end services to ensure
    that they have been performed in accordance with the specifications
    and that the QC program is performing satisfactorily. The contractor
    QA reports could be used by the QAE as one input in evaluating the
    contractor's performance.

### **Performance Requirements Summary** 

#### The Performance Requirements Summary summarizes the work requirements, standards of performance, and Maximum Allowable Defect Rates (MADRs) for each contract requirement. It is used by the QAEs in the QA program and by the Contracting Officer in making payment deductions for unsatisfactory performance or nonperformance of the contract requirements.

#### Maximum Allowable Defect Rates. MADRs are defect rates, or a specific number of defects, above which the contractor's quality control is considered unsatisfactory for any particular work requirement. The MADR value selected for any particular work requirement should reflect that requirement's importance. For example, the MADR for timely emergency TC response should be less than that for routine TC response. It is important to understand that in fixed-price contracts, the contractor does not get paid for work not performed or that is unacceptable relative to the performance requirements summary, regardless of the MADR. However, the MADR is that point where the contractor should receive a formal notice of deficiency or where more serious administrative action is warranted. There is no need for the Government to advise the contractor of how much leeway is authorized for nonperformance and, therefore, no requirement to advise the contractor of the value of the MADR.

### Quality Assurance Plans. QA plans are systematic procedures that, in a planned and uniform manner, provide guidance for the QAEs in their methods and degree of scrutiny to be used in surveillance of contract-performance requirements. Each QA plan may have one or more surveillance guides for inspecting subtasks. Items to be addressed include the following: 

a.  Identification of the contract requirements.

b.  Work requirements and standards of performance.

c.  Primary methods of surveillance to be employed.

d.  Maximum allowable defect rate.

e.  Quantity of work to be performed.

f.  Level of surveillance to be employed.

g.  Size of the sample to be evaluated.

h.  Evaluation procedures.

i.  How the results will be analyzed.

Each QA plan is a self-contained document written in sufficient detail
to preclude extensive reference to other documents or manuals. The use
of QA plans ensures conformity, consistency, and standardization in how
QA inspections and evaluations will be made over time and between
different QAEs monitoring like functions. QA plans can be modified and
should be maintained up to date as necessary. The QA plan supplements,
but is not part of, the contract and, as such, the contractor should be
advised of the existence and use of a formal QA plan but not provided
access to it.

### Quality Assurance Evaluator Staffing. The QAE assists in evaluating the adequacy of the contractor's performance under each work requirement in the Schedule of Prices (Section B of the contract). The following are specific QAE responsibilities: 

a.  Accomplishing surveillance required by the contract surveillance
    plan.

b.  Completing and submitting to the COTR inspection reports as required
    in the contract surveillance plans.

c.  Recommending to the COTR the verification of satisfactorily
    completed work, payment deductions, liquidated damages, and other
    administrative actions for poor or nonperformed work.

d.  Assisting the COTR in identifying necessary changes to the contract,
    preparing Government estimates, and maintaining work files.

e.  Making recommendations to the COTR regarding changes or revisions to
    the PWS and contract surveillance plan.

f.  Maintaining accurate and up-to-date documentation records of
    inspection results and follow-on actions by the contractor.

#### Minimization. Ideally, QAE staffing should be based on a predetermined number of contract inspections and related work requirements rather than on the availability of QAEs. Realistically, personnel constraints dictate that flexibility be used and the number of QAEs determined by adjusting the degree of QA performed in terms of population and degree of scrutiny from month-to-month, depending on the contractor's performance for the previous period and the criticality of the work being performed. QA evaluations, based solely on customer feedback and documentation for relatively routine, noncritical work, require very few, if any, QAEs. One hundred-percent inspections of critical, research-related processes, on the other hand, would likely require an extraordinary amount of QAE support. Where adequate staffing is not available, all or part of the QA function may be contracted to a third party as a solution.

#### QAE Qualifications. Personnel tasked with monitoring the contractor's performance shall be experienced in the technical area being evaluated and adequately trained in QA methods and procedures. Skills required include QA plan development, inspection techniques, PT&I techniques (if appropriate), and contract administration skills such as documentation, making deductions, and calculating recommended payments.

## Credit Card Procurement 

As a means of reducing contract administration, small IDIQ purchases are
successfully being procured by credit cards at several NASA Centers.
NASA management issues Government credit cards to various authorized
Government employees for use in obtaining materials, equipment, and work
or services for the Center. When the contractor is contacted by the
authorized cardholder requesting work or services, the contractor and
requestor define and mutually agree on the task to be provided. Once
agreement is reached concerning the scope, schedule, and fixed price to
accomplish the task, a credit card is presented by the requestor and
accepted by the authorized contractor representative to consummate and
document the understanding. All transactions and historical information
shall be recorded in the CMMS.

# Appendix A. Definitions {#appendix-a.-definitions .unnumbered}

1.  [Addition.]{.underline} A physical increase to a real property
    facility that adds to the overall dimensions of the facility.

2.  [Agency Execution Plan (AEP).]{.underline} A detailed financial plan
    based on the Agency Operating Plan and used to determine how funds
    will be distributed below the apportionment level, but within any
    controls established in the appropriation and apportionment.

3.  [Agency Operating Plan (AOP).]{.underline} An internal plan based on
    the Congressional Operating Plan and the budget which sets fourth
    the specifics on how NASA intends to apply Agency financial
    resources during the fiscal year to fulfill its mission. It includes
    all programs and projects.

4.  [Allocation.]{.underline} The formal administrative assignment of
    funding targets below suballotment to the program, project, and
    Center levels to incur obligations within a specific amount.
    Overobligation or overexpenditure of an allocated funding target is
    not a violation of the Antideficiency Act (ADA) unless it results in
    overobligation or overexpenditure of appropriation, apportionment,
    allotment, or suballotment. However, overobligation or
    overexpenditure of an allocated funding target is subject to
    administrative action.

5.  [Allotment and Suballotment.]{.underline} The formal administrative
    division and subdivision of budget authority delegated to incur
    obligations within a specific amount pursuant to OMB apportionment
    or reapportionment action or other statutory authority making funds
    available for obligation at the mission (allotment) and theme
    (suballotment) levels. Making or authorizing an overobligation or
    overexpenditure of an allotment or suballotment is a violation of
    the ADA and must be reported.

6.  [Assessment.]{.underline} The portion of joint or indirect cost
    assigned to a specific objective, such as program, function,
    project, job, or service. (Note: NASA's Office of the Chief
    Financial Officer uses this term to distinguish the process from
    funds distribution.)

7.  [Alterations.]{.underline} Work that changes the configuration of a
    facility (not maintenance or repairs) but that does not increase the
    value of the facility, e.g., moving a door or electrical outlet.

8.  [Annual Budget Call by NASA's OCFO]{.underline}. An internal term
    used for the Agency's Planning, Programming, Budgeting, and
    Execution (PPBE) process and the data calls issued during this
    process. The data requested outlines time-phased work programs
    expressed in dollars and other resources required to accomplish NASA
    objectives for the applicable years. The approved budget then serves
    as a basis for the request and distribution of funds, which NASA
    coordinates with Mission Directorates and Mission Support Offices.

9.  [Annual Work Plan (AWP).]{.underline} A plan prepared on an annual
    basis, prior to the start of the applicable fiscal year, that
    systematically lays out the maintenance and repair work to be
    accomplished within the budget constraints of the Center. The AWP is
    based on the Five-Year Maintenance Plan and the mission of the
    Center.

10. [Apportionment/Reapportionment.]{.underline} A distribution or
    change to the distribution of amounts available for obligation in an
    appropriation or fund account into amounts available for specified
    time periods, programs, activities, projects, objectives, or any
    combinations of these. Amounts must be apportioned annually by OMB
    prior to obligation, and the apportioned amount limits the
    obligations that may be incurred. An apportionment may be further
    subdivided by an agency into allotments, suballotments, and
    allocations. Overobligation or overexpenditure of an apportionment
    is a violation of the ADA and must be reported.

11. [Appropriation.]{.underline} A provision of law (not necessarily in
    an appropriations act) authorizing the expenditure of funds for a
    given purpose. Usually, but not always, an appropriation provides
    budget authority. Appropriations may be annual (one-year), multiyear
    (more than one year but with a definite ending date), or no-year,
    which refers to the period the funds are available for new
    obligations. During the period of availability, appropriations are
    often referred to as "current."

12. [Assets.]{.underline} Any item of economic value owned by NASA. The
    item may be physical (tangible) or a right to ownership (intangible)
    that is expressed in terms of cost or some other value.

13. [Authorization Act.]{.underline} A law that established and
    continues the operation of a Federal program or agency, either
    indefinitely or for a specific period, or that sanctions a
    particular type of obligation or expenditure within a program.

14. [Availability.]{.underline} The ratio of the actual run time of a
    machine or system divided by the scheduled time for the machine or
    system. Usually expressed as a percentage. For example, if an air
    handler is scheduled to run from 6 a.m. to 6 p.m., 5 days a week
    and, in fact, does run during those times, its availability was 100
    percent. If the air handler was stopped one day during the week for
    one hour, its availability for that week was 98.3 percent (59 hours
    divided by 60 hours).

15. [Backlog of Maintenance and Repair (BMAR).]{.underline} Also known
    as "Deferred Maintenance." The NASA unfunded facilities maintenance
    required to bring facilities and collateral equipment to a condition
    that meets acceptable facilities maintenance standards. See also
    Facilities Maintenance.

16. [Bar Code.]{.underline} A series of parallel lines with width and
    spacing that represents a number when scanned by a laser reader.

17. [Benchmark.]{.underline} A standard against which something is
    measured.

18. [Benchmarking.]{.underline} Seeking the best examples of methods,
    processes, procedures, and products in order to establish a standard
    and assess one's own performance in terms of quality, productivity,
    or cost.

19. [Book Value.]{.underline} The original capitalized value of an
    asset, adjusted for modifications where appropriate, as stated in
    the Agency's accounting records.

20. Breakdown Maintenance. See Repair.

21. [Budget.]{.underline} A formal estimate of future revenues,
    obligations to be incurred, and outlays to be made during a definite
    period and, when determined to be appropriate, upon the basis of
    accrued expenditures and costs to be incurred.

22. [Budget Authority.]{.underline} The authority provided by law to
    incur financial obligations that will result in outlays. NASA has
    two forms of budget authority: appropriations and spending authority
    from offsetting collections (working capital funds and
    reimbursables).

23. [Budget Cycle.]{.underline} The period that elapses from the
    initiation of the budget process to the completion thereof for a
    particular fiscal year.

24. [Budget Execution.]{.underline} The processes by which financial
    resources are made available to Agency organizations and are managed
    to achieve the purposes and objectives for which the budget was
    approved, including operating plans, execution plans, funds
    distribution, obligations, expenditures, and reporting requirements.

25. [Budget Year.]{.underline} The fiscal year (FY) for which estimates
    are submitted. Budget submissions generally contain data concerning
    the prior year (the FY immediately preceding the current year), the
    current year (the FY immediately preceding the budget year), the
    budget year (the FY for which estimates are submitted) and four
    subsequent years.

26. [Buildings.]{.underline} The classification that includes the cost
    of buildings, capital improvements of buildings, and fixed equipment
    that is normally required for the functional use of the buildings
    and becomes permanently attached to and made a part of the buildings
    and that cannot be removed without cutting into the walls, ceilings,
    or floors, such as plumbing, heating, and lighting equipment;
    elevators; central air-conditioning systems; and built-in safes and
    vaults. Also included is all equipment of any type built in, affixed
    to, or installed in real property in such manner that the
    installation cost, including special foundations or unique utilities
    or services, or the facility restoration cost after removal is
    substantial.

27. [Capitalized Equipment.]{.underline} Individual items of property,
    plant, and equipment (PP&E) that have an acquisition cost of
    \$100,000 or more, an estimated useful life of two years or more, is
    not intended for sale in the ordinary course of operations, is
    acquired or constructed with the intention of being used or is
    available for use by the Agency, and have an alternative future use.
    If an item, when originally installed, consists of "severable
    components," each component shall be individually subjected to the
    capitalization criteria. Maintenance costs involving collateral
    equipment valued between \$5,000 and \$100,000 shall be tracked as
    an expense versus a capitalization. These criteria are retroactive
    to October 1, 1997.

28. [Center Support.]{.underline} A building, area, or system that
    supports the overall operation of the Center/Facility but does not
    meet the mission critical or mission support criteria.

29. [Central Utility Plant Operations and Maintenance.]{.underline} This
    category is unique in that it includes the cost of operations in
    addition to maintenance costs. It should be used only to capture the
    costs of operating and maintaining institutional central utility
    plants, such as a central heating or steam plant, wastewater
    treatment plant, or a central air-conditioning (chiller) plant. The
    concept is that operators are assigned fulltime to operate the
    plant, but they perform maintenance between various operating tasks,
    making it almost impossible to segregate operational and maintenance
    costs; therefore, the costs of the full-time operators (and their
    materials) are included in this category.

30. [Collateral Equipment.]{.underline} Encompasses building-type
    equipment, built-in equipment, and large, substantially affixed
    equipment/property and is normally acquired and installed as part of
    a facility project as described below (also see Noncollateral
    Equipment):

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a.  [Building-Type Equipment.]{.underline} A term used in connection
    with facility projects to connote the equipment normally required to
    make a facility useful and operable. It is built in or affixed to
    the facility in such a manner that removal would impair the
    usefulness, safety, or environment of the facility. Such equipment
    includes elevators, heating, ventilating, and air-conditioning
    systems, transformers, compressors, and other like items generally
    accepted as being an inherent part of a building or structure and
    essential to its utility. It also includes general building systems
    and subsystems, such as electrical, plumbing, pneumatic, fire
    protection, and control and monitoring systems.

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c.  [Built-in or Large, Substantially Affixed Equipment.]{.underline} A
    term used in connection with facility projects of any type other
    than building-type equipment that is to be built in, affixed to, or
    installed in real property in such a manner that the installation
    cost, including special foundations or unique utilities service, or
    the facility restoration work required after its removal is
    substantial.

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31. [Component Facility.]{.underline} Center organizations that are
    geographically separated from the parent Center.

32. [Computerized Maintenance Management System (CMMS).]{.underline} A
    set of computer software modules and equipment databases containing
    facility data with the capability to process the data for facilities
    maintenance management functions. They provide historical data,
    report writing capabilities, job analysis, and more. The data
    describe equipment, parts, jobs, crafts, costs, step-by-step
    instructions, and other information involved in the maintenance
    effort. This information may be stored, viewed, analyzed,
    reproduced, and updated with just a few keystrokes. The
    maintenance-related functions typically include the following:

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a.  Facility/equipment inventory.

b.  Facility/equipment history.

c.  Work input control.

d.  Job estimating.

e.  Work scheduling and tracking.

f.  Preventive and predictive maintenance.

g.  Facility inspection and assessment.

h.  Materials management.

i.  Utilities management.

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33. [Condition Assessment.]{.underline} The inspection and documentation
    of the material condition of facilities and equipment, as measured
    against the applicable maintenance standards. It provides the basis
    for long-range maintenance planning as well as annual work plans and
    budgets.

34. [Condition-Based Maintenance (CBM).]{.underline} Facility and
    equipment maintenance scheduled only when the condition of the
    facility or equipment requires it. CBM replaces maintenance
    scheduled at arbitrary time or usage intervals. It usually involves
    the application of advanced technology to detect and assess the
    actual condition. See Predictive Testing & Inspection and
    Reliability Centered Maintenance.

35. [Condition Monitoring.]{.underline} Also known as Predictive
    Maintenance. The continuous or periodic monitoring and diagnosis of
    systems and equipment to forecast failure. Also see Predictive
    Testing & Inspection.

36. [Construction.]{.underline} The erection, installation, or assembly
    of a new or replacement facility, or an addition in area, volume, or
    both to an existing facility.

37. [Construction Project.]{.underline} A facility project relating to
    the erection, installation, or assembly of a new facility,
    replacement facility, or an addition in area, volume, or both to an
    existing facility.

38. [Continuous Inspection.]{.underline} A program of periodic,
    scheduled inspections of facilities and equipment to determine their
    condition with respect to specified standards (including safety).

39. [Contracting Officer.]{.underline} Any person who, by appointment in
    accordance with procedures prescribed by the *NASA FAR Supplement*
    (see Appendix C, resource 3, part 1, subpart 4), has the authority
    to enter into and administer contracts and to make determinations
    and findings with respect thereto, or has any part of such
    authority.

40. [Contractor.]{.underline} The supplier of the end item and
    associated support items to the Government under the terms of a
    specific contract.

41. [Contracts.]{.underline} All types of agreements and orders for the
    procurement of supplies or services. Includes awards and notices of
    award; contracts of a fixed-price, cost, cost-plus-a-fixed-fee, or
    incentive type; contracts providing for the issuance of job orders,
    task orders, or task letters thereunder; letter contracts; and
    purchase orders. It also includes supplemental agreements with
    respect to any of the foregoing.

42. Corrective Maintenance. See Repair.

43. [Current Replacement Value.]{.underline} Escalated value of the
    initial cost of an asset including all subsequent modifications
    greater than \$5,000. CRV is developed by escalating facility and
    collateral equipment acquisition cost and any incremental book value
    changes of \$5,000 or more to current-year dollars using the
    Engineering News Record (ENR) Building Cost Index (BCI). The NASA
    Real Property Inventory (RPI) is used in performing the required
    calculations. CRV is solely an escalated value and should not be
    used as an actual replacement cost.

44. [Current Year.]{.underline} The fiscal year immediately preceding
    the budget year.

45. [Deferred Maintenance (DM).]{.underline} DM is the total of
    essential, but unfunded, facilities maintenance work necessary to
    bring facilities and collateral equipment to the required acceptable
    facilities maintenance standards. It is the total work that should
    be accomplished but that cannot be achieved within available
    resources. It does not include new construction, additions, or
    modifications. DM does include unfunded maintenance requirements,
    repairs, ROI and CoF repair projects.

46. [Descriptor.]{.underline} A description of the relationship of the
    work units used in a metric.

47. [Design.]{.underline} This term encompasses both preliminary design
    and final design for facility projects. Design costs are normally
    funded under the CoF appropriation. Design costs of facility
    projects proposed for funding under appropriations other than CoF
    are normally funded under the same appropriation from which the
    facility project is to be funded with such costs being identified
    separately from the facility project cost estimate.

48. [Drawings.]{.underline} Graphic data, including drawings as defined
    in MIL-STD 100A and prepared in accordance with MIL-STD-1000,
    Category D; aperture cards in accordance with MIL-C-9877; and graphs
    or diagrams in accordance with industry standards and industry
    specifications on which details are represented with sufficient
    information to define completely, directly, or by reference the end
    result for use in the selection, procurement, and manufacture of the
    item required.

49. [Emergency Repair.]{.underline} The restoration of an existing
    facility or the components, thereof, when such facilities or
    components have been made inoperative by major breakdown, accident,
    or other circumstances that could not be anticipated in normal
    operations and the repair, thereof, is of such urgency that it
    cannot await programming and accomplishment in the normal budget
    cycle. In the process of emergency repair, the replacement of
    components or materials shall be of the size or character currently
    required to meet firm demands or needs.

50. [Estimated Cost.]{.underline} A calculated, anticipated amount, as
    distinguished from an actual outlay, based on related cost
    experience, prevailing wages and prices, or anticipated future
    conditions, usually for the purposes of contract negotiation,
    budgetary control, or reimbursement.

51. Facilities Condition Assessment. See Condition Assessment

52. Facility Condition Index. See Appendix G.

53. [Facilities Contract.]{.underline} A contract type under which
    Government facilities and equipment are provided to a contractor by
    the Government for use in connection with the performance of
    separate, related procurement or support services contract(s) for
    supplies or services. The term includes facilities acquisition
    contracts, facilities-use contracts, and consolidated facilities
    contracts.

54. [Facilities Management.]{.underline} The planning, prioritizing,
    organizing, controlling, reporting, evaluating, and adjusting of
    facility use to support NASA activities based on customers' facility
    needs and Center mission requirements. See also Facilities
    Maintenance Management.

55. [Facilities Maintenance.]{.underline} The recurring day-to-day work
    required to preserve facilities (buildings, structures, grounds,
    utility systems, and collateral equipment) in such condition that
    they may be used for their designated purpose over an intended
    service life. It includes the cost of labor, materials, and parts.
    Maintenance minimizes or corrects wear and tear and, thereby,
    forestalls major repairs. Facilities maintenance includes PM, PT&I,
    grounds care, PGM, repair, TCs, ROI, and SRs (not a maintenance item
    but work performed by maintenance organizations). Facilities
    maintenance does not include new work or work on noncollateral
    equipment.

56. [Facilities Maintenance Management.]{.underline} The planning,
    prioritizing, organizing, controlling, reporting, evaluating, and
    adjusting of facilities maintenance operations to support NASA
    activities with quality facilities based on customers' facility
    needs and predetermined maintenance goals at minimum cost.

57. [Facility.]{.underline} A term used to encompass land, buildings,
    other structures, and other real property improvements, including
    utilities and collateral equipment. The term does not include
    operating materials, supplies, special tooling, special test
    equipment, and noncapitalized equipment. The term facility is used
    in connection with land, buildings (facilities having the basic
    function to enclose usable space), structures (facilities having the
    basic function of a research or operational activity), and other
    real property improvement.

58. [Facility Improvement.]{.underline} That construction necessary to
    replace obsolete facilities or to expand a facility in order to
    improve the operating efficiency of an installation.

59. [Facility Project.]{.underline} The consolidation of applicable,
    specific individual types of facility work, including related
    collateral equipment, which is required to fully reflect all of the
    needs, generally relating to one facility, which have been or may be
    generated by the same set of events or circumstances that are
    required to be accomplished at one time in order to provide for the
    planned, initial operational use of the facility or a discrete
    portion thereof.

60. [Find.]{.underline} Discovery utilizing PT&I of an impending failure
    or degrading condition of a facility, system, or equipment that
    indicates action is required to prevent failure.

61. [Fiscal Year.]{.underline} In the Federal Government, it is the
    12-month period from October 1 of one calendar year through
    September 30 of the following year.

62. [Five-Year Maintenance Plan.]{.underline} The plan for maintenance
    work anticipated for the five-year period beginning with the budget
    year. It comprises the maintenance (planned, level-of-effort, and
    anticipated unknowns) required to support the Center mission needs
    and to correct the deficiencies identified by the current assessment
    of facilities.

63. [Full-Time Equivalents.]{.underline} The total number of regular
    straight-time hours (i.e., not including overtime or holiday hours)
    worked by employees divided by the number of compensable hours
    applicable to each fiscal year. Annual leave, sick leave,
    compensatory time off, and other approved leave categories are
    considered "hours worked" for purposes of defining full-time
    equivalent employment that is reported in the employment summary.
    The number of compensable hours is specified in OMB Circular No.
    A-11, Section 85.5.

64. [Funding Availability.]{.underline} The amount of obligating
    authority provided by appropriations, contract authorizations,
    actual transfers to or from other appropriations, and anticipated
    reimbursements, which have an approved apportionment for the current
    year.

65. [Funds Distribution.]{.underline} The formal administrative
    distribution/delegation of budget authority below the apportionment
    level through allotments, suballotments, and allocation of funding
    targets.

66. [Grounds Care.]{.underline} The maintenance of all grassy areas ,
    shrubs, trees, sprinklers, rights-of-way and open fields, drainage
    ditches, swamps and water holding areas (lakes, ponds, lagoons,
    canals), fences, walls, grates, similar improvements to land that
    are included in the NASA Real Property Accountability System, and
    exterior pest and weed control. The maintenance tasks include
    mowing, spreading fertilizer, trimming hedges and shrubs, clearing
    ditches, snow removal, and related work. Also included in this
    category is the cost of maintaining grounds care equipment such as
    mowers and tractors.

67. [Improvements.]{.underline} Additions to land, buildings, other
    structures, and other attachments or annexations to land that are
    intended to remain so attached or annexed such as sidewalks, drives,
    tunnels, utilities, and installed collateral equipment.

68. [Inventory.]{.underline} The facilities and equipment inventory is
    the foundation of an effective facilities maintenance management
    program. It is the baseline for what is to be maintained. The
    inventory permits identifying maintainable items, including those
    subject to preventive maintenance or operator maintenance.

69. [Life-Cycle Costs (LCC).]{.underline} A form of economic analysis
    that considers the total cost of owning, operating, and maintaining
    a building over its useful life. Life-cycle costs are the sum of the
    present value of the following:

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a.  Investment costs, less salvage values, at the end of the study
    period.

b.  Nonfuel operation and maintenance costs.

c.  Replacement costs of replaced building systems, less salvage costs.

d.  Energy costs.

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70. [Major Facility Work.]{.underline} Construction and revitalization
    work in excess of \$5.0 million and Land Acquisition and Emergency
    Repair approved under the provisions of Section 308(b) of the
    National Aeronautics and Space Act of 1958, as amended, at any cost.

71. [Metrics.]{.underline} Meaningful measures. For a measure to be
    meaningful, it must present data that encompasses the right action.
    In the context of this NPR, metrics refer to management and
    performance measures.

72. [Minor Facility Work.]{.underline} Construction and revitalization
    work in excess of \$500,000 but not exceeding \$5.0 million.

73. [Mission Critical.]{.underline} A building, area, or system that is
    critical to the Center's mission or is essential for Center of
    Excellence performance.

74. [Mission Support.]{.underline} A building, area, or system that
    provides support to the Center's primary mission or Center of
    Excellence assignment.

75. [Modification.]{.underline} See Rehabilitation and Modification.

76. [Noncollateral Equipment.]{.underline} All equipment other than
    collateral equipment. Such equipment, when acquired and used in a
    facility or a test apparatus, can be severed and removed after
    erection or installation without substantial loss of value or
    damage, thereto, or to the premises where installed. Noncollateral
    equipment imparts to the facility or test apparatus its particular
    character at the time (e.g., furniture in an office building,
    laboratory equipment in a laboratory, test equipment in a test
    stand, machine tools in a shop facility, computers in a computer
    facility) and is not required to make the facility useful or
    operable as a structure or building. (See also Collateral
    Equipment.)

77. [Obligation.]{.underline} A legally binding agreement that will
    result in the outlay or expenditure of funds immediately or in the
    future. A bona fide need must exist to create an obligation, such as
    when a contract is awarded, an order is placed, or a service is
    received.

78. [Operator Maintenance.]{.underline} The examination, lubrication,
    minor repair (usually no larger than trouble call scope) and
    adjustment of equipment and systems in the assigned plant.

79. [Outage.]{.underline} The planned or unintentional interruption or
    termination of a utility service such as electricity, water, steam,
    chilled water, or communication.

80. [Past Year.]{.underline} The fiscal year immediately preceding the
    current year.

81. [Payback.]{.underline} The amortization period, in years, calculated
    by dividing the budget estimate by the total expected annual
    savings.

82. [Planned Repair.]{.underline} Repair performed prior to failure.
    Material condition degradation, usually identified through PM, PT&I,
    or other inspection, is repaired to prevent catastrophic failure.
    Also, see Repair.

83. [Planning, Programming, Budgeting, and Execution
    (PPBE).]{.underline} An Agency-wide methodology for aligning
    resources in a comprehensive, disciplined, top-down approach that
    supports the Agency's Vision and mission. It focuses on translating
    strategy into actionable programs and bringing together Agency
    priorities and strategic outcomes within the Agency's resource
    constraints. The four phases of alignment are:

> a\. Planning. The analysis of changing internal and external
> conditions, trends, threats, and technologies that will affect NASA's
> mission. This includes examining alternative strategies, defining long
> term strategic goals, multiyear outcomes, and short-term performance
> goals.
>
> b\. Programming. The defining and analyzing of programs and projects
> and their multi-year resource implications and evaluating alternatives
> and risks. Programming also serves to balance and integrate resources
> among the various programs according to identified priorities.
>
> c\. Budgeting. The formulation and justification of the budget to OMB
> and Congress.
>
> d\. Budget Execution. The process by which financial resources are
> made available to Agency organizations and are managed to achieve the
> purposes and objectives for which the budget was approved.

84. [Predictive Testing & Inspection (PT&I).]{.underline} The use of
    advanced technology to assess machinery condition. The PT&I data
    obtained allows for planning and scheduling preventive maintenance
    or repairs in advance of failure. Also, see Condition Monitoring and
    Condition-Based Maintenance.

85. [Preventive Maintenance (PM).]{.underline} Also called time-based
    maintenance or interval-based maintenance. PM is the planned,
    scheduled periodic inspection (including safety), adjustment,
    cleaning, lubrication, parts replacement, and minor (no larger than
    trouble call scope) repair of equipment and systems for which a
    specific operator is not assigned. PM consists of many checkpoint
    activities on items that, if disabled, would interfere with an
    essential Center operation, endanger life or property, or involve
    high cost or long lead time for replacement. To progress away from
    reactive maintenance, PM schedules periodic inspection and
    maintenance at predefined time or usage intervals in an attempt to
    reduce equipment failures. Depending on the intervals set, PM can
    result in a significant increase in inspection and routine
    maintenance. However, a weak or nonexistent PM program can result in
    safety and/or health risks to employees, much more emergency work,
    and costly repairs.

86. [Proactive Maintenance.]{.underline} The collective efforts to
    identify, monitor, and control future failure with an emphasis on
    understanding and eliminating the cause of failure. Proactive
    maintenance activities include development of design specifications
    to incorporate maintenance lessons learned and to ensure future
    maintainability and supportability, development of repair
    specifications to eliminate underlying causes of failure, and
    performing Root Cause Failure Analysis (RCFA) to understand why
    in-service systems failed.

87. [Program Year.]{.underline} A concept of accounting for funds,
    obligations, and outlays under a multi-year or no-year appropriation
    by the identification of transactions by the initial year in which
    an appropriation was available to the Agency for obligations.

88. [Programmed Maintenance (PGM).]{.underline} Those maintenance tasks
    whose cycle exceeds one year, such as painting a building every
    fifth year. (This category is different from PM in that if a planned
    cycle is missed, the original planned work still remains to be
    accomplished. Whereas in PM, only the next planned cycle is
    accomplished instead of doing the work twice, such as two
    lubrications, two adjustments, or two inspections.)

89. [Project.]{.underline} Within a program, this is an undertaking with
    a scheduled beginning and ending that normally involves one of the
    following primary purposes: (1) Design, development, and
    demonstration of major advanced hardware items; (2) design,
    construction, and operation of a new launch vehicle (and associated
    ground support) during its R&D phase; or (3) construction and
    operation of one or more aeronautical or space vehicles; this
    includes the necessary ground support to accomplish a scientific or
    technical objective.

90. Reactive Maintenance. See Repair.

91. [Real Property.]{.underline} Land, buildings, structures, utility
    systems, and improvements and appurtenances, thereto, permanently
    annexed to land. Also includes collateral equipment (i.e.,
    building-type equipment, built-in equipment, and large substantially
    affixed equipment).

92. [Real Property Inventory (RPI).]{.underline} A NASA-wide data system
    for real property that serves as an automated method for maintaining
    and reporting real property data. The RPI includes the forms, codes,
    and procedures used in the RPI that conform to NASA guidance and
    requirements. The RPI contains information on all NASA real estate
    including land, buildings, structures, utility systems,
    improvements, and appurtenances thereto, permanently annexed to
    land. The data in the RPI includes age, classification, CRV, and
    other information.

93. [Recurring Maintenance.]{.underline} Maintenance performed on an
    item of equipment that is planned and performed on a set work
    schedule. The work and work schedules are based on established
    standards.

94. [Rehabilitation and Modification.]{.underline} Facility work
    required to restore and enhance, alter, or adjust a facility or
    component, thereof, including collateral equipment, to such
    condition that it can be more effectively used for its presently
    designated purpose or to increase its functional capability. To
    simplify facility project titles, work may be properly identified as
    rehabilitation provided the primary reason for accomplishment is
    that the basic restoration work must be done in any event. It is
    prudent to accomplish any related enhancement, alteration, or
    adjustment work concurrently. If the pressing requirement is for
    alteration and adjustment work to achieve an increase in functional
    capability, then this may be simply classified as "modification,"
    even though restoration is also involved.

95. [Reimbursements.]{.underline} Amounts collected or to be collected
    for commodities, work, or services furnished or to be furnished to
    another appropriation or fund or to an individual, firm, or
    corporation that, by law, may be credited to an appropriation or
    fund account. Amounts to be collected include accounts receivable,
    reimbursements earned but not billed, and amounts anticipated for
    the remainder of the year. They may also include interagency orders
    accepted and on hand for which delivery has not been made, to the
    extent that the order is a valid obligation of the ordering agency,
    and the collection will be credited to the appropriation being
    reported.

96. [Reliability Centered Building and Equipment Acceptance
    (RCB&EA).]{.underline} The use of RCM and PT&I technologies in
    conjunction with traditional and total building commissioning
    process prior to and during the equipment startup/checkout phase of
    new construction, repair, and rehabilitation projects to ensure
    quality installation and accurate baseline documentation.

97. [Reliability Centered Maintenance (RCM).]{.underline} The process
    that is used to determine the most effective approach to
    maintenance. It involves identifying actions that, when taken, will
    reduce the probability of failure and that are the most cost
    effective. It seeks the optimal mix of Condition-Based Actions,
    other Time- or Cycle-Based actions, or a Run-to-Failure approach.
    (See also Condition-Based Maintenance, Predictive Testing &
    Inspection.)

98. [Repair.]{.underline} Facility work required to restore a facility
    or component, including collateral equipment, to a condition
    substantially equivalent to its originally intended and designed
    capacity, efficiency, or capability. It includes the substantially
    equivalent replacements of utility systems and collateral equipment
    necessitated by incipient or actual breakdown. It includes
    restoration of function, usually after failure. (Also, see Planned
    Repair.)

99. [Replacement of Obsolete Items.]{.underline} There are many
    components of a facility system that should be programmed for
    replacement as a result of becoming obsolescent (no longer
    parts-supportable), not meeting electrical or building codes, or
    being unsafe. The components, however, are still operational and
    would not be construed as a system repair. Examples are as follows:

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a.  Electric switchgear, breakers, and motor starters.

b.  Elevators.

c.  Control systems.

d.  Boiler and central HVAC systems and controls.

e.  Fire detection systems.

f.  Cranes and hoists.

g.  A/C systems using CFC refrigerants.

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100. [Resources.]{.underline} The actual assets of a governmental unit,
     such as funds, human resources, and material.

101. [Root-Cause Failure Analysis (RCFA).]{.underline} The process of
     exploring, in increasing detail, all possible causes related to a
     machine failure. Failure causes are grouped into general categories
     for further analysis. For example, causes can be related to
     machinery, people, methods, materials, policies, environment, and
     measurements.

102. [Service Requests.]{.underline} Service requests are not
     maintenance items, but are so often performed by facilities
     maintenance organizations that they become a part of the baseline.
     Service requests are requests for facilities-related work that is
     new in nature and, as such, should be funded by the requesting
     organization. Requests are initiated by anybody at the Center, are
     usually submitted on a form, often require approval by someone
     before any action is taken, and usually are planned and estimated.
     Materials are procured and shop personnel are discretely scheduled
     to accomplish the work.

103. [Specifications.]{.underline} A document that stipulates methods,
     materials, performance, testing, limitations, or other criteria
     that must be adhered to during the construction of a facility.

104. [Standard.]{.underline} Maintenance standards are defined as the
     expected condition or degree of usefulness of a facility or
     equipment item. A maintenance standard may be stated as both a
     desired condition and a minimum acceptable condition beyond which
     the facility or equipment is deemed unsatisfactory.

105. [Time-Based Maintenance.]{.underline} See Preventive Maintenance.

106. [Trouble Calls.]{.underline} Trouble calls are generally submitted
     by telephone or electronically by occupants of a facility (or
     facility managers or maintenance workers). This category is
     composed of two types of work:

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a.  [Routine Calls]{.underline} are minor facility problems that are too
    small to be estimated (usually less than about 20 work hours or
    \$2,000) and generally are responded to by grouping trouble calls by
    craft and location.

b.  [Emergency Calls,]{.underline} which normally start as trouble
    calls, require immediate action to eliminate hazards to personnel or
    equipment, to prevent loss of or damage to Center property, or to
    restore essential services that have been disrupted. Emergency work
    is usually a response-type work effort, often initially worked by
    trouble call technicians. Due to its nature, emergency work is not
    restricted to a level of effort, as are trouble calls.

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107. [Unconstrained Maintenance and Repair (M&R).]{.underline}
     Maintenance and repair work that a reasonable manager would
     estimate is needed to maintain a facility inventory in a "good
     commercial" level of condition without funding restraints. The
     estimate would not allow DM to grow and would provide a level of
     reliability that the supported programs would find acceptable for
     their missions.

108. [Work Control Center.]{.underline} The central organizational point
     for receipt, tracking, and management of work generated from all
     sources.

109. [Work Generation.]{.underline} The process of identifying and
     documenting maintenance deficiencies and requirements.

110. [Work Order.]{.underline} The document directing shops to perform
     certain items of maintenance work. It includes the specific
     maintenance task requirements (usually by craft), labor, material,
     and equipment estimates; coordinating instructions; and
     administrative and financial information.

111. [Work Request.]{.underline} A written or oral request from a
     customer or internal maintenance personnel who has observed a
     deficiency and perceives a need for maintenance or repair work or
     who has a request for new work. The work request is evaluated by
     management and, if approved, converted into a work order for
     accomplishment.

112. [Work-Year Equivalents.]{.underline} Contract hours computed by
     dividing the total hours compensated (includes regular hours,
     leave, compensatory time used, and overtime, but excluding leave
     without pay) by 2,087 hours.

