Maintenance Engineering Roles and Responsibilities

The primary reason for establishing a maintenance engineering function is to provide focus on asset reliability, maintainability, and life cycle cost for the entire facility. Therefore the roles, responsibilities, and accountability of this function must support these objectives. This fundamental requirement does not appear to be a part of the assigned roles and responsibilities for the Phillip Morris group.

The observed deficiencies include:

1. The scope of equipment included in the maintenance engineering group's area of responsibility is limited to ''production'' equipment. By definition, or as interpreted, this excludes most of the infrastructure (electrical distribution, steam generation/distribution, compressed air/gases, etc.).

In addition, other critical assets, such as cranes, are excluded.

2. Inconsistent vision of the true role of the maintenance engineering function. In its current configuration, there are 34 tasks or roles defined for the maintenance engineering function. While all of these appear to be valid activities, they don't fully define the role and responsibility of an effective functional group.

The role of an effective maintenance engineering function is to provide the pro-active leadership, direction, and technical support required to achieve and sustain optimum reliability, maintainability, and life cycle cost for the facility's assets.

While maintenance engineering can't directly affect facility performance, its responsibility is to provide facility and functional management with accurate, timely data that can be used to optimize maintenance and facility strategies that will support continuous improvement and ultimately result in world-class performance.

The responsibilities or duties that the function provides include:

<> Develop criteria for effective maintenance management Methods to optimize maintenance strategy

<> Evaluate current practices versus best practices

<> Develop recommendations to correct deficiencies

<> Methods to validate preventive and corrective maintenance activities

<> Analyze preventive maintenance activities versus breakdown history by asset type, area, and classification

<> Evaluate and upgrade individual preventive maintenance task lists and work orders in suspect areas, asset types and classifications Methods to improve quality of work performed

<> Evaluate complete tasks, call-backs, reworks

<> Audit random executions of preventive and corrective activities

<> Skills assessments Methods to reduce maintenance workload

<> Evaluate maintenance history to determine proper periodicity and scope

<> Evaluate maintenance prevention methods that reduce maintenance requirements

<> Develop configuration management procedure to ensure reliability, maintainability, and best life cycle cost are followed in acquisition / modification of assets

<> Evaluate planning/scheduling effectiveness

<> Improve asset reliability

<> Ensure reliability and maintainability of new/modified installations

<> Develop configuration management procedure

<> Active participant in specification, procurement and installation of new assets or upgrades/modifications

<> Perform site acceptance tests, using predictive maintenance technologies, to verify inherent reliability of new/modified critical assets

<> Perform root-cause failure analysis on breakdowns and abnormal asset operation

Identify and correct inherent design/installation/operation problems

<> Perform simplified failure modes and effects analysis on critical assets

<> Periodic evaluation of asset histories

<> Periodic testing, using predictive technologies, to identify incipient reliability problems

<> Verify and validate standard procedures (SOPs, PMs, and work orders)

<> Develop/modify PMs and work orders for critical assets

<> Improve life cycle costs

<> Maintain and analyze equipment data and history records to predict future maintenance needs

<> Develop effective procedures for inspection, adjustments, MRO parts, asset replacements, overhauls, etc. for critical assets

<> Ensure assets are properly designed, selected, installed, operated, and maintained based on life cycle cost philosophy

<> Monitor and evaluate asset performance

<> Review asset deficiencies and implement corrections

<> Perform periodic cost-benefit evaluations

<> Identify and correct chronic and /or costly asset problems

<> Provide technical support

<> Maintenance manager

<> Planners/schedulers

<> Supervisors/foremen

<> Maintenance crafts

<> Procurement Plant Engineering


Statistically, at least 85% of all reliability, asset utilization, and high life cycle cost problems are directly attributable to deficiencies in or total lack of enforced configuration management. Our database, as well as those developed by other consulting firms, indicates that the functional responsibility for these problems break out as follows:

<> 23% caused by deficiencies in the production or operations function.