# Appendix B. Acronyms {#appendix-b.-acronyms .unnumbered}

  -------------- --------------------------------------------------------
  A&E            Architect and Engineer

  A/C            Air-Conditioning

  APQC           American Productivity and Quality Council

  ASQ            American Society for Quality

  AWP            Annual Work Plan

                 

  BCI            Building Cost Index

  BMAR           Backlog of Maintenance and Repair

                 

  CADD           Computer Aided Design and Drafting

  CFC            Chlorofluorocarbons

  CFO            Chief Financial Officer

  CMMS           Computerized Maintenance Management System

  CoF            Construction of Facilities

  COSS           Center Operations Support Services

  COTR           Contracting Officer's Technical Representative

  CRV            Current Replacement Value

                 

  DESC           Defense Energy Support Center

  DM             Deferred Maintenance

                 

  EMCS           Energy Monitoring and Control System

  ENR            Engineering News Record

  EPA            Environmental Protection Agency

  EPS            Engineered Performance Standards

                 

  FAR            Federal Acquisition Regulation

  FCA            Facility (Facilities) Condition Assessment

  FCI            Facility Condition Index

  FEJE           Facilities Engineering Job Estimating

  FM             Facility Management

  FMS            Functional Management System

  FY             Fiscal Year

                 

  GIS            Geographic Information System

  GSA            General Services Administration

                 

  HQ             NASA Headquarters

  HVAC           Heating, Ventilating, and Air-Conditioning

                 

  IDIQ           Indefinite Delivery/Indefinite Quantity

  IPO            Institutional Program Office

  IRT            Infrared Thermography

  IT             Information Technology

                 

  JSC            Johnson Space Center

                 

  LCD            Liquid Crystal Display(s)

  LEED           Leadership in Energy and Environmental Design

                 

  M&R            Maintenance and Repair

  MADR           Maximum Allowable Defect Rate

  MCA            Motor Circuit Analysis

  MCE            Motor Circuit Evaluation

  MIL-STD        Military Standard

  MOA            Memorandum of Agreement

  MSDS           Material Safety Data Sheet

  MSI            Maintenance Support Information

                 

  NASA           National Aeronautics and Space Administration

  NPD            NASA Policy Directive

  NPDES          National Pollutant Discharge Elimination System

  NPR            NASA Procedural Requirements

  NRC            National Research Council

  NSN            National Stock Number

                 

  O&M            Operations and Maintenance

  OMB            Office of Management and Budget

  OSHA           Occupational Safety and Health Administration

                 

  P&E            Planning and Estimating (or Planner and Estimator)

  PBC            Performance-Based Contract(ing)

  PEC            Performance Evaluation Committee

  PGM            Programmed Maintenance

  PM             Preventive Maintenance

  POC            Point of Contact

  POP            Program Operating Plan

  PRS            Performance Requirements Summary

  PT&I           Predictive Testing and Inspection

  PUC            Public Utility Commission

  PWS            Performance Work Statement

                 

  QA             Quality Assurance

  QAE            Quality Assurance Evaluator

                 

  R&D            Research and Development

  RCB&EA         Reliability Centered Building and Equipment Acceptance

  RCFA           Root-Cause Failure Analysis

  RCM            Reliability Centered Maintenance

  ROI            Replacement of Obsolete Items

  RTP            Real-Time Pricing

                 

  SOP            Standard Operating Procedure

  SOW            Statement of Work

  SR             Service Request

                 

  TC             Trouble Call(s)

                 

  WBS            Work Breakdown Structure

  WCC            Work Control Center
  -------------- --------------------------------------------------------

# Appendix C. Resources {#appendix-c.-resources .unnumbered}

This appendix contains a representative sample of publications and
information sources for facilities maintenance managers. The information
presented, including telephone numbers and points of contact, is based
on information available at the time of publication. This is not an
all-inclusive list. Commercial publications contained herein are only
representative and not all-inclusive of any organization or source and
are not specifically endorsed or promoted by NASA.

C.1 NASA Publications

  -------- --------------- --------------------------------------------------------------------------------------
           **Publication   **Title**
           No.**           

  \(1\)    NPD 1440.6      NASA Records Management.

  \(2\)    NPR 1441.1      NASA Records Retention Schedules.

  \(3\)    NPR 1800.1      NASA Occupational Health Program Procedures.

  \(4\)    NPD 1800.2      NASA Occupational Health Program.

  \(5\)    NPD 1820.1      NASA Environmental Health Program.

  \(6\)    NPR 5100.4      Federal Acquisition Regulation Supplement (NASA/FAR Supplement).

  \(7\)    NPD 7330.1      Approval Authorities for Facility Projects.

  \(8\)    NPD 8500.1      NASA Environmental Management.

  \(9\)    NPR 8553.1      NASA Environmental Management System.

  \(10\)   NPR 8570.1      Energy Efficiency and Water Conservation.

  \(11\)   NPR 8621.1      NASA Procedural Requirements for Mishap and Close Call Reporting, Investigating, and
                           Recordkeeping.

  \(12\)   NPD 8700.1      NASA Policy for Safety and Mission Success.

  \(13\)   NPD 8710.2      NASA Safety and Health Program Policy.

  \(14\)   NPD 8710.5      Policy for Pressure Vessels and Pressurized Systems.

  \(15\)   NPR 8715.3      NASA General Safety Program Requirements.

  \(16\)   NPD 8730.5      NASA Quality Assurance Program Policy.

  \(17\)   NPR 8800.15     Real Estate Management Program Implementation Manual.

  \(18\)   NPD 8820.2      Design and Construction of Facilities.

  \(19\)   NPR 8820.2      Facility Project Requirements.

  \(20\)   NPD 8831.1      Maintenance and Operations of Institutional and Program Facilities and Related
                           Equipment.

  \(21\)   N/A             NASA Environmental Management Reference Manual.

  \(22\)   N/A             NASA GPWS for Center Operations Support Services (COSS).

  \(23\)   N/A             NASA GPWS for Center Operations Support Services (COSS) Addendum.

  \(24\)   N/A             [Reliability Centered Maintenance Guide for Facilities and Collateral
                           Equipment](http://www.milspecdocuments.com/download_spec.php?spec=NASA_RCM.267.pdf).

  \(25\)   N/A             [NASA Reliability Centered Building and Equipment Acceptance
                           Guide](http://www.wbdg.org/ccb/NASA/GUIDES/rcb_aeguide.pdf).
  -------- --------------- --------------------------------------------------------------------------------------

C.2 Other Government Agency Publications

  -------- ---------------------------------------------------------------------------
  \(26\)   U.S. General Accounting Office, [NASA Maintenance: Stronger Commitment
           Needed to Curb Facility Deterioration, Report to the Chair, Subcommittee on
           VA, HUD, and Independent Agencies, Committee on Appropriations, U.S.
           Senate, Washington, DC, December
           1990.](http://archive.gao.gov/d22t8/142816.pdf)

  \(27\)   U.S. General Accounting Office Report to the Chairman, House Republican
           Task Force on Privatization, March 1997, [Privatization Lessons Learned by
           State and Local Governments](http://www.gao.gov/cgi-bin/getrpt?GGD-97-48).

  \(28\)   Office of Management and Budget, [U.S. Government Performance of Commercial
           Activities](http://www.whitehouse.gov/omb/circulars/a076/a76_rev2003.pdf)
           (OMB Circular A-76 Revised), Washington, DC, May 2003.

  \(29\)   U.S. Office of the Federal Register, National Archives and Records
           Administration, [Federal Acquisition Regulation (FAR), 48 CFR Chapter
           1](http://www.arnet.gov/far/current/html/FARTOCP01.html).
  -------- ---------------------------------------------------------------------------

C.3 Other Government Agency Sources of Information

+------------+----------------------+---------------------------------+
| **Orga     | **Description**      | **Available from**              |
| nization** |                      |                                 |
+------------+----------------------+---------------------------------+
| Naval      | Engineered           | NAVFAC technical publications   |
| Facilities | Performance          | may be available through the    |
| E          | Standards are        | [NAVFAC                         |
| ngineering | available in a       | Library                         |
| Command    | computerized format  | ](https://portal.navfac.navy.mi |
| (NAVFAC)   | as part of the       | l/portal/page?_pageid=181,34462 |
|            | Public Works         | 52&_dad=portal&_schema=PORTAL). |
|            | Management           |                                 |
|            | Automation (PWMA),   | FEJE is available from:         |
|            | Facilities           |                                 |
|            | Engineering Job      | National Technical Information  |
|            | Estimating (FEJE)    | Service                         |
|            | program, available   |                                 |
|            | for                  | U.S. Department of Commerce,    |
|            | IBM-AT-compatible    | 5285 Port Royal Road,           |
|            | computers. FEJE is   | Springfield, VA 22161.          |
|            | composed of three    |                                 |
|            | submodules that      | \(703\) 487--4650,              |
|            | cover scoping        | [http://www.n                   |
|            | estimates, detailed  | tis.gov](http://www.ntis.gov/). |
|            | estimates, and       |                                 |
|            | Preventive           |                                 |
|            | Maintenance and      |                                 |
|            | Inspection (PM&I).   |                                 |
|            | The FEJE program     |                                 |
|            | permits addition of  |                                 |
|            | locally developed    |                                 |
|            | estimating standards |                                 |
|            | to the EPS database. |                                 |
+------------+----------------------+---------------------------------+
| U.S. Army  | None available.      | Publications are available      |
| Center for |                      | online through the Army Corps   |
| Public     |                      | of Engineers, Construction      |
| Works      |                      | Engineering Research Laboratory |
| Pu         |                      | homepage at                     |
| blications |                      | [http://w                       |
|            |                      | ww.cecer.army.mil.]{.underline} |
|            |                      |                                 |
|            |                      | U.S. Army Publications are also |
|            |                      | available from:                 |
|            |                      |                                 |
|            |                      | National Technical Information  |
|            |                      | Service                         |
|            |                      |                                 |
|            |                      | U.S. Department of Commerce,    |
|            |                      | 5285 Port Royal Road,           |
|            |                      | Springfield, VA 22161.          |
|            |                      |                                 |
|            |                      | \(703\) 487--4650,              |
|            |                      | [http://www.n                   |
|            |                      | tis.gov](http://www.ntis.gov/). |
+------------+----------------------+---------------------------------+
| General    | None available.      | General Services Administration |
| Services   |                      |                                 |
| Admi       |                      | National Forms and Publications |
| nistration |                      | Center (7CAFW), Warehouse 4,    |
|            |                      | Dock No. 1, 4900 South Hemphill |
|            |                      | Street, Fort Worth, TX 76102.   |
|            |                      |                                 |
|            |                      | \(817\) 334--5500,              |
|            |                      | [http://www                     |
|            |                      | .gsa.gov](http://www.gsa.gov/). |
+------------+----------------------+---------------------------------+
| U.S.       | None available.      | Publications are available from |
| Env        |                      | the EPA Web site or through:    |
| ironmental |                      |                                 |
| Protection |                      | U.S. Environmental Protection   |
| Agency     |                      | Agency                          |
|            |                      |                                 |
|            |                      | Public Information Center       |
|            |                      | (PM-211B), 401 M Street SW,     |
|            |                      | Washington, DC 20460.           |
|            |                      |                                 |
|            |                      | \(202\) 260--2080,              |
|            |                      | http://www.epa.gov.             |
+------------+----------------------+---------------------------------+

+---------------------+------------------------------------------------+
| **Federal and State |                                                |
| Agencies with       |                                                |
| Utility             |                                                |
| Restructuring       |                                                |
| Information for     |                                                |
| NASA Host States**  |                                                |
+---------------------+------------------------------------------------+
| **Organization**    | **Address**                                    |
+---------------------+------------------------------------------------+
| U.S. Department of  | Forrestal Building, 1000 Independence Avenue,  |
| Energy              | SW                                             |
|                     |                                                |
|                     | Washington, DC 20585.                          |
|                     |                                                |
|                     | \(800\) dial-DOE/ Fax (202) 586-4403,          |
|                     | [http                                          |
|                     | ://www.energy.gov/.](http://www.energy.gov/. ) |
+---------------------+------------------------------------------------+
| Energy Information  | 1000 Independence Ave., SW                     |
| Administration      |                                                |
|                     | Washington, DC 20585                           |
|                     |                                                |
|                     | \(202\) 586--8800,                             |
|                     | [http:/                                        |
|                     | /www.eia.doe.gov/.](http://www.eia.doe.gov/. ) |
+---------------------+------------------------------------------------+
| Federal Energy      | 888 First Street NE, Washington, DC 20426.     |
| Regulatory          |                                                |
| Commission          | \(202\) 502-6088, Toll-free (866) 208-3372,    |
|                     |                                                |
|                     | <http://www.ferc.gov/>.                        |
+---------------------+------------------------------------------------+
| National            | 1101 Vermont Avenue, NW, Suite 200,            |
| Association of      | Washington, DC 20005.                          |
| Regulatory Utility  |                                                |
| Commissioners       | \(202\) 898--2200/ Fax (202) 898--2213,        |
|                     |                                                |
|                     | [ht                                            |
|                     | tp://www.naruc.org/.](http://www.naruc.org/. ) |
+---------------------+------------------------------------------------+
| Alabama Public      | 100 N. Union Street, Montgomery, AL 36104.     |
| Service Commission  |                                                |
|                     | \(334\) 242--5218,                             |
|                     | <http://www.psc.state.al.us/>.                 |
+---------------------+------------------------------------------------+
| California Public   | Headquarters, 505 Van Ness Avenue, San         |
| Utilities           | Francisco, CA 94102.                           |
| Commission          |                                                |
|                     | \(415\) 703--2782,                             |
|                     | <http://www.cpuc.ca.gov/puc>.                  |
+---------------------+------------------------------------------------+
| Delaware Public     | 861 Silver Lake Boulevard, Cannon Building,    |
| Service Commission  | Suite 100, Dover, DE 19904.                    |
| (Wallops Island     |                                                |
| Service Area)       | \(302\) 736--7500/ Fax (302) 739--4849,        |
|                     | [http://www.state.de.                          |
|                     | us/delpsc/.](http://www.state.de.us/delpsc/. ) |
+---------------------+------------------------------------------------+
| Florida Public      | 2540 Shumard Oak Boulevard, Tallahassee, FL    |
| Service Commission  | 32399-0850.                                    |
|                     |                                                |
|                     | \(800\) 342-3552,                              |
|                     | <http://www.psc.state.f                        |
|                     | l.us/utilities/waterwastewater>[.]{.underline} |
+---------------------+------------------------------------------------+
| Louisiana Public    | 602 North Fifth Street, PO Box 91154, Baton    |
| Service Commission  | Rouge, LA 70821-9154.                          |
|                     |                                                |
|                     | \(225\) 342-4404/(800) 256-2397/Fax: (225)     |
|                     | 342-2831,                                      |
|                     | [                                              |
|                     | http://www.lpsc.org/.](http://www.lpsc.org/. ) |
+---------------------+------------------------------------------------+
| Maryland Public     | William Donald Schaefer Tower, 6 St. Paul      |
| Service Commission  | Street,                                        |
|                     |                                                |
|                     | Baltimore, MD 21202.                           |
|                     |                                                |
|                     | \(410\) 767--8000, (800) 492--0474,            |
|                     |                                                |
|                     | <http://www.psc.state.md.us/psc/>,             |
+---------------------+------------------------------------------------+
| Mississippi Public  | Woolfolk Building, 501 North West St.,         |
| Service Commission  | Jackson, MS 39201.                             |
|                     |                                                |
|                     | [http://www.psc                                |
|                     | .state.ms.us/.](http://www.psc.state.ms.us/. ) |
+---------------------+------------------------------------------------+
| New Mexico State    | 1120 Paseo de Peralta, Pera Bldg Rm. 536, PO   |
| Corporation         | Box 1269, Santa Fe, NM 87504-1269.             |
| Commission          |                                                |
|                     | \(888\) 427--5772,                             |
|                     |                                                |
|                     | [http://www.nmpr                               |
|                     | c.state.nm.us](http://www.nmprc.state.nm.us/). |
+---------------------+------------------------------------------------+
| Ohio Public Utility | 180 E. Broad Street, Columbus, OH 43215-3793.  |
| Commission          |                                                |
|                     | \(800\) 686--PUCO (7826),                      |
|                     |                                                |
|                     | [http://w                                      |
|                     | ww.puc.ohio.gov/.](http://www.puc.ohio.gov/. ) |
+---------------------+------------------------------------------------+
| Texas Public        | 1701 N. Congress Avenue, PO Box 13326, Austin, |
| Utility Commission  | TX 78711-3326.                                 |
|                     |                                                |
|                     | \(512\) 936--7000,                             |
|                     |                                                |
|                     | <http://www.puc.state.tx.us/>                  |
+---------------------+------------------------------------------------+

+----------------------+-----------------------------------------------+
| **General Services   |                                               |
| Administration       |                                               |
| Regions and Model    |                                               |
| Area-Wide            |                                               |
| Contracts**          |                                               |
+----------------------+-----------------------------------------------+
| **Organization**     | **Address**                                   |
+----------------------+-----------------------------------------------+
| Region 1 - New       | \(866\) 734-1727.                             |
| England (CT, ME, MA, |                                               |
| NH, RI, VT)          | <http://www.gsa.gov/Portal/gsa/ep/chann       |
|                      | elView.do?pageTypeId=8199&channelPage=%2Fep%2 |
|                      | Fchannel%2FgsaOverview.jsp&channelId=-13363>. |
+----------------------+-----------------------------------------------+
| Region 2 - Northeast | 26 Federal Plaza, New York, NY 10278.         |
| and Caribbean (NJ,   |                                               |
| except areas covered | \(212\) 264--3305.                            |
| by Region 3; NY;     |                                               |
| Puerto Rico, Virgin  | <http://                                      |
| Islands)             | www.gsa.gov/Portal/gsa/ep/channelView.do?page |
|                      | TypeId=8199&channelPage=%2Fep%2Fchannel%2Fgsa |
|                      | Overview.jsp&channelId=-13370>[.]{.underline} |
+----------------------+-----------------------------------------------+
| Region 3 -           | The Strawbridge Building, 20 North Eighth     |
| Mid-Atlantic (DE,    | Street Philadelphia , PA 19107-3191.          |
| MD, except areas     |                                               |
| covered by Region    | \(215\) 446--5100.                            |
| 11; NJ, except areas |                                               |
| covered by Region 2; | <http://www.gsa.gov/Portal/gsa/ep/chann       |
| PA, VA, except areas | elView.do?pageTypeId=8199&channelPage=%2Fep%2 |
| covered by Region    | Fchannel%2FgsaOverview.jsp&channelId=-13377>. |
| 11; WV)              |                                               |
+----------------------+-----------------------------------------------+
| Region 4 - Southeast | 77 Forsyth Street, Suite 600, Atlanta, GA     |
| Sunbelt (AL, FL, GA, | 30303.                                        |
| KY, MS, NC, SC, TN)  |                                               |
|                      | \(404\) 331--3200, Fax: (404) 331--0931.      |
|                      |                                               |
|                      | <http://www.gsa.gov/Portal/gsa/ep/chann       |
|                      | elView.do?pageTypeId=8199&channelPage=%2Fep%2 |
|                      | Fchannel%2FgsaOverview.jsp&channelId=-13384>. |
+----------------------+-----------------------------------------------+
| Region 5- Great      | Room 3700, 230 S. Dearborn St., Chicago, IL   |
| Lakes (IL, IN, MI,   | 60604.                                        |
| MN, OH, WI)          |                                               |
|                      | \(877\) 719--4894, Fax: (312) 353--5395.      |
|                      |                                               |
|                      | <http://                                      |
|                      | www.gsa.gov/Portal/gsa/ep/channelView.do?page |
|                      | TypeId=8199&channelPage=%2Fep%2Fchannel%2Fgsa |
|                      | Overview.jsp&channelId=-13391>[.]{.underline} |
+----------------------+-----------------------------------------------+
| Region 6 --          | 1500 E. Bannister Rd., Kansas City, MO        |
| Heartland (IA, KS,   | 64131-3088.                                   |
| MS, NE)              |                                               |
|                      | \(816\) 926-7201, Fax: (816) 926-7513.        |
|                      |                                               |
|                      | <http://                                      |
|                      | www.gsa.gov/Portal/gsa/ep/channelView.do?page |
|                      | TypeId=8199&channelPage=%2Fep%2Fchannel%2Fgsa |
|                      | Overview.jsp&channelId=-13398>[.]{.underline} |
+----------------------+-----------------------------------------------+
| Region 7 - Greater   | 819 Taylor Street, Suite 11A00, Ft. Worth, TX |
| Southwest (NM, OK,   | 76102-0000.                                   |
| TX, AK, LA)          |                                               |
|                      | Phone: (817) 978--2321, Fax: (817) 978--4867. |
|                      |                                               |
|                      | <http://www.gsa.gov/Portal/gsa/ep/chann       |
|                      | elView.do?pageTypeId=8199&channelPage=%2Fep%2 |
|                      | Fchannel%2FgsaOverview.jsp&channelId=-13405>. |
+----------------------+-----------------------------------------------+
| Region 8 - Rocky     | Denver Federal Center Building 41, Denver ,   |
| Mountain (CO, MT,    | CO 80225-0000.                                |
| ND, SD, UT, WY)      |                                               |
|                      | \(303\) 236--7329.                            |
|                      |                                               |
|                      | <http://                                      |
|                      | www.gsa.gov/Portal/gsa/ep/channelView.do?page |
|                      | TypeId=8199&channelPage=%2Fep%2Fchannel%2Fgsa |
|                      | Overview.jsp&channelId=-13412>[.]{.underline} |
+----------------------+-----------------------------------------------+
| Region 9 - Pacific   | 450 Golden Gate Avenue, San Francisco, CA     |
| Rim (AZ, CA, HI, NE, | 94102.                                        |
| American Samoa,      |                                               |
| Diego Garcia, and    | \(415\) 522--3001.                            |
| the Indian Ocean,    |                                               |
| Guam, Japan, Korea,  | <http://                                      |
| and Saipan)          | www.gsa.gov/Portal/gsa/ep/channelView.do?page |
|                      | TypeId=8199&channelPage=%2Fep%2Fchannel%2Fgsa |
|                      | Overview.jsp&channelId=-13419>[.]{.underline} |
+----------------------+-----------------------------------------------+
| Region 10 -          | 400 15th Street, SW, Auburn, WA 98001.        |
| Northwest/Arctic     |                                               |
| (AK, ID, OR, WA)     | \(253\) 931­--7000,                            |
|                      |                                               |
|                      | <http://www.gsa.gov/Portal/gsa/ep/chan        |
|                      | nelView.do?pageTypeId=8199&channelPage=%2Fep% |
|                      | 2Fchannel%2FgsaOverview.jsp&channelId=-13426> |
+----------------------+-----------------------------------------------+
| Region 11 - National | 301 7th Street, SW, Washington, DC 20407.     |
| Capital (DC,         |                                               |
| MD---Montgomery and  | \(202\) 708--9100, Fax: (202) 708--9966,      |
| Prince George's      |                                               |
| Counties;            | <http://                                      |
| Virginia---City of   | www.gsa.gov/Portal/gsa/ep/channelView.do?page |
| Fairfax, Arlington,  | TypeId=8199&channelPage=%2Fep%2Fchannel%2Fgsa |
| Fairfax, Loudoun,    | Overview.jsp&channelId=-13433>[.]{.underline} |
| and Prince William   |                                               |
| Counties)            |                                               |
+----------------------+-----------------------------------------------+

C.4 Trade and Research Organizations Publications

  -------- --------------------------------------------------------------------------------------------------------------
  \(30\)   National Research Council, Building Research Board, *Committing to the Cost of Ownership: Maintenance and
           Repair of Public Buildings*, Washington, DC, 1990.

  \(31\)   National Research Council, *Stewardship of Federal Facilities -- A Proactive Strategy for Managing the
           Nation's Public Assets*, National Academy Press, Washington, DC, 1998.
           <http://www.nap.edu/catalog.php?record_id=6266>.

  \(32\)   Federal Facilities Council Standing Committee on Operations and Maintenance, Federal Facilities Council
           Technical Report #141, *Deferred Maintenance Reporting for Federal Facilities -- Meeting the Requirements of
           the Federal Accounting Standards Advisory Board Standard Number 6, as Amended*, National Academy Press,
           Washington, DC, 2001 <http://www.nap.edu/catalog.php?record_id=10095>.

  \(33\)   The Construction Specifications Institute, [*MasterFormat -- 2004 Edition Numbers &
           Titles*](http://www.csinet.org/s_csi/docs/9400/9361.pdf ), Alexandria, VA, October 2005.

  \(34\)   Construction Specifications Institute, *Masterformat -- Manual of Practice*, Alexandria, VA, 2004. [CSI
           Masterformat Manual of Practice 2004 Edition: Builder\'s Book, Inc.
           Bookstore](http://www.buildersbook.com/Merchant2/merchant.mvc?Store_Code=bbi&Screen=PROD&Product_Code=CSI1).

  \(35\)   The Association of Higher Education Facilities Offices (APPA), *The Building Commissioning Handbook*, Second
           Edition, John A. Heinz & Rick Casault, Alexandria, VA.
           [https://www.appa.org//bookstore/index.cfm?](https://www.appa.org/bookstore/index.cfm?).
  -------- --------------------------------------------------------------------------------------------------------------

C.5 Other Trade and Research Association Sources of Information

The following is a sample of organizations that produce publications
applicable to the maintenance and repair of NASA Centers. A listing of
publications and special reports is available upon request from each of
the organizations.

**Air Conditioning and Refrigeration Institute**

4100 North Fairfax Drive, Suite 200, Arlington, VA 22203

\(703\) 524-8800, Fax (703) 528-3816, <http://www.ari.org/>

**American National Standards Institute (ANSI)**

1819 L Street, NW, 6th floor, Washington, DC 20036

\(202\) 293--8020, Fax (202) 293--9287,
[http://www.ansi.org](http://www.ansi.org/)

**American Public Works Association (APWA)**

2345 Grand Boulevard, Suite 700, Kansas City, MO 64108-2625

\(800\) 848--APWA, Fax (816) 472--1610, <http://www.apwa.net/>

**American Society for Quality (ASQ)**

PO Box 3005, Milwaukee, WI 53201-3005

\(800\) 248--1946, Fax (414) 272-1734,
[http://www.asq.org/](../%20%20http://www.asq.org/%20)

**American Society for Training and Development**

1640 King St., Alexandria, VA 22313-1443

\(800\) 628--2783, Fax (703) 683--1523,
[http://www.astd.org](../%20http://www.astd.org%20)

**American Society of Civil Engineers (ASCE)**

1801 Alexander Bell Drive, Reston, VA 20191-4400

\(800\) 548--2723, [http://www.asce.org](http://www.astd.org/)

**American Society of Heating, Refrigerating, and Air-Conditioning
Engineers, (ASHRAE)**

1791 Tullie Circle, NE, Atlanta, GA 30329

\(404\) 636--8400, Fax (404) 321--5478,
[http://www.ashrae.org](../%20http://www.ashrae.org%20)

**American Society of Mechanical Engineers (ASME)**

Three Park Ave., New York, NY 10016-5990,

\(800\) 843--2763, [http://www.asme.org](http://www.asme.org/)

**Association of Energy Engineers (AEE)**

4025 Pleasantdale Rd., Suite 420, Atlanta, GA 30340

\(770\) 447-5083, ext. 210, Fax (770) 446-3969,
<http://www.aeecenter.org/>

**Association for Facilities Engineering (AFE)**

12100 Sunset Hills Road, Suite 130, Reston, VA 20190

\(703\) 234-4066, [http://www.afe.org](../%20%20http://www.afe.org%20)

**Association of Physical Plant Administrators of Universities and
Colleges (APPA)**

1643 Prince Street, Alexandria, VA 22314-2818

\(703\) 684--1446, Fax (703) 549--2772,
[http://www.appa.org](../%20%20http://www.appa.org%20)

**Board on Infrastructure and the Constructed Environment (BICE), The
National Academies**

500 Fifth Street, NW, Keck WS938, Washington, DC 20001

\(202\) 334--3505/ Fax (202) 334-3718,
<http://www7.nationalacademies.org/bice/>

**The Construction Specifications Institute**

99 Canal Center Plaza, Suite 300, Alexandria, VA 22314-1588

\(800\) 689--2900, Fax (703) 684--8436,
[http://www.csinet.org](http://www.csinet.org/)

**Institute for Electrical and Electronic Engineers (IEEE)**

455 Hoes Ln., Piscataway, NJ 08854-4141

\(800\) 701--IEEE, Fax (732) 981--9667,
[http://www.ieee.org](http://www.ieee.org/)

**International Facility Management Association (IFMA)**

1 E. Greenway Plaza, Suite 1100, Houston, TX 77046-0194

\(713\) 623--4362, Fax (713) 623--6124, <http://www.ifma.org/>

**International Organization for Standardization**

(Note: ANSI is the United States affiliate.)

1, ch. de la Voie-Creuse, Case postale 56, CH-1211 Geneva 20 Switzerland

Telephone +41 22 749 01 11, [http://www.iso.ch](http://www.iso.ch/)

**National Association for Corrosion Engineers (NACE)**

1440 South Creek Drive, Houston, TX 77084-4906 USA

\(800\) 797--NACE (6223), Fax (281) 228--6300, <http://www.nace.org/>

**National Association of Power Engineers (NAPE)**

1 Springfield St., Chicopee, MA 01013

\(413\) 592--6273, <http://www.powerengineers.com/>

**National Electrical Manufacturer's Association (NEMA)**

1300 North 17th St., Suite 1752, Rosslyn, VA 22209

\(703\) 841--3200, Fax (703) 841--5900,
[http://www.nema.org](../%20%20http://www.nema.org%20)

**National Fire Protection Association**

1 Batterymarch Park, Quincy, MA 02169-7471

\(800\) 344--3555, Fax (800) 593--6372, http://www.nfpa.org

**The National Institute of Building Sciences**

1090 Vermont Avenue, NW, Suite 700, Washington, DC 20005-4905

\(202\) 289--7800, Fax (202) 289--1092,
[http://www.nibs.org](http://www.nibs.org/)

**Sheet Metal and Air Conditioning Contractors' National Association
(SMACNA)**

4201 Lafayette Center Drive, Chantilly, VA 20151-1209

\(703\) 803--2980, Fax (703) 803--3732,
[http://www.smacna.org](http://www.smacna.org/)

**Society for Maintenance and Reliability Professionals (SMRP)**

8201 Greensboro Drive, Suite 300, McLean, Virginia 22102

\(800\) 950--7354, Fax (703) 610--9005,
[http://www.smrp.org](http://www.smrp.org/)

C.6 Commercial Publications

**R.S. Means Company, Inc.**

P. O. Box 800, Kingston, MA 02364-9988; <http://www.rsmeans.com/>

The R.S. Means Company, Inc. offers a series of cost-estimating guides
that should be referred to, as appropriate. Most of the guides are
oriented toward facilities construction and repair work. However, they
can be used for estimating construction-like facilities maintenance
work. The Means Facilities Cost Data guide contains entries for
facilities maintenance. The Means guides are updated each year. Means
offers more than 35 publications related to cost estimating.

C.7 Sources of Information on Predictive Testing Techniques

In addition to publishing their own professional journals, many of the
organizations listed below serve as clearinghouses for textbooks,
technical papers, presentations, and other publications that are
available at a reasonable cost. The magazines and groups listed below
usually have advertisements and articles related to condition monitoring
technologies. Some of the magazines are free to "qualified" individuals,
while others are available only to members.

+-----------------------------------------------------------------------+
| *AFE Facilities Engineering Journal*                                  |
|                                                                       |
| Association for Facilities Engineering (AFE)                          |
|                                                                       |
| 12100 Sunset Hills Road, Suite 130, Reston, VA 20190                  |
|                                                                       |
| \(703\) 234-4066, [http://www.afe.org.](../%20http://www.afe.org.%20) |
+-----------------------------------------------------------------------+
| *IEEE Spectrum*                                                       |
|                                                                       |
| Institute for Electrical and Electronic Engineers (IEEE)              |
|                                                                       |
| 455 Hoes Ln., Piscataway, NJ 08854-4141                               |
|                                                                       |
| \(800\) 701--IEEE, Fax (732) 981--9667,                               |
| [http://www.ieee.org](http://www.ieee.org/).                          |
+-----------------------------------------------------------------------+
| *Maintenance Technology*                                              |
|                                                                       |
| Applied Technical Publications, Inc.                                  |
|                                                                       |
| 1300 S. Grove Ave., Suite 105, Barrington, IL 60010                   |
|                                                                       |
| \(847\) 382--8100, Fax (847) 304--8603,                               |
| [http:www.mt-online.com](http://www.mt-online.com/).                  |
+-----------------------------------------------------------------------+
| *Industrial Maintenance and Plant Operation* (IMPO)                   |
|                                                                       |
| Advantage Business Media                                              |
|                                                                       |
| 100 Enterprise Drive, Suite 600, Box 912, Rockaway, NJ 07866-0912     |
|                                                                       |
| \(973\) 920--7174, Fax (973) 607--5530,                               |
| [http://www.impomag.com](http://www.impomag.com/).                    |
+-----------------------------------------------------------------------+
| *Buildings, The Facilities Construction and Management Magazine*      |
|                                                                       |
| Stamats Communications, Inc.                                          |
|                                                                       |
| 615 Fifth St. SE, PO Box 1888, Cedar Rapids, IA 52406-1888            |
|                                                                       |
| \(319\) 364--6167, Fax (319) 364-4278, <http://www.buildings.com/>.   |
+-----------------------------------------------------------------------+
| [facilitiesnet](http://www.facilitiesnet.com/)                        |
|                                                                       |
| Trade Press Publishing Corp.                                          |
|                                                                       |
| 2100 W. Florist Ave., Milwaukee, WI 53209                             |
|                                                                       |
| \(800\) 727--7995, Fax (414) 228--1134.                               |
+-----------------------------------------------------------------------+
| Society for Machinery Failure Prevention Technology (MFPT)            |
|                                                                       |
| 5100 Springfield Street, Suite 420, Dayton, OH 45431-1264             |
|                                                                       |
| \(937\) 256--2285, Fax (937) 256--2603,                               |
| [www.mfpt.org](http://www.mfpt.org/).                                 |
+-----------------------------------------------------------------------+
| Society for Maintenance and Reliability Professionals (SMRP)          |
|                                                                       |
| 8201 Greensboro Drive, Suite 300 , McLean, VA 22102                   |
|                                                                       |
| \(800\) 950--7354, Fax (703) 610--9005,                               |
| [http://www.smrp.org](http://www.smrp.org/).                          |
+-----------------------------------------------------------------------+
| The International Society for Optical Engineering (Thermosense        |
| Working Group)                                                        |
|                                                                       |
| 1000 20th Street, PO Box 10, Bellingham, WA 98227-0010                |
|                                                                       |
| \(888\) 504--8171, Fax (360) 647--1445,                               |
| [www.spie.org](http://www.spie.org/).                                 |
+-----------------------------------------------------------------------+
| Vibration Institute                                                   |
|                                                                       |
| 6262 S. Kingery Highway, Suite 212, Willowbrook, IL 60527             |
|                                                                       |
| \(630\) 654--2254, Fax (630) 654--2271,                               |
| [www.vibinst.org](http://www.vibinst.org/).                           |
+-----------------------------------------------------------------------+
| *Plant Services*                                                      |
|                                                                       |
| Putman Publishing Company                                             |
|                                                                       |
| 555 West Pierce Rd., Suite 301, Itasca, IL 60143                      |
|                                                                       |
| \(630\) 467--1300, <http://www.plantservices.com/>.                   |
+-----------------------------------------------------------------------+
| The American Society of Nondestructive Testing (ASNT)                 |
|                                                                       |
| 1711 Arlingate Lane, PO Box 28518, Columbus, OH 43228-0518            |
|                                                                       |
| \(800\) 222--2768, Fax (614) 274--6899, <http://www.asnt.org/>.       |
+-----------------------------------------------------------------------+
| *Uptime Magazine*                                                     |
|                                                                       |
| PO Box 60075, Ft. Myers, FL 33906                                     |
|                                                                       |
| \(888\) 575--1245,                                                    |
| [http://www.uptimemagazine.com](http://www.uptimemagazine.com/).      |
+-----------------------------------------------------------------------+

# Appendix D. Sample Maintenance Management Forms and Documents {#appendix-d.-sample-maintenance-management-forms-and-documents .unnumbered}

This appendix recommends sample forms for use in facilities maintenance
management. The information in the forms should be part of a
Computerized Maintenance Management System (CMMS) database. The forms
should be tailored to meet the needs of the users, the capabilities of
the CMMS, and the other automation systems used. (The sample forms also
should prove useful when comparing reports and formats during the
evaluation of candidate CMMSs.)

**D.1 Trouble Call Ticket**

D.1.1 Sample Trouble Call Ticket. Figure D-1 is a sample TC ticket. It
is used with TCs, may be used as an alternative to a standard work order
for small jobs (typically involving 20 work hours or less effort), and
is used for work that usually is not planned or estimated. It contains
data fields considered essential for effectively managing TC and small
jobs. Usually, it is printed on half-size sheets (often card stock) or
is in electronic format on palm-top computers for use by technicians in
the field. A printer may be located in the shops, remote from the work
reception center, to speed TC ticket delivery.

D.1.2 Data Elements. The following data elements are recommended for the
TC ticket system. The elements provide the information that the crafts
personnel need to perform the work and that management needs to analyze
the work. All listed information need not be recorded if it is available
in the CMMS or can be obtained from other data elements. For example,
the FMS code does not need to be recorded if it can be obtained from the
accounting data.

[Data Fields]{.underline} [Definition:]{.underline}

1\. Date The date the work was received by the work reception desk.

2\. Time The time the work was received by the work reception desk.

3\. Work Order Number The unique identifying number assigned to the TC
ticket. On the example, it is shown in bar code as well as in numerals.
(The use of bar codes can speed data entry and reduce data entry
errors.)

4\. Location The facility number and any other pertinent data regarding
the location or work site of the requested work.

5\. Priority The work priority rating.

6\. POC Point of Contact (POC), the name of the person requesting the
work.

7\. Phone The telephone number of the POC.

8\. Title A short description of the work. This should contain
descriptive key words that can be used later for database searches for
similar work.

9\. Work A detailed statement of the work.

10\. Comments A space for the shops to record comments on the work
performed.

11\. Material Used The material used for the TC ticket if beyond that
carried as bench stock or in preexpended bins.

12\. Shop The craft shop performing the work. (The form permits entering
up to three shops.)

13\. Hours Hours, the amount of labor used to complete the TC ticket by
each shop involved.

14\. Mech Mechanic, the initials (or other identifier) of the mechanic
performing the work.

15\. Acct Accounting, the accounting data or charge number for financial
accounting.

16\. Class Class, a locally definable descriptor for the work that can
be used for analysis of TC tickets.

17\. Type Work Element, defined in paragraph 1.5.1.c.

18\. SI Special Interest, the indicator defined in paragraph 5.5.4.3.d.

19\. Rcvd By Received By, the person receiving the request for work.

20\. Checked By The person checking the completed work, if any (usually
the supervisor).

21\. D/C Date Completed, date work completed (could include time also).

**TROUBLE CALL TICKET**

![](media/image12.wmf){width="1.3284722222222223in"
height="0.5888888888888889in"} Date: [(1)]{.underline} Time:
[(2)]{.underline}

Location: [(4)]{.underline}

\(3\) Priority: [(5)]{.underline}

POC: [(6)]{.underline} Phone: [(7)]{.underline}

Title: [(8)]{.underline}

Work: [(9)]{.underline}

Comments: [(10)]{.underline}

Material Used: [(11)]{.underline}

[\
]{.underline}

Shop: [(12)]{.underline} Shop: Shop:

Hrs: [(13)]{.underline} Hrs: Hrs:

Mech: [(14)]{.underline} Mech: Mech:

Acct: [(15)]{.underline}

Class: [(16)]{.underline} Type: [(17)]{.underline}

SI: [(18)]{.underline} Rcvd By: [(19)]{.underline}

Checked By: [(20)]{.underline} D/C: [(21)]{.underline}

[]{#__RefHeading___Toc205396779 .anchor}Figure D-1 Sample Form: Trouble
Call Ticket

D.1.3 Instructions for Use. The TC ticket should be automated as part of
the CMMS. Initial data entry can then be accomplished at a computer
terminal by the work reception clerk as the work is received. In many
cases, requests will be received by telephone. However, they may be
received by electronic mail. A TC ticket may be the means of issuing
facilities maintenance work requested by other means, such as a request
for facilities maintenance services (see paragraph D.2, Request for
Facilities Maintenance Services), or as the result of an inspection,
when the scope of work is small. The following discusses use of the
form.

a.  The work order number is normally assigned by the CMMS. However,
    this can be accomplished manually. If it is assigned manually, it
    should be checked for duplications. The use of a bar code can speed
    subsequent processing and closing the TC ticket while reducing
    data-entry errors. (Most CMMSs support printing of bar codes.)

b.  The work reception clerk enters the Date, Time, Location, Priority,
    POC, Phone, Title, and Work data. Normally, this information is
    obtained during the initial telephone request. The clerk shall use
    the Center's priority system when assigning the priority. The Work
    data entry may take the form of a description of the problem or the
    desired result; for example, "Door closer is broken" or "Fix leaking
    sink." The Work data entry also can include special coordination
    instructions or specific due dates. It is essential that the POC and
    Phone data entries be correct to permit the shops to obtain
    additional information, if required. Based on the foregoing
    information, the work reception clerk determines and enters the
    Scope, Type, Special Interest (SI), and accounting data (Acct). The
    clerk completes the form by entering the name or other identifier in
    the Rcvd By block. (Bar coding can expedite completion of the ticket
    by using a dictionary of standard terms, phrases, and other data
    available to the work reception clerk. The clerk can scan a bar code
    dictionary entry in lieu of typing a data field. This offers the
    dual advantages of reducing keyboard errors and using standard
    vocabulary for the data element.) Once this data is entered, the TC
    ticket is sent to the shops.

c.  The shop supervisor reviews the TC ticket and assigns it to a
    mechanic for accomplishment, in accordance with its priority.
    Routine work is normally grouped by location and craft to minimize
    time lost in travel. In some cases a job may require specialized
    skills not found in the shop that normally performs TC tickets, in
    which case, it is assigned to another shop for completion; for
    example, machining a special fitting.

d.  The mechanic performing the work enters the work performed in the
    Comments area and the Material Used if material beyond that carried
    as bench stock or in preexpended bins is required. Alternatively,
    the Materials Used information may be obtained as part of a
    materials management module in the CMMS when the material is issued
    to the mechanic. Unusual conditions encountered are noted in the
    Comments block as well. The mechanic initials the form upon
    completion.

e.  The shop supervisor enters the identification and the labor hours
    used on the TC ticket. The shop supervisor checks the completed form
    to ensure that all entries are made and returns it to the work
    control center to be closed. If the supervisor or other official
    inspects the competed work, this is indicated by initialing the
    Checked By block.

f.  When the completed form is returned to the work control center, it
    is closed by entering the completion data in the CMMS. This will
    normally include labor and material expenditures, completion date,
    and applicable comments on work performed. The information becomes
    part of the maintenance history file. A hard copy of the TC ticket
    need not be retained if the data is stored in the CMMS and backed
    up. If it is determined by the mechanic or supervisor that followup
    action is required, the work reception clerk enters the required
    action into the work control system. This may take the form of
    another TC ticket or a request for facilities maintenance services
    (see paragraph D.2, Request for Facilities Maintenance Services).

**D.2 Request for Facilities Maintenance Services**

D.2.1 Sample Form: Request for Facilities Maintenance Services, Figure
D-2, is a sample form to be used by customers to document SRs or to
request other facilities maintenance services. The primary purpose for
this form is to document requests for work. The key factors are ensuring
that sufficient data is obtained to identify, describe, and manage the
work; that the work is properly authorized; that the work is properly
tracked; and that accountability is maintained. The work may be
accomplished as a TC ticket, a work order, or by separate contract,
depending on its urgency, scope, and cost. The determination on how the
work is accomplished is made as part of the facilities maintenance
management process.

D.2.2 Data Elements

[Data Fields:]{.underline} [Definition:]{.underline}

1\. Originator: The name (or other identifier) of the requesting
organization/customer.

2\. Date: The date the request is submitted.

3\. POC: Point of Contact, the name of the person to be contacted
regarding the request.

4\. Phone: The telephone number for the POC.

5\. Cust. No.: Customer Number, an identification number assigned by the
submitting organization. (This is optional, but it gives the originator
the ability to assign the organization's own identification or tracking
number.)

6\. Location: The facility number and any other pertinent data regarding
the location where the work is to be done.

7\. Priority: The work priority rating.

8\. RCD: Requested Completion Date, the completion date requested for
the services.

9\. Estimate Only: An indicator that the originator wants a cost
estimate for the work requested rather than immediate performance of the
work.

10\. Customer Signature: The signature of an individual authorized to
submit requests from the requesting organization. (Other validation
systems may be used, such as an authorization number if received by
electronic mail.)

11\. Requested Work: A description of the requested work and a
justification for the request if it is for other than maintenance.

12\. Special Instructions: Any special permits, coordination, outages,
or other requirements the originator is aware of that apply to this
work.

+--------------+--------------+--------------+---------+-------------+
| **REQUEST    |              |              |         |             |
| FOR          |              |              |         |             |
| FACILITIES   |              |              |         |             |
| MAINTENANCE  |              |              |         |             |
| SERVICES**   |              |              |         |             |
+--------------+--------------+--------------+---------+-------------+
| Originator:  |              |              |         | Date:       |
| **(1)**      |              |              |         | **(2)**     |
+--------------+--------------+--------------+---------+-------------+
| POC: **(3)** |              |              | Phone:  | Cust. No.:  |
|              |              |              | **(4)** | **(5)**     |
+--------------+--------------+--------------+---------+-------------+
| Location:    |              |              |         | Priority:   |
| **(6)**      |              |              |         | **(7)**     |
+--------------+--------------+--------------+---------+-------------+
| RCD: **(8)** | Estimate     | Customer     |         |             |
|              | Only:        | Signature:   |         |             |
|              | **(9)**      | **(10)**     |         |             |
|              |              |              |         |             |
|              | Y\_\_\_      |              |         |             |
|              | N\_\_\_      |              |         |             |
+--------------+--------------+--------------+---------+-------------+
| Requested    |              |              |         |             |
| Work:        |              |              |         |             |
| **(11)**     |              |              |         |             |
+--------------+--------------+--------------+---------+-------------+
| Special      |              |              |         |             |
| I            |              |              |         |             |
| nstructions: |              |              |         |             |
| **(12)**     |              |              |         |             |
+--------------+--------------+--------------+---------+-------------+
|              |              |              |         |             |
+--------------+--------------+--------------+---------+-------------+
| APPROVAL/ACT |              |              |         |             |
| ION/ESTIMATE |              |              |         |             |
+--------------+--------------+--------------+---------+-------------+
| WICN:        | Date Rcvd:   | W.O. \#      | ES      | Labor:      |
| **(13)**     | **(14)**     | **(15)**     | TIMATED | **(16)**    |
|              |              |              | C       |             |
|              |              |              | OSTS-\> |             |
+--------------+--------------+--------------+---------+-------------+
| Approval     |              |              |         | Material:   |
| Status:      |              |              |         | **(17*)***  |
| **(21)**     |              |              |         |             |
|              |              |              |         |             |
| APPROVED:    |              |              |         |             |
| \_\_         |              |              |         |             |
| APPROVED     |              |              |         |             |
| (Subject to  |              |              |         |             |
| customer     |              |              |         |             |
| funding):    |              |              |         |             |
| \_\_         |              |              |         |             |
| DISAPPROVED: |              |              |         |             |
| \_\_         |              |              |         |             |
+--------------+--------------+--------------+---------+-------------+
| Comments:    |              |              |         | Equipment:  |
| **(22)**     |              |              |         | **(18)**    |
+--------------+--------------+--------------+---------+-------------+
|              |              |              |         | Other:      |
|              |              |              |         | **(19)**    |
+--------------+--------------+--------------+---------+-------------+
|              |              |              |         | Total Est:  |
|              |              |              |         | **(20)**    |
+--------------+--------------+--------------+---------+-------------+
|              |              |              |         |             |
+--------------+--------------+--------------+---------+-------------+
| CUSTOMER     |              |              |         |             |
| FUNDING DATA |              |              |         |             |
+--------------+--------------+--------------+---------+-------------+
| Fund         |              |              |         |             |
| Citatio      |              |              |         |             |
| n/Accounting |              |              |         |             |
| Data:        |              |              |         |             |
| **(23)**     |              |              |         |             |
+--------------+--------------+--------------+---------+-------------+
| Authorizing  |              |              |         | Date:       |
| Signature:   |              |              |         | **(25)**    |
| **(24)**     |              |              |         |             |
+--------------+--------------+--------------+---------+-------------+

[]{#__RefHeading___Toc205396780 .anchor}Figure D-2. Sample Form: Request
for Facilities Maintenance Services

13\. WICN: Work Input Control Number, a unique identifier assigned by
the facilities maintenance organization to identify the request for
subsequent tracking by the facilities maintenance organization.

14\. Date Rcvd: The date the request is received by the facilities
maintenance organization's work reception desk.

15\. W.O. #: Work Order Number, the identifying number of the work order
that the requested work is being accomplished under, if applicable.

16\. Labor: Estimated labor cost for the work.

17\. Material: Estimated material cost for the work.

18\. Equipment: Estimated equipment cost for the work.

19\. Other: Estimated other costs for the work. (This could include
items such as one-time contracts for portions of the work.)

20\. Total Est: Total estimated cost.

21\. Approval Status: An indicator to document the fact that the work:
(a) Is approved and will be performed by the facilities maintenance
organization using the funds cited in block 23, (b) is approved subject
to funding by the originator, or (c) is disapproved.

22\. Comments: Additional information, such as the reason for
disapproval or a note regarding sketches or attachments to a returned
estimate.

23\. Fund Citation: A fund citation or accounting data to cover the
work.

24\. Authorizing Signature: Signature by competent authority granting
approval to charge the funds in the Fund Citation data field for the
work.

25\. Date: The date the authorizing signature is affixed.

26\. Internal Status: This information is not shown on the sample
printed form, but should be contained in the CMMS database. It is a
series of status tracking data fields used by the facilities maintenance
organization. The status data includes the date and current processing
status of the request as well as who has the request for action and what
actions have been completed.

D.2.3 Instructions for Use. The Request for Facilities Maintenance
Services should be automated as part of the CMMS. However, because it
originates with a customer, entry into the CMMS may not take place until
after it is submitted by the originator and received by the work control
center. Where electronic mail is available or customers have network
access to the CMMS, it may be possible to automate the submission and
initial data entry. The form is used as follows:

a.  The originator provides the required information for data fields 1
    through 12, 23, 24, and 25. The remaining fields are the
    responsibility of the facilities maintenance organization. Normally,
    fields 1 through 12 are filled in at the time of the initial
    submission. The Estimate Only "Y" block is selected if the
    originator is requesting only a cost estimate.

b.  When the facilities maintenance work reception desk, in the Work
    Control Center (WCC), receives the request, the work reception clerk
    enters the date received and assigns a work input control number for
    tracking purposes.

c.  The WCC (typically the work reception clerk) screens the request to
    determine what action is required. If the request is for work
    properly accomplished as a TC ticket, the WCC prepares a TC ticket
    and notes this in the Work Order block (15) and the Comments block
    (22). The WCC notifies the originator by completing the Approval
    Status (21) and returning a copy to the originator.

d.  If the request is for an estimate only, the WCC forwards it to the
    estimators. When the P&Es complete the estimate, they fill in the
    Labor, Material, Equipment, Other, and Total blocks (16--20) and
    return it to the WCC. The WCC notifies the originator by returning a
    copy of the request with the estimate data. The returned package may
    include the detailed estimate and job plan prepared by the P&E, a
    request for funds, and a tentative or conditional scheduling window
    for the work.

e.  If the request is for the performance of work that requires planning
    and estimating and it has received preliminary approval, the WCC
    forwards it to the P&Es for detailed job planning and estimating.
    When the P&Es complete the job package (including a work order),
    they return it to the WCC. The WCC then forwards it to the proper
    official for final review and approval.

f.  If approved, the WCC completes the Work Order #, Approval Status,
    and Comments blocks (15, 21, and 22) and notifies the originator. If
    the originator should fund the job, it proceeds as a request for
    estimate as discussed in paragraph D.2.3d. The reasons for
    originator funding should be stated in the comments. If the
    originator provided funding data for the request, it is entered into
    the shop load plan for execution when final approval is given.

g.  If the request is disapproved, the WCC enters this in the Approval
    Status and Comments blocks (21 and 22) and notifies the originator.
    Because disapprovals can cause customer discontent, the WCC should
    ensure review by an appropriate manager in the facilities
    maintenance organization before notifying the originator.

h.  The Internal Status data elements (item 26, not shown on the form)
    are used to track the status and progress of the request. As the
    request moves through the facilities maintenance management process
    and facilities maintenance organization, the WCC enters the date,
    status, and responsible action party. This provides a history of the
    request.

**D.3 Facilities Maintenance Work Order**

D.3.1 Sample Form: Facilities Maintenance Work Order. Figure D-3 is a
sample facilities maintenance work order form. The form is generic, but
it illustrates the information recommended for a work order. The form
shown in Figure 10-2, Equipment/Discrepancy Classification Form, also
generic, can be used to identify work items, usually Trouble Call work,
that do not have identification numbers. Using these standardized
equipment terms and discrepancies will allow the work to be coded into
the CMMS for data integration and analysis. Figure D-4 is a sample
continuation sheet that supports the sample facilities maintenance work
order form. Figure D-5 is a sample facilities maintenance work order
material/equipment requirements form that can be used to document the
materials and equipment required for the work order. The actual forms
used should be tailored to the Center's needs and the CMMS used.

D.3.2 Data Elements

1\. W. O. #: Work Order Number, this number is used to track the work
order and related actions throughout the life of the work order. On the
sample, it is shown both as a bar code and as numerals. One work order
may be issued to cover more than one work request.

2\. WICN: Work Input Control Number, a unique number assigned by the
facilities maintenance organization to identify a request for facilities
maintenance services for subsequent tracking of the request. One work
request may result in more than one work order.

3\. Priority: The work priority rating. This may not be the same as the
priority requested by the originator on the Request for Facilities
Maintenance Services form.

4\. RSD: Required Start Date, the date work can or must start as
applicable. This may be determined by the availability of the facility
or the time required to meet the completion date.

5\. RCD: Required Completion Date, the required completion date for the
work order. Where possible, this should be the same date as on the
Request for Facilities Maintenance Services form.

6\. Type: The type of work as defined in paragraph 1.5.1.c..

7\. SI: Special interest, an indicator as defined in paragraph 5.5.4.3.d
or locally.

8\. Class: Class, a locally definable descriptor for the work that can
be used for analysis of work.

9\. Facility #: The facility number as recorded in property records.

10\. UDF: User definable field, a locally definable descriptor for the
work that can be used for analysis of work.

11\. Accounting Data: The applicable accounting data for the work order.

12\. UDF: User definable field, a locally definable descriptor for the
work that can be used for analysis of work.

13\. POC: Point of Contact, the name of the customer organization's POC
responsible for this request. This is needed by the shops for
coordination purposes.

14\. Phone: The telephone number for the POC.

15\. Equipment #: The equipment inventory number, as recorded in
property records. This field applies only when the work is to be done on
an equipment item. It can be the principal equipment item if the work
order covers multiple equipment items.

16\. Title: Short descriptive title of the work order.

17\. General Description: A narrative description of the scope and
intent of the work order.

18\. Line #: Sequential task numbers.

19\. Shop: Shop, the shop or craft group planned to perform the task.

20\. Work Tasks: A statement of each task required to complete the work
order.

21\. HRS: Hours, the amount of labor required to complete the task.
Normally, this is based on an estimating standard.

![](media/image12.wmf){width="0.9194444444444444in"
height="0.5833333333333334in"}

[]{#__RefHeading___Toc205396781 .anchor}Figure D-3. Sample Form:
Facilities Maintenance Work Order

[]{#__RefHeading___Toc205396782 .anchor}Figure D-4. Sample Form:
Facilities Maintenance Work Order Continuation
Sheet![](media/image12.wmf){width="1.0in" height="0.5833333333333334in"}

22\. Special Instructions: Any special instructions or directions not
covered in the listed work tasks.

23\. Continuation: Statement that material and continuation sheets are
provided where all tasks and material/equipment requirements are not
entered on this form. Continuation sheets are forms that contain the
work order number and additional work breakdown lines (see Figure D-4).

24\. Sketches: Reference to drawings or sketches. Ideally, drawings
would be from a graphics information system or CADD system that is
integrated with the CMMS. The drawings, sketches, and other graphics
would be prepared, printed, and attached to the work order.

25\. Estimate Summary: This multifield section is a summary of the work
order estimate by shop, listing the estimated hours, labor cost,
material cost, and total costs, together with any overall reservations
for contingencies, overhead, or surcharges, and the total estimate.

26\. Approved: Signature authorizing release and execution of the work
order.

27\. Date: Date the work order is approved for execution.

28\. Estimate Basis: A field to identify the basis of the cost estimate
or the estimating standard used.

29\. Completed: The date the work order is completed.

The work order material/equipment requirements form (Figure D-5)
includes the following additional data elements:

30\. Item #: Sequential number of items on the requirements list.

31\. Stock #: The stock number of the required item. This may be a local
stock number, a National Stock Number (NSN), a manufacturer's part
number, or other identifier. If other than a local stock number or NSN,
supporting information (e.g., the identity of the manufacturer) should
be given with the description.

32\. Description: Nomenclature, supplier, and other descriptive data of
the required item or equipment.

33\. UM: Unit of measure; e.g., lf, ea, gal, hr.

34\. Qty: Quantity required.

35\. Unit Cost: Unit cost of the item.

36\. Total: Total cost of the specified quantity of the item.

37\. Avail: Availability of the material. Enter the material delivery
due date or a symbol to show that the material is in stock and ready for
issue to the shops.

+-----+--------------+-------------------+----+-----+-----+-----+-----+
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|     |              |                   |    |     | n"} |     |     |
+-----+--------------+-------------------+----+-----+-----+-----+-----+
| I   |              | Stock \#          | UM | Qty | Un  | To  | Av  |
| tem |              |                   |    |     | it\ | tal | ail |
| \#  |              |                   |    |     | C   |     |     |
|     |              |                   |    |     | ost |     |     |
+-----+--------------+-------------------+----+-----+-----+-----+-----+
| **  | **(31)**     | **(32)**          | ** | **  | **  | **  | **  |
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|     |              |                   | ** |     |     |     |     |
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+-----+--------------+-------------------+----+-----+-----+-----+-----+
| App |              | Priority: **(3)** |    |     |     | Pa  | of  |
| rov |              |                   |    |     |     | ge: |     |
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| (26 |              |                   |    |     |     |     |     |
| )** |              |                   |    |     |     |     |     |
+-----+--------------+-------------------+----+-----+-----+-----+-----+

[]{#__RefHeading___Toc205396783 .anchor}Figure D-5. Sample Form:
Facilities Maintenance Work Order Material/Equipment Requirements

D.3.3 Instructions for Use

a.  The facilities maintenance work order form provides the work
    authorization and direction to the shops. It also documents the work
    phases and cost estimate. Except for the accounting data and
    approval signatures, the work order form, continuation form, and
    material/equipment requirements forms usually are prepared by the
    P&Es. Normally, the accounting data is assigned as part of the final
    approval process. The use of a bar code on the work order form, the
    work order continuation form, and the material/equipment
    requirements form speeds subsequent processing, material issue, and
    closing of the work order while reducing data entry errors. (Most
    CMMSs support printing of bar codes.)

b.  After the work order has final approval, it is distributed to the
    shops, the material manager, the customer (in the case of
    customer-requested work), and others as determined by Center policy.
    Distribution may be accomplished electronically if e-mail is
    available, or if the CMMS work order database is shared on a
    network. The form shown contains all information concerning the work
    order and goes beyond the information requirements of many users of
    the form. For example, the material manager may not need the
    detailed task breakdown. With electronic distribution, it is
    possible for users to receive only necessary extracts of the data.

c.  When the work order is completed, it is closed, and the information
    is added to the facility history files. The completion date is
    recorded and reported to the work control center.

**D.4 Shop Load Plan**

D.4.1 Sample Form: Shop Load Plan. Figure D-6 (see reproducible and
enlargeable page at the end of this appendix) is a sample shop load plan
form. The CMMS used by the Center should support computer-aided
scheduling, including interactive labor and other resource scheduling
and schedule balancing. The shop load plan should be automated as a
standard report in the CMMS. A single database should support all three
levels of scheduling (i.e., shop load plan, master schedule, and shop
schedule) in a networked system. While it is possible to examine the
shop load plan on a video display terminal, the practical limitation on
the number of lines and columns that can be displayed at one time makes
a printout on wide paper convenient for use by managers.

D.4.2 Data Elements. The following data elements are shown on the Shop
Load Plan. The information either is contained in the CMMS database or
is derived from the CMMS database. It is defined below as an aid to
understanding the schedule format. The only item that should require
entry in the scheduling process is for the scheduling period. The rest
of the information is based on other data entered in the CMMS during the
work reception and planning process or extracted from other databases,
such as labor accounting.

1\. Period Covered: The period this schedule considers. Normally, for
the Shop Load Plan, this is a quarter. However, the immediate next three
months may be subdivided into a one-month short-term and a two-month
midterm load plan for additional scheduling control.

2\. Shop: The shop or craft group being scheduled, e.g., carpenters.
(The sample form shows 12 shops; this should be adjusted to meet local
needs.)

3\. No. of Employees: The average number of employees available in each
shop.

4\. Gross Work Hours Avail: The total number of work hours available in
each shop during the schedule period.

5\. Adjustments: The number of work hours that will not be available in
each shop for facilities maintenance work due to leave, training, jury
duty, and similar nonproduction activities. (This may be presented on
more than one line if a line for each type of adjustment is desired.)

6\. Net Work Hours Avail: The net work hours available in each shop for
facilities maintenance work, computed as item four less item five.

7\. TC LOE: Trouble Call ticket LOE, the number of hours allocated by
shop for jobs issued under TC tickets. Usually, this is based on
experience.

8\. PM Scheduled: The number of hours for scheduled PM work by shop.
This is determined from the PM schedule contained in the CMMS database.

9\. PT&I Scheduled: The number of hours for scheduled PT&I work by shop.
This is determined from the PT&I schedule contained in the CMMS
database.

10\. Scheduled, Recurring: The number of hours by shop for other
scheduled recurring work. This may be determined from the CMMS database.
It may be presented on more than one line if grouped, such as by type or
work order.

11\. Total LOE Scheduled: Total hours committed to items 7, 8, 9, and 10
above.

12\. Carryover from Prior Work scheduled or started in the prior period,
but not completed Period and, thus, carried over to this period. This
may be automatically computed by comparing work order labor estimates
against labor charges to date.

13\. Available to Schedule: Net Work hours available (6) less item Total
LOE Scheduled (11), and Carryover (12). This is the workforce available
for scheduling new work orders.

14\. W.O. #: Work Order number for each work order listed.

15\. Description: An entry giving a short title for each work order. The
number of hours estimated for each shop for the work order follows on
the same line.

16\. RSD: Requested start date for the work order.

17\. RCD: Required completion date for the work order.

18\. PRI: Priority of the work order.

19\. MAT: Material status indicator. Normally, this block contains the
date on which the required material is expected to be available, or that
the material is available. This is the overall status of the field
"Avail" on the Work Order Material/Equipment Requirements form, Figure
D-5.

20 Work hours: The estimated work hours for the work order for each
shop.

21\. Total: The total labor hours for the work order for all shops.

22\. Labor: Estimated total labor cost for the work order.

23\. Mtl: Estimated total material cost for the work order.

24\. Other: Estimated total other cost for the work order. This would
include items such as equipment rentals and contracted services.

25\. Total: The total cost for the work order.

D.4.3 Instructions for Use

a.  Normally, the shop load plan is prepared quarterly. However, shop
    load plans should be prepared and maintained looking 18 months into
    the future. The last period should include all work that is in an
    "estimated and approved but unscheduled" status. A Center also may
    wish to extract a short-term (next month) and a midterm (following
    two months) shop load plan for closer work scheduling and
    management. After final approval of a work order, it is assigned to
    a shop load plan. Normally, this level of scheduling is done by a
    senior maintenance planner, not in the shop's organization. This
    starts the work performance phase and triggers material acquisition
    to ensure that the required material is available for the assigned
    start period. Approved work orders remain in the shop load plan
    until completed or canceled.

b.  The primary purpose of the shop load plan is to provide for orderly
    scheduling of work in accordance with the Center's mission
    priorities, to assist in resource scheduling and management, and to
    provide senior managers with information on pending work. It also
    provides a valuable tool for evaluating the workforce skill mix
    against workload requirements. If the shop load plan consistently
    shows a significant amount of overscheduling or unscheduled backlog
    in a shop coupled with underscheduling in another shop, realignment
    of workforce assets from the underscheduled to the overscheduled
    shop may be in order.

**D.5 Master Schedule**

D.5.1 Sample Form: Master Schedule. Figure D-7 (see reproducible and
enlargeable page at the end of this appendix) is a sample form for a
master schedule. The master schedule is based on the shop load plan.
However, its focus is on scheduling work performance to a specific week
and tracking material status of work orders that are due for master
scheduling in the future according to the current and approaching shop
load plans. Normally, master schedules are prepared covering six to ten
weeks into the future. Jobs with long-lead-time material requirements
may be scheduled further in the future. Of special interest is the Work
Orders Waiting Material section. This is used to highlight the material
status of work orders waiting material that need to start during the
master schedule period covered.

D.5.2 Data Elements. The following data elements are shown on the master
schedule form. As with the shop load plan, the information either is
contained in the CMMS database or is derived from the CMMS database by
manipulation and calculation. The data elements are defined below as an
aid to understanding the schedule form. The only data that should
require entry in the scheduling process is for the period during which
the work order is being scheduled (normally, the specific workweek). The
rest is based on other data entered in the CMMS during the work
reception and planning process, the material management process, or
extracted from other databases such as labor accounting.

1\. Period Covered: The period this schedule considers. Normally, for
the master schedule, this is a workweek.

2\. Shop: The shop or craft group being scheduled; e.g., shop 01,
carpenters.

3\. No. of Employees: The average onboard workforce in each shop during
the schedule period.

4\. Gross Work hours Avail: The total number of work hours in each shop
available during this period.

5\. Adjustments: The number of work hours that will not be available for
facilities maintenance work due to leave, training, jury duty, and
similar nonproduction activities. This may be presented on more than one
line if a line for each type of adjustment is desired.

6\. Net Work hours Avail: The net available work hours for facilities
maintenance work

7\. TC LOE: TC ticket LOE, the number of hours allocated for jobs,
usually issued under TC tickets. Usually, this is based on experience.

8\. PM Scheduled: The number of hours for scheduled PM work.

9\. PT&I Scheduled: The number of hours for scheduled PT&I work.

10\. Scheduled & Recurring: The number of hours for other scheduled or
recurring work. This may be presented on more than one line if grouped,
such as by type or work order.

11\. Total LOE, Scheduled: Total hours committed to items 7, 8, 9, and
10.

12\. Available to Schedule: Net work hours available (item 6) less item
11. This is the workforce available for scheduling specific work orders.

13\. W.O. #: Work order number for each specific work order listed.

14\. Description: Entry giving a short title for each work order. Also,
the number of work hours scheduled for the work order by each shop
during this schedule period is entered under the shop number on the same
line.

15\. RSD: Requested start date for the work order.

16\. RCD: Requested completion date for the work order.

17\. PRI: The work order priority rating.

18\. MAT: Material status indicator. Normally, this entry is the date on
which material required for the work order is expected to be available
or a code indicating that the material is currently available.

19\. Total: Total labor hours for the shops.

20\. Labor: Expended labor hours. The total labor hours used or
scheduled for the work order prior to this schedule period.

21\. Mtl: Cumulative material cost of material used for work order.

22\. Other: Cumulative costs of other than labor and material used for
the work order. This includes such items as equipment rentals and
contracted services.

23\. Total: Cumulative total cost.

D.5.3 Instructions for Use

a.  The master schedule is used to direct and coordinate the execution
    of work in the shops. It provides the coordinating linkage between
    the shops on jobs involving more than one shop, and it highlights
    the material status of pending work orders. Normally, it is
    maintained under the direction of the shop supervisor working in
    close coordination with the other shop supervisors and the
    maintenance planners. Work is scheduled by assigning it to a
    specific workweek; the automation program used should perform all
    necessary calculations, including computing estimated carryover work
    and resources expended (or projected to be expended) up to the
    period under consideration.

b.  It is essential for the master schedule to give close attention to
    balancing the work to each shop to ensure that all forces are
    productively employed. To this end, the master scheduler will assign
    labor hours to each scheduled job within available workforce and
    job-phasing requirements.

c.  While it is possible to examine the master schedule on a video
    display terminal, the practical limitation on the number of lines
    and columns that can be displayed at one time makes it difficult to
    see all work that is subject to scheduling. Accordingly, printouts
    on wide paper and wall-mounted scheduling boards normally are used
    to display job status.

**D.6 Shop Schedule**

D.6.1 Sample Form: Shop Schedule. A form for a shop schedule is provided
as Figure D-8 (see reproducible and enlargeable page at the end of this
appendix). The shop schedule provides the day-to-day
scheduling/assignment of workers and equipment to work orders. It is
used by the shop supervisor as an aid in scheduling personnel and shared
equipment assets.

D.6.2 Data Elements. The following data elements are shown on the Shop
Schedule form. The information either is contained in the CMMS database
or is derived from the CMMS database by manipulation and calculation.
The data elements are defined below as an aid to understanding the
schedule form. The only data elements that should be entered during the
scheduling process are the assigned hours for each work order and
employee being scheduled. The remaining data elements should be provided
by the computer based on other data entered in the CMMS during the work
reception and planning process, the material management process, or
extracted from other databases.

1\. Period Covered: The period this schedule considers. Normally, for
the shop schedule it is a specific day.

2\. Shop: The shop or craft group being scheduled; e.g., shop 01,
carpenters.

3\. Employee: The name or other identifier of the worker being
scheduled.

4\. Gross Work hours Avail: The total number of work hours available for
each worker during this period, normally eight.

5\. Adjustments: The number of work hours that will not be available for
facilities maintenance work due to leave, training, jury duty, and
similar nonproduction activities. This may be presented on more than one
line if a line for each type of adjustment is desired.

6\. Net Work Hrs. Avail: The net available work hours for each employee
for facilities maintenance work.

7\. W.O. #: Work order number for each work order listed.

8\. Description: An entry giving a short title for each work order. The
hours assigned to each employee for each work order number follows on
the same line under the employee's identification.

9\. RSD: Requested start date for the work order.

10\. RCD: Requested completion date for the work order.

11\. PRI: The work order priority rating.

12\. MAT: Material status indicator. Normally, this is a code or symbol
indicating that the material is currently available.

13\. Total: Total hours for all employees.

14\. Labor: Cumulative labor hours for the work order prior to this
schedule period. This information is provided as part of the labor
distribution/timekeeping process.

15\. Mtl: Cumulative cost of material used for the work order.

16\. Other: Cumulative cost of other than labor and material used for
the work order. This includes such items as equipment rentals and
contracted services.

17\. Total: Cumulative total cost.

D.6.3 Instructions for Use. The shop supervisor, in scheduling and
managing craft personnel, uses the shop schedule. It is typically
prepared on a weekly basis for each day of the following week, based on
jobs scheduled in the master schedule. The shop supervisor enters the
hours each employee is scheduled to work on each assigned job for each
day. The workforce availability is determined from leave, training, and
related activities that are scheduled through the shop supervisor.