The majority of these deficiencies are caused by a lack of valid, en-forced operating procedures, poor skills, and unknown operating requirements of facility assets. A viable configuration management process could eliminate almost all of these forcing functions.

<> 17% caused by deficiencies in the maintenance function. Again, the majority of these deficiencies are caused by a lack of effective or enforced configuration management that predetermines the maintenance activities required to achieve and sustain asset reliability and that support best life cycle costs.

<> 12% caused by deficiencies in the procurement process. In addition to mistakes made during the procurement of new capital assets, these deficiencies are caused by the lack of an effective procedure that governs the replacement of operating and maintenance spare parts.

Again, an effective, enforced configuration management process would eliminate most of these deficiencies.

<> 22% caused by plant or maintenance engineering. Most of these problems are caused by a lack of a formal procedure that can be used to evaluate the impact on reliability, availability, maintainability, and life cycle cost caused by modification or upgrades to existing facility assets.

In addition, the lack of formal procedures directly and negatively affects the procurement of new or replacement assets.

<> 11% caused by management philosophy. The majority of these deficiencies are caused by business decisions that are based on faulty data.

Too many business decisions are made on opinions, perceptions, or intuitive judgments, and in most cases they are the wrong decisions.

Implementing and enforcing an effective configuration management process could resolve at least one half of these deficiencies. The discipline and absolute adherence to standard procedures used to develop business plans, requests for capital expenditures, key performance indicators, and the myriad other information that senior managers rely on to make business decision will greatly increase the probability that the correct decision will be made.

<> 15% caused by deficiencies in the sales and marketing function. The primary forcing function caused by sales is the method used to load the facility. The loading directly affects equipment utilization, production schedules, and maintenance activities. In effect, the way that sales loads the facility to a large degree determines the resultant reliability and life cycle cost of its assets. Normally, configuration management does not directly address the sales function's contribution to facility performance. However, procedures can and should be included that will minimize any negative effect that facility loading would cause.

Definitions of Configuration Management

There are two classic definitions of configuration management. The first is the methodology of effectively managing the life cycle of the major asset, in this case the shipyard. This type of configuration management governs the development of strategic and tactical plans that will optimize the useful life of the facility and is based on traditional life cycle management concepts.

Total Facility Configuration Management

Key components, as shown in ill. 6.1, of this form of configuration management include the following.

Program Management

This component includes the management plan; the definition of the critical elements that comprise the facility; and the definition of all interfaces, databases, and procedures that are needed to support a life-of-facility management program.

Design Requirements

This component establishes the design requirements, system and process boundaries, specific asset or equipment lists, and engineering design basis that must be maintained for the facility. The procedure clearly defines how each step of the design and /or change process will be performed.

Document and Control

This component identifies all of the documents, document storage requirements, document controls and tracking, and retrieval requirements that are needed to support effective life cycle asset management.

Documentation is a key requirement of effective configuration management. In a facility with effective configuration management, nothing can be done without proper documentation. Flying by the seat of your pants is simply not permitted.

Change Control

This involves development and implementation of standard procedures to control configuration changes. The procedures provide specific methodology to identify, evaluate, manage, implement, and document changes.

Assessments: The key to this type of configuration management is periodic assessments that quantify the condition of the shipyard and all of its assets. These assessments include physical configuration, criticality, condition, remaining useful life, life cycle costs, equipment performance (predictive maintenance), and other analyses or testing that quantify effectiveness.

Asset Condition and Aging Management: This component is focused on useful life extension of the facility and its assets. It includes specific management methods and standard procedures that are designed to continuously evaluate asset condition and to develop effective means of extending useful life of assets. Generally, analyses that are used by this part of the configuration management process include aging degradation, feasibility of continued operation, and feasibility of extended operation.

This level of configuration management literally affects the entire organization.

It provides standard procedures that define all aspects of day-to-day operations as well as the tactical and strategic planning process that will govern future actions. All of these procedures are predicated on the optimization of the shipyard for as long as it's feasible to continue operations.