<table>
<colgroup>
<col style="width: 3%" />
<col style="width: 18%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 2%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 15%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="24"><blockquote>
<p>PERIOD COVERED: (1) SHOP LOAD PLAN</p>
</blockquote></td>
</tr>
<tr class="even">
<td colspan="6">SPECIFIC WORK/ITEM</td>
<td colspan="13">WORK HOURS</td>
<td colspan="4">COST EST</td>
<td>REMARKS</td>
</tr>
<tr class="odd">
<td rowspan="5"><blockquote>
<p>WORKFORCE</p>
<p>AVAILABILITY</p>
</blockquote></td>
<td colspan="5"><strong>(2)</strong> SHOP -&gt;</td>
<td>01</td>
<td>02</td>
<td>03</td>
<td>04</td>
<td>05</td>
<td>06</td>
<td>07</td>
<td>08</td>
<td>09</td>
<td>10</td>
<td>20</td>
<td>30</td>
<td>Total</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>No. of Employees <strong>(3)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Gross Work hours Avail. <strong>(4)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Adjustments <strong>(5)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Net Work hours Avail. <strong>(6)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>W.O. #</td>
<td>DESCRIPTION</td>
<td>RSD</td>
<td>RCD</td>
<td>PRI</td>
<td>MAT</td>
<td>01</td>
<td>02</td>
<td>03</td>
<td>04</td>
<td>05</td>
<td>06</td>
<td>07</td>
<td>08</td>
<td>09</td>
<td>10</td>
<td>20</td>
<td>30</td>
<td>Total</td>
<td>Labor</td>
<td>Mtl.</td>
<td>Other</td>
<td>Total</td>
<td></td>
</tr>
<tr class="even">
<td rowspan="7"><blockquote>
<p>COMMITTED</p>
<p>WORKFORCE</p>
</blockquote></td>
<td>TC LOE <strong>(7)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>PM Scheduled <strong>(8)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>PT&amp;I Scheduled <strong>(9)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Scheduled, Recurring <strong>(10)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Total LOE, Scheduled, etc. <strong>(11)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Carry-over from Prior Period <strong>(12)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>AVAILABLE TO SCHEDULE <strong>(13)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>(14)</strong></td>
<td><strong>(15)</strong></td>
<td><strong>(16)</strong></td>
<td><strong>(17)</strong></td>
<td><strong>(18)</strong></td>
<td><strong>(19)</strong></td>
<td><strong>(20)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>(21)</strong></td>
<td><strong>(22)</strong></td>
<td><strong>(23)</strong></td>
<td><strong>(24)</strong></td>
<td><strong>(25)</strong></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td>[list specific work orders]</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td>[as many lines as needed]</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td>Net hours over/under scheduled</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

[]{#__RefHeading___Toc205396784 .anchor}Figure D-6. Sample Form: Shop
Load Plan

<table style="width:100%;">
<colgroup>
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 18%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 2%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 2%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 14%" />
<col style="width: 0%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="25"><blockquote>
<p><strong>PERIOD COVERED:</strong> <strong>(1) MASTER
SCHEDULE</strong></p>
</blockquote></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td colspan="6">SPECIFIC WORK/ITEM</td>
<td colspan="13">WORK HOURS</td>
<td colspan="4">USED TO-DATE</td>
<td colspan="2">REMARKS</td>
</tr>
<tr class="odd">
<td></td>
<td rowspan="5"><blockquote>
<p>WORKFORCE</p>
</blockquote>
<p>AVAILABILITY</p></td>
<td colspan="5"><strong>(2)</strong> SHOP -&gt;</td>
<td>01</td>
<td>02</td>
<td>03</td>
<td>04</td>
<td>05</td>
<td>06</td>
<td>07</td>
<td>08</td>
<td>09</td>
<td>10</td>
<td>20</td>
<td>30</td>
<td>Total</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td>No. of Employees <strong>(3</strong>)</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td>Gross Work hours Avail. <strong>(4</strong>)</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td>Adjustments <strong>(5)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td>Net Work hours Avail. <strong>(6)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td>W.O. #</td>
<td>DESCRIPTION</td>
<td>RSD</td>
<td>RCD</td>
<td>PRI</td>
<td>MAT</td>
<td>01</td>
<td>02</td>
<td>03</td>
<td>04</td>
<td>05</td>
<td>06</td>
<td>07</td>
<td>08</td>
<td>09</td>
<td>10</td>
<td>20</td>
<td>30</td>
<td>Total</td>
<td>Labor</td>
<td>Mtl.</td>
<td>Other</td>
<td>Total</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td rowspan="6"><blockquote>
<p>COMMITTED</p>
<p>WORKFORCE</p>
</blockquote></td>
<td>TC LOE <strong>(7)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td>PM Schedule <strong>(8)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td>PT&amp;I Schedule <strong>(9)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td>Scheduled and Recurring <strong>(10</strong>)</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td>Total LOE, Scheduled, etc. <strong>(11</strong>)</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td>AVAILABLE TO SCHEDULE <strong>(12</strong>)</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td><strong>(13)</strong></td>
<td><strong>(14)</strong></td>
<td><strong>(15)</strong></td>
<td><strong>(16)</strong></td>
<td><strong>(17)</strong></td>
<td><strong>(18)</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>(19)</strong></td>
<td><strong>(20)</strong></td>
<td><strong>(21)</strong></td>
<td><strong>(22)</strong></td>
<td><strong>(23)</strong></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td>(list specific work orders)</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td>(as many lines as needed)</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td>Net hours over/under scheduled</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="25">WORK ORDERS WAITING MATERIAL</td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td>(as many lines as needed)</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td></td>
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[]{#__RefHeading___Toc205396785 .anchor}Figure D-7. Sample Form: Master
Schedule

#  {#section-5 .unnumbered}

#   {#section-6 .unnumbered}

  ------------ ------------- --------- ---------- ---------- ---------- ------------ -- -- -- -- -- -- -- -- -- -- -- ---------- ---------- ---------- ---------- ---------- ----------
  **PERIOD                                                              **SHOP                                                   **For                                       
  COVERED:**                                                            SCHEDULE**                                               Shop:                                       
  **(1)**                                                                                                                        (2)**                                       

  SPECIFIC                                                              WORK HOURS                                               USED                                        REMARKS
  WORK/ITEM                                                                                                                                                                  

               **(3)**                                                                                                Total                                                  
               EMPLOYEE -\>                                                                                                                                                  

               Gross Work                                                                                                                                                    
               hours Avail.                                                                                                                                                  
               **(4)**                                                                                                                                                       

               Adjustments                                                                                                                                                   
               **(5)**                                                                                                                                                       

               Net Work                                                                                                                                                      
               hours Avail.                                                                                                                                                  
               **(6)**                                                                                                                                                       

  W.O. \#      DESCRIPTION   RSD       RCD        PRI        MAT                                                      Total      Labor      Mtl.       Other      Total      

  **(7)**      **(8)**       **(9)**   **(10)**   **(11)**   **(12)**                                                 **(13)**   **(14)**   **(15)**   **(16)**   **(17)**   

               (assigned                                                                                                                                                     
               work orders)                                                                                                                                                  

               (as many                                                                                                                                                      
               lines as                                                                                                                                                      
               needed)                                                                                                                                                       

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

                                                                                                                                                                             

               Net hours                                                                                                                                                     
               over/under                                                                                                                                                    
               scheduled                                                                                                                                                     
  ------------ ------------- --------- ---------- ---------- ---------- ------------ -- -- -- -- -- -- -- -- -- -- -- ---------- ---------- ---------- ---------- ---------- ----------

[]{#__RefHeading___Toc205396786 .anchor}Figure D-8. Sample Form: Shop
Schedule

# Appendix E. CMMS Sample Screens {#appendix-e.-cmms-sample-screens .unnumbered}

**E.1 Introduction**

This appendix includes sample computer screens for various facilities
maintenance functions that may be included in a Center's CMMS. These
samples are from a commercially available system and are presented as a
sample of some of the types of data-handling capability available.

**E.2 Operating Locations**

The sample screens in Figures D--1 and D--2 are from an operating
location application that allows the operator to enter and track
locations of equipment and organize these locations into logical
hierarchies or network systems. Operating locations are the locations in
which equipment operates. Work orders can then be written either against
the location itself or against the equipment in the operating location.
Using locations allows for tracking the equipment's life cycles
(history) and provides the capability to track equipment's performance
at specific sites.

**E.3 Equipment**

Figure E--3 is a sample screen from an equipment module that allows the
operator to keep accurate and detailed records of each piece of
equipment. Accurate historical data can be used to help make
cost-effective replace or repair decisions. All equipment-related data
is available, such as bill of material, preventive maintenance schedule,
service contracts, safety procedures, measurement points, multiple
meters, inspection routes, specification data (nameplate), equipment
downtime, and related documents. This equipment data is used for
managing day-to-day operations. The data can be used to develop
additional management information, such as developing equipment downtime
failure code hierarchies to use in maintenance management metrics.

[]{#__RefHeading___Toc205396787
.anchor}![](media/image13.png){width="10.0in"
height="5.395833333333333in"}Figure E--1. Sample Operating Locations
Drilldown Screen

[]{#__RefHeading___Toc205396788
.anchor}![](media/image14.png){width="10.0in"
height="6.313194444444444in"}**Figure E--2. Sample Operating Location
Equipment History**

![](media/image15.png){width="9.980555555555556in"
height="6.673611111111111in"}

[]{#__RefHeading___Toc205396789 .anchor}Figure E­--3. Sample Equipment
Screen

**E.4 Safety Plans**

Figure E--4 shows the tag-out screen of the safety plan module of this
example system. With the emphasis placed on safety in NASA, this module
or similar capability is an important addition to the CMMS. This sample
module provides the following capabilities:

a.  Manual or automatic safety plan numbering.

b.  Safety plans can be built ad hoc for special work or defined for
    reuse in the safety plans application.

c.  Track hazards for multiple equipment and locations.

d.  Multiple precautions can be associated to a hazard.

e.  Track hazardous materials for multiple equipment and locations.

f.  Once hazards and precautions are entered, convenient pop-up list in
    this sample system is available for reference and data entry.

g.  Track ratings for health, flammability, reactivity, contact, and
    material safety data sheet (MSDS) for hazardous materials.

h.  Define lockout/tag-out procedures.

i.  Define tag identifications for specific equipment and locations.

j.  Define safety plans for multiple equipment or locations.

k.  View link documents.

l.  Associate safety plans to job plans, to preventative maintenance
    masters, and to work orders.

m.  Safety plans are printed automatically on work orders.

n.  Flexible business rules allow tag-outs procedures to be associated
    to hazards or directly to locations, equipment, safety plans, or
    work orders.

o.  Copy existing safety plans to new safety plans.

[]{#__RefHeading___Toc205396790
.anchor}![](media/image16.png){width="10.0in"
height="5.809722222222222in"}Figure E--4. Sample Safety Plans Screen

**E.5 Inventory Control**

The inventory control application shown in Figure E--5 allows the
operator to track inventory movement, such as move items in or out of
inventory, or from one location to another. Stocked, nonstocked, and
special order items can be tracked. The application, as shown in Figure
E--5, also allows tracking item vendors, the locations where an item can
be found, item cost information, and the substitute or alternate items
that can be used if necessary.

**E.6 Work Request**

Figure E--6 is a sample work request screen that could be used by anyone
at a Center to enter requests, such as trouble calls, or by work control
to record requests. The easy-to- use data-entry screen was designed for
minimal data entry. The work order number is assigned manually or
automatically. A requester would enter minimal data, as shown on the
sample, with work control entering additional information as required.
Data is entered once, and pop-up tables in this system eliminate the
need to memorize codes. This computer system could be used by a Center
in their CMMS rather than the Trouble Call Ticket shown in Appendix C.

**E.7 Work Order Tracking**

The Sample Work Order Tracking Screen shown in Figure E--7 is the heart
of a work order system. The data is entered once, and pop-up tables
eliminate the need to memorize codes. This tracking system provides
instant access to all of the information needed for detailed planning
and scheduling, including work plan operations, labor, materials, tools,
costs, equipment, blueprints, related documents, and failure analysis.
Of course, this is dependent on how many modules have been installed and
how much information has been entered in the system.

**E.8 Work Management**

a.  The Work Manager module in this example system lets the planner
    specify which labor to apply to specific work orders and when. It
    has two modes, dispatching and planning.

b.  In the planning mode shown in Figure E--8, labor assignments are
    planned for future shifts. Each person's calendar availability is
    considered when the assignments are made. The assignments are
    created sequentially over the shift, filling each person's daily
    schedule with priority work for the craft. It can even split larger
    jobs over multiple shifts automatically.

c.  In the dispatch mode shown in Figure E--9, labor assignments are
    carried out as soon as possible. The system in this example can even
    begin tracking labor time from the instant the assignment is made.
    The system operator can interrupt work already in progress to
    reassign labor resources to more crucial work.

![](media/image17.png){width="10.0in" height="6.134722222222222in"}

[]{#__RefHeading___Toc205396791 .anchor}Figure E--5. Sample Inventory
Control Screen

[]{#__RefHeading___Toc205396792
.anchor}![](media/image18.png){width="10.0in"
height="6.438888888888889in"}Figure E--6. Sample Work Request Screen

![](media/image19.png){width="10.0in" height="6.313194444444444in"}

Figure E--7. Sample Work Order Tracking Screen

[]{#__RefHeading___Toc205396795
.anchor}![](media/image20.png){width="10.0in"
height="6.313194444444444in"}Figure E--8. Sample Planning Screen

**E.9 Quick Reporting**

Figure E--10 shows a sample Quick Reporting screen that provides a rapid
and easy means for opening, reporting on, and closing work orders;
reporting work on small jobs after the fact; and even creating work
orders on the fly. Labor, materials, failure codes, completion date, and
downtime can all be reported on this one screen.

**E.10 Preventive Maintenance**

Sample preventive maintenance screens are shown in Figures D--11 and
D--12. The following capabilities provided in this sample system are
listed to show how a CMMS can be utilized in managing a Center's PM
program:

a.  Supports multiple criteria for generating PM work orders. If a PM
    master has both time-based and meter-based frequency information,
    the program uses whichever comes due first and then updates the
    other.

b.  Generates time-based PM work orders based on last generation or last
    completion date. Next due date and job plans are displayed.

c.  Permits and tracks PM extensions with adjustments to next due date.

d.  Triggers meter-based PMs by two separate meters.

e.  Prints sequence job plans upon request.

f.  Creates a PM against an item so that new parts have PMs
    automatically generated on purchase.

g.  Specifies the number of days ahead to generate work orders from PM
    masters that may not yet have met their frequency criteria.

h.  Consolidates weekly, monthly, and quarterly job plans on a single
    master.

i.  Assigns sequence numbers to job plans to tell the system which job
    plan to use when a PM work order is generated from a PM master.

j.  Permits overriding frequency criteria to generate PM work orders
    when required by plant conditions.

k.  Routes PMs with multiple equipment or locations.

l.  Generates work orders in batch or individually for only the
    equipment requested.

m.  Can be used with the system scheduler to forecast resources and
    budgets.

![](media/image21.png){width="10.0in" height="6.08125in"}

[]{#__RefHeading___Toc205396796 .anchor}Figure E--9. Sample Dispatch
Screen

![](media/image22.png){width="10.0in" height="5.909027777777778in"}

[]{#__RefHeading___Toc205396797 .anchor}Figure E--10. Sample Quick
Reporting Screen

[]{#__RefHeading___Toc205396798
.anchor}![](media/image23.png){width="10.0in"
height="5.978472222222222in"}Figure E--11. Sample Preventive Maintenance
Screen

![](media/image24.png){width="9.127083333333333in"
height="5.376388888888889in"}

[]{#__RefHeading___Toc205396799 .anchor}Figure E--12. Sample Preventive
Maintenance Frequency Folder (1 of 3)

![](media/image25.png){width="10.0in" height="6.223611111111111in"}

[]{#__RefHeading___Toc205396800 .anchor}Figure E--12. Sample Preventive
Maintenance Frequency Folder (2 of 3)

![](media/image26.png){width="10.0in" height="6.08125in"}

[]{#__RefHeading___Toc205396801 .anchor}Figure E--12. Sample Preventive
Maintenance Frequency Folder (3 of 3)

#  {#section-7 .unnumbered}

# Appendix F. Predictive Testing and Inspection (PT&I) {#appendix-f.-predictive-testing-and-inspection-pti .unnumbered}

**F.1 Descriptions of Predictive Testing Techniques**

This appendix provides brief descriptions of the most commonly used
predictive testing techniques, reference sources, detailed data sheets
on those techniques that are considered state of the art, and
applications of miscellaneous inspection techniques. Refer to the *NASA
Reliability Centered Maintenance Guide for Facilities and Collateral
Equipment* for a more comprehensive and detailed discussion of PT&I.

**F.1.1 Vibration Analysis**

a.  Frequency and Time Domain Measurement. Analyzes the spectra of
    frequencies to identify the main causes of rotating equipment
    mechanical problems (e.g., mechanical vibration, imbalance, and
    misalignment).

b.  Shock Pulse. Evaluates the condition of bearings; measures the
    high-frequency noise generated when the moving elements in a bearing
    strike a defect and release mechanical energy.

c.  Torsional Vibration Monitoring. Employs a pair of matched sensors to
    detect vibration of the equipment housing or structure caused by
    gear rotation and shaft torque.

**F.1.2 Tribology and Lubricant Analysis (Condition Analysis)**

a.  Physical Analysis. Evaluates the color, appearance, and purity of a
    given oil, fuel, or grease sample to determine the presence of
    contaminants, breakdown of additives, corrosiveness, and viscosity.

b.  Infrared Spectrography. Compares new oil and fuel samples with
    samples that have been in service to determine the degree of
    degradation that has occurred.

**F.1.3 Tribology and Lubricant Analysis (Wear Particle Analysis)**

a.  Direct Reading Ferrography. Measures the concentration of wear
    particles found in a fluid, segregates them by size using a
    graduated magnetic field, and trends the data.

b.  Analytical Ferrography. After segregating wear particles, uses
    microscopic and other technical means to identify their types and
    compositions and then compares their characteristics with reference
    photographs to determine the severity of wear.

c.  Magnetic Chip/Particle Counters. Online systems that measure solid
    particles, ranging in size from 200 to 1,000 microns, in lubricating
    or hydraulic oil.

d.  Graded Filtration/Micropatch. Passes a sample of the oil through a
    series of sequentially sized (graded) filters or a single micropatch
    and examines the filter or patch to determine the size and
    composition of particles in the sample.

**F.1.4 Temperature Monitoring**

a.  Infrared Thermography. A noncontact technique employing either a
    video system or a scanning-type temperature probe that measures
    infrared radiation emitted and reflected from surfaces. The
    technique is also effective in detecting thermal cavities and roof
    leaks.

b.  Contact Devices. Devices such as thermometers, resistance
    temperature detectors, thermocouples, decals, and crayons that
    detect temperatures within 0.25°C.

c.  Deep-Probe Temperature Analysis. Using temperature probes inserted
    into the soil near buried pipes carrying steam or hot fluid to
    determine the degree of leakage and energy loss.

**F.1.5 Electrical Testing**

a.  Megohmmeter Testing. Using a hand-held generator to determine the
    insulation phase-to-phase and phase-to-ground resistance from which
    the polarization index is calculated and the data trended to
    determine system degradation.

b.  High-Potential Testing (Highpot). Applies twice the operating
    voltage plus 1,000 volts to motor windings to test new and rewound
    motors. Caution is advised, because the test can induce premature
    failure.

c.  Surge Testing. Using two capacitors and an oscilloscope to determine
    the condition of motor windings by measuring the current generated
    by applying a voltage pulse to two windings simultaneously. Like
    Highpot, applies a voltage equal to twice the operating voltage plus
    1,000 volts and, consequently, it can induce premature failure.

d.  Conductor Complex Impedance. Measures the total resistance of a
    conductor to detect motor coil degradations, worn or missing motor
    insulation, the presence of moisture, and other abnormalities.

e.  Time Domain Reflectometry. Precisely locates cable faults by sending
    a fast-rise voltage pulse through a conductor and measuring the time
    delay in receiving a fault-caused reflected pulse.

f.  Motor Current Signature Analysis. Using motor current spectra to
    determine if broken or cracked rotor bars or high-resistance end
    ring connections are present in motors.

g.  Radio Frequency Monitoring. Monitors and trends radio frequency
    emissions from arcing caused by broken windings in generators.

h.  Power Factor and Harmonic Distortion. Determines the phase
    relationship between voltage and current, from which power factor is
    calculated and electrical power reduction decisions can be made.

i.  Starting Current and Time. Measures the amount of current drawn, the
    sequence, and the time for equipment to come to operating speed to
    assess the operation of electrically driven equipment. For example,
    misaligned equipment may require more starting torque and,
    consequently, a higher peak and duration of startup current.

j.  Motor Circuit Analysis. Combines several of the previously defined
    tests and factors to detect motor circuit voltage imbalances caused
    by such conditions as loose connections, corrosion, bad solder
    joints, and maladjusted contacts.

k.  Insulation Power Factor Testing. Determines the phase relationship
    between the test currents and voltages. From this information,
    insulation impedance changes can be calculated and trended.
    Premature failures can then be predicted using operational and
    industry standards.

**F.1.6 Leak Detection**

a.  Vibration Monitoring. Detects leaking steam traps by measuring
    vibration levels upstream, downstream, on the trap itself, and then
    comparing the vibration spectra.

b.  Acoustic Emissions. Involves the use of two acoustic sensors that
    operate in the 100--200 kHz range to listen for sounds made by fault
    or failure conditions, such as leaks in pressurized or vacuum
    systems.

c.  Airborne Ultrasonics. Uses either contact or standoff devices,
    similar in purpose to stethoscopes, to detect emitted high-frequency
    (over 20 kHz) sound as a liquid or gas flows through an orifice.

**F.1.7 Flow Measurement**

a.  Doppler Shift. Measures flow rates by comparing the frequency shift
    between transmitted and reflected signals. Usually used in fluids
    with entrained particles or gas bubbles.

b.  Time of Flight. Employs two transmitters and detectors separated by
    some predetermined distance and measures the difference in time of
    flight between upstream and downstream detectors.

c.  Tracer Element. Inserts a tracer element in the fluid and measures
    the elapsed time and amount of dilution when the tracer element
    arrives at a predetermined downstream location.

**F.1.8 Imaging**

a.  Macro Imaging. Employs fiber optics, endoscopes, borescopes, and
    miniature cameras to archive on film or to record digitally the
    actual condition of equipment and components.

b.  Ultrasonic Imaging. Uses a pulse-echo thickness gauge to determine
    the presence of subsurface flaws, their size, and their orientation.

c.  Radio Imaging. Uses portable x-, gamma-, or neutron-ray equipment to
    identify flaws; operates on the theory that the film will be darker
    where there is less wall thickness.

**F.1.9 Corrosion Monitoring**

a.  Dewpoint Monitoring. Calculates the dewpoint of a compressed gas
    system by determining pressure and temperature conditions within the
    system. When temperature drops below the dewpoint, water vapor
    condenses and corrosion increases.

b.  Conductivity Monitoring. Measures the conductivity of ionic
    impurities in a fluid from which corrosion rates can be calculated.

c.  Ultrasonic Corrosion Monitoring. Measures the thickness of metal
    ultrasonically by sending high-frequency sound waves into an object
    and measuring the amount of time for them to be reflected back.

**F.1.10 Process Parameters/Visual Inspection**

a.  Diagnostic Monitoring. Recording process-related data, such as
    temperature and pressure and using changes in those parameters to
    identify emergence of a problem.

b.  Visual Inspection. Visual detection of problems such as oil leaks
    that are not detected by other, more technical means.

**F.1.11 Other Flaw Detection Techniques**

a.  Acoustic Emissions Detection. Uses special equipment to listen for
    sounds made by fault or failure conditions, such as leaks in
    pressurized or vacuum systems. One application uses multiple sensors
    and computer algorithms to locate shear defects resulting from
    subsurface intragranular flaws. As these defects grow in size, they
    emit high-frequency, highly directional noise in the 100--500 kHz
    range. Drawbacks in using this technique are: (1) analysis is
    hampered by other noises in the same frequency range, and (2), while
    this technology measures changes in the flaw size, it does not
    measure the size of the flaw itself.

b.  Sulfur Hexaflouride (SF~6~). Finds leaks in systems by filling them
    with SF~6~ gas and then using special detectors to sense
    above-normal SF~6~ concentrations, which indicate the locations of
    the leaks.

c.  Eddy Current Testing. Uses an induced magnetic field to detect
    cracks in metal test objects, such as heat exchanger tubes. Current
    flow caused by the magnetic field is reduced by electrical
    resistance at the defects and forms distinguishable current
    patterns. These patterns are then amplified and visually displayed,
    allowing the analyst to determine both the flaw location and its
    size.

d.  Liquid Penetrant Testing. Uses a low-viscosity liquid, penetrating
    dye, and developer to penetrate and highlight surface defects.

e.  Magnetic Flux. Magnetizes a specimen, causing fine, sprayed-on iron
    particles to concentrate at surface discontinuities.

f.  Insulating Oil Test. Examines the oil properties such as dielectric
    strength, power factor, contaminant levels, acidity, and combustible
    gas content.

g.  Replication. Makes a plastic foil casting of a portion of an item,
    then subjects the casting to microscopic examination. Defects such
    as stress cracks show up in the casting.

h.  Electromagnetic Pipe Location. Locates and maps underground piping
    systems. It traces a piping system by directly applying or inducing
    a signal in the system and then uses an induction coil pickup to
    detect the signal.

i.  Radar Mapping. Uses ground-penetrating radar to locate and map
    underground systems and to detect buried items.

j.  Holographic Interferometry. Records deformations caused by stress or
    vibration. Determines degree of deformation by comparing the
    interference patterns that arise with normal conditions.

k.  Boring. Bores holes into the tested item such as a utility pole and
    determines the item's condition by examining the shavings.

l.  Holiday and Fault Location. Finds breaks in the insulation of piping
    and cable systems by detecting electrical signal leakage above the
    pipe or cable.

**F.2 PT&I Techniques**

**F.2.1 Vibration Analysis**

a.  Purpose

```{=html}
<!-- -->
```
1.  Vibration analysis is used to detect, identify, and isolate specific
    component degradation and its causes prior to serious damage or
    actual failure. Vibration monitoring helps to determine the
    condition of rotating equipment, a system's structural stability,
    and potential sources of airborne noise.

2.  When equipment is known to be operating properly, its vibration
    baseline is established by taking vibration measurements at that
    time. Subsequent vibration readings can then be compared to the
    baseline, the components causing deviant readings can be identified,
    and the rate of component deterioration and the magnitude of any
    problems determined.

```{=html}
<!-- -->
```
b.  Techniques

```{=html}
<!-- -->
```
1.  Frequency and time domain measurement.

2.  Shock pulse analysis.

3.  Torsional vibration monitoring.

```{=html}
<!-- -->
```
c.  Applications

```{=html}
<!-- -->
```
1.  All rotating and reciprocating equipment, i.e., motors, pumps,
    turbines, compressors, engines and their bearings, shafts, gears,
    pulleys, blowers, belts, couplings.

2.  Induction motors (to diagnose for broken rotor bars, cracked end
    rings, high-resistance connections, winding faults, casting
    porosity, and air-gap eccentricities).

3.  Structural support resonance testing, equipment balancing, and
    faulty steam trap detection.

```{=html}
<!-- -->
```
d.  Effects

```{=html}
<!-- -->
```
1.  Detects equipment component wear, imbalance, misalignment,
    mechanical looseness, bearing damage, belt flaws, sheave and pulley
    flaws, gear damage, flow turbulence, cavitation, structural
    resonance, and fatigue. Can provide several weeks or months warning
    of impending failure.

2.  When measurements of both amplitude and frequency are available,
    diagnostic methods (spectrum analysis) are used to determine both
    the magnitude of the problem and its probable cause.

3.  Vibration analysis systems are composed of microprocessor data
    collectors, vibration transducers, equipment-mounted sound discs,
    and a host personal computer with software for analyzing and
    trending vibration data, establishing alarm points, and assisting in
    diagnostics.

```{=html}
<!-- -->
```
e.  Operators

```{=html}
<!-- -->
```
1.  Requires personnel with the ability to understand the basics of
    vibration theory and possessing a basic knowledge of machinery and
    failure modes.

2.  Though site-dependent, usually one experienced vibration analyst
    plus two level I-trained technicians are sufficient.

```{=html}
<!-- -->
```
f.  Training

```{=html}
<!-- -->
```
1.  Training is available through equipment vendors and trainers such
    as:

```{=html}
<!-- -->
```
(a) Technical Associates of Charlotte, P.C., 347 North Caswell Road,
    Charlotte, NC 28204. Internet:
    [www.technicalassociates](http://www.technicalassociates/) ; Phone:
    704--333--9011 ; Fax: 704--333--1728

```{=html}
<!-- -->
```
(r) Vibration Institute, 6262 South Kingery Highway, Suite 212,
    Willowbrook, IL 60527, Internet:
    [www.vibinst.org](http://www.vibinst.org/); Phone: 630--654--2254;
    Fax: 630--654--2271.

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```
2.  The Vibration Institute and Technical Associates of Charlotte have
    published certification guidelines for vibration analysts. Passing a
    written examination is required for certification. The Vibration
    Institute's certification tests do not allow open book tests, only
    closed book certification. Technical Associates of Charlotte tests
    allow for an open book or closed book certification. (Vibration
    analysis training and/or certification costs range from \$1,300 to
    \$2,500 (price as of August 2007, not including travel).)

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g.  Data Collector Cost

> The cost of data collection is \$12,000 to \$70,000 for a
> single-channel, multichannel, or online vibration data logger (price
> varies with degree of technology), software, and primary training.

**F.2.2 Tribology and Lubricant Analysis (Condition Analysis)**

a.  Purpose

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1.  Oil analysis is used to determine the condition of a given oil,
    fuel, or grease sample by testing for viscosity; particle, fuel, and
    water contaminants; acidity/alkalinity (pH); breakdown of additives;
    and oxidation.

2.  Coupled with other technologies, such as vibration and temperature
    measurements, oil analysis identifies the equipment condition and
    aids in identifying the root cause of failures.

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b.  Techniques

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1.  Physical analysis.

2.  Infrared spectrography.

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c.  Applications

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1.  Engines, compressors, turbines, transmissions, gearboxes, sumps,
    transformers, and storage tanks.

2.  Receipt inspection of incoming lubricating and fuel oil and grease
    supplies for condition, viscosity, and contamination.

3.  Spot-checking new, rebuilt, or repaired equipment as part of the
    acceptance process.

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```
d.  Effects

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1.  Monitoring the condition of lubricants determines whether they are
    suitable for continued use or should be changed.

2.  Analysis of both the quantity and type of metal particle
    contamination in a sample can identify the specific component
    experiencing wear.

3.  Maintaining exceedingly clean lubricating fluids extends the life of
    bearings and other components. Maintaining proper acidity/alkalinity
    and the proper composition of additives keeps the corrosiveness of
    the lubricant in check.

4.  Lubricant monitoring protects equipment warranties that otherwise
    would not be honored based on manufacturer allegations that the
    equipment operated with contaminated oil.

5.  Use of oil analysis as part of the quality control associated with
    an equipment acceptance test will indicate if all lubrication or
    hydraulic systems were properly installed, cleaned, flushed, and
    filled with the appropriate lubricant.

6.  Long-term trending of oil analysis data can identify poor
    maintenance or repair practices that contribute to high maintenance
    costs, downtime, and reduced machine life.

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e.  Equipment Required. Extensive and expensive laboratory equipment is
    required for detailed analysis; thus, in-plant analysis is not
    justified. However, portable, stand-alone analyzers are now
    available for prescreening samples on site to determine if a more
    thorough or specific analysis is warranted.

f.  Operators. One individual should be trained in tribology and should,
    in turn, train equipment operators and maintenance craft personnel
    on proper sample-taking techniques.

g.  Training Available. Training is available from equipment vendors and
    from independent laboratories that perform oil analysis.

h.  Cost.

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1.  "Free" to approximately \$150 per sample, depending on the type of
    analysis desired, disposal fees, and the level of service provided
    by the vendor.

2.  \$13,000 to \$20,000 for equipment (on-site, stand-alone analyzer
    for prescreening) and tribology training.

**F.2.3 Tribology and Lubricant Analysis (Wear Particle Analysis)**

a.  Purpose

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1.  Wear particle analysis is a technique that determines the condition
    of a machine or machine components through examining particles
    contained in a lubricating oil sample. Wear particles are separated
    and subjected to ferrographic and microscopic analysis.

2.  Coupled with other technologies, such as vibration and temperature
    measurements, wear particle analysis identifies the equipment
    condition and aids in identifying the root cause of failures.

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b.  Techniques

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1.  Direct reading ferrography.

2.  Analytical ferrography.

3.  Magnetic chip/particle counters.

4.  Graded filtration/micropatch.

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c.  Applications. Engines, compressors, turbines, transmissions, gear
    boxes, electrical transformers, etc.

d.  Effects

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1.  Analysis of both the quantity and type of metal particle
    contamination in a sample can identify the specific component
    experiencing wear, the magnitude of the wear, and the type of wear
    being experienced.

2.  Particle count indicates the effectiveness of existing filtration
    and measures overall system cleanliness.

3.  Long-term trending of oil analysis data can identify poor
    maintenance or repair practices that contribute to high maintenance
    costs, downtime, and reduced machine life.

4.  Oil analysis of electrical transformers shows presence of moisture,
    viscosity, insulation value, and carbon caused by the presence of
    electrical arcing

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e.  Equipment Required. Extensive and expensive laboratory equipment is
    required for detailed analysis; thus, in-plant analysis is not
    justified. However, portable, stand-alone, direct-reading
    contamination monitors and analyzers are now available for
    prescreening samples on site to determine if a more thorough or
    specific analysis is warranted.

f.  Operators. One individual should be trained in tribology and should,
    in turn, train equipment operators and maintenance personnel on
    proper sample-taking techniques.

g.  Training Available. Training is available from equipment vendors and
    from independent laboratories that perform oil analysis. One such
    vendor is: Predict Ferrographic and Oil Analysis training. 9555
    Rockside Road, Suite 350; Cleveland, OH 44125. Phone 800--543--8786.
    Fax 216--642--3223. Web site:
    [www.predictusa.com](http://www.predictusa.com/). Training costs
    about \$900 to \$1,200 depending on course taken.

h.  Oil Sample Analysis Cost

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1.  "Free" to approximately \$250 per sample, depending on the type of
    analysis desired, disposal fees, and the level of service provided
    by the vendor.

2.  Equipment Costs - \$1,000 to \$40,000 for equipment (on-site for
    prescreening or stand-alone full analyzer).

**F.2.4 Temperature Monitoring**

a.  Purpose

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1.  Noncontact- and contact-type devices are used to detect temperature
    variances in machines, electrical systems, heat transfer surfaces,
    and structures and the relative magnitude of those temperature
    variances (use recently begun in medical fields). Large changes in
    temperature often precede equipment failure.

2.  Infrared thermography, in particular, is a reliable technique for
    finding roof leaks and determining the thermal efficiency of heat
    exchangers, boilers, building envelopes, etc.

3.  Deep-probe temperature analysis can detect buried pipe energy loss
    and leakage by examining the temperature of surrounding soils. The
    technique can be used to quantify energy loss and its cost.

4.  Temperature monitoring can be used as a damage-control tool to
    locate mishaps such as fires and leaks.

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b.  Techniques

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1.  Infrared thermography (noncontact)

2.  Contact devices (thermometers, resistance temperature detectors,
    thermocouples, decals, and crayons).

3.  Deep-probe temperature analysis.

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c.  Applications. Heat exchangers; electrical distribution and control
    systems; roofing; building envelopes; direct-buried pipes carrying
    steam, hot or chilled water; bearings; conveyors; piping; valves;
    steam systems; air handlers; chiller and boiler insulation, casing;
    various tanks and tubes.

d.  Effects

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1.  Temperature-monitoring techniques are used to locate temperature
    variations due to loose, corroded, or dirty electrical connections;
    friction; damaged or missing insulation; and thermal system
    cavities, leaks, and blockages. Mechanical defects in belts,
    sheaves, bearings, and other rotating equipment.

2.  Infrared thermography successfully locates roof leaks and is used in
    energy conservation programs by locating sources of heating and
    air-conditioning losses through building envelopes.

3.  The use of deep probes for measuring soil temperatures near buried
    pipes will detect insulation system failures and leaks. With
    knowledge of soil properties, the losses can then be estimated. This
    technique requires knowledge of piping locations.

4.  Noncontact heat measurement can be done from a distance and will
    accurately measure temperatures on items that are hard to reach,
    such as power lines or equipment that is normally inaccessible.

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e.  Equipment Required

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1.  Equipment ranges from simple contact devices such as thermometers
    and crayons to full-color imaging and computer-based systems that
    can store, recall, assist in analysis, and print thermal images.

2.  The deep-probe temperature technique requires temperature probes,
    analysis software, and equipment to determine the location of piping
    systems.

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f.  Operators

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1.  Operators and mechanics with minimal training can perform
    temperature measurements and analyses using contact-type devices.

2.  Because thermographic images are highly complex and difficult to
    measure and analyze, training is required to obtain accurate and
    repeatable thermal data and to interpret the data. With adequate
    training (level I and level II) and certification, this technique
    can be performed by electrical/mechanical technicians and/or
    engineers.

3.  Although deep-probe temperature monitoring is often contracted
    because of the technician's required familiarity with soil
    properties, this technique can be applied by maintenance personnel
    with adequate training.

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g.  Training Available

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1.  Training is available through infrared imaging system manufacturers
    and vendors.

2.  The American Society of Nondestructive Testing (ASNT), P.O. Box
    28518, Columbus, OH 43228--0518, Web site:
    [www.asnt.org](http://www.asnt.org/) has established guidelines for
    thermographer certification. General background, work experience,
    and thermographic experience and training are all considerations for
    certification.

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h.  Cost

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1.  Point-of-use black-and-white scanners are less than \$1,000.
    Full-color microprocessor systems with data storage and print
    capability range from about \$25,000 to \$70,000. Point and spot
    temperature devices range from \$100 to \$500. The costs for the
    newest cameras are declining due to technology advances.

2.  Average thermographic system rental is approximately \$1,500 per
    week.

3.  Subcontractor services are approximately \$1,000 per day; for deep
    probe temperature analysis, the cost for contract services ranges
    from \$1,500 to \$2,000 per day with \$5,000 to \$6,000 for the
    first day.

4.  Operator-training costs are approximately \$1,250 per week.

**F.2.5 Electrical Testing**

a.  Purpose

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1.  Electrical testing is used to measure the complex impedance of
    electrical conductors, starters, and motors and their insulation
    resistance. By various methods, it detects faults such as broken
    windings, broken motor rotor bars, voltage imbalances, cable faults,
    etc.

2.  Current, voltage, and power factor also are monitored to determine
    power quality and to form a basis for reducing energy costs.

3.  Coupled with other technologies such as temperature monitoring and
    ultrasound, electrical testing identifies equipment condition and
    aids in identifying the root cause of failures.

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b.  Techniques

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1.  Megohmmeter testing.

2.  High-potential testing (Highpot).

3.  Surge testing.

4.  Conductor complex impedance.

5.  Time domain reflectometry (TDR).

6.  Insulation power factor testing.

7.  Motor current signature analysis.

8.  Radio frequency (RF) monitoring.

9.  Power factor and harmonic distortion.

10. Starting current and time.

11. Motor circuit analysis (MCA).

(Note: Highpot and surge testing should be performed only with caution.
The high voltage being applied in these tests may induce premature
failure of the units being tested. For that reason, they normally are
not recommended for condition monitoring.)

c.  Applications. Electrical distribution and control systems, motor
    controllers, cabling, transformers, motors, generators, and circuit
    breakers.

d.  Effects

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1.  Electrical testing is used to monitor the condition or test the
    remaining life expectancy of electrical insulation; motor and
    generator components such as windings, rotor bars, and connections;
    and conductor integrity.

2.  Electrical testing is used as a quality-control tool during
    commissioning and acceptance tests of electrical systems such as new
    or rewound motors.

3.  During equipment startup, electrical testing is used to check proper
    motor starting sequencing, in-rush starting voltage, and power
    consumption.

4.  Electrical testing is used to monitor power factor so that
    improvements can be made in the interest of reducing electricity
    consumption.

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e.  Equipment Required. A full electrical testing program would include
    the following equipment: multimeters/volt-ohmmeters, current clamps,
    time domain reflectometers, motor current signature analysis
    software, and integrated motor circuit analysis testers.

f.  Operators. Electricians, electrical technicians, and engineers
    should be trained in electrical PT&I techniques such as motor
    current signature analysis, motor circuit analysis, complex phase
    impedance, and insulation resistance readings and analysis.

g.  Training Available. Equipment manufacturers and RCM consultants
    specializing in electrical testing techniques provide classroom
    training and seminars to teach their testing techniques.

h.  Cost

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1.  Equipment costs vary from \$20 for a simple multimeter to more than
    \$25,000 for integrated MCA testers. A full inventory of electrical
    testing equipment should range from about \$30,000 to \$50,000.

2.  Training averages between \$750 and \$1,000 per week. One company
    that provides this training is PdMA Corporation, 5909--C Hampton
    Oaks Parkway, Tampa, FL 33610. Phone 800--476--6463, fax
    813--620--0206, Web site: pdma.com.