The second definition of configuration management, as illustrated in Figures 6.2 Level 1 and Level 2, is a subset of the first and is focused on effective management of the individual components (assets) that make up the shipyard. Normally, this process is known as engineering change management or life cycle costs management and governs all aspects of facility operations as they relate to the assets including all materials such as consumables, maintenance materials, drawings, training, etc. that directly or indirectly affect these assets. At the global level, these concepts are similar, but there are differences in the more detailed levels of the process. Both processes are intended to bring logic and discipline to the process of managing the life cycle cost of facility assets. An effective process should ensure that all decisions that directly or indirectly affect reliability, maintainability, life cycle cost, and financial performance of the facility are based on best practices (i.e., thorough analysis based on factual data and a disciplined decision-making process).

- -

Program Planning Establish Design Requirements Identification of Documents Identification of Change Program Assessments Condition Assessments Periodic Performance Post-Modification Testing Materials Condition and Aging Management Program Plans and Procedures Component Screening Aging Degradation Evaluations Estimates of Facility Remaining Life Feasibility of Continued Operation Feasibility of Extended Life Operation Degradation Trending, Aging Management and Life Extension Technical Reviews Management Reviews Implementation of Change Documentation of Change Configuration Management Storage Methods and Requirements Control and Tracking Document Retrieval Process Boundaries Equipment Lists Establish Design Basics Equipment Scope Criteria Concepts and Terms Interfaces Database Procedures Design Reconstruction Program Plans and Procedures Retrieval of Design Information Validation of Design Information Regeneration of Design Information Preparation of Design Information Issuance of Design Information

Program Management Design Requirements Document Control Change Control Assessment

ill. 6.1 Configuration management.

Configuration Management for New Assets

Configuration management for the acquisition of new assets or major modification of existing assets must include specific procedures that define how to perform the following tasks:

1. Justify the need (for new or replacement systems, assets or equipment):

All asset owners, engineering, and other function groups or individuals that are authorized to prepare a justification package will use this procedure. By using a standard procedure, senior management will be able to evaluate the real need for the recommended acquisitions.

2. Comprehensive engineering evaluation: A standard procedure that governs every step of the engineering evaluation for requests that are initially authorized by senior management. The procedure should include (1) technical analysis of requested system, asset or equipment;

(2) evaluation of changes within the facility that will result from the change; and (3) development of a project plan to procure, implement and turn over the new system, asset or equipment, including all changes in documentation, training, procedures, capital spares, maintenance spares, etc. The procedure should also include the cost-benefit methodology that's needed to verify the need and the expected life cycle cost of the new asset.

3. Functional specifications: A procedure that governs the development of a comprehensive functional specification for the requested asset.

This specification should include all of the data included in Procedure

2. This specification will be used for the procurement of the asset. It should include all labor and material requirements that should be provided by the vendor, contractors, and company. In addition, it should include all internal changes (i.e., training, drawings, procedures, spare parts inventory, etc.) caused by the inclusion of the new or replacement asset. The functional specification should include specific testing, acceptance, and documentation requirements that the vendor or others are to provide as part of the procurement or because of the procurement.

4. Procurement package: A procedure that ensures inclusion of all technical, financial, training, and other requirements that the vendor is expected to provide as part of the procurement. In addition, the package should include specific acceptance criteria, delivery dates, penalties for off-specification or timeline, and other pertinent requirements that the vendor is expected to meet.

5. Qualified vendor selection: A specific procedure that's universally used to prequalify vendors for the procurement of assets, spares, consumables, and other materials and services that are needed to support the operation and maintenance of the facility. An effective prequalification procedure improves the potential for acquiring new or replacement assets that will support best life cycle cost.

6. Proposal evaluation: A formal procedure that governs the evaluation process for new and replacement assets. The procedure should include all steps required to evaluate the technical merit, life cycle cost, and long-term support that each potential vendor will provide as part of its proposal.