**F.2.6 Leak Detection**

a.  Purpose. Leak detection techniques measure the sound or vibration
    resulting from cavitation, flow turbulence, or influx (in the case
    of vacuum systems) or escape of gas or liquid.

b.  Techniques

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1.  Vibration monitoring.

2.  Acoustic detectors.

3.  Airborne ultrasonics.

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c.  Applications. Piping and process systems, compressed gas and vacuum
    systems, boiler and heat exchanger tubes, steam traps, refrigeration
    systems, electrical switchgear, and rotating machinery.

d.  Effects

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1.  Leak detection techniques are used to detect gas, liquid, and vacuum
    leaks; locate areas of turbulent or restricted flow; and measure
    corrosion and erosion in piping and vessels.

2.  In addition to detecting leaks, ultrasonic technology also can be
    used to detect electrical switchgear malfunctions, gear noise,
    faulty rolling element bearings, and other harmful friction in plant
    equipment. Ultrasonic frequencies range between 20,000 and 100,000
    kHz.

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e.  Equipment Required

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1.  Ultrasonic monitoring scanner for airborne sound or ultrasonic
    detector for contact mode through metal rod.

2.  Vibration monitoring equipment (see section 2.1 of this appendix).

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f.  Operators. Maintenance technicians and engineers.

g.  Training Available. Minimal training required. Typical training cost
    ranges from \$750 to \$1,200 per week. One company that provides
    this training is UE Systems Inc., 14 Hayes Street, Elmsford, NY
    10523, phone 800--223--1325, fax 914--347--2181, Web site:
    [www.uesystems.com](http://www.uesystems.com/).

h.  Equipment Costs: Scanners and accessories range from less than
    \$1,000 to about \$8,000.

**F.2.7 Flow Measurement**

a.  Purpose. Liquid or gas flow rates are measured using either
    intrusive or nonintrusive flow measuring devices to aid in
    determining the condition of heat exchangers, pumps, and other plant
    components.

b.  Techniques

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1.  Intrusive flow measurement devices (venturis and pitot tubes).

Note: Use of these devices may not be feasible because of hazards
involved in breaching the integrity of the system being monitored.

2.  Nonintrusive flow measurement techniques (doppler shift, time of
    flight, tracer elements).

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c.  Applications. Equipment instrumentation, pumps, heat exchangers,
    process piping systems, hot and cold piping systems.

d.  Effects

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1.  Flow measurement techniques are used to check the accuracy of
    instrumentation installed on equipment.

2.  Flow measurement techniques are used to determine pump and heat
    exchanger performance and whether scale buildup or fouling is
    affecting system efficiency.

3.  Flow measurement techniques are used to check flow of product (hot
    or cold water, etc.) through piping systems to determine volume flow
    rate and/or velocity.

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e.  Equipment Required. Required equipment for nonintrusive flow
    measurement is generally nonspecialized (e.g., flowmeters, two pairs
    of transmitters and receivers, and dyes or other tracer elements).

f.  Operators. Maintenance technicians and engineers.

g.  Training Available. Minimal (on-the-job) training required for basic
    inspections. Formal training of higher-end testing equipment is
    required.

h.  Cost. Flowmeters, transmitters, and scanners can be purchased for
    less than \$1,000 and up to \$50,000.

**F.2.8 Imaging**

a.  Purpose. Imaging techniques are used to monitor on film, or other
    visual display, the actual condition, including material flaws,
    faulty welds, and blockages of equipment and facility components.

b.  Techniques

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1.  Macro imaging.

2.  Ultrasonic imaging.

3.  Radiographic imaging.

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c.  Applications. Mechanical and electrical equipment. High- and
    low-pressure piping, tank walls, valve and pump casings, and shafts.

d.  Effects

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1.  Macro imaging employs fiber optics, endoscopes, borescopes, and
    miniature cameras to archive on film, or to record digitally, the
    actual condition of equipment and facility components.

2.  Ultrasonic imaging in its simplest form uses a pulse-echo thickness
    gauge that makes point measurements and determines the presence of
    subsurface flaws, their size, and their orientation.

3.  Radio imaging uses portable x-ray or gamma-ray equipment to identify
    flaws; it operates on the theory that the film will be darker where
    there is less wall thickness.

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e.  Equipment Required. Imaging equipment includes the following types:
    ultrasonic thickness gauges, flaw detectors, ultrasonic imagers, and
    video devices.

f.  Operators. Imagining should be performed by technicians trained in
    nondestructive testing techniques.

g.  Training Available. Training is available from equipment vendors.
    Additional information is available from the American Society of
    Nondestructive Testing (ASNT), P.O. Box 28518, Columbus, OH
    43228--0518, Web site: [www.asnt.org](http://www.asnt.org/).

h.  Cost

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1.  The cost of imaging equipment ranges from about \$3,000 for basic
    hand-held ultrasonic thickness gauges to about \$250,000 for
    ultrasonic imageries.

2.  Training costs vary, but average about \$1,000 per week.

**F.2.9 Corrosion Monitoring**

a.  Purpose. Corrosion monitoring techniques are used to detect the
    presence of corrosion in a system and to monitor its progression so
    that its causes can be treated and damage repaired before it
    progressively damages other components and systems.

b.  Techniques

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1.  Dewpoint monitoring.

2.  Conductivity monitoring.

3.  Ultrasonic corrosion monitoring.

4.  Mechanically installed visual corrosion viewports.

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c.  Applications. Chilled water, condensate, and pure water systems;
    compressed air systems; boiler water interfaces, and storage tanks.

d.  Effects

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1.  Corrosion monitoring techniques determine the conditions under which
    condensation is likely to take place (dewpoint monitoring), the
    amount of ionic impurities in a fluid (conductivity monitoring), and
    the rate at which corrosion is taking place (ultrasonic corrosion
    monitoring).

2.  By knowing the degree and cause of corrosion in a system, timely
    actions can be implemented to prevent or to control corrosive
    deterioration. These include the proper selection of materials,
    sound engineering design, dehumidification, use of neutralizing
    alkalis in an acidic environment, application of protective
    coatings, and the addition of inhibitors in anodic and cathodic
    reactions.

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e.  Equipment Required

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1.  Dewpoint monitoring uses relatively simple devices such as
    temperature and pressure gauges and steam tables to determine water
    vapor pressure, temperature, and saturation temperature.

2.  Conductivity monitoring uses a low-voltage generator and probes and
    a volt-ohmmeter to determine the conductivity of the fluid being
    monitored.

3.  Ultrasonic corrosion monitoring requires an ultrasonic measuring
    device and a personal computer and software for downloading data for
    evaluation.

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f.  Operators. Maintenance technicians and engineers with an
    understanding of the causes and effects of corrosion.

g.  Training Available. Minimal (on-the-job) training is required.

h.  Cost. The cost of ultrasonic monitoring equipment is less than
    \$5,000; software costs are approximately \$9,000.

**F.2.10 Process Parameters/Visual Inspection**

a.  Purpose. Knowledge of normal process-related factors such as
    pressure, temperature, amperage, flow data information, etc., for a
    given equipment item, coupled with visual inspection of the
    equipment often identifies the emergence of a problem not otherwise
    detected by other predictive technologies.

b.  Techniques

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1.  Diagnostic monitoring.

2.  Visual inspection.

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c.  Applications. Virtually all facilities and plant equipment.

d.  Effects

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1.  By recording process-related data such as temperature, pressure,
    etc., when equipment operators and maintenance personnel operate,
    monitor, or repair an equipment system, the information can be
    stored in a database and support other predictive efforts in
    cause-and-effect analyses.

2.  Visual inspection is an effective predictive technique that may
    detect problems, such as an oil leak not noticed by other, more
    technical means. Visual inspections should be habitual and
    continuous.

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e.  Equipment Required. No specialized testing equipment is necessary.

f.  Operators. Operators and maintenance technicians. Any observant
    individual can assist by notifying maintenance personnel of apparent
    problems.

g.  Training Available. Minimal (on-the-job) training is required to
    become a trained observer.

h.  Cost. None.

**F.3 Training and Certifications**

Listed below are the organizations that offer training and certification
in PT&I technologies and reliability. This list is by no means complete,
as changes in the industry occur constantly:

> AVO International Training Institute, Inc. (All Electrical
> Certifications)\
> 4271 Bronze Way, Dallas, TX 75237--3156\
> Phone: 877--594--3156; Fax: 214--331--7363\
> Web site: [www.avotraining.com](http://www.avotraining.com/)[\
> ]{.underline}
>
> Bently-Nevada Corporation\
> 1631 Bently Parkway South\
> Minden, NV 89423\
> Phone: 775--782--3611; Fax: 775--215--2855
>
> Web site:
> <http://www.gepower.com/prod_serv/products/oc/en/bently_nevada.htm>.
>
> Computational Systems Inc. (CSI) (Vibration Levels I, II, & III, and
> IRT Levels I & II)\
> 835 Innovation Dr.\
> Knoxville, TN 37932\
> Phone: 800--675--4726; Fax: 865--218--1411\
> Web site:
> [http://www.emersonprocess.com/education/training/knoxville-tn.asp[\
> ]{.underline}](http://www.emersonprocess.com/education/training/knoxville-tn.asp)
>
> Rockwell Automation
>
> Phone: 440-646-3434\
> Web site:
> <http://www.rockwellautomation.com/services/training/index.html>
>
> EPRI M&D Center (Electrical Testing Training)\
> 3 Industrial Highway\
> Eddystone, PA 19022\
> Phone: 800-745-9982
>
> Infrared Training Center (FLIR Systems)\
> 25 Esquire Rd\
> N. Billerica, MA 01862\
> Phone: 866­--872--4647; Fax: 978--901--8832
>
> Web site:
> [http://www.goinfrared.com/training/](http://www.goinfrared.com/training)
>
> Ludeca, Inc. (Alignment Training)\
> 1425 NW 88th Avenue\
> Doral, FL 33172\
> Phone: 305--591-8935; Fax: 305--591--1537\
> Web site: [http://www.ludeca.com/training.htm\
> ](http://www.ludeca.com/training.htm)
>
> National Environmental Balancing Bureau (NEBB)\
> 8575 Grovemont Circle\
> Gaithersburg, MD 20877\
> Phone: 301--977--3698; Fax: 301--977--9589\
> Web Site: [www.nebb.org](http://www.nebb.org/)[\
> ]{.underline}
>
> PdMA Corporation (Motor Testing Training)\
> 5909--C Hampton Oaks Parkway
>
> Tampa, FL 33610
>
> Phone: 800--476--6463; Fax 813--620--0206
>
> Web site: pdma.com
>
> Predict\
> 9555 Rockside Road, Suite 350\
> Cleveland, Ohio 44125\
> Phone: 800--543--8786\
> Web site: [http://www.predictusa.com/wpatraining.htm[\
> ]{.underline}](http://www.predictusa.com/wpatraining.htm)
>
> Update International Inc. (Vibration Levels I, II & III)\
> 6320 W. Lakeridge Road\
> Lakewood , CO 80227\
> Phone: (800) 530-4215; Fax: 303-985-3950
>
> Web site: <http://www.update-intl.com/index.htm>
>
> Vibra•Metrics\
> 195 Clarksville Road\
> Princeton Jct, NJ 08550\
> Phone: 609--716--4130; Fax: 609--716--0706
>
> Web site: <http://www.vibrametrics.com/>
>
> Technical Associates of Charlotte
>
> 347 North Caswell Road, Charlotte, NC 28204
>
> Phone: 704--333--9011; Fax: 704--333--1728347
>
> Web site: [www.technicalassociates](http://www.technicalassociates/)
>
> Vibration Institute
>
> 6262 South Kingery Highway, Suite 212
>
> Willowbrook, IL 60527
>
> Phone: 630--654--2254; Fax: 630--654--2271
>
> Web site: [www.vibinst.org](../www.vibinst.org)
>
> Snell & Associates Inc.
>
> 6210 West Corporate Oaks Drive
>
> Crystal River, FL 34429.
>
> Phone: 800-784-9629; Fax 352-795-3828.
>
> Web site: [www.snellassociats.com](../www.snellassociats.com)

**F.4 Application of Other Flaw-Detection Techniques**

**F.4.**1 Utility Systems: Compressed Air

<table style="width:100%;">
<colgroup>
<col style="width: 23%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
</colgroup>
<tbody>
<tr class="odd">
<td></td>
<td>INFRARED</td>
<td>ULTRASOUND</td>
<td>ACOUSTIC EMISSIONS</td>
<td>SULFUR HEXAFLUORIDE</td>
<td>RADIOGRAPHY</td>
<td>EDDY CURRENT</td>
<td>LIQUID PENETRANT</td>
<td>MAGNETIC FLUX</td>
<td>INSULATING OIL TEST</td>
<td>VIBRATION SIGNATURE</td>
<td>DEEP-PROBE TEMPERATURE</td>
<td>DIAGNOSTIC MONITORING</td>
<td>FIBER OPTICS/BORESCOPES</td>
<td>REPLICATION</td>
<td>ELECTROMAG. PIPE LOCAT.</td>
<td>RADAR MAPPING</td>
<td>HOLOGRAPHIC INTER.</td>
<td>BORING</td>
<td>HOLIDAY &amp; FAULT LOCAT.</td>
<td>ELECT. EQUIP. TESTS</td>
</tr>
<tr class="even">
<td><p>Controls-Electric</p>
<p>Controls-Thermal</p>
<p>Electric Drive</p>
<p>Steam Drive</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
</tr>
<tr class="odd">
<td><p>Motor Drive</p>
<p>Compressor</p></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p>-Vibrations</p>
<p>-Hot Stuffing Box</p>
<p>-Hot Bearings, Belts, Gears</p>
<p>-Valves and Seats</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><p>- Pistons, Rings, Cyls., Rods</p>
<p>- Rotor, Stator Wear</p>
<p>Intercoolers/Aftercoolers</p>
<p>Traps</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p>Receiving Tanks</p>
<p>Drip Legs</p>
<p>Distribution, Service Lines</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
</tr>
<tr class="odd">
<td><p>Valves</p>
<p>Fittings</p>
<p>Welds</p></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p>Cathodic Protection</p>
<p>Conduits</p>
<p>Pipe Supports/Anchors</p></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
</tr>
</tbody>
</table>

Source: Draft report *Utilities Inspection Technologies*, Naval Energy
and Environmental Support Activity, Port Hueneme, CA, June 1990.

**F.4.**2 Utility Systems: Electrical

<table style="width:100%;">
<colgroup>
<col style="width: 23%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
</colgroup>
<tbody>
<tr class="odd">
<td></td>
<td>INFRARED</td>
<td>ULTRASOUND</td>
<td>ACOUSTIC EMISSIONS</td>
<td>SULFUR HEXAFLUORIDE</td>
<td>RADIOGRAPHY</td>
<td>EDDY CURRENT</td>
<td>LIQUID PENETRANT</td>
<td>MAGNETIC FLUX</td>
<td>INSULATING OIL TEST</td>
<td>VIBRATION SIGNATURE</td>
<td>DEEP-PROBE TEMPERATURE</td>
<td>DIAGNOSTIC MONITORING</td>
<td>FIBER OPTICS/BORESCOPES</td>
<td>REPLICATION</td>
<td>ELECTROMAG. PIPE LOCAT.</td>
<td>RADAR MAPPING</td>
<td>HOLOGRAPHIC INTER.</td>
<td>HOLOGRAPHIC INTER.</td>
<td>HOLIDAY &amp; FAULT LOCAT.</td>
<td>ELECT. EQUIP. TESTS</td>
</tr>
<tr class="even">
<td><p>Capacitors</p>
<p>Insulating Liquid</p>
<p>Motor Windings</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
</tr>
<tr class="odd">
<td><p>Motor Connections</p>
<p>Bearings, Belts, Gears</p>
<p>Generator Retaining Rings</p></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p>Generator Windings</p>
<p>Generator Brushes</p>
<p>Rotor Stator</p></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
</tr>
<tr class="odd">
<td>Oil-Insulated Transformers</td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
</tr>
<tr class="even">
<td><p>Conductors</p>
<p>Suspension Insulators</p>
<p>Steel Pole, Welds</p></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
</tr>
<tr class="odd">
<td><p>Gas-Insulated (SF<sub>6</sub>) Equip.</p>
<p>Switchgear and Breakers</p>
<p>Buses, Connections</p></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
</tr>
<tr class="even">
<td><p>Post Insulators</p>
<p>Transformer Bushings</p></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
</tr>
<tr class="odd">
<td><p>Conductors</p>
<p>Distribution Transformers</p>
<p>Suspension Insulators</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
</tr>
<tr class="even">
<td><p>Pin and Cap Insulators</p>
<p>Wood Poles</p>
<p>Power Lines and Splices</p></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
</tr>
</tbody>
</table>

Source: Draft report *Utilities Inspection Technologies*, Naval Energy
and Environmental Support Activity, Port Hueneme, CA, June 1990.

**F.4.**3 Utility Systems: Natural Gas

<table style="width:100%;">
<colgroup>
<col style="width: 23%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
</colgroup>
<tbody>
<tr class="odd">
<td></td>
<td>INFRARED</td>
<td>ULTRASOUND</td>
<td>ACOUSTIC EMISSIONS</td>
<td>SULFUR HEXAFLUORIDE</td>
<td>RADIOGRAPHY</td>
<td>EDDY CURRENT</td>
<td>LIQUID PENETRANT</td>
<td>MAGNETIC FLUX</td>
<td>INSULATING OIL TEST</td>
<td>VIBRATION SIGNATURE</td>
<td>DEEP-PROBE TEMPERATURE</td>
<td>DIAGNOSTIC MONITORING</td>
<td>FIBER OPTICS/BORESCOPES</td>
<td>REPLICATION</td>
<td>ELECTROMAG. PIPE LOCAT.</td>
<td>RADAR MAPPING</td>
<td>HOLOGRAPHIC INTER.</td>
<td>HOLOGRAPHIC INTER.</td>
<td>HOLIDAY &amp; FAULT LOCAT.</td>
<td>ELECT. EQUIP. TESTS</td>
</tr>
<tr class="even">
<td>Feeder, Distr., Supply Mains</td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
</tr>
<tr class="odd">
<td>Drip Legs</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p>Valves</p>
<p>Pipe Fittings</p></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
</tr>
<tr class="odd">
<td><p>Welds</p>
<p>Cathodic Protection</p></td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
</tr>
</tbody>
</table>

Source: Draft report *Utilities Inspection Technologies*, Naval Energy
and Environmental Support Activity, Port Hueneme, CA, June 1990.

**F.4.4 Utility Systems: Steam**

<table style="width:100%;">
<colgroup>
<col style="width: 23%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
</colgroup>
<tbody>
<tr class="odd">
<td></td>
<td>INFRARED</td>
<td>ULTRASOUND</td>
<td>ACOUSTIC EMISSIONS</td>
<td>SULFUR HEXAFLUORIDE</td>
<td>RADIOGRAPHY</td>
<td>EDDY CURRENT</td>
<td>LIQUID PENETRANT</td>
<td>MAGNETIC FLUX</td>
<td>INSULATING OIL TEST</td>
<td>VIBRATION SIGNATURE</td>
<td>DEEP-PROBE TEMPERATURE</td>
<td>DIAGNOSTIC MONITORING</td>
<td>FIBER OPTICS/BORESCOPES</td>
<td>REPLICATION</td>
<td>ELECTROMAG. PIPE LOCAT.</td>
<td>RADAR MAPPING</td>
<td>HOLOGRAPHIC INTER.</td>
<td>HOLOGRAPHIC INTER.</td>
<td>HOLIDAY &amp; FAULT LOCAT.</td>
<td>ELECT. EQUIP. TESTS</td>
</tr>
<tr class="even">
<td><p>Boiler Tank</p>
<p>Tubes/Headers</p>
<p>Steam Drum</p>
<p>Superheaters / Reheaters</p></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><p>Economizers</p>
<p>Turbines</p>
<p>Forced / Induced Draft Fans</p>
<p>Stack</p></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p>
<p>X</p></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p>Feedwater Storage Tanks</p>
<p>Pumps</p>
<p>Gears, Belts, Bearings</p>
<p>Pipes</p></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td>X</td>
<td></td>
</tr>
<tr class="odd">
<td><p>Valves</p>
<p>Fittings, Connections, Welds</p></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
</tr>
<tr class="even">
<td><p>Condensers</p>
<p>Evaporators</p>
<p>Conduits</p>
<p>Traps</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><p>Cathodic Protection</p>
<p>Seals</p>
<p>Insulation</p>
<p>Expansion Tank</p></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
</tr>
<tr class="even">
<td><p>Electrical Equipment</p>
<p>Drip Legs</p></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

Source: Draft report *Utilities Inspection Technologies*, Naval Energy
and Environmental Support Activity, Port Hueneme, CA, June 1990

**F.4.**5 Utility Systems: Hot Water

<table>
<colgroup>
<col style="width: 23%" />
<col style="width: 3%" />
<col style="width: 0%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 0%" />
<col style="width: 3%" />
<col style="width: 0%" />
<col style="width: 3%" />
<col style="width: 0%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 0%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
</colgroup>
<tbody>
<tr class="odd">
<td></td>
<td colspan="2">INFRARED</td>
<td>ULTRASOUND</td>
<td colspan="2">ACOUSTIC EMISSIONS</td>
<td>SULFUR HEXAFLUORIDE</td>
<td colspan="2">RADIOGRAPHY</td>
<td colspan="2">EDDY CURRENT</td>
<td>LIQUID PENETRANT</td>
<td>MAGNETIC FLUX</td>
<td>INSULATING OIL TEST</td>
<td>VIBRATION SIGNATURE</td>
<td>DEEP-PROBE TEMPERATURE</td>
<td>DIAGNOSTIC MONITORING</td>
<td>FIBER OPTICS/BORESCOPES</td>
<td>REPLICATION</td>
<td>ELECTROMAG. PIPE LOCAT.</td>
<td>RADAR MAPPING</td>
<td>HOLOGRAPHIC INTER.</td>
<td colspan="2">HOLOGRAPHIC INTER.</td>
<td>HOLIDAY &amp; FAULT LOCAT.</td>
<td>ELECT. EQUIP. TESTS</td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td colspan="3"></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><p>Boiler-Tank</p>
<p>- Tubes/Headers</p>
<p>Controls-Electrical</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td colspan="2"><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td colspan="3"></td>
<td colspan="2"><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
<td></td>
<td></td>
<td colspan="2"><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p>Conduits</p>
<p>Feeder/Distr./Svc. Mains</p>
<p>Meters</p>
<p>Valves</p></td>
<td><p>X</p>
<p>X</p></td>
<td colspan="2"><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td colspan="3">X</td>
<td colspan="2"><p>X</p>
<p>X</p></td>
<td>X</td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td>X</td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td colspan="2">X</td>
<td></td>
<td>X</td>
<td></td>
</tr>
<tr class="odd">
<td><p>Measurement Controllers</p>
<p>Fittings/Connections</p>
<p>Cathodic Protection</p>
<p>Pumps</p></td>
<td>X</td>
<td colspan="2">X</td>
<td><p>X</p>
<p>X</p></td>
<td colspan="3"></td>
<td colspan="2">X</td>
<td>X</td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p></td>
<td colspan="2"></td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td>X</td>
</tr>
<tr class="even">
<td><p>Insulation</p>
<p>Expansion Tanks</p>
<p>Heat Exchangers</p>
<p>Fans</p></td>
<td><p>X</p>
<p>X</p></td>
<td colspan="2"><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td colspan="3"></td>
<td colspan="2"><p>X</p>
<p>X</p></td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td>X</td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td>X</td>
<td>X</td>
<td><p>X</p>
<p>X</p>
<p>X</p></td>
<td>X</td>
<td>X</td>
<td></td>
<td></td>
<td colspan="2"><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td>X</td>
</tr>
<tr class="odd">
<td><p>Driving Equipment</p>
<p>Stack</p></td>
<td><p>X</p>
<p>X</p></td>
<td colspan="2"></td>
<td></td>
<td colspan="3"></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td><p>X</p>
<p>X</p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td>X</td>
</tr>
</tbody>
</table>

Source: Draft report *Utilities Inspection Technologies*, Naval Energy
and Environmental Support Activity, Port Hueneme, CA, June 1990.

# Appendix G. Performance Measurement {#appendix-g.-performance-measurement .unnumbered}

**G.1 Facilities Maintenance Management Metrics**

This appendix provides maintenance management metrics from various
sources. Centers and Component Facilities should consider their use, as
applicable, as a means of measuring performance.

**G.1.1 Facility Condition**

The annual maintenance funding and resultant trends are a function of
the DM and the needs of the Center. If the DM is high and increasing or
staying the same, a positive trend would be observed. A downward trend
would be expected if the backlog is low or decreasing. Elimination of
the DM is not always possible or desirable, since DM can provide an
ability to balance resources in the long term. The following represents
the applicable metrics and corresponding benchmarks:

a.  [Annual Maintenance Funding (\$)]{.underline} should be between 2
    percent and 4 percent.

> Current Replacement Value (\$)

b.  [Annual Maintenance Funding (\$)]{.underline} should show a downward
    () or stable trend.

> Current Replacement Value (\$)

**G.1.2 Work Performance**

The following metrics and corresponding benchmarks are used to trend
work performance:

a.  Emergency TC Response (hours) should show a downward trend.

b.  Emergency TC Completion (hours) should show a downward trend.

c.  Average completion time for routine TC (hours) should show a
    downward trend.

d.  Average completion time for repairs (days) should show a downward
    trend.

e.  [Jobs Completed as Scheduled (Number)]{.underline} should be 100
    percent.

Total Jobs Scheduled (Number)

f.  [Service Requests Completed (Number)]{.underline}  should be 100
    percent.

Service Requests Committed (Number)

**G.1.3 Work Element**

G.1.3.1 The following metric may have a positive trend if repair rates
are high, equipment/facilities systems are not realizing their full
useful life, or there is very little PT&I usage. A negative trend should
develop if PT&I is increasing and repair rates are stable or decreasing.
The benchmark is between 15 percent and 18 percent:

[Preventive Maintenance (\$)]{.underline}

Total Maintenance Cost (\$)

G.1.3.2 The following metric should develop a positive trend as the
maintenance program shifts from reactive and time-based maintenance to
condition-based maintenance. The benchmark is between 10 percent and 12
percent:

[Predictive Testing and Inspection (\$)]{.underline}

Total Maintenance Cost (\$)

G.1.3.3 The following metrics should develop a negative trend as the
maintenance program shifts from reactive and time-based maintenance to
condition-based maintenance:

a.  [Programmed Maintenance Repair (\$)]{.underline} should be between
    25 percent and 30 percent.

Total Maintenance Cost (\$)

b.  [Repair (\$)]{.underline}  should be between 15 percent and 20
    percent.

Total Maintenance Cost (\$)

c.  [Trouble Calls (\$)]{.underline}  should be between 5 percent and 10
    percent.

Total Maintenance Cost (\$)

G.1.3.4 The following metric should show an upward trend if a backlog of
this type of work exists, and a negative trend if not much of this type
of work exists at the Center. The benchmark is between 15 percent and 20
percent:

[Replacement of Obsolete Items (\$)]{.underline}

Total Maintenance Cost (\$)

G.1.3.5 The following metric should show a negative trend, demonstrating
increased focus on maintenance, and should be distinguished from
customer reimbursed service requests. The benchmark is between 0 percent
and 5 percent:

[Service Requests (\$)]{.underline}

Total Maintenance Cost (\$)

**G.1.4 RCM Performance Metrics**

RCM analysis is an excellent indicator of performance.

G.1.4.1 Equipment Availability. The following metric is an indicator of
equipment availability. The benchmark is 96 percent:

[Hours Each Unit of Equipment is Available to Run at
Capacity]{.underline}

Total Hours During the Reporting Period

G.1.4.2 Maintenance Overtime Percentage. The following metric is an
indicator of maintenance overtime percentage. The benchmark is 5 percent
or less:

[Total Maintenance Overtime Hours During the Period]{.underline}

Total Regular Maintenance Hours During the Period

G.1.4.3 Emergency Percentage. The following metric is an indicator of
the level of effort dedicated to emergency work. The benchmark is 10
percent or less:

[Total Hours Worked on Emergency Jobs]{.underline}

Total Hours Worked

G.1.4.4 Percentage of Candidate Equipment Covered by PT&I. The following
metric is an indicator of the amount of candidate equipment covered by
PT&I. The benchmark is 100 percent:

[Number of Equipment Items in the PT&I Program]{.underline}

Total Equipment Candidates for PT&I

G.1.4.5 Percentage of Emergency Work to PT&I and PM Work. The following
metric is an indicator of the amount of emergency work relative to PT&I
and PM work. The benchmark is 20 percent or less:

[Total Emergency Hours]{.underline}

Total PT&I and PM Hours

G.1.4.6 Percentage of Faults Found in Thermographic Surveys. The
following metric is an indicator of the percent of faults found through
infrared thermography. The benchmark is 3 percent or less:

[Number of Faults Found]{.underline}

Number of Devices Surveyed

G.1.4.7 Percentage of Faults Found in Steam Trap Surveys. The following
metric is an indicator of the percentage of faults found during steam
trap surveys. The benchmark is 10 percent or less:

[Number of Defective Steam Traps Found]{.underline}

Number of Steam Traps Surveyed

G.1.4.8 Ratio of PM/PT&I Work to Reactive Maintenance Work. The
following metric is an indicator of the percentage of planned work
relative to unplanned work:

A = 70% PM/PT&I

B = 30% Reactive Maintenance

where,

$$\text{A\%} = \frac{\text{Manhours of PM/PT\&I Work}}{\text{Manhours of Reactive } + \text{ PM/PT\&I Work}}$$

$$\text{B\%} = \frac{\text{Manhours of Reactive Work}}{\text{Manhours of Reactive } + \text{ PM/PT\&I Work}}$$

A% + B% = 100%

**G.1.5 Safety**

Reportable Incident Rate (RIR) for O&M and Support Services Contracts:

RIR = [Total Annual No. of Injuries Incurred x 200,000]{.underline}

Total Annual No. of Hours Worked

Lost Workday Case Incident Rate (LWCIR) for O&M and Support Services
Contracts. LWCIR represents the number of injuries and illnesses per 100
full-time equivalent workers.

[N]{.underline}

LWCIR = EH x 200,000

Where N = the number of injuries and illnesses.

EH = the total hours worked by all employees during the calendar year.

And 200,000 is the base for 100 equivalent full-time workers (working 40
hours per week, 50 weeks per year).

**G.2 Budget Execution**

The following metrics indicate how well the facilities maintenance
budget is being executed:

a.  [Prior Year Execution (\$)]{.underline} should be 100%.

Prior Year Budget (\$)

b.  [Current Year Expenditures to Date (\$)]{.underline} should be 100%.

Current Year Budget to Date (\$)

**G.3 Other Metrics**

The following are miscellaneous metrics used by organizations to measure
performance. Their use by Centers is highly encouraged:

a.  New Construction + Service Requests or New Work (\$ or hours) should
    show a downward trend ().

PM + PT&I + PGM + Repairs + ROI Maintenance (\$ or hours)

b.  [Repairs + Trouble Calls Corrective Actions (\$)]{.underline}
     should show a downward trend ().

PM + PT&I + PGM + ROI or Preventive Actions (\$)

c.  [Average Age of Equipment (years)]{.underline} should show a
    downward trend ().

Average Useful Life of Equipment (years)

d.  The number of disabling accidents per year should show a downward
    trend ().

e.  The number of routine trouble calls per year should show a downward
    trend ().

f.  The number of work orders per year or month should show a downward
    trend ().

g.  The number of emergency trouble calls per year or month should show
    a downward trend ().

h.  Customer satisfaction, as measured by a numerical grade assigned to
    positive or negative feedback should show a positive, or upward,
    trend ().

i.  The number of unplanned electric power outages should show a
    downward trend ().

j.  The number of environmental violations should be zero.

k.  The number of OSHA violations should be zero.

l.  [Maintenance Overtime (hours)]{.underline} should be less than 10%
    of payroll costs.

Total Maintenance (hours)

m\. [PMs Completed (number)]{.underline} should show an upward trend ().

PMs Scheduled (number)

n\. [Scheduled Work (hours)]{.underline} should not exceed a locally
determined benchmark.

Total Work (hours)

o\. [Actual Cost of Work (\$)]{.underline} should be ± 10%.

Estimated Cost of Work (\$)

p\. [Jobs Planned and Estimated (number)]{.underline} should not exceed
a locally determined benchmark.

Total Jobs (number)

q\. [Jobs Planned and Estimated (\$)]{.underline} should not exceed a
locally determined benchmark.

Total Jobs (\$)

r\. [Requisitions Met from Stock (number)]{.underline} should not exceed
a locally determined benchmark.

Total Requisitions (number)

s\. [Requisitions not in stock (number)]{.underline} should not exceed a
locally determined benchmark.

Total Requisitions (number)

t\. [Supervision (hours)]{.underline} should be less than 10%.

Direct Labor (hours)

u\. [Downtime Caused by Breakdown (hours)]{.underline} should not exceed
a locally determined benchmark.

Total Downtime (hours)

v\. [Breakdown Labor (hours)]{.underline} should show a downward trend
().

Total Labor (hours)

w\. [Maintenance Cost (\$)]{.underline} should not exceed a locally
determined benchmark.

Center Mission Cost (\$)

G.3.1 The following two metrics shall be carefully used on a job-by-job
or like-work basis. This may create conflict between shops and
management. Care should be exercised to preclude adversarial
relationships between the shops and management.

a\. [Actual Hours per Job (hours)]{.underline} should be ± 10%.

Scheduled Hours per Job (hours)

b\. [Maintenance Work Orders Completed (number)]{.underline} should show
an upward trend ().

Maintenance Work Planned and Scheduled (number)

G.3.2 The following two metrics should be trended with the locally
accepted employment index factor:

a\. [Material Cost (\$)]{.underline} should not exceed a locally
determined benchmark.

Direct Labor Cost (\$)

b\. [Maintenance Cost (\$)]{.underline} should not exceed a locally
determined benchmark.

Total Maintenance Work hours (hours)

G.3.3 Metric 3.2.b., when evaluated with metric 3.3.a. below, will help
determine peaks of work resulting from the Center mission or
weather-related work. This evaluation can help in the planning process
and use of alternative labor or contract methods.

a\. The monthly cost of maintenance operations should not exceed a
locally determined benchmark.

b\. [Equipment Covered by PT&I (number)]{.underline}  should show an
upward trend ().

Items of Equipment Potential for PT&I (number)

G.3.4 A downward trend of the spare parts inventory is desirable,
provided that the maintenance response time and completion times are not
adversely affected. Given that, the desired metric as follows:

a\. The inventory value of spare parts should show a downward trend ().

#  {#section-8 .unnumbered}

# Appendix H. Annual and Five-Year Maintenance Work Plan Template {#appendix-h.-annual-and-five-year-maintenance-work-plan-template .unnumbered}

**H.1 Introduction**

NASA has adopted a maintenance philosophy that emphasizes using the
optimal mix of strategies to provide required facility availability and
reliability at minimum cost in order to support current and planned NASA
programs.

One of the recognized deficiencies in complying with this philosophy is
the lack of an effective long- and short-range planning process at most
of the Centers and their Component Facilities across NASA. Since all the
Centers are moving toward a fully implemented Reliability Centered
Maintenance (RCM) program, the next step is to provide them with a
vehicle to display long- and short-range facility requirements in a
manner that can be used to articulate needs based on mission impact and
most probable facility availability outcomes under varying budget
scenarios.

This document provides an Annual and Five-Year Maintenance Work Plan
template. A business plan approach has been used to integrate smoothly
into NASA's strategic management process, afford Center Facility
Management (FM) and senior managers the ability to make risk-based
decisions regardless of the budget environment, and allow Center FM
organizations to pursue and measure their continuous improvement
efforts.

**H.2 Background**

Factors considered in developing the template include NASA's Integrated
Enterprise Management Program (IEMP) and full-cost accounting, the asset
management initiative, PBC conversion initiative, implementation of ISO
9000-quality process requirements into the NASA business process, and
Agency-wide metrics requirements recently incorporated in the facilities
maintenance self-assessment policy.

This is a template, a suggested approach to structuring (format and
content) an Annual and Five-Year Maintenance Work Plan. It has been
designed to assist Center FM managers in preparing sound strategies,
performing risk-based management, and identifying the required resources
to help enable Center and Agency goals. Center FM managers have maximum
flexibility in tailoring the plan to meet individual Center needs.

Funding throughout the plan is based on current year dollars. All
funding amounts within any category should reflect fully loaded (that
is, all support costs) funds. For example, if a NASA contractor is
developing a plan, which may become part of a larger plan, then all
funding should reflect the fully loaded price to NASA. The fully loaded
price would include all costs and fees (profit). In some cases, the plan
will reflect contract fixed prices.

Funding needs are developed within the requirements analysis in section
3. When coupled with criticality issues, such as affect on mission or
safety, it becomes an effective tool for identifying work that cannot be
accomplished if the budget is reduced, as well as the highest priority
backlogged work that could be accomplished if additional resources were
made available.

The Annual Work Plan (AWP) is the first year, or base year, of this
plan. The base year information shall be as complete and accurate as
possible. In addition, the base year shall identify work that will be
deferred if the proposed budget is not completely funded and the effect
on the Center/Facility if that work is not performed. The outyears,
beyond the base year, are estimates that will form the basis of future
AWPs.

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

Annual and Five-Year

(Facilities or Area) Maintenance Work Plan

Center Name

Starting Fiscal Year \<INSERT YEAR\>

(October 1, \<INSERT YEAR\> through September 30, \<INSERT YEAR\>)

Prepared By: xxxx

POC: Name

Telephone: (xxx) xxx--xxxx

e-mail: abc@nasa.gov

Executive Summary

NOTE TO AUTHOR: The Executive Summary will summarize the long- and
short-term goals and funding requirements for the facilities maintenance
organization. The objective is to present the "big picture" including
any requirements that cannot be accomplished within the established
budget guidelines. Any adverse trends that could affect facility
availability need to be described along with their probability of
occurrence and their effects on safety, mission, or other costs. This is
the opportunity to clearly articulate potential problems from reduced
funding and the adverse impact they could have on mission support. If
space allows, describe new initiatives and objectives, successes
achieved to date, other initiatives outside of facilities maintenance,
and funding requirements to continue them.

An effective Executive Summary should be short and concise. A good
length is two to five pages. The goal is to have no surprises. If it is
important, it should be mentioned here. Details must be provided
somewhere within the plan for every item mentioned in this summary. The
details are backup information such as a table, an appendix, or a
reference to other Center data.

**Funding History**

All funds are in actual/current year dollars (identify if K\$ or M\$).

  --------- ---------- ---------- ----------- --------- --------- --------- ---------
  Funding   Actual                Projected                                 

  Source    FY(X--2)   FY(X--1)   FY(X)       FY(X+1)   FY(X+2)   FY(X+3)   FY(X+4)

  R&D                                                                       

  Other                                                                     

  Other                                                                     

  Total                                                                     
  --------- ---------- ---------- ----------- --------- --------- --------- ---------

NOTE TO AUTHOR: The funding chart above will show "big picture" funding
for all fund sources (FS) received in current and previous fiscal years
as well as proposed for the five-year period. Adverse trends depicted in
the chart should be identified and their impact on mission support
described. The text that follows provides an example of what could be
included in this section.

The term "Center" is inclusive of its Component Facilities, as
applicable.

The funding history and projected requirements to support facility
maintenance for \<INSERT CENTER NAME\> are shown above. The funding for
\<INSERT CATEGORY\> has been \< INSERT "INADEQUATE," "FALLS SHORT"
ETC.\> and has resulted in \<INSERT ADVERSE EFFECTS\>. If additional
funding is not made available, \< INSERT POTENTIAL FUTURE PROBLEMS\>.

The following chart, together with backup details, is the proposed \<
INSERT CENTER NAME\> Annual Work Plan for the upcoming fiscal year.

**Spending by NASA Category - (Current Year \<X\> and Budget Year
\<X+1\>)**

All funds are in current year dollars (identify if K\$ or M\$).

  --------------- ------------- ------------- ------------- -------------
  Work Element    FY \<X\>      \% Effort     FY \<X+1\>    \% Effort

  PM/PT&I                                                   

  Grounds Care                                              

  PGM                                                       

  Repair                                                    

  Trouble Calls                                             

  ROI                                                       

  Plant O&M                                                 

  Subtotal                                                  

  DM              []{.mark}                                 

  Special                                                   
  Programs                                                  

  Service                                                   
  Requests                                                  

  Subtotal                                                  

  CoF - Discrete                                            

  CoF - Minor                                               

  Total                         100                         100
  --------------- ------------- ------------- ------------- -------------

NOTE TO AUTHOR: The chart above should show all NASA categories of work
and all other categories of work to be managed by the facilities
maintenance group. The Work Element column in the chart can include any
number of items. Keep in mind, to be effective, the chart should limit
the items by rolling up funds from the details contained within this
plan. Backup details of specific requirements within each Work Element
item should be available in an appendix, within the plan, or in a
specifically referenced document or source. The percentage effort refers
to the percentage of overall effort that the particular category
represents. Include other charts and graphs to highlight performance and
new initiatives. Include pictures here and in the body of the Plan if
they add value.

Facilities Assessment Summary

NOTE TO AUTHOR: The following section is an overall assessment of past,
present, and future funding trends, anticipated needs, and the ability
of current budget estimates to meet needs required to successfully
support the Center mission. This section is a summary of Section 4.3 and
Appendix F. An example of information that can be portrayed is shown
below.

**State of \<INSERT CENTER NAME\> Facilities in Supporting the Center's
Mission and Center of Excellence Responsibilities**

\<INSERT CENTER NAME\> mission is to \<INSERT MISSION\> and is NASA's
Center of Excellence for \<INSERT COE RESPONSIBILITY\>. Facilities
maintenance organization's vision and mission are \<INSERT VISION AND
MISSION\>. Major active facilities maintenance programs include \<INSERT
MAJOR PROGRAMS TO SUPPORT MISSION\>[.]{.underline} Future Center
programs planned include \<INSERT FUTURE PROGRAMS PLANNED\>. The current
state of \<INSERT CENTER NAME\> facilities for providing the required
reliability and availability to support these programs is \<INSERT
"GOOD," "FAIR," "MARGINAL," OR "POOR"\>.

The current budget \<INSERT EITHER "MEETS" OR "FALLS SHORT OF"\>
anticipated needs to ensure facilities maintain a reasonably high
probability of supporting current mission needs. \<INSERT THE FOLLOWING
APPROPRIATE ITEMS WHEN REQUIREMENTS ARE GREATER THAN RESOURCES AVAILABLE
-- "THE FOLLOWING IDENTIFIES ACTUAL RESOURCE REQUIREMENTS, RESOURCE
SHORTFALLS, REQUIRED WORK THAT CANNOT BE ACCOMPLISHED WITHIN THE
AVAILABLE BUDGET, AND POTENTIAL MISSION IMPACT OF NOT ACCOMPLISHING THE
REQUIRED WORK:" \>

Preventive/Predictive Maintenance - \<IDENTIFY RESOURCE REQUIREMENTS,
RESOURCES BUDGETED, REQUIREMENTS THAT CANNOT BE ACCOMPLISHED, AND SHORT-
AND LONG-TERM PROJECTED MISSION IMPACTS\>

Programmed Maintenance **-** \<SAME AS PM/PT&I \>.

Repairs - \< SAME AS PM/PT&I \>.

Replacement of Obsolete Items **-** \< SAME AS PM/PT&I \>.

Utility Plant Operations - \< SAME AS PM/PT&I \>.

Grounds Care - \< SAME AS PM/PT&I \>.

Proactive Maintenance - \< IDENTIFY COST EFFECTIVE METHODS REQUIRED TO
MINIMIZE FAILURES NOT ABLE TO BE ACCOMPLISHED DUE TO BUDGET SHORTFALLS
AND THE POTENTIAL SHORT- AND LONG-TERM IMPACTS \>.

Special Programs -- \<INSERT SPECIAL PROGRAMS NOT ABLE TO BE
ACCOMPLISHED DUE TO BUDGET SHORTFALLS AND INSERT THEIR BENEFITS AND
POTENTIAL IMPACTS ON THE CAPABILITY TO SUPPORT MISSION \>.

CoF Repairs/Revitalization - \< IDENTIFY CURRENT YEAR NEEDS, FUNDED
PROJECTS, AND POTENTIAL IMPACT OF UNFUNDED PROJECTS \>.

Deferred Maintenance (DM), formerly known as Backlog Maintenance and
Repair, is currently at \<INSERT \$\$ VALUE\> or \<INSERT %\> of Current
Replacement Value (CRV), and is expected to increase/decrease by
\<INSERT VALUE\> in the coming year due to \< INSERT PRIMARY CAUSE\>.
Primary mission impacts of existing DM are as follows:

1\. \<INSERT MOST SIGNIFICANT IMPACTS\>.

2\. ETC.

Facilities systems having a **high probability of incurring unplanned
downtime** due to system condition and the most probable mission impact
are as follows:

1\. \<INSERT SYSTEM #1 AND PROBABLE IMPACT\>.

2\. ETC.

Facilities systems having a **medium probability of incurring unplanned
downtime** due to system condition and the most probable mission impact
are as follows:

1\. \<INSERT SYSTEM #1 AND PROBABLE IMPACT\>.

2\. ETC.

Table of Contents

1.0 Introduction

2.0 Center Mission

3.0 Requirements Analysis

3.1 Requirements by Building or Area

3.2 Requirements for Broad Center Support

3.3 Five-Year Funding Plan

4.0 Facilities Maintenance

4.1 Maintenance Organization

4.2 Maintenance Performance

4.3 Budget Shortfall

Appendix A: Abbreviations and Acronyms

Appendix B: Definitions

Appendix C: Center Function Categories

Appendix D: Developing System Criticality

Appendix E: Sources of Data

Appendix F: Budget Shortfall/Plus-Up Planning Sheet

Appendix G: Long-Term Budget Planning Sheet

1.0 Introduction

NOTE TO AUTHOR: This section of the Annual and Five-Year Maintenance
Work Plan provides the opportunity to explain what the plan is, why it
was prepared, and how it can be used. The text that follows provides
examples of subjects that may be included in this section.

The term "Center" is inclusive of its Component Facilities, where
appropriate.

This document describes the Annual and Five-Year Maintenance Work Plan
for \< INSERT CENTER NAME\> and represents a business plan for the
facilities maintenance organization. The Plan identifies long-term and
short-term maintenance requirements, describes the resources available
and required to manage and accomplish facility maintenance, and outlines
the maintenance philosophy and approach for \< INSERT CENTER NAME\>.
Further, it will allow managers to make risk-based decisions on the work
to be accomplished regardless of the budget environment, and it
identifies specific areas to improve the overall effectiveness of
facility maintenance. Overall effectiveness means PROVIDING THE REQUIRED
FACILITY AVAILABILITY AT THE LOWEST COST. The plan identifies metrics to
be used in tracking progress toward accomplishing these improvements.
The AWP is the first year, or base year, of this plan. The outyears,
beyond the base year, are estimates that will form the basis of future
AWPs.

Throughout this document, the term maintenance is used to represent the
compilation of activity undertaken to ensure the required facility
availability at the lowest cost. That activity includes traditional
maintenance, work done to reduce the probability of failure; repair, the
restoration of function following failure; custodial, work done to
maintain appearance or sanitation; and some operations. Sometimes it is
difficult to place a single activity within one of the above categories.
For example, painting provides both a failure prevention and appearance
function. In addition, often the most effective maintenance approach is
based on monitoring a system or machine condition and performing some
activity based on that condition. Is the resultant activity maintenance
or repair? This document will provide guidance for working through these
issues. The activities include all of the elements identified in *NPR
8831.2*, *Facilities Maintenance Management.* Abbreviations and acronyms
are contained in Appendix A. Other definitions, which are based on the
NPR, other NASA documents, and discussions with NASA personnel, are
contained in Appendix B.

Facilities maintenance at \< INSERT CENTER NAME\> is crucial in ensuring
facility availability for its critical missions. The effect of reduced
maintenance is not always felt immediately. It is, therefore, essential
that sufficient management information is available to plan short-term
and long-term maintenance requirements properly, recognize adverse
funding trends, make the right decisions on what work is not
accomplished, and be able to articulate the effect of reduced
maintenance on facility availability and the mission.

The plan builds upon \< INSERT CENTER NAME\> existing mission statements
to develop guidance on categorizing facilities and equipment in terms of
their criticality and current condition and considers long-range plans
that will affect real property assets and future maintenance
requirements.

2.0 Center Mission

NOTE TO AUTHOR: This section of the plan builds upon the Center mission,
defines the facilities supported and their priority relative to that
mission, and looks at long-term facility changes to support the mission.
Sample statements are provided below:

The \<INSERT CENTER NAME\> mission is \<INSERT MISSION\> and is NASA's
Lead Center of Excellence (COE) for \<INSERT COE RESPONSIBILITY\>. The
key mission elements at \<INSERT CENTER NAME\> that directly and
indirectly affect facilities are:

\< DEFINE KEY ELEMENTS THAT AFFECT FACILITIES, BASED ON THE CENTER'S
STRATEGY TO IMPLEMENT THE MISSION\>.

NOTE TO AUTHOR: Categorize facilities (Table 2-1) in terms of mission
criticality (determined in partnership with site users and managers),
square footage, and CRV for comparison/analysis purposes. One way to do
that is to identify the entire Center by core or support function
categories. The following terms, currently being considered for use
Agency wide, are suggested:

Mission Critical: A building, area, or system that is critical to the
Center mission or essential for Center of Excellence performance.

Mission Support: A building, area, or system that provides support to
the Center primary mission or Center of Excellence assignment.

Center Support: A building, area, or system that supports the overall
operation of the Center but does not meet the Mission Critical or
Mission Support criteria.

An example of how to collect and categorize the facilities is provided
in Appendix C. An appendix is useful for providing detailed information
that is summarized in tables in this section. A map of the Center may
also be useful to identify building and area locations.

NOTE TO AUTHOR: Describe any specific requirements that will drive
priorities or philosophy of maintenance accomplishment. Describe any
known mission changes, funded or unfunded, that will impact existing or
future maintenance requirements. Information may be available from the
Installation Master Plan, which is prepared and maintained by the
Facilities Planning Office. Describe new facilities or facility
modifications/repairs that will increase or decrease current maintenance
requirements. Sample statements are shown below:

Over the next \<INSERT PERIOD\> the following known mission changes will
have the following impact on maintenance responsibility:

\<INSERT KNOWN MISSION CHANGES AND THEIR EXPECTED INCREASE AND/OR
DECREASE IN MAINTENANCE RESPONSIBILITY\>

Additionally the scope of maintenance coverage will be \<INSERT
INCREASES AND DECREASES IN TOTAL AREA TO BE MAINTAINED, BUILDINGS, OR
AREAS THAT WILL BE BUILT, MODIFIED, BECOME REACTIVATED OR INACTIVE\>.

Table 2-1 categorizes facilities in terms of mission criticality, square
footage, and CRV for comparison analysis purposes.

**Table 2-1: Mission Criticality**

NOTE TO AUTHOR: Buildings/areas are based on detailed breakdown (usually
in an appendix). Space is gross floor space and does not include grounds
(which may be separately identified). CRV is in base year dollars and
includes noncollateral equipment (collateral and noncollateral equipment
may be separately identified).

  ---------------------------------------------------------------------------------------------------
  Mission           Actual                        Projected                                 
  ----------------- ---------- ---------- ------- ----------- --------- --------- --------- ---------
  Category          FY(X--2)   FY(X--1)   FY(X)               FY(X+1)   FY(X+2)   FY(X+3)   FY(X+4)

  Mission Critical                                                                          

  Buildings/Areas                                                                           
  (No.)                                                                                     

  Space (gross sq.                                                                          
  ft.)                                                                                      

  CRV (\$)                                                                                  

  Mission Support                                                                           

  Buildings/Areas                                                                           
  (No.)                                                                                     

  Space (gross sq.                                                                          
  ft.)                                                                                      

  CRV (\$)                                                                                  

  Center Support                                                                            

  Buildings/Areas                                                                           
  (No.)                                                                                     

  Space (gross sq.                                                                          
  ft.)                                                                                      

  CRV (\$)                                                                                  

  Totals                                                                                    

  Buildings/Areas                                                                           
  (No.)                                                                                     

  Space (sq. ft.)                                                                           

  CRV (\$)                                                                                  
  ---------------------------------------------------------------------------------------------------

Note: Space is gross floor space and does not include grounds. CRV is in
base year dollars and includes noncollateral equipment.

NOTE TO AUTHOR: Identify the staffing of the Center. This may provide an
indication of the level of work being performed at the Center. The staff
may be NASA civil servants, other Government civil servants, or contract
personnel. For fixed-price contracts, personnel figures may not be
available or meaningful. A table, similar to the one below, is often
effective:

Table 2-2 identifies the actual and projected staffing requirements at
\<INSERT CENTER NAME\>.

**Table 2-2: Staffing**

Numbers are Full-Time Equivalent Employees.

  ------------ ---------- ---------- ----------- --------- --------- --------- ---------
  Staff        Actual                Projected                                 

  Source       FY(X--2)   FY(X--1)   FY(X)       FY(X+1)   FY(X+2)   FY(X+3)   FY(X+4)

  NASA                                                                         

  Other Gov.                                                                   

  Contractor                                                                   

  Contractor                                                                   

  Total                                                                        
  ------------ ---------- ---------- ----------- --------- --------- --------- ---------

3.0 Requirements Analysis

NOTE TO AUTHOR: This section is used to develop facility maintenance
requirements. Because each Center is unique in its mission, physical
plant, and available resources, the method used in determining
requirements will vary. In order to accurately identify overall
maintenance requirements, key information will need to be available.
Some examples of this information include: (1) clear identification of
the assets to be maintained (facilities and equipment); (2) their
relative importance from a mission/safety/cost standpoint; and (3)
indicators of their current material condition from PT&I data and
routine or special testing, operational performance data, failure rates,
or, in some cases, visual presentation. Comparison to historical funding
information will indicate any potential funding shortage and identify
backlogs. For all elements defined in this section, an appendix may need
to be developed or data outside the plan be referenced that will
document a source. Estimates, when used, should be clearly identified.

Tables have been developed for this section to identify maintenance
funding requirements and to articulate those needs throughout the
organization. It is important that the plan build upon the suggested
elements, adding and deleting as needed, and settle on a final array of
needed data. When that is completed, the people who have the facility
knowledge can be called upon to provide the data. This template builds
upon the information and definitions detailed in *NPR 8831.2, Facilities
Maintenance Management*. Expansion of definitions or clarification of
information is provided when necessary to help in formulating the plan.

This section identifies the facility maintenance requirements at
\<INSERT CENTER NAME\>. The tables that follow identify the assets
(facilities and equipment) that must be maintained, their relative
importance to the mission of \<INSERT CENTER NAME\>, and their current
condition, operational performance data, and failure rates. Historical
funding data, including funding shortfalls and consequent maintenance
backlogs, are also presented.

**3.1 Requirements by Building or Area**

NOTE TO AUTHOR: This section is used to develop facility maintenance
requirements for each building or area identified in section 2. This
section provides suggested elements to consider. The building/area
approach is suggested in order to ensure a systematic development and
prioritization of needs for varying budget scenarios, and to enable
gathering information from knowledgeable people, such as systems
engineers and building or area managers. Those systems that provide
broad Center support, such as utilities, are documented in section 3.2.

This section identifies the facility maintenance requirements for each
building or area identified in section 2. Those systems that provide
broad Center support, such as utilities, are discussed in section 3.2.

**3.1.1 Criticality and Condition**

NOTE TO AUTHOR: Even if a building or area is Mission Critical, not all
systems within that area are necessarily critical. It is expected that
some systems that provide Center support will be important from a
maintenance perspective. It is, therefore, necessary to identify systems
within the building or area (or, if needed, subsystems) by a criticality
code.

Several methods for assigning criticality have been developed to support
the RCM evaluation process and other reliability efforts. The methods
are discussed in Appendix D, Developing System Criticality.

In addition to criticality, the condition of a facility component or
item of equipment is also an important factor in identifying long-term
requirements and their relative priorities. Condition codes, based on
*NPR 8831.2, Facilities Maintenance Management*, have been expanded and
are listed in Table 3-1 below. As written in the NPR, the codes focus on
age and appearance. The expanded definitions, while still subjective in
nature, build upon NASA's PT&I and other monitoring capabilities.

Centers may want to use Table 3-1 in their plan. When Table 3-1's
listing of systems and their Criticality and Condition Codes is prepared
using a spreadsheet or database program, it can be sorted easily on any
one of the columns. The table is useful in that it establishes a
relationship between criticality and condition for all systems within
the building or area. If the table is included in the plan, it should be
in an appendix.

Table 3-1 is a listing of systems and their Criticality and Condition
Codes based on an expanded version of the definitions in *NPR 8831.2,
Facilities Maintenance Management*, as follows:

[Condition Code 5]{.underline} - Excellent -- No work required - Good
for at least five years.

[Condition Code 4]{.underline} - Good -- Only scheduled maintenance
and/or condition monitoring required -- Good for at least five years.

[Condition Code 3]{.underline} - Fair -- Minor repairs required --
Repair/replace within three to five years.

[Condition Code 2]{.underline} - Poor -- Significant repairs required
within one to two years.

[Condition Code 1]{.underline} - Bad -- Replacement required now.

The expanded definitions, while still subjective in nature, build upon
NASA's PT&I and other monitoring capabilities.

The table correlates criticality and condition for all systems within
their respective buildings or areas.

**Table 3-1: System List with Criticality and Condition Codes**

Criticality Codes are based on the Dual-Code Method (see Appendix D).

  -------------------------------- ------------- ----------- --------------
  System                           Criticality               Condition Code
                                   Code                      

                                   Function      Cost        

  Chiller 5                        3             1           4

  Air Handler 20                   4             4           3

  Air Handler 9                    3             1           4

  Lift Pump 1                      2             1           2

  Lighting System A                4             2           5

  Motor Control Center 4A          1             1           5
  -------------------------------- ------------- ----------- --------------

NOTE TO AUTHOR: Keep in mind that the material condition (as reflected
in the Condition Code) is a snapshot in time. Plan on updating the
condition, at a minimum, every five years. Most organizations try to
update the condition of at least 20 percent of all systems each year, as
part of their Facilities Condition Assessment (FCA) programs. Condition
monitoring (PT&I) will provide a much more accurate indication of
condition because the data is collected and analyzed on a more frequent
basis.

Table 3-2 provides a summary of the number of systems within each
condition code category. For example, in Table 3-1, two systems have
Function Code 3 and Cost Code 1 (Chiller 5 and Air Handler 9). Also from
Table 3-1, those two systems are Condition Code 4. So, in the following
summary table below, there would be the number 2 in row 3,1.

**Table 3-2: Systems by Condition and Critical Code**

Table contains the number of systems that meet the criticality and
condition criteria.

  ------------- --------- -------------- --------- --------- --------- ---------
  Criticality             Condition Code                               

  Codes                   (1-Bad,                                      
                          2-Poor,                                      
                          3-Fair,                                      
                          4-Good,                                      
                          5-Excellent)                                 

  Function      Cost      1              2         3         4         5

  1             1                                                      1

  1             2                                                      

  1             3                                                      

  1             4                                                      

  2             1                        1                             

  2             2                                                      

  2             3                                                      

  2             4                                                      

  3             1                                            2         

  3             2                                                      

  3             3                                                      

  3             4                                                      

  4             1                                                      

  4             2                                                      1

  4             3                                                      

  4             4                                  1                   

  Total                   0              1         1         2         2
  ------------- --------- -------------- --------- --------- --------- ---------

**3.1.2 PM and PT&I**

NOTE TO AUTHOR: Use this section to develop PM and PT&I funding for the
next five years. Funding requirements are the funds needed to perform
the scheduled PM and PT&I on all equipment covered by this plan and
include all labor, parts, materials, and special tools. A listing of the
equipment covered is normally available from the Computerized
Maintenance Management System (CMMS) and/or the PT&I database. This
could also be specified in a fixed-price contract, if one is in place.
The RCM process enables clear identification of what is the most
effective maintenance, i.e., what activity provides the highest
reliability (reduced probability of failure) at the lowest cost. When
systems are analyzed using the RCM process, it is often the case that
the existing PM is identified as ineffective and can be replaced with
PT&I or a run-to-fail approach. PT&I is used to monitor the system
condition and take action (which can be a maintenance or repair
activity) when conditions change. Therefore, this section should
identify changes expected as the RCM process is used. For fixed-price
contracts, this may be a step change when the contract ends (due to
changes in the maintenance approach over the life of the contract). Note
that PM and PT&I are scheduled activities. Work resulting from changing
material conditions, as monitored by PT&I, is not part of this category.
System and equipment changes (additions or deletions) may also result in
changes in this section. Only major changes (for example, deactivation
of a building wing or removal of a test area) need to be discussed.

Table 3-3 identifies required PM and PT&I funding for the next five
years. Funding requirements are the funds needed to perform the
scheduled PM and PT&I on all equipment covered by this plan and include
all labor, parts, materials, and special tools.

**Table 3-3: PM and PT&I Funding**

All funds are in current year dollars (identify if K\$ or M\$).

  --------------- ----------- ----------- ----------- ----------- -----------
  Activity        Fiscal Year                                     

                  FY(X)       FY(X+1)     FY(X+2)     FY(X+3)     FY(X+4)

  PM                                                              

  PT&I                                                            

  Total                                                           
  --------------- ----------- ----------- ----------- ----------- -----------

**3.1.3 Grounds Care**

NOTE TO AUTHOR: Usually grounds care funding requirements are for broad
Center areas and should be identified in section 3.2. Include the
funding in this section only if it is clearly associated with this
building or area. As was the case for PM and PT&I, funding requirements
are the funds needed to perform the scheduled work (grass cutting, plant
trimming, etc.) for the building or area covered by this section of the
plan and includes all labor, parts, materials, and special tools. A
listing of the grounds care may be available from the CMMS or in a
fixed-price contract. In order to improve planning and management, the
work to be performed may be identified by area, zone, or season.

Table 3-4 identifies grounds care for a specific area or zone.

**Table 3-4: Grounds Care Funding**

All funds are in current year dollars (identify if K\$ or M\$).

  --------------- ----------- ----------- ----------- ----------- -----------
  Grounds         Fiscal Year                                     

  Care            FY(X)       FY(X+1)     FY(X+2)     FY(X+3)     FY(X+4)

  Area/Zone 1                                                     

  Area/Zone 2                                                     

  Area/Zone 3                                                     

  Total                                                           
  --------------- ----------- ----------- ----------- ----------- -----------

**3.1.4 Programmed Maintenance (PGM)**

NOTE TO AUTHOR: PGM is similar to PM and PT&I in that it is a scheduled
activity intended to prevent failure. However, as identified in
*NPR 8831.2, Facilities Maintenance Management*, the activity occurs on
a greater than one-year cycle. Use this section to identify funding
requirements which, by the nature of the work, are not expected to be a
"level" amount. In addition, this section needs to be adjusted based on
emerging conditions as discussed in the NPR. Ensure that these
requirements are not duplicated in any other category of work.

Table 3-5 identifies PGM requirements for a specific area or zone.

**Table 3-5: Programmed Maintenance Funding**

All funds are in current year dollars (identify if K\$ or M\$).

  --------------- ----------- ----------- ----------- ----------- -----------
                  Fiscal Year                                     

                  FY(X)       FY(X+1)     FY(X+2)     FY(X+3)     FY(X+4)

  PGM Area/Zone 1                                                 

  PGM Area/Zone 2                                                 

  PGM Area/Zone 3                                                 

  Total                                                           
  --------------- ----------- ----------- ----------- ----------- -----------

**3.1.5 Repair and Trouble Calls**

NOTE TO AUTHOR: From *NPR 8831.2, Facilities Maintenance Management*,
repair is "\...fixing something broken or failing." This means to
restore the function within the funding guidelines identified in the
NPR. Trouble calls are a subset of repair in that they are low-cost
repairs. The funding limit guidelines for repairs and trouble calls
(currently \$500,000 and \$2,000, respectively) are identified in the
NPR and may change from time to time.

Individual failures are usually unplanned events. However, they are not
unexpected. In fact, one outcome of the RCM analysis process could be
that RTF may be the most cost-effective maintenance approach for some
equipment. When this is the case, the equipment or system is usually a
low-cost, noncritical, easily repaired item. This section is used to
budget funds to provide for repairs and trouble calls. Funding
requirements are the funds needed to perform repairs and trouble calls
on all equipment covered by this plan and include all labor, parts,
materials, and special tools. The systems to be repaired may have items
not included in the CMMS and/or the PT&I database.

The repair and trouble call budget is built upon history. First,
determine how much repair work this building or area has required in the
past, then factor in the material condition and the maintenance approach
established by the RCM process. For example, suppose a large amount of
scheduled maintenance is reduced and replaced with monitoring through a
PT&I program. Initially, repair cost would be expected to increase
because the PT&I program is uncovering degraded conditions that must be
repaired. They are repaired to reduce the effects of catastrophic
failure and to improve the availability to perform operations, testing,
research, or whatever the building or area is designed to produce. Then,
over time, the repair cost should decrease as the systems perform at a
higher level of reliability.

This work may be specified in a fixed-price contract, if one is in
place, and will have an upper-level limit on the amount of money the
contractor must commit to repair an item (sometimes called the limit of
liability). There may be a need to budget for repair beyond the upper
limit or to budget for trouble calls above a level specified in the
contract.

Carefully consider other funding categories that may influence the
outyear projections. For example, a Replacement of Obsolete Items
project (discussed in the next section) would be expected to reduce the
projected repair costs.

Table 3-6 identifies funding requirements needed to perform repairs and
trouble calls on all equipment covered by this plan and includes all
labor, parts, materials, and special tools.

**Table: 3-6 Repair and Trouble Calls Funding**

All funds are in current year dollars (identify if K\$ or M\$).

  --------------- ----------- ----------- ----------- ----------- -----------
  Activity        Fiscal Year                                     

                  FY(X)       FY(X+1)     FY(X+2)     FY(X+3)     FY(X+4)

  Repair                                                          

  Trouble Calls                                                   

  Total                                                           
  --------------- ----------- ----------- ----------- ----------- -----------

**3.1.6 Replacement of Obsolete Items (ROI)**

NOTE TO AUTHOR: ROI is a category of systems that are cheaper to replace
than to continue to operate or repair. Candidates for ROI are identified
through RCM analysis, periodic review of repair costs, and the PT&I
program. This section provides the opportunity to present ROI items and
to discuss the cost and availability implications of not completing
them. One result may be increased repair costs or reduced safety
margins. Another result could be extended loss of availability of the
building or area if a failure were to occur.

Table 3-7 identifies total planned ROI for a specific building or area.
The table also shows any projected increase in other categories (such as
repair and TCs) if the ROI is not funded.

**Table 3-7: ROI Funding**

All funds are in current year dollars (identify if K\$ or M\$).

  --------------- ----------- ----------- ----------- ----------- -----------
                  Fiscal Year                                     

                  FY(X)       FY(X+1)     FY(X+2)     FY(X+3)     FY(X+4)

  ROI Project 1                                                   

  ROI Project 2                                                   

  Total ROI                                                       

                                                                  

  Increase Due to                                                 
  Unfunded ROI                                                    

  Repair                                                          

  Trouble Calls                                                   

  Total Other                                                     
  --------------- ----------- ----------- ----------- ----------- -----------

**3.1.7 Service Requests (SR)**

NOTE TO AUTHOR: SR requirements can be stated as a lump-sum item or by
area/zone. Funding for SRs is provided by the requester. Budget
estimates are developed from historical levels of work and are useful
for estimating staffing or subcontracting levels.

Table 3-8 identifies SR requirements, where they are shown as lump-sum
items or by area/zone.

**Table 3-8: Service Request Funding**

All funds are in current year dollars (identify if K\$ or M\$).

  --------------- ----------- ----------- ----------- ----------- -----------
  Service         Fiscal Year                                     

  Requests        FY(X)       FY(X+1)     FY(X+2)     FY(X+3)     FY(X+4)

  Area/Zone 1                                                     

  Area/Zone 2                                                     

  Area/Zone 3                                                     

  Total                                                           
  --------------- ----------- ----------- ----------- ----------- -----------

**3.1.8 Central Utility Plant Operations and Maintenance (O&M)**

NOTE TO AUTHOR: As discussed in *NPR 8831.2, Facilities Maintenance and
Operations Management*, the central utility plant O&M funds account for
operators and operator-performed maintenance. (Other facilities work may
also fit this category. For example, research facilities may utilize the
same personnel to perform operations and maintenance.) Do not include
funding for other work performed in the building or area, such as PT&I
or repair. There is also a need to account for automation improvements,
including online condition monitoring systems that could reduce the
funding requirements.

Table 3-9 identifies central utility plant funding requirements.

**Table 3-9: Central Utility Plant O&M Funding**

All funds are in current year dollars (identify if K\$ or M\$).

  --------------- ----------- ----------- ----------- ----------- -----------
  Central Utility Fiscal Year                                     

  Plant O&M       FY(X)       FY(X+1)     FY(X+2)     FY(X+3)     FY(X+4)

  Total                                                           
  --------------- ----------- ----------- ----------- ----------- -----------

**3.1.9 Construction of Facilities (CoF)**

NOTE TO AUTHOR: In this section, identify funding to perform or support
projects, including all CoF and environmental projects. Do not include
funding controlled or used by other organizations to perform or support
the CoF work. Only facilities maintenance funds are included here. For
example, funding to support the construction, acceptance, and baseline
condition monitoring/testing of a new building (or portion of this
building or area), if performed or managed by the facilities maintenance
organization, should be included in this section.

If available, evaluate the Five-Year CoF plan. Requirements for both
construction and repair categories should be detailed in the CoF plan
and include restoration, modernization, rehabilitation, and repair
projects. Projects less than \$500,000 are normally funded by the
Center. Minor program CoF projects are those between \$500,000 and \$5.0
million. Major program or discrete CoF projects are greater than \$5.0
million. Environmental projects are normally funded from a special-fund
source.

The information in this section should also relate to other sections.
For example, a CoF project scheduled for completion in FY 2002 could
result in increased PM and PT&I in FY 2003 as new systems are maintained
or monitored. This section of the plan should fully develop the
life-cycle maintenance implications of CoF and other projects that will
eventually be maintained by the organization. This includes projected
funding needs for the completed project. Once the project is completed,
the outyear funding would be integrated with the other sections of the
plan (for example, any PM/PT&I that is accounted for here will become
part of the PM/PT&I section once the project is completed).

Table 3-10 identifies funding to perform or support projects, including
all CoF and environmental projects.

**Table 3-10: CoF Funding**

All funds are in current year dollars (identify if K\$ or M\$).

  ------------------ ---------- ---------- ---------- ---------- ----------
  Project            Fiscal                                      
                     Year                                        

  Type               FY(X)      FY(X+1)    FY(X+2)    FY(X+3)    FY(X+4)

  CoF - Major                                                    

  CoF - Minor                                                    

  Other                                                          

  Total                                                          
  ------------------ ---------- ---------- ---------- ---------- ----------

**3.1.10 Deferred Maintenance (DM)**

NOTE TO AUTHOR: NPR 8831.2, Facilities Maintenance and Operations
Management, provides a detailed discussion regarding DM. From the NPR,
DM is unfunded facilities maintenance work. Only those items that
support the Center's mission goals are to be included in the DM
calculation. In this section, two tables are needed to present DM
history and plans to reduce DM. The first table, the history, documents
the DM for the previous five years in order to identify the DM trend.
The second table identifies needed DM reduction funds. This section
should discuss the DM priorities and the effect of not completing the DM
. Ensure that DM requirements are not duplicated in any other category
of work. The tables can be prepared for each of the facility types
(mission critical, mission support, and center support) if desired.

Table 3-11 documents the DM for the previous five years in order to
identify the DM trend.

**Table 3-11: DM History**

All funds are in actual dollars (identify if K\$ or M\$). Start is DM at
start of the fiscal year. Reduction is reduction of DM during the year.
End is the remaining DM at year's end (and becomes the next year start).

  --------------- ----------- ----------- ----------- ----------- -----------
  DM              Fiscal Year                                     

                  FY(X--5)    FY(X--4)    FY(X--3)    FY(X--2)    FY(X--1)

  Start                                                           

  Reduction                                                       

  End                                                             
  --------------- ----------- ----------- ----------- ----------- -----------

Table 3-12 identifies needed DM reduction funds.

**Table 3-12: DM Reduction Plan**

All funds are in current year dollars (identify if K\$ or M\$). Start is
DM at start of the fiscal year. Reduction is planned reduction of DM
during the year. End is the remaining DM at year's end (and becomes the
next year Start).

  --------------- ----------- ----------- ----------- ----------- -----------
  DM              Fiscal Year                                     

                  FY(X)       FY(X+1)     FY(X+2)     FY(X+3)     FY(X+4)

  Start                                                           

  Needed                                                          
  Reduction                                                       

  End                                                             
  --------------- ----------- ----------- ----------- ----------- -----------

**3.1.11 Special Programs**

NOTE TO AUTHOR: This section of the plan identifies funding requirements
for special programs not identified elsewhere in the Plan. Special
programs could include completing an RCM analysis and implementing
changes, initiating or expanding the PT&I program, planning and
performing CMMS upgrades, refrigerant conversion, building closures, or
special training not accounted for elsewhere. This section should
discuss the program, the source of funding, the expected benefits or
reason for the program, and the implication or effect of not completing
the program. Other work may also be included in this section. For
example, custodial work is not a work area separately identified
elsewhere in the plan. If custodial work is part of the organization's
responsibility, the decision may be to include it here. This may also be
a good place to budget for special events and weather-related
contingencies, such as snow removal or wind damage. Funds not used for
the contingency can be applied to DM.

Table 3-13 provides funding requirements for special programs not
identified elsewhere in the plan.

**Table 3-13: Special Program Funding**

All funds are in current year dollars (identify if K\$ or M\$).

  ------------------ ---------- ---------- ---------- ---------- ---------- --
  Special Programs   Fiscal                                                 
                     Year                                                   

                     FY(X)      FY(X+1)    FY(X+2)    FY(X+3)    FY(X+4)    

  Implement RCM                                                             

  PT&I Program                                                              

  CMMS Upgrade                                                              

  Special Program A                                                         

  Special Program B                                                         

  Special Program C                                                         

  Custodial Work                                                            

  Total                                                                     
  ------------------ ---------- ---------- ---------- ---------- ---------- --

**3.2 Requirements for Broad Center Support**

NOTE TO AUTHOR: This section is optional. If used, the section develops
the facility maintenance requirements for broad Center support items,
such as utilities. The list of broad support items is identified in
section 2. This section should be developed for all detailed topics used
in section 3.1.

This section identifies the facility maintenance requirements for the
broad Center support items identified in section 2.

\<INSERT THE REQUIRED DATA FOLLOWING THE SAME FORMAT PRESENTED IN
SECTION 3.1 FOR SPECIFIC FACILITIES AND AREAS\>.

**3.3 Five-Year Funding Plan**

NOTE TO AUTHOR: Table 3-14 consolidates the funding requirements
identified in section 3.1 and section 3.2. and provides the projected
facilities maintenance funding requirement for the Center. The table in
this section may be all that is required.

Table 3-14 consolidates the funding requirements identified in
section 3.1 and in section 3.2. and provides the projected facilities
maintenance funding requirement for \<INSERT NAME OF CENTER\>.

**Table 3-14: Five-Year Funding Rollup**

All funds are in current year dollars (identify if K\$ or M\$).

  ---------------- ---------- ---------- ---------- ---------- ----------
  Work Element     FY(X)      FY(X+1)    FY(X+2)    FY(X+3)    FY(X+4)

  PM/PT&I                                                      

  Grounds Care                                                 

  PGM                                                          

  Repair                                                       

  Trouble Calls                                                

  ROI                                                          

  Plant O&M                                                    

  Subtotal                                                     

  DM []{.mark}                                                 

  Special Programs                                             

  Service Requests                                             

  Subtotal                                                     

  CoF -- Discrete                                              

  CoF -- Minor                                                 

  Total                                                        
  ---------------- ---------- ---------- ---------- ---------- ----------

4.0 Facilities Maintenance

NOTE TO AUTHOR: In this section, discuss how Center facilities
maintenance will be implemented and monitored. Since each Center is
unique in terms of organization, conduct of business, expectations, new
initiatives, and planned improvements, the following subsections (4.1
through 4.2.5) describe numerous examples of information that could be
included. Each Center should use this section to describe and analyze
its own particular situation.

**4.1 Maintenance Organization**

\<IDENTIFY THE MAINTENANCE ORGANIZATION, KEY PEOPLE, AND CONTRACT
SUPPORT. DISCUSS THE SUPPORT LEVEL (THAT IS, TO WHAT LEVEL ARE
MAINTENANCE AND REPAIR ACTIVITIES PERFORMED ONSITE, LOCAL OUTSIDE
SUPPORT, AND OTHER SUPPORT, AS FAR INTO THE FUTURE AS POSSIBLE) AND THE
CONTRACT BASIS FOR THAT SUPPORT (LEVEL OF EFFORT, FIXED PRICE,
PERFORMANCE-BASED, ETC.). DISCUSS OR PROVIDE THE FACILITIES
ORGANIZATION'S MISSION STATEMENT.\>

**4.2 Maintenance Performance**

\<DISCUSS HOW BUSINESS IS CURRENTLY BEING CONDUCTED AND IMPROVEMENTS
THAT ARE PLANNED\>.

**4.2.1 Expectations**

\<PROVIDE THE ORGANIZATION'S EXPECTATIONS AND HOW THEY ARE RELATED TO
THE CENTER'S MISSION. CONSOLIDATE EXPECTATIONS BASED ON THE VARIOUS WAYS
THE BUILDINGS OR AREAS ARE USED. FOR EXAMPLE, THE EXPECTATION FOR
ADMINISTRATIVE BUILDINGS MAY BE TO PROVIDE A SUITABLE WORK ENVIRONMENT,
MONDAY THROUGH FRIDAY, FROM 6 A.M. TO 6 P.M. THE EXPECTATION FOR A TEST
AREA MAY BE TO ENSURE AVAILABILITY OF TEST SUPPORT FACILITIES AT ANY
TIME WITH 48 HOURS ADVANCE NOTICE\>.

**4.2.2 Initiatives**

\<IDENTIFY WHAT IS BEING DONE, OR WOULD BE DESIRED, TO IMPROVE
PERFORMANCE (FOR EXAMPLE, BAR CODING). HOW WILL THIS SUPPORT THE
CENTER'S MISSION? WHAT WILL IT COST, AND WHAT IS THE EXPECTED PAYBACK OR
AVOIDED COST? DO NOT DOUBLE COUNT ITEMS DISCUSSED IN SECTION 3 (SUCH AS
SPECIAL PROGRAMS), BUT THIS SECTION MAY BE USED TO DEVELOP ITEMS TO BE
INCLUDED IN SECTION 3. IDENTIFY WHERE THE FUNDING NEED IS INCLUDED IN
SECTION 3. INCLUDE A PLAN OF ACTION AND A MILESTONE CHART (MAY BE IN A
SEPARATE DOCUMENT OR AN APPENDIX).\>

**Table 4-1: Initiative Analysis**

All funds are in current year dollars (identify if K\$ or M\$).

  ------------------ ---------- ---------- ---------- ---------- ----------
  Initiative         Fiscal                                      
                     Year                                        

                     FY(X)      FY(X+1)    FY(X+2)    FY(X+3)    FY(X+4)

  Expected Cost                                                  

  Avoided Cost                                                   

  Total                                                          
  ------------------ ---------- ---------- ---------- ---------- ----------

**4.2.3 Performance Monitoring**

NOTE TO AUTHOR: How well are expectations being met and at what cost? In
this subsection, develop the indicators to be used to assess
performance. Indicators can be event metrics or global metrics.

Event metrics are those items that are useful for measuring progress
toward event-type goals, measuring the effect of new initiatives, or
winning support for a new approach. While useful, event metrics must be
carefully used. For example, when the PT&I program is young, it will
often be possible to identify a significant amount of machinery
degradation that can be repaired before catastrophic failure occurs
(often avoiding a higher cost for the repair and the associated
downtime). Measuring "finds" every month, and the avoided costs, are
good event metrics because they show how well the new program is
working. However, over a long period, as the material condition of
machinery systems is raised, the number of monthly finds can be expected
to reduce to a fairly stable low level. That could imply (to people
unfamiliar with the role of PT&I) that the PT&I program has become
ineffective. But why have the PT&I program? The PT&I program's goal to
reduce the probability of unexpected failure. So a good global (or
strategic) measure would be the number of unexpected failures of
monitored equipment or the improved availability (for testing, research,
etc.) due to reduced facility equipment failures. Both of these items
should improve with time and should be strategically in line with the
Center's mission.

Both *NPR 8831.2, Facilities Maintenance and Operations Management*, and
the *Reliability Centered Maintenance Guide for Facilities and
Collateral Equipment* provide examples of event and global metrics.
Existing data collection systems may need to be tailored or a new system
added in order to efficiently collect and monitor performance metrics.

An example is breaking down repairs (including trouble calls) into
subcategories. Repair means to fix something when it fails; the
restoration of function. Sometimes items are repaired before they fail.
Is this maintenance or repair? Most people consider any action that
improves the material condition or extends the life of the condition to
be a repair, not maintenance. The general exception to this is the
replacement of low-cost, worn components, such as belts and filters that
do not require significant disassembly of the system or machine and are
scheduled PM. As the RCM process is implemented, it is expected that
ineffective PM will be replaced with more effective PT&I. With increased
PT&I, there will be an increase in identification of degraded material
conditions that must be repaired in order to avoid catastrophic failure.
Some equipment will be allowed to fail; no PM or PT&I will be performed
because it is not cost effective. However, it is still a repair when it
is fixed. The following table below has been structured to collect
repair costs in meaningful subcategories to demonstrate progress toward
overall lower repair costs and increased availability.

Table 4-2 illustrates repair costs at \<INSERT NAME OF CENTER\> by
subcategories for the past four years and demonstrates progress toward
overall lower repair costs and increased availability as a direct result
of performance monitoring.

**Table 4-2: Repair Cost Analysis**

All funds are in actual year dollars (identify if K\$ or M\$). Planned
repair means that degraded condition has been detected and repair action
was scheduled prior to catastrophic failure.

  ----------------------------- ---------- ---------- ---------- ----------
  Repair                        Fiscal                           
                                Year                             

  Subcategory                   FY(X--4)   FY(X--3)   FY(X--2)   FY(X--1)

  Run-to-Fail Equipment                                          

  Trouble Calls                                                  

  All Other Repair                                               

  Subtotal Run-to-Fail                                           

                                                                 

  PT&I Monitored Equipment                                       

  Planned Repair                                                 

  Failed Prior to Planned                                        
  Repair                                                         

  Trouble Calls                                                  

  Other Unexpected Failure                                       

  Subtotal PT&I Monitored                                        

                                                                 

  All Other Equipment                                            

  Trouble Calls                                                  

  Other Unexpected Failure                                       

  Subtotal All Other Equipment                                   

                                                                 

  Total -- All Repair                                            
  ----------------------------- ---------- ---------- ---------- ----------

**4.2.4 Staffing and Training Plan**

NOTE TO AUTHOR: Based on the information in section 2 and in section 3,
what are projected staff and training requirements? Use this section to
identify what will be needed such as specialized certifications and
licenses, and what will happen if the staffing is not available or if
the training is not provided. Carefully factor in new facilities and
mission, regulatory requirements, industry standards, and new
technologies. If needed, develop a stand-alone needs analysis for
staffing and training and display requirements as shown in the following
tables:

Tables 4-3 and 4-4 display the projected staff and training requirements
at \<INSERT NAME OF CENTER\> for the next five years. Additionally, the
following specialized certifications and licenses are required: \<INSERT
SPECIALIZED CERTIFICATION/LICENSE REQUIREMENTS\>.

If these staffing, training, certification, and licensing requirements
are not satisfied, the impact on \<INSERT NAME OF CENTER\> will be:
\<INSERT SPECIFIC IMPACTS\>.

**Table 4-3: Staffing Analysis**

Numbers are Full-Time Equivalent Employees.

  ------------------ ---------- ---------- ---------- ---------- ----------
  Staff Function     Fiscal                                      
                     Year                                        

                     FY(X)      FY(X+1)    FY(X+2)    FY(X+3)    FY(X+4)

  Management                                                     

  Support                                                        

  Engineers                                                      

  Planners                                                       

  Crafts/Trades                                                  

  Others                                                         

  Total                                                          
  ------------------ ---------- ---------- ---------- ---------- ----------

**Table 4-4: Training Analysis**

All funds are in current year dollars (identify if k\$ or M\$).

  ------------------ ---------- ---------- ---------- ---------- ----------
  Training           Fiscal                                      
                     Year                                        

  Requirement        FY(X)      FY(X+1)    FY(X+2)    FY(X+3)    FY(X+4)

  Staff Development                                              

  Regulatory                                                     
  Requirement                                                    

  Other Training                                                 

  Total                                                          
  ------------------ ---------- ---------- ---------- ---------- ----------

**4.2.5 Special Tools and Test Equipment**

NOTE TO AUTHOR: This section is similar to the previous. That section
discussed staffing needs. This section concerns tools and test
equipment. Identify any expected requirements. Also discuss any major
scrap issues related to changing requirements.

Table 4-5 displays the projected special tool or equipment requirements
at \<INSERT NAME OF CENTER\> for the next five years. If these special
tool and equipment requirements are not satisfied, the impact on
\<INSERT NAME OF CENTER\> will be: \<INSERT SPECIFIC IMPACTS\>.

**Table 4-5: Tools and Equipment Analysis**

All funds are in current year dollars (identify if K\$ or M\$).

  ------------------ ---------- ---------- ---------- ---------- ----------
  Tools or Test      Fiscal                                      
                     Year                                        

  Equipment          FY(X)      FY(X+1)    FY(X+2)    FY(X+3)    FY(X+4)

  Item 1                                                         

  Item 2                                                         

  Item 3                                                         

  Total                                                          
  ------------------ ---------- ---------- ---------- ---------- ----------

**4.3 Budget Shortfall**

NOTE TO AUTHOR: Use this section to plan for various budget scenarios.
When reductions are proposed, it will be necessary to identify what work
will not be performed. And, if not performed, what will be the expected
consequence. Should the possibility of a budget "plus-up" occur, it must
be possible to identify the highest-priority backlogged items and their
positive impact on mission if additional resources are made available.
The mission criticality in section 2 identifies building and area
importance and the system criticality and condition, identified in
section 3, builds upon that to present a total picture of relative
importance. Based on their importance and condition, and their projected
future use, where would work not be performed if the budget were cut?
Several issues must be evaluated. Will the probability of failure
increase, and if so, are the consequences of that failure acceptable? If
there is an RTF approach for some systems (low-cost, low-risk, easy to
fix systems), can repairs be deferred? If the building or area has a
limited useful life (perhaps a research or testing effort will be
completed relatively soon), can performing maintenance be stopped and a
failure risked? In other words, can the resource be consumed? There is a
sample Work Priority System in *NPR 8831.2* (See Figure 5‑3). This same
prioritization process can be used to determine work that would be done
if additional resources become available.

The table below can be used to summarize what will be done if the budget
is reduced. In developing a reduction plan, keep in mind that some work
may be part of fixed price contracts that may not be able to be changed
without incurring a penalty. A similar table (Table 4-7) should be
developed for a "plus-up" situation.

Table 4-6 summarizes the incremental plan to accommodate budget
decreases.

**Table 4-6: Budget Shortfall Action Plan**

All funds are in current year dollars (identify if K\$ or M\$).

  ------------ -------------- --------------------------------------------
  Budget                      
  Shortfall                   
  Action                      
  Plan - FY                   
  \<INSERT\>                  

  \% Shortfall \$ Amount      Planned Action

  1                           Defer or eliminate the planned maintenance
                              items identified on Shortfall List 1 (See
                              Appendix F for an example). Change in DM in
                              \$.

  5                           In addition to the above, defer or eliminate
                              the planned maintenance items identified on
                              Shortfall List 2. Change in DM in \$.

  10                          In addition to the above, defer or eliminate
                              the planned maintenance items identified on
                              Shortfall List 2. Change in DM in \$.

  15                          In addition to the above, defer or eliminate
                              the planned maintenance items identified on
                              Shortfall List 2. Change in DM in \$.
  ------------ -------------- --------------------------------------------

Table 4-7 summarizes the incremental plan to accommodate budget
increases.

**Table 4-7: Budget Plus-up Action Plan**

All funds are in current year dollars (identify if K\$ or M\$).

  ------------ -------------- --------------------------------------------
  Budget                      
  Plus-up                     
  Action                      
  Plan - FY                   
  \<INSERT\>                  

  \% Plus-up   \$ Amount      Planned Action

  1                           Add work up to this \$ amount, as identified
                              in the Priority List of Deferred Work (See
                              appendix F for an example). Change in DM in
                              \$.

  5                           Add work up to this \$ amount, as identified
                              in the Priority List of Deferred Work.
                              Change in DM in \$.

  10                          Add work up to this \$ amount, as identified
                              in the Priority List of Deferred Work.
                              Change in DM in \$.

  15                          Add work up to this \$ amount, as identified
                              in the Priority List of Deferred Work.
                              Change in DM in \$.
  ------------ -------------- --------------------------------------------

Appendix A - Abbreviations and Acronyms

(Not Used - See Appendix A of the *NPR 8831.2, Facilities Maintenance
and Operations Management*)

Appendix B - Definitions

(Not Used - See Appendix B of the *NPR 8831.2, Facilities Maintenance
and Operations Management*)

Appendix C - Center Function Categories (Example)

This appendix provides examples of one Center's facilities using the
following criteria:

> [Mission Critical]{.underline}: A building, area, or system that is
> critical to the Center's mission or essential for Center of Excellence
> performance.
>
> [Mission Support]{.underline}: A building, area, or system that
> provides support to the Center's primary mission or Center of
> Excellence assignment.
>
> [Center Support]{.underline}: A building, area, or system that
> supports the overall operation of the Center but does not meet the
> mission critical or mission support criteria.

Center Mission --

> Assemble, integrate, and check out Space Shuttle elements.
>
> Assemble, integrate, and check out payloads, including the Spacelab,
> Space Station, and Upper Stages.
>
> Conduct launch, recovery, and landing operations.
>
> Design, develop, build, operate, and maintain launch, recovery, and
> landing facilities and ground support equipment required to process
> launch vehicle systems and associated payloads.
>
> Ensure the operation and maintenance of ground support equipment,
> facilities, and logistics support for all NASA activities at the
> Center and supported activities.
>
> Manage orbiter flight hardware logistics.
>
> Provide Government oversight of NASA's expendable vehicle launches and
> NASA-sponsored payloads on both the East and West Coasts.

**Table C-1: Listing by Area, Building, or System**

If helpful, include a map at end of the appendix.

  -----------------------------------------------------------------------
  Area, Building/System Number, Title             Function Category
  ----------------------------------------------- -----------------------
  H2-1198 Jay Jay Railroad Bridge                 Mission Support

  J6-2262 Orbiter Mate/Demate Device              Mission Critical

  J7-0182 Liquid Oxygen( LOX) Facility            Mission Critical

  J7-0288 Water Tank                              Mission Critical

  J7-0337 Launch Pad 39B                          Mission Critical

  J7-1388 Industrial Water Pump Station           Mission Support

  K6-0494 Rotating/Processing Facility            Mission Critical

  K6-0696 OPF Hi Bay 3                            Mission Critical

  K6-0947 Utility Annex                           Mission Critical

  K6-1091 Emergency Power Station                 Mission Support

  K6-1096 Operations Support Building             Center Support

  K6-1141 Power Substation                        Mission Critical

  K6-1247 Launch Equipment Shop                   Mission Support

  K6-1547 Logistics Building                      Mission Critical

  K7-0853 High-Pressure Gas Storage Building      Mission Critical

  K7-1005 Barge Terminal Facility                 Mission Support

  L6-0146 Engineering and Administration Building Center Support

  L6-0147 Chiller Building                        Mission Support

  M3-003 Indian River Bridge                      Center Support

  M6-0399 Center Headquarters                     Center Support

  M6-0409 Spaceport Central                       Center Support

  M6-0495 Dispensary                              Center Support

  M6-0595 Heat Plant                              Center Support

  M6-0744 Central Supply                          Center Support

  M7-0505 Payload Support Building                Center Support

  M7-0657 Parachute Refurbishment Facility        Mission Support

  M7-0777 Canister Rotation Facility              Mission Support

  M7-1354 Payload Hazardous Servicing Building    Mission Support

  UK-004 Bituminous Roads                         Center Support

  UK-034 Firex System                             Mission Support
  -----------------------------------------------------------------------

Table C-2: Listing by Function Category

  -----------------------------------------------------------------------
  Function Category         Area, Building/System Number, Title
  ------------------------- ---------------------------------------------
  Mission Critical          

                            J6-2262 Orbiter Mate/Demate Device

                            J7-0182 Liquid Oxygen(LOX) Facility

                            J7-0288 Water Tank

                            J7-0337 Launch Pad 39B

                            K6-0494 Rotating/Processing Facility

                            K6-0696 OPF Hi Bay 3

                            K6-0947 Utility Annex

                            K6-1141 Power Substation

                            K6-1547 Logistics Building

                            K7-0853 High-Pressure Gas Storage Building

  Mission Support           

                            H2-1198 Jay Jay Railroad Bridge

                            J7-1388 Industrial Water Pump Station

                            K6-1091 Emergency Power Station

                            K6-1247 Launch Equipment Shop

                            K7-1005 Barge Terminal Facility

                            L6-0147 Chiller Building

                            M7-0657 Parachute Refurbishment Facility

                            M7-0777 Canister Rotation Facility

                            M7-1354 Payload Hazardous Servicing Building

                            UK-034 Firex System

  Center Support            

                            K6-1096 Operations Support Building

                            L6-0146 Engineering and Administration
                            Building

                            M3-0003 Indian River Bridge

                            M6-0399 Center Headquarters

                            M6-0409 Spaceport Central

                            M6-0495 Dispensary

                            M6-0595 Heat Plant

                            M6-0744 Central Supply

                            M7-0505 Payload Support Building

                            UK-004 Bituminous Roads
  -----------------------------------------------------------------------

Appendix D -- Developing System Criticality

Several methods for assigning criticality have been developed to support
the RCM evaluation process and other reliability efforts. This appendix
describes these methods. Regardless of the method used to assign
criticality, there is very real benefit to completing the process. That
is, once complete, there is a clear understanding of which system
failures will have the most significant effect on safety and mission.

**Dual-code Method**

This method uses two codes, one for function and another for cost.
Within the function code, the key elements are safety & environment and
mission. Within the cost code, the key elements are operations &
maintenance cost and initial (procurement and installation) cost.

Safety & Environment: Does the system perform a safety and environment
function? Will a failure of the system hurt people or the environment?

Mission: Does the system support the mission function? Will functional
degradation or failure delay or stop the mission? Will functional
degradation or failure cause additional significant collateral damage to
other systems that will delay or stop the mission? Keep in mind that
NASA has a very dynamic environment that results in shifting mission
requirements. A system may have a very important function today but have
a limited contribution to the Mission a few years from now.

Operations & Maintenance Cost: Does the system have a high operations
and maintenance cost (consider all labor and materials including
subcontracted work)? High operations and maintenance cost might be
defined as \$5,000/year or more. This can be any value, as long as it is
applied consistently.

High Initial Cost: Did the system have a high initial cost (total
installation cost)? Define high initial cost as \$50,000 or more. As
with high operations and maintenance costs, this can be any value, as
long as it is applied consistently.

Answering the above questions resulted in establishing the dual codes as
follows:

Function Code 1 - Yes to Safety & Environment and Yes to Mission.

Function Code 2 - Yes to Safety & Environment and No to Mission.

Function Code 3 - No to Safety & Environment and Yes to Mission.

Function Code 4 - No to Safety & Environment and No to Mission.

Cost Code 1 - Yes to Operations & Maintenance and Yes to High Initial.

Cost Code 2 - Yes to Operations & Maintenance and No to High Initial.

Cost Code 3 - No to Operations & Maintenance and Yes to High Initial.

Cost Code 4 - No to Operations & Maintenance and No to High Initial.

Table D-1 lists the codes so that all possible combinations are
represented, with the most critical items listed first. The advantage of
this method is that it weighs four key elements to define the system
criticality.

**Table D-1: Dual-**Code Criticality

  ---------------- ------------- ----------------------------------------
  Function Code    Cost Code     Comment

  1                1             

  1                2             Very Highly Critical: Safety &
                                 Environment

  1                3             and Mission are both issues.

  1                4             

  2                1             

  2                2             Highly Critical: Safety & Environment

  2                3             an issue.

  2                4             

  3                1             

  3                2             Moderately Critical: Mission or

  3                3             collateral damage is an issue.

  3                4             

  4                1             

  4                2             Low Critical: No Safety & Environment

  4                3             or Mission issues.

  4                4             
  ---------------- ------------- ----------------------------------------

**Streamlined System**

This system uses four categories that define criticality of the
equipment based on its tie to mission, safety, environmental
constraints, and cost. There are variations of this system. For example,
the current *Reliability Centered Maintenance Guide* has a similar
approach using six categories.

-   Critical Code 1 - Mission Critical/High Risk/Catastrophic Impact if
    Failure Occurs. Equipment must be online for continued mission
    operation. Loss of any component will result in a system outage and
    adversely impact mission operations. Also includes all equipment
    that has extraordinary, high repair costs or excessive spare parts
    procurement time. Environmental and safety equipment may be included
    in this classification because failure to conform to law could have
    grave consequences with regard to mission operations.

-   Critical Code 2 - Critical/Process Sensitive/ Major Impact if
    Failure Occurs. Mission operations would be severely limited if the
    facility or equipment were disabled. All equipment with chronic
    maintenance and repair histories or very high repair or replacement
    costs are in this classification.

-   Critical Code 3 - Serious/ Mission Support/ Minor Impact if Failure
    Occurs. The equipment is costly to maintain but does not directly
    impact mission. A redundant system would be classified in this
    category since the online spare could provide the required service.
    Facilities and equipment seriously impacting other operations,
    project deadlines, and costs may be within this classification.

-   Critical Code 4- Exceptional/ Noncritical/ Discretionary/Deferred/
    Negligible Impact if Failure Occurs. All other equipment that does
    not impact mission is in this category, including equipment that
    could be maintained but is not essential or equipment that would be
    maintained if unlimited resources were available.

**Process Criticality**

Another method for ranking critical systems is adapted from the
automotive industry and identifies ten categories.[^2] Table D-2 details
the system as follows.

Table D-2: Process Criticality

  ---------- ------------- ----------------------------------------------
  Ranking    Effect        Comment

  1          None          No reason to expect failure to have any effect
                           on safety, health, environment, or mission.

  2          Very Low      Minor disruption to facility function. Repair
                           to failure can be accomplished during trouble
                           call.

  3          Low           Minor disruption to facility function. Repair
                           to failure may be longer than a trouble call
                           but does not delay the mission

  4          Low to        Moderate disruption to facility function. Some
             Moderate      portion of mission may need to be reworked or
                           the process delayed.

  5          Moderate      Moderate disruption to facility function. 100%
                           of the mission may need to be reworked or
                           process delayed.

  6          Moderate to   Moderate disruption to facility function. Some
             High          portion of the mission is lost. Moderate delay
                           in restoring function.

  7          High          High disruption to facility function. Some
                           portion of the mission is lost. Significant
                           delay in restoring function.

  8          Very High     High disruption to facility function. All of
                           the mission is lost. Significant delay in
                           restoring function.

  9          Hazard        Potential Safety, Health, or Environment
                           issue. Failure will occur with warning.

  10         Hazard        Potential Safety, Health, or Environment
                           issue. Failure will occur without warning.
  ---------- ------------- ----------------------------------------------

Appendix E -- Sources of Data (Example)

This appendix describes the sources of data for the work element
requirement tables in section 3 that are available to NASA and the
Institutional M&O contractor at the Kennedy Space Center. These sources
are cited as examples for other Centers/Facilities to use in developing
their short- and long-term requirements.

**Sources of Data:**

Databases/files within the CMMS (MAPCON) -- the PM/PT&I Master File, the
Work Order History File and the Equipment File are maintained in the
Maintenance Management Office of the Institutional M&O contractor.

AMDAHL is a work management system database maintained in the Work
Control Office of the Institutional M&O contractor. This system is a
unique and separate database to Kennedy Space Center (KSC) and is not
tied to the CMMS but tracks service requests (called WAPS at KSC) and
facility projects.

The facility projects listing is a locally developed database that is
maintained in the Contract Integration Office of the Institutional M&O
contractor.

The Facility Project Management System is a NASA-wide database
maintained in NASA's Facility Project Management Office.

JAMIS is a financial accounting database maintained in the resources
office of the Institutional M&O contractor.

**Requirements:**

[PM/PT&I]{.underline} -- Requirements are available from the PM/PT&I
Master File and historical information for projections is available from
the Work Order History File.

[Grounds Care]{.underline} -- Historical information for projections is
available from the Work Order History File.

[Programmed Maintenance]{.underline} -- Requirements are available from
AMDAHL for in-house work and the facilities projects listing for
subcontracted work. Historical information for projections is available
from the Work Order History File for in-house work and AMDAHL for
subcontracted work.

[Repairs]{.underline} -- Requirements are available from AMDAHL for
in-house work and the facilities projects listing for subcontracted
work. Historical information for projections is available from the Work
Order History File for in-house work and AMDAHL for subcontracted work.

[Trouble Calls]{.underline} - Historical information for projections is
available from the Work Order History File.

[Replacement of Obsolete Items]{.underline} - Requirements are available
from AMDAHL for in-house work and the facilities projects listing for
subcontracted work. Historical information for projections is available
from the Work Order History File for in-house work and AMDAHL for
subcontracted work.

[Service Requests]{.underline} - Requirements are available from AMDAHL
for in-house work and the facilities projects listing for subcontracted
work. Historical information for projections is available from the Work
Order History File for in-house work and AMDAHL for subcontracted work.

[Utility Plant O&M]{.underline} - Historical information for projections
is available from the Work Order History File.

[CoF Programs]{.underline} - Requirements are available from the
Facility Project Management System.

[Table 4.17: DM]{.underline} -- Requirements are available from the
facility project listing (subcontracts) and the Facility Project
Management Database System (CoF projects). Historical information for
projections is available from AMDAHL (subcontracts) and the Facility
Project Management System (CoF).

[Special Programs]{.underline} - Requirements information for these type
of programs (including special training requirements) are normally
identified, tracked, and maintained in a separate work order or facility
project database created to support the specific program.

Appendix F -- Budget Shortfall/Plus-up Planning Sheets

Use tables similar to the ones below to detail planned maintenance items
to be deferred or eliminated, or added to the budget. Some repair items
may also be included.

Column 1 - Item. Ascending numbers/priorities.

Column 2 - Building/area. Identify building or area by name. Include
mission criticality code (MC -- Mission Critical, MS -- Mission Support,
CS -- Center Support).

Column 3 - Discussion. Identify the system or machine. Identify
maintenance to be deferred, eliminated, or added.

Column 4 -- Risk/value. Identify what may happen due to not performing
work, the consequences of failure, and the probability of the failure
or, in the case of a plus-up, the positive effects of accomplishing the
work.

Column 5 -- DM . Identify DM increase or decrease, if any.

Column 6 - Funds. Identify budget reduction/requirement based on this
action.

+----+----------+------------------+--------------------+----+-----+
| ** |          |                  |                    |    |     |
| Bu |          |                  |                    |    |     |
| dg |          |                  |                    |    |     |
| et |          |                  |                    |    |     |
| S  |          |                  |                    |    |     |
| ho |          |                  |                    |    |     |
| rt |          |                  |                    |    |     |
| fa |          |                  |                    |    |     |
| ll |          |                  |                    |    |     |
| Pl |          |                  |                    |    |     |
| an |          |                  |                    |    |     |
| ni |          |                  |                    |    |     |
| ng |          |                  |                    |    |     |
| S  |          |                  |                    |    |     |
| he |          |                  |                    |    |     |
| et |          |                  |                    |    |     |
|  - |          |                  |                    |    |     |
| FY |          |                  |                    |    |     |
| 19 |          |                  |                    |    |     |
| 98 |          |                  |                    |    |     |
| ** |          |                  |                    |    |     |
|    |          |                  |                    |    |     |
| ** |          |                  |                    |    |     |
| Li |          |                  |                    |    |     |
| st |          |                  |                    |    |     |
| 1  |          |                  |                    |    |     |
| (  |          |                  |                    |    |     |
| 1% |          |                  |                    |    |     |
| Sh |          |                  |                    |    |     |
| or |          |                  |                    |    |     |
| tf |          |                  |                    |    |     |
| al |          |                  |                    |    |     |
| l) |          |                  |                    |    |     |
| ** |          |                  |                    |    |     |
|    |          |                  |                    |    |     |
| A  |          |                  |                    |    |     |
| ll |          |                  |                    |    |     |
| f  |          |                  |                    |    |     |
| un |          |                  |                    |    |     |
| ds |          |                  |                    |    |     |
| a  |          |                  |                    |    |     |
| re |          |                  |                    |    |     |
| in |          |                  |                    |    |     |
| c  |          |                  |                    |    |     |
| ur |          |                  |                    |    |     |
| re |          |                  |                    |    |     |
| nt |          |                  |                    |    |     |
| ye |          |                  |                    |    |     |
| ar |          |                  |                    |    |     |
| d  |          |                  |                    |    |     |
| ol |          |                  |                    |    |     |
| la |          |                  |                    |    |     |
| rs |          |                  |                    |    |     |
| (  |          |                  |                    |    |     |
| K\ |          |                  |                    |    |     |
| $) |          |                  |                    |    |     |
|    |          |                  |                    |    |     |
| ** |          |                  |                    |    |     |
| Pa |          |                  |                    |    |     |
| ge |          |                  |                    |    |     |
| 1  |          |                  |                    |    |     |
| of |          |                  |                    |    |     |
| \_ |          |                  |                    |    |     |
| \_ |          |                  |                    |    |     |
| \_ |          |                  |                    |    |     |
| ** |          |                  |                    |    |     |
+----+----------+------------------+--------------------+----+-----+
| ** | *        | **Discussion**   | **Risk**           | ** | **F |
| It | *Buildin |                  |                    | DM | und |
| em | g/Area** |                  |                    | [  | s** |
| ** |          |                  |                    | ]{ |     |
|    |          |                  |                    | .m |     |
|    |          |                  |                    | ar |     |
|    |          |                  |                    | k} |     |
|    |          |                  |                    | ** |     |
+----+----------+------------------+--------------------+----+-----+
| 1  | Test     | Reduce grass     | None, appearance   | 0  | 25  |
|    | Area     | cutting by 50%   | only.              |    |     |
|    | 1(MC)    |                  |                    |    |     |
+----+----------+------------------+--------------------+----+-----+
| 2  | Building | Eliminate all    | Low. All testing   | 0  | 80  |
|    | 54 (MC)  | PT&I and PM for  | in this building   |    |     |
|    |          | facilities       | is scheduled to be |    |     |
|    |          | systems.         | completed this     |    |     |
|    |          | Selectively      | year. Building     |    |     |
|    |          | perform trouble  | will be closed at  |    |     |
|    |          | calls.           | that time.         |    |     |
|    |          |                  | Failures, if they  |    |     |
|    |          |                  | occur, can be      |    |     |
|    |          |                  | repaired with      |    |     |
|    |          |                  | minimal effect on  |    |     |
|    |          |                  | remaining testing. |    |     |
|    |          |                  | All safety-related |    |     |
|    |          |                  | maintenance will   |    |     |
|    |          |                  | be performed.      |    |     |
+----+----------+------------------+--------------------+----+-----+
| 3  | Sw       | Defer ROI        | Increased          | 2  | 250 |
|    | itchyard | project to       | probability of     | 50 |     |
|    | (MS)     | replace aging    | failure. Cannot be |    |     |
|    |          | switchgear       | quantified. If     |    |     |
|    |          |                  | failure occurs,    |    |     |
|    |          |                  | approx. one-third  |    |     |
|    |          |                  | of the Center will |    |     |
|    |          |                  | be without power   |    |     |
|    |          |                  | for five days.     |    |     |
+----+----------+------------------+--------------------+----+-----+
| 4  |          |                  |                    |    |     |
+----+----------+------------------+--------------------+----+-----+
| T  |          |                  |                    | 2  | 355 |
| ot |          |                  |                    | 50 |     |
| al |          |                  |                    |    |     |
+----+----------+------------------+--------------------+----+-----+

+----+----------+------------------+--------------------+----+-----+
| ** |          |                  |                    |    |     |
| Bu |          |                  |                    |    |     |
| dg |          |                  |                    |    |     |
| et |          |                  |                    |    |     |
| P  |          |                  |                    |    |     |
| lu |          |                  |                    |    |     |
| s- |          |                  |                    |    |     |
| up |          |                  |                    |    |     |
| Pl |          |                  |                    |    |     |
| an |          |                  |                    |    |     |
| ni |          |                  |                    |    |     |
| ng |          |                  |                    |    |     |
| S  |          |                  |                    |    |     |
| he |          |                  |                    |    |     |
| et |          |                  |                    |    |     |
|  - |          |                  |                    |    |     |
| FY |          |                  |                    |    |     |
| 19 |          |                  |                    |    |     |
| 98 |          |                  |                    |    |     |
| ** |          |                  |                    |    |     |
|    |          |                  |                    |    |     |
| ** |          |                  |                    |    |     |
| Li |          |                  |                    |    |     |
| st |          |                  |                    |    |     |
| 1  |          |                  |                    |    |     |
| (  |          |                  |                    |    |     |
| 1% |          |                  |                    |    |     |
| )  |          |                  |                    |    |     |
| ** |          |                  |                    |    |     |
|    |          |                  |                    |    |     |
| A  |          |                  |                    |    |     |
| ll |          |                  |                    |    |     |
| f  |          |                  |                    |    |     |
| un |          |                  |                    |    |     |
| ds |          |                  |                    |    |     |
| a  |          |                  |                    |    |     |
| re |          |                  |                    |    |     |
| in |          |                  |                    |    |     |
| c  |          |                  |                    |    |     |
| ur |          |                  |                    |    |     |
| re |          |                  |                    |    |     |
| nt |          |                  |                    |    |     |
| ye |          |                  |                    |    |     |
| ar |          |                  |                    |    |     |
| d  |          |                  |                    |    |     |
| ol |          |                  |                    |    |     |
| la |          |                  |                    |    |     |
| rs |          |                  |                    |    |     |
| (  |          |                  |                    |    |     |
| k\ |          |                  |                    |    |     |
| $) |          |                  |                    |    |     |
|    |          |                  |                    |    |     |
| ** |          |                  |                    |    |     |
| Pa |          |                  |                    |    |     |
| ge |          |                  |                    |    |     |
| 1  |          |                  |                    |    |     |
| of |          |                  |                    |    |     |
| \_ |          |                  |                    |    |     |
| \_ |          |                  |                    |    |     |
| \_ |          |                  |                    |    |     |
| ** |          |                  |                    |    |     |
+----+----------+------------------+--------------------+----+-----+
| ** | *        | **Discussion**   | **Value**          | ** | **F |
| It | *Buildin |                  |                    | DM | und |
| em | g/Area** |                  |                    | [  | s** |
| ** |          |                  |                    | ]{ |     |
|    |          |                  |                    | .m |     |
|    |          |                  |                    | ar |     |
|    |          |                  |                    | k} |     |
|    |          |                  |                    | ** |     |
+----+----------+------------------+--------------------+----+-----+
| 1  | Building | Replace          | Eliminate          | 1  | 100 |
|    | 4240(MC) | electrical       | antiquated system, | 00 |     |
|    |          | distribution     | thereby            |    |     |
|    |          | system.          | eliminating high   |    |     |
|    |          |                  | repair costs.      |    |     |
+----+----------+------------------+--------------------+----+-----+
| 2  |          |                  |                    |    |     |
+----+----------+------------------+--------------------+----+-----+
| 3  |          |                  |                    |    |     |
+----+----------+------------------+--------------------+----+-----+
| 4  |          |                  |                    |    |     |
+----+----------+------------------+--------------------+----+-----+
| T  |          |                  |                    | 1  | 100 |
| ot |          |                  |                    | 00 |     |
| al |          |                  |                    |    |     |
+----+----------+------------------+--------------------+----+-----+

Appendix G -- Long-Term Budget Planning Sheet

Use a table similar to the one below to detail planned maintenance items
beyond the Five-Year window. Some repair items may also be included.

Column 1 - Item. Ascending numbers.

Column 2 - Projected fiscal year and type of work (ROI, CoF, etc.).

Column 3 - Building/area. Identify building or area by name. Include
mission criticality code (MC -- Mission Critical, MS -- Mission Support,
CS -- Center Support).

Column 4 - Discussion. Identify the system or machine. Identify
project/work.

Column 5 - Identify projected funding (if possible).

+----+-----------+-------------+----------------------------+--------+
| *  |           |             |                            |        |
| *L |           |             |                            |        |
| on |           |             |                            |        |
| g- |           |             |                            |        |
| Te |           |             |                            |        |
| rm |           |             |                            |        |
| Fa |           |             |                            |        |
| ci |           |             |                            |        |
| li |           |             |                            |        |
| ti |           |             |                            |        |
| es |           |             |                            |        |
| Bu |           |             |                            |        |
| dg |           |             |                            |        |
| et |           |             |                            |        |
| I  |           |             |                            |        |
| te |           |             |                            |        |
| ms |           |             |                            |        |
| ** |           |             |                            |        |
|    |           |             |                            |        |
| A  |           |             |                            |        |
| ll |           |             |                            |        |
| f  |           |             |                            |        |
| un |           |             |                            |        |
| ds |           |             |                            |        |
| a  |           |             |                            |        |
| re |           |             |                            |        |
| in |           |             |                            |        |
| c  |           |             |                            |        |
| ur |           |             |                            |        |
| re |           |             |                            |        |
| nt |           |             |                            |        |
| ye |           |             |                            |        |
| ar |           |             |                            |        |
| d  |           |             |                            |        |
| ol |           |             |                            |        |
| la |           |             |                            |        |
| rs |           |             |                            |        |
| (  |           |             |                            |        |
| K\ |           |             |                            |        |
| $) |           |             |                            |        |
|    |           |             |                            |        |
| ** |           |             |                            |        |
| Pa |           |             |                            |        |
| ge |           |             |                            |        |
| 1  |           |             |                            |        |
| of |           |             |                            |        |
| \_ |           |             |                            |        |
| \_ |           |             |                            |        |
| \_ |           |             |                            |        |
| ** |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+
| ** | **FY/Type | **Buil      | **Discussion**             | **F    |
| It | Work**    | ding/Area** |                            | unds** |
| em |           |             |                            |        |
| ** |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+
| 1  | 2004/CoF  | Test Area   | Reactivate test area       |        |
|    |           | 4(MC)       |                            |        |
+----+-----------+-------------+----------------------------+--------+
| 2  | 2005/ROI  | Building 32 | Replace switchgear         |        |
|    |           | (MS)        |                            |        |
+----+-----------+-------------+----------------------------+--------+
| 3  |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+
| 4  |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+
| 5  |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+
| 6  |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+
| 7  |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+
| 8  |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+
|    |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+
|    |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+
|    |           |             |                            |        |
+----+-----------+-------------+----------------------------+--------+

# Appendix I. NASA-Wide Standardized Deferred Maintenance Parametric Estimate Method {#appendix-i.-nasa-wide-standardized-deferred-maintenance-parametric-estimate-method .unnumbered}

I.1 Introduction

The NASA Deferred Maintenance (DM) Parametric Estimating Method was
adopted in August 2001. NASA commissioned a pilot of the DM method at
the Marshall Space Flight Center (MSFC) in late 2001. Three two-person
teams completed the MSFC assessments. The analysis from that test
resulted in minor adjustments to the method. During the full assessment,
the DM method was further refined as the data from various inspections
was analyzed.

This process of documenting DM is designed to be a simplified approach
based on existing empirical data. The method assumes that:

-   condition assessments are performed at the system level rather than
    the component level.

-   simple condition levels are used.

-   there are a limited number of systems to assess.

-   the current replacement values (CRV) of the systems and the facility
    they support are available.

For additional information, please refer to *The NASA Deferred
Maintenance Parametric Estimating Guide*.

**I.1.1 Establish Deferred Maintenance Facility Category Codes**

The first steps in the process are to determine the facilities to be
assessed and to group them by categories. The category codes group
facilities whose systems are similar and have approximately the same
relative system CRV percentage values. For example, one category may be
administrative buildings. These are facilities that function like office
buildings and have a structure, a roof, an exterior, interior finishes,
and typical mechanical systems (HVAC, electrical, and plumbing). Another
category may be laboratories. Laboratories have the same systems as an
administrative building, with structure, roof, exterior, interior
finishes and mechanical systems. But, their percentage of contribution
to the CRV will be different, so, these building types need to be
separate in the model. Other facilities may include antennas, fueling
stations, and other structures that have correspondingly different cost
models for purposes of estimating DM. Correct mapping of like facilities
is essential to ensure that all systems' contributions to the CRV, and
thus the DM, are accounted for.

**I.1.2 Determine Facility Systems to be Assessed**

Once the facilities are categorized, the facility systems to be assessed
are identified by using building system classification. An example of
such a system is the American Society for Testing of Materials (ASTM)
UNIFORMAT II Classification for Building Elements. The system includes,
but is not limited to, structure, roof, exterior, interior finishes, and
mechanical systems.

![](media/image27.png){width="5.013194444444444in"
height="2.6729166666666666in"}

[]{#__RefHeading___Toc205396802 .anchor}Figure I-1. Theoretical Model
for Parametric Estimates

**I.1.3 Determine System CRV Percentages**

Each system is then assigned representative cost factors based on the
estimated percentage of contribution of the major system to the total
CRV of the facility within a facility category. For example, in a simple
administrative building, the structure may contribute 35% to the CRV,
the roof 15%, the exterior 10%, the interior 10% and the mechanical
systems 30%---all contributing to equal 100% of the CRV. In complex
laboratory and testing facilities, electrical systems make up a larger
percentage of the overall building cost, so the breakdown might be
structure 25%, roof 15%, exterior 10%, interior 10%, and the mechanical
systems 40%. The system's CRV percentages are derived from existing
engineering data and adjusted, if necessary, to meet unique facility
types.

**I.1.4 Condition Assessment Rating Scheme**

The NASA condition rating scheme is a simple five-tiered condition code
system shown in Table I-1. The DM model breaks a facility down into nine
major components. An inspector will rate each of the nine facility
components with a condition rating between one to five. The rating is
entered into the database and, depending on the asset class of the
facility (a launch pad, for example, would have more structural system
weighting than a substation), it computes the DM.

[]{#__RefHeading___Toc205396911 .anchor}Table I-1 Condition Assessment
Level

  --- ----------- ----------------------------------------------------------
  5   Excellent   Only normal schedule maintenance required.

  4   Good        Some minor repairs needed. System normally functions as
                  intended.

  3   Fair        More minor repairs and some infrequent larger repairs
                  required. System occasionally unable to function as
                  intended.

  2   Poor        Significant repairs required. Excessive wear and tear
                  clearly visible. Obsolete. System not fully functional as
                  intended. Repair parts not easily obtainable. Does not
                  meet all codes.

  1   Bad         Major repair or replacement required to restore function.
                  Unsafe to use.
  --- ----------- ----------------------------------------------------------

### **I.1.5 Determine System Condition CRV Percentage** {#i.1.5-determine-system-condition-crv-percentage .unnumbered}

A significant component of the DM estimate is the application of a
system condition CRV percentage based on the assigned condition rating
for each system. The system condition CRV percentages, based on existing
engineering data, increase as the condition of the system gets lower
ratings, creating a larger DM estimate. For example, (using the
condition assessments above) if the structure of a facility receives a 5
rating, its contribution to DM is 0% because there is typically no
deferred maintenance for this rating. However, if the structure received
a 3 rating, its contribution to the deferred maintenance will be 27% of
the CRV of the building. The system condition percentages are determined
by asset class (section 1.2.1) system. Continuing with the example, in
the same building, a 3 rating for the electrical system may contribute
10% of the CRV, while the plumbing system may contribute 27% of the CRV.

**I.1.6 Facility Condition Index Calculations**

After the condition-rating scheme was established, teams went to the
field to assess the facilities using the rating system above. The teams
rated each system in each facility and entered that information into a
database from which is generated a System Condition Index (SCI) for each
system, and a Facility Condition Index (FCI) for each facility, site,
and the Agency as a whole. SCI is calculated by first determining the
CRV of the system in question by multiplying the facility CRV by the
percent system CRV. The value of these system CRVs are then totaled.
Next, the system CRV for each facility is normalized or weighted by
dividing the system CRV by the sum of all the system CRVs. This quotient
is then multiplied by its respective assessment rating. These "weighted"
SCIs are then added to determine the facilities SCI. The SCI calculation
can be calculated for the site, installation, Center, Mission
Directorate, or Agency levels.

The FCI is the CRV normalized sum of the condition ratings for each
system within each facility. The building FCI is a simple calculation
that weights each of the nine system condition ratings by its associated
system CRV percentage per DM category. In each system, the rating is
multiplied by its system CRV percentage to get a weighted SCI. The sum
of the nine weighted SCIs equals the facility's FCI. Table I-2 is an
example. If a facility does not have one of the nine system components,
that component is rated zero and will have no weighting, and so does not
contribution to FCI and DM.

[]{#__RefHeading___Toc205396912 .anchor}Table I-2 Facility FCI Example

<table>
<colgroup>
<col style="width: 15%" />
<col style="width: 8%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 3%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="2"> </td>
<td colspan="2">STRUC</td>
<td colspan="2">EXT</td>
<td colspan="2">ROOF</td>
<td colspan="2">HVAC</td>
<td colspan="2">ELEC</td>
<td colspan="2">PLUMB</td>
<td colspan="2">CONV</td>
<td colspan="2">INTF</td>
<td colspan="2">EQUIP</td>
<td>FCI</td>
</tr>
<tr class="even">
<td>Facility Description</td>
<td><p>Facility CRV</p>
<p>$</p></td>
<td>Insp Rat</td>
<td>% Sys CRV</td>
<td>Insp Rat</td>
<td>% Sys CRV</td>
<td>Insp Rat</td>
<td>% Sys CRV</td>
<td>Insp Rat</td>
<td>% Sys CRV</td>
<td>Insp Rat</td>
<td>% Sys CRV</td>
<td>Insp Rat</td>
<td>% Sys CRV</td>
<td>Insp Rat</td>
<td>% Sys CRV</td>
<td>Insp Rat</td>
<td>% Sys CRV</td>
<td>Insp Rat</td>
<td>% Sys CRV</td>
<td></td>
</tr>
<tr class="odd">
<td> </td>
<td></td>
<td colspan="2"> </td>
<td colspan="2"> </td>
<td colspan="2"> </td>
<td colspan="2"> </td>
<td colspan="2"> </td>
<td colspan="2"> </td>
<td colspan="2"> </td>
<td colspan="2"> </td>
<td colspan="2"> </td>
<td> </td>
</tr>
<tr class="even">
<td>WAREHOUSE</td>
<td>1,172,019</td>
<td>4</td>
<td>0.40</td>
<td>3</td>
<td>0.19</td>
<td>2</td>
<td>0.06</td>
<td>0</td>
<td>0.18</td>
<td>3</td>
<td>0.20</td>
<td>0</td>
<td>0.02</td>
<td>0</td>
<td>0</td>
<td>3</td>
<td>0.15</td>
<td>0</td>
<td>0</td>
<td>3.3</td>
</tr>
<tr class="odd">
<td>COVERED STORAGE</td>
<td>102,267</td>
<td>5</td>
<td>0.63</td>
<td>5</td>
<td>0.22</td>
<td>5</td>
<td>0.11</td>
<td>0</td>
<td>0.03</td>
<td>5</td>
<td>0.04</td>
<td>0</td>
<td>0.01</td>
<td>0</td>
<td>0</td>
<td>0</td>
<td>0.04</td>
<td>0</td>
<td>0</td>
<td>5.0</td>
</tr>
<tr class="even">
<td>FEMA EQUIPMENT STORAGE SHED</td>
<td>92,789</td>
<td>5</td>
<td>0.48</td>
<td>5</td>
<td>0.17</td>
<td>5</td>
<td>0.05</td>
<td>0</td>
<td>0.15</td>
<td>5</td>
<td>0.15</td>
<td>0</td>
<td>0.15</td>
<td>0</td>
<td>0</td>
<td>5</td>
<td>0.15</td>
<td>0</td>
<td>0</td>
<td>5.0</td>
</tr>
<tr class="odd">
<td>GENERAL WAREHOUSE</td>
<td>7,781,631</td>
<td>4</td>
<td>0.60</td>
<td>4</td>
<td>0.15</td>
<td>4</td>
<td>0.10</td>
<td>3</td>
<td>0.04</td>
<td>3</td>
<td>0.06</td>
<td>4</td>
<td>0.01</td>
<td>0</td>
<td>0</td>
<td>4</td>
<td>0.04</td>
<td>0</td>
<td>0</td>
<td>3.9</td>
</tr>
<tr class="even">
<td>ADMINISTRATION BUILDING</td>
<td>12,166,903</td>
<td>5</td>
<td>0.19</td>
<td>5</td>
<td>0.17</td>
<td>3</td>
<td>0.06</td>
<td>4</td>
<td>0.16</td>
<td>4</td>
<td>0.18</td>
<td>4</td>
<td>0.05</td>
<td>5</td>
<td>0.03</td>
<td>5</td>
<td>0.16</td>
<td>0</td>
<td>0</td>
<td>4.4</td>
</tr>
<tr class="odd">
<td>AUDITORIUM</td>
<td>6,306,944</td>
<td>3</td>
<td>0.22</td>
<td>4</td>
<td>0.17</td>
<td>4</td>
<td>0.06</td>
<td>4</td>
<td>0.16</td>
<td>2</td>
<td>0.18</td>
<td>4</td>
<td>0.05</td>
<td>0</td>
<td>0.03</td>
<td>2</td>
<td>0.16</td>
<td>0</td>
<td>0</td>
<td>3.1</td>
</tr>
<tr class="even">
<td>MAIN LIBRARY</td>
<td>5,716,090</td>
<td>5</td>
<td>0.19</td>
<td>4</td>
<td>0.17</td>
<td>4</td>
<td>0.06</td>
<td>4</td>
<td>0.16</td>
<td>4</td>
<td>0.18</td>
<td>4</td>
<td>0.05</td>
<td>4</td>
<td>0.03</td>
<td>4</td>
<td>0.16</td>
<td>0</td>
<td>0</td>
<td>4.2</td>
</tr>
<tr class="odd">
<td>PHOTOTECHNOLOGY LAB.</td>
<td>10,960,633</td>
<td>4</td>
<td>0.18</td>
<td>3</td>
<td>0.19</td>
<td>4</td>
<td>0.04</td>
<td>3</td>
<td>0.15</td>
<td>4</td>
<td>0.20</td>
<td>4</td>
<td>0.04</td>
<td>5</td>
<td>0.01</td>
<td>5</td>
<td>0.15</td>
<td>5</td>
<td>0.04</td>
<td>3.9</td>
</tr>
</tbody>
</table>

Table I-3 is an example of an FCI for a Center. The Center FCI value is
the sum of each facility's CRV-normalized FCI. Each facility CRV is
divided by the total Center CRV. That quotient is then multiplied by
each facility's FCI producing a CRV-normalized FCI. Weighted FCI =
(Facility CRV÷ Center CRV) × Facility FCI. The sum of these weighted
facility FCIs provides a total Center FCI.

[]{#__RefHeading___Toc205396913 .anchor}Table I-3 Center FCI Example

  -------------------------------- ------------------ ------------ ------------
  **Center "A"**                                      **Facility   **Weighted
                                                      FCI**        FCI**

  **Facility Description**         **Facility CRV                  
                                   \$**                            

                                                                    

  WAREHOUSE                        1,172,019.00       3.3          0.1

  COVERED STORAGE                  102,267.00         5.0          0.0

  FEMA EQUIPMENT STORAGE SHED      92,789.00          5.0          0.0

  GENERAL WAREHOUSE                7,781,631.00       3.9          0.7

  ADMINISTRATION BUILDING          12,166,903.00      4.5          1.2

  AUDITORIUM                       6,306,944.00       3.1          0.4

  MAIN LIBRARY                     5,716,090.00       4.2          0.5

  PHOTOTECHNOLOGY LAB.             10,960,633.00      3.9          1.0

  Center "A" Totals                44,299,276.00                   3.9
  -------------------------------- ------------------ ------------ ------------

### **I.1.7 Deferred Maintenance Calculation**  {#i.1.7-deferred-maintenance-calculation .unnumbered}

The facility DM estimate is determined by adding the DM estimates of the
nine facility systems. Table I-4 provides a sample DM estimate for an
administrative facility (DM category 5) with a CRV of \$10 million.

[]{#__RefHeading___Toc205396914 .anchor}Table I-4 Sample Deferred
Maintenance Calculation

  --------------- ---------- ------------ ---------- --------------- -----------
  **System**      **System   **CRV Total  **System   **System        **DM \$**
                  %**        \$**         Rating**   Condition\      
                                                     CRV %**         

  Structure       0.18       1,800,000    5          0.00            0

  Exterior        0.17       1,700,000    4          0.05            85,000

  Roofing         0.05       500,000      4          0.05            25,000

  HVAC            0.16       1,600,000    3          0.15            240,000

  Electrical      0.18       1,800,000    4          0.05            90,000

  Plumbing        0.05       500,000      3          0.15            75,000

  Conveying       0.06       600,000      5          0.00            0

  Interior        0.15       1,500,000    3          0.20            300,000
  Finishes                                                           

  Facility        0.00       0            0          0.00            0
  Equipment                                                          

  Total           1.00       10,000,000                              \$815,000
  --------------- ---------- ------------ ---------- --------------- -----------

I.2 The Model as Used

**I.2.1 Deferred Maintenance Facility Category Codes**

Using the NASA real property inventory (RPI), the first step in building
the DM database was to map each of the more than 400 NASA facility
classes into 42 DM facility categories, as shown in Table I-5. It was
necessary to reduce the number of NASA classes to simplify data
management. It is important to develop the correct facility category to
provide a more complete reflection of the system CRV percentages in the
different facility types, ultimately creating a more representative DM
estimate. The categories were determined based on facility similarity.
For example, DM Category 12, Communication and Tracking Buildings,
includes NASA facility classes 131 and 140. Category 13, Communications
and Tracking Facilities, includes NASA facility classes 132 and 141.
These facilities may include antennas, fueling stations, or other
structures that have correspondingly different cost models for purposes
of estimating DM from those in Category 12.

[]{#__RefHeading___Toc205396915 .anchor}Table I-5 Mapping of NASA
facility classes into DM Facility Categories

  -----------------------------------------------------------------------
  Facility Type          **NASA Facility Category Class**
  ---------------------- ------------------------------------------------
  R&D and Test Buildings 220-11, 220-12, 220-13, 310-10, 310-15, 310-20,
                         310-21, 310-22, 310-30, 310-40, 310-41, 310-50,
                         310-60

  R&D Structures and     320-10, 320-20, 320-21, 320-22, 320-30, 320-40,
  Facilities             320-41, 320-50, 320-70, 390-00

  Wind Tunnels           330-10, 330-20, 330-30, 330-40, 330-60, 330-70,
                         331-10, 331-20, 331-30, 331-40, 331-60, 331-70

  Engine/Vehicle Static  340-10, 340-20, 345-10, 345-50, 350-10, 350-20,
  Test Facilities        355-10, 355-20, 355-30, 355-40, 355-50

  Administrative         141-20, 610-10, 610-20, 610-90
  Buildings              

  Training Buildings     171-00, 179-00

  Trailers               630-30, 630-31, 630-32, 630-34, 630-36, 630-37

  Storage Buildings      153-10, 153-90, 442-10, 610-30

  Storage Facilities     345-20, 421-30, 432-10, 432-90, 442-20, 442-30,
                         442-40, 442-50, 442-60, 442-90, 452-10, 452-11,
                         452-12, 471-10, 471-20, 471-30, 471-40

  Fuel Storage Tanks     126-90, 411-10, 411-20, 411-30, 411-40, 411-50,
                         411-60, 411-90, 423-10, 423-20, 423-90, 461-10,
                         461-20, 461-30, 461-90

  Specialized Liquid     
  Storage Tanks          

  Fueling Stations and   121-10, 121-20, 121-90, 122-10, 122-20, 122-90,
  Systems                123-10, 123-90

  Magazines              421-90, 422-15, 422-20, 422-30, 422-90, 424-10,
                         424-20, 424-30

  Communication and      131-10, 131-15, 131-20, 131-25, 131-30, 131-35,
  Tracking Buildings     131-40, 131-45, 131-50, 131-90, 140-10, 140-20,
                         140-30, 140-40, 140-50, 140-90

  Communication and      132-10, 132-20, 132-30, 132-40, 132-50, 132-90,
  Tracking Facilities    141-30, 141-40, 141-50, 141-90

  Large Antennas         

  Small Antennas         320-60

  Mission Control        381-10
  Operations Buildings   

  Lighting               136-10, 136-20, 136-30, 136-50, 136-90, 812-20,
                         812-40, 812-50, 812-70, 812-80

  Electrical             382-70, 811-90, 812-30, 812-35, 812-90
  Distribution System    

  Power Generation/Power 811-10, 811-20, 811-30, 811-40, 811-50, 811-60,
  Plant                  811-70, 811-80

  Electric Substations,  812-10, 812-60
  Switchgear &           
  Transformer Yards      

  HVAC Distribution      822-10, 822-20, 823-20, 823-30, 824-10, 824-20,
                         824-30, 824-40, 842-10, 890-10, 890-15, 890-20,
                         890-25, 890-30, 890-35, 890-45, 890-50, 890-60,
                         890-65, 890-70, 890-85, 890-90

  HVAC Generation        821-10, 821-20, 821-30, 821-40, 821-50, 890-40,
                         890-55, 890-75, 890-80

  Waste Water Collection 831-20, 832-10, 832-20, 832-30, 832-40, 832-90,
  & Disposal System      871-60

  Waste Water Facilities 831-10, 831-30, 831-40, 831-50, 831-90
  & Treatment Plants     

  Storm drains, Ditches, 871-10, 871-20, 871-30, 871-40, 871-50, 871-90
  Dams, Retaining walls  

  Potable Water          345-40, 841-20, 841-30, 841-35, 841-40, 841-45,
  Distribution System    841-50, 841-55, 842-12, 842-15, 842-30, 842-35,
                         843-10, 843-20, 843-30, 843-40, 843-50, 843-60

  Potable Water          841-10, 841-70
  Facilities & Treatment 
  Plants                 

  Launch Pads            382-10, 382-11, 382-14, 382-60, 382-80

  Launch support camera  382-13
  pads                   

  Launch propellant &    382-30, 382-31
  high pressure gas      
  facilities             

  Pavement               111-10, 111-11, 111-12, 111-20, 111-21, 111-22,
                         112-10, 112-11, 112-12, 113-20, 113-21, 113-22,
                         141-10, 851-10, 851-11, 851-12, 851-20, 851-22,
                         851-90, 851-91, 851-92, 852-10, 852-11, 852-12,
                         852-20, 852-21, 852-22, 852-30, 852-31, 852-32,
                         852-90, 852-91, 852-92, 860-10, 860-30, 860-40

  Rail                   

  Maintenance Facilities 219-10, 219-11, 219-20, 220-10
  and PW Shops           

  Operational            212-10, 212-20, 212-30, 212-40, 212-50, 220-14
  maintenance facilities 

  Other Buildings        381-20, 381-30, 381-40, 381-50, 381-60, 382-15,
                         510-00, 641-10, 641-20, 641-30, 641-40, 711-00,
                         712-00, 730-10, 730-20, 730-25, 730-40, 730-65,
                         730-70, 730-90, 740-18, 740-26, 740-30, 740-33,
                         740-40, 740-43, 740-46, 740-53, 740-54, 740-56,
                         740-73, 740-76, 740-83, 740-88, 740-90, 740-95,
                         872-20, 872-30, 872-90

  Other Facilities       126-10, 152-20, 152-40, 152-60, 152-90, 154-10,
                         154-20, 154-30, 154-90, 163-10, 163-20, 163-30,
                         163-90, 164-10, 164-20, 164-30, 164-90, 361-10,
                         361-20, 361-30, 361-40, 631-10, 631-20, 631-30,
                         631-40, 690-10, 690-20, 690-90, 750-10, 750-20,
                         750-30, 750-40, 750-50, 750-60, 750-90, 750-95,
                         833-10, 833-20, 833-30, 833-40, 833-90, 860-20,
                         860-50, 860-90, 872-10, 872-40, 872-50, 880-10,
                         880-20, 880-30, 880-40, 880-50, 880-90, 890-95

  Land & Easements       911-10, 911-20, 911-21, 911-22, 911-30, 911-31,
                         911-32, 911-33, 911-40, 911-50, 912-10, 912-11,
                         912-13, 912-20, 913-10, 913-20, 913-30, 913-40,
                         913-50, 913-60, 913-61, 913-62, 913-63, 914-10,
                         914-20, 921-10, 921-20, 921-30, 921-40, 921-50,
                         921-60, 921-90, 922-10, 922-20, 922-30, 923-10,
                         923-20, 923-40, 923-50, 923-60, 932-10, 932-20,
                         932-30, 932-40, 932-50, 932-60, 932-90

  Compressed Air         
  Distribution           

  Compressed Air         
  Generation             

  Prefabricated          620-10, 620-90, 630-10, 630-11, 630-12, 630-14,
  buildings, various     630-16, 630-17, 630-20, 630-21, 630-22, 630-24,
  uses                   630-26, 630-27

  Berthing and Housing   
  -----------------------------------------------------------------------

**I.2.2 Facility Systems**

The DM facility systems were developed from a review of other DM
estimating methods for facilities and the *ASTM UNIFORMAT II,
Classification for Building Elements*. The following nine systems were
selected for the NASA DM method:

a.  Structure: foundations, superstructure, slabs and floors, and
    pavements that are adjacent to, and considered part of, the
    facility.

b.  Exterior: wall coatings, windows, doors, and exterior sealants.

c.  Roofing: roof coverings, openings, gutters, and flashing.

d.  HVAC: heating, ventilating, and air-conditioning systems, including
    controls and balancing devices.

e.  Electrical: service and distribution, lighting, communications,
    security and fire protection wiring, and controls.

f.  Plumbing: water, sewer, and fire protection piping, or piping for
    steam, gas, or water distribution in specialty systems (e.g., tanks,
    generation plants).

g.  Conveying: elevators, escalators, cranes, and other lifts.

h.  Interior: all interior finishes including wall coverings, flooring,
    and ceilings.

i.  Program Support Equipment: equipment installed in the facility to
    provide support for operational testing or research. For example,
    additional ventilation equipment or separate HVAC systems required
    only to support special testing or programs.

**I.2.3 Current Replacement Value and Facility System CRV Percentages**

The NASA RPI system contains the CRV for each facility. Table I-6 shows
how the CRV is apportioned between each of the nine facility systems for
each of the NASA DM facility categories. The CRV system percentages are
derived from the *Parametric Cost Estimating System (PACES)* [^3]*,* an
accepted estimating tool for Federal construction projects. The *PACES*
method was derived from an evaluation of more than \$40 billion of
Federal facilities projects.

[]{#__RefHeading___Toc205396916 .anchor}Table I-6 DM Categories with CRV
Percentage Values

  ------------------------------------------------------------------------------------------------
  DM Cat NASA_BLDG        STRUC   EXT    ROOF   HVAC   ELEC   PLUMB   CONV   INTF   EQUIP   SUM
  ------ ---------------- ------- ------ ------ ------ ------ ------- ------ ------ ------- ------
  1      R&D and Test     0.18    0.19   0.04   0.15   0.20   0.04    0.01   0.15   0.04    1.00
         Buildings                                                                          

  2      R&D Structures   0.40    0.17   0.01   0.06   0.25   0.02    0.02   0.03   0.04    1.00
         and Facilities                                                                     

  3      Wind Tunnels     0.30    0.05   0.01   0.01   0.15   0.01    0.01   0.01   0.45    1.00

  4      Engine/Vehicle   0.38    0.03   0.01   0.04   0.26   0.01    0.03   0.02   0.22    1.00
         Static Test                                                                        
         Facilities                                                                         

  5      Administrative   0.19    0.17   0.06   0.16   0.18   0.05    0.03   0.16   0.00    1.00
         Buildings                                                                          

  6      Training         0.18    0.20   0.05   0.12   0.21   0.05    0.01   0.18   0.00    1.00
         Buildings                                                                          

  7      Trailers         0.20    0.19   0.06   0.18   0.20   0.02    0.00   0.15   0.00    1.00

  8      Storage          0.60    0.15   0.10   0.04   0.06   0.01    0.00   0.04   0.00    1.00
         Buildings                                                                          

  9      Storage          0.55    0.22   0.11   0.03   0.04   0.01    0.00   0.04   0.00    1.00
         Facilities                                                                         

  10     Fuel Storage     0.70    0.13   0.02   0.00   0.10   0.05    0.00   0.00   0.00    1.00
         Tanks                                                                              

  10.1   Specialized      0.51    0.13   0.02   0.00   0.14   0.20    0.00   0.00   0.00    1.00
         Liquid Storage                                                                     
         Tanks                                                                              

  10.2   Fueling Stations 0.40    0.10   0.05   0.05   0.15   0.20    0.00   0.05   0.00    1.00
         & Systems                                                                          

  11     Magazines        0.33    0.30   0.05   0.06   0.15   0.02    0.00   0.09   0.00    1.00

  12     Comm. & Tracking 0.21    0.20   0.05   0.16   0.18   0.05    0.00   0.15   0.00    1.00
         Buildings                                                                          

  13     Comm. & Tracking 0.55    0.10   0.02   0.05   0.26   0.00    0.00   0.02   0.00    1.00
         Facilities                                                                         

  13.1   Large Antennas   0.20    0.20   0.02   0.05   0.15   0.02    0.01   0.02   0.33    1.00

  13.2   Small Antennas   0.50    0.30   0.00   0.00   0.10   0.00    0.00   0.00   0.10    1.00

  14     Mission Control  0.22    0.13   0.05   0.15   0.20   0.04    0.02   0.10   0.09    1.00
         Operations                                                                         
         Buildings                                                                          

  15     Lighting         0.17    0.00   0.00   0.00   0.83   0.00    0.00   0.00   0.00    1.00

  16     Electrical       0.39    0.03   0.00   0.00   0.58   0.00    0.00   0.00   0.00    1.00
         Distribution                                                                       
         System                                                                             

  16.1   Power Generation 0.30    0.10   0.05   0.10   0.39   0.01    0.00   0.05   0.00    1.00
         / Power Plant                                                                      

  16.2   Electric         0.10    0.07   0.00   0.00   0.83   0.00    0.00   0.00   0.00    1.00
         Substations,                                                                       
         Switchgear &                                                                       
         Transfer Yards                                                                     

  17     HVAC             0.30    0.10   0.00   0.00   0.33   0.27    0.00   0.00   0.00    1.00
         Distribution                                                                       

  17.1   HVAC Generation  0.20    0.10   0.05   0.35   0.10   0.15    0.00   0.05   0.00    1.00

  18     Waste Water      0.50    0.02   0.02   0.00   0.05   0.41    0.00   0.00   0.00    1.00
         Collection &                                                                       
         Disposal System                                                                    

  18.1   Waste Water      0.34    0.10   0.05   0.03   0.15   0.32    0.00   0.01   0.00    1.00
         Facilities &                                                                       
         Treatment Plants                                                                   

  18.2   Storm Drains,    0.90    0.00   0.00   0.00   0.05   0.05    0.00   0.00   0.00    1.00
         Ditches, Dams,                                                                     
         Retaining Walls                                                                    

  19     Potable Water    0.38    0.05   0.02   0.00   0.05   0.50    0.00   0.00   0.00    1.00
         Distribution                                                                       
         System                                                                             

  19.1   Potable Water    0.25    0.05   0.05   0.03   0.24   0.37    0.00   0.01   0.00    1.00
         Facilities &                                                                       
         Treatment Plants                                                                   

  20     Launch Pads      0.51    0.10   0.03   0.03   0.25   0.04    0.02   0.02   0.00    1.00

  20.1   Launch Support   0.80    0.10   0.00   0.00   0.10   0.00    0.00   0.00   0.00    1.00
         Camera Pads                                                                        

  20.2   Launch           0.48    0.05   0.02   0.00   0.20   0.25    0.00   0.00   0.00    1.00
         Propellant &                                                                       
         High Pressure                                                                      
         Gas Facilities                                                                     

  21     Pavement         1.00    0.00   0.00   0.00   0.00   0.00    0.00   0.00   0.00    1.00

  22     Rail             0.95    0.00   0.00   0.00   0.05   0.00    0.00   0.00   0.00    1.00

  23     Maintenance      0.20    0.14   0.06   0.13   0.30   0.09    0.00   0.08   0.00    1.00
         Facilities & PW                                                                    
         Shops                                                                              

  23.1   Operational      0.20    0.14   0.06   0.13   0.28   0.09    0.02   0.08   0.00    1.00
         Maintenance.                                                                       
         Facilities                                                                         

  24     Other Buildings  0.22    0.15   0.12   0.10   0.15   0.11    0.00   0.15   0.00    1.00

  25     Other Facilities 0.71    0.10   0.02   0.05   0.10   0.01    0.00   0.01   0.00    1.00

  26     Land & Easements 1.00    0.00   0.00   0.00   0.00   0.00    0.00   0.00   0.00    1.00

  27     Compressed Air   0.50    0.00   0.00   0.00   0.10   0.40    0.00   0.00   0.00    1.00
         Distribution                                                                       

  27.1   Compressed Air   0.25    0.10   0.05   0.05   0.15   0.35    0.00   0.05   0.00    1.00
         Generation                                                                         

  28     Prefab           0.18    0.17   0.05   0.15   0.15   0.15    0.00   0.15   0.00    1.00
         Buildings,                                                                         
         Various Uses                                                                       

  29     Berthing &       0.15    0.17   0.09   0.16   0.18   0.07    0.02   0.16   0.00    1.00
         Housing                                                                            
  ------------------------------------------------------------------------------------------------

###  {#section-9 .unnumbered}

### **I.2.4 Estimated Repair Cost as a Percentage of CRV by System Condition** {#i.2.4-estimated-repair-cost-as-a-percentage-of-crv-by-system-condition .unnumbered}

Each condition rating has a corresponding system condition CRV
percentage. These percentages vary by system type and are provided in
Table I-7. This table is crucial to the applicability of the DM method
and, as such, was analyzed by several engineering sources. Through the
use of a survey of major and minor repairs at KSC, combined with an
estimated original construction cost using R.S. Means[^4] estimating
tools, system condition percentages have been developed for each of the
nine systems for each of the five ratings. Actual repair costs for a
variety of facilities at KSC, such as the Landing Aids Control Building,
the cafeteria (Multi-Function Facility), Electromagnetic Lab, Operations
Building #1, and Logistics Facility were used to establish the repair
costs. The CRVs of these facilities ranged from \$602,000 to \$22
million.

The estimates for the various levels of repair work were compared to an
estimated cost for the system construction. These comparisons (expressed
as percentages) translate into the DM condition percentages used in the
DM model. The process began with the 1 rating, where the cost for a
major repair was established. That cost was then compared to the
estimated original construction cost, producing a maximum system
condition percentage. For example, a 1 rating in structure equates to
150% of the maximum repair cost of the structure of a facility including
some demolition and disposal cost. The system condition percentages for
2 through 4 were then established using the same method.

[]{#__RefHeading___Toc205396917 .anchor}Table I-7  System Condition
Percentages

  ------------- ----------- ----------- ----------- ----------- -----------
  SYSTEM        5           4           3           2           1

  STRUC         0           1           10          25          150

  EXT           0           1           10          50          101

  ROOF          0           9           38          75          150

  HVAC          0           2           13          63          133

  ELEC          0           2           13          63          133

  PLUMB         0           2           10          57          121

  CONV          0           2           13          50          100

  INTF          0           1           10          50          101

  EQUIP         0           2           13          50          100
  ------------- ----------- ----------- ----------- ----------- -----------

(Percentages greater than 100 account for demolition and disposal
costs.)

However, according to the U.S. Army Corps of Engineers (USACE), 50% of
the replacement value is the decision point to determine whether a
system should be repaired or replaced. Because a 2 rating is where this
decision point falls, the USACE standard was applied as a rule, so, 2
ratings were set at a maximum of 50% of the 1 rating system condition
percentage. For example, even though the calculated value for a 2 rating
for roofing was 90% for KSC, the highest the rating could be is half of
the calculated value for the 1 rating (150% in this case), which equals
75%, because that is when the replacement of the roof would most likely
occur. The 5 rating was left at 0% because any small DM that would occur
in this rating would be negligible.

[^1]: Worldwide service for DESC customers and suppliers is available by
    calling (800) 286--7633, or more information can be obtained by
    visiting the DESC Web site at
    [http://www.desc.dla.mil](http://www.desc.dla.mil/).

[^2]: *Reliability, Maintainability, and Supportability Guidebook, Third
    Edition*, Society of Automotive Engineers, Inc., Warrendale, PA,
    1995.

[^3]: *PACES* is an integrated, PC-based parametric budgeting and cost
    estimating system developed by Earth Tech
    ([http://talpart.earthtech.com](http://talpart.earthtech.com/).)
    that prepares parametric cost estimates for new facility
    construction and renovation. It was developed for military facility
    application and will soon be commercialized for use in the general
    building, industrial facilities, and transportation industries.
    *PACES* is available to military personnel via the U.S. Air Force. A
    U.S. Government employee can obtain a copy of the current military
    version of *PACES* by contacting the Air Force Civil Engineer
    Support Agency.

[^4]: R.S. Means. *CostWorks 2003 Version 6.1*; 1996--2003. R.S. Means
    is North America's leading supplier of construction cost
    information. A product line of Reed Construction Data, R.S. Means
    provides accurate and up-to-date cost information that helps owners,
    developers, architects, engineers, contractors, and others to
    carefully and precisely project and control the cost of both new
    building construction and renovation projects.