7. Proposal acceptance: The procedure that determines the logic that will be used to select the asset and vendor that will be procured. The acceptance criteria should be based on reliability, maintainability, and best projected life cycle cost.

8. Installation: A procedure that governs the methods and acceptance criteria that will be followed for the installation, testing, startup, and turnover of new and replacement assets. The procedure should include all probable combinations of turnkey, contractor, and in-house installations.

9. Acceptance: The engineering analysis, procurement package, and vendor submittal should include a specific method for factory and site acceptance testing that must be completed before the procured assets or system will be accepted.

10. Standard operating procedures: This procedure should include the methods that must be followed to ensure that all changes within the facility caused by the procurement of the new or replacement asset are made. Typically, these changes include modification or replacement of standard operating procedures, additional training, as well as possible changes in production materials.

11. Standard maintenance procedure: This procedure should include the methods that must be followed to ensure that all changes within the facility caused by the procurement of the new or replacement asset are made. As in operations, this includes standard procedures, preventive maintenance tasks, maintenance spares, training, drawings, bill of materials, special tools, and a variety of other changes.

12. Configuration change: This procedure defines the methodology that must be followed to make any change to installed assets or facility configuration. The procedure should include all modifications (i.e., bill of materials, drawings, operating/maintenance procedures, manning levels, required skills, etc.) that will result from the change.

In addition, the procedure should provide clear procedures that require a thorough engineering and financial evaluation of any pro-posed change before it's submitted for approval as well as procedures for the approval and implementation process.

13. Decommissioning: This procedure governs the final decommissioning of the asset or assets when they reach the end of their useful life.

The procedure should include removal, disposal, and possible re-placement of the asset. It should provide specific instructions for assets or systems that may affect safety, environmental compliance, and other regulatory issues.

Configuration Management of Existing Assets

Configuration management for existing assets and governing direction for day-to day operating of the facility should utilize most of the procedures defined above. Therefore the individual modules should be written to include specific directions for capital procurement, direct replacement of assets that don't justify a major capital procurement, changes in configuration (i.e., form, fit and function of facility systems), changes in mission, and other potential reasons that force a change in production or maintenance practices. In addition, the procedures should provide clear, concise procedures that are designed to prevent any change to the infrastructure or assets that's not based on thorough analysis of its effect the facility's ability to meet its mission requirement as well as reliability, maintainability, and life cycle cost.

The key to successful configuration management is documentation of all pro-posed and implemented changes and a universal (i.e., standard) methodology for implementing any change in the configuration or makeup of the facility.

The level of documentation will be substantial and should be compatible with the SAP Enterprise information management system. As a point of information, SAP has a configuration management module that can be fully integrated into the facility's existing system. I have no direct experience with this module but understand that it will provide the means to ensure documentation control and facilitate the configuration management development process.

It should be noted that this description is only an overview of the myriad parameters that must be covered by an effective configuration management procedure. The level of detail required and the impact on most of the functional groups within the facility is substantial. However, any attempt to shortcut or simplify the process will seriously limit the benefits that could be derived.


The need for procedures is indicated when an organization is faced with decision options that may be precedent-setting. Situations calling for procedures include those in which

<> Opinions may differ over the best course of action in situations that affect the achievement of overall mission and goals.

<> Decisions may have significant consequences beyond the local level at which they are made.

<> The choice of action may lead to unnecessary risk, counter-productivity, inefficiency, or conflict.

<> Cooperation and reciprocal actions on the part of one organizational element are needed to enable another element to function effectively.

Procedures may be established to:

Clarify Define Guide Regulate Direct Establish Integrate Authorize Enable Empower Commit Support Provide Admit Prohibit Ensure Inhibit Standardize Restrict Disallow

Reliability procedures are needed at a number of levels in the organization to ensure reliability creation, reliability maintenance, and reliability improvement.

They are especially needed to smooth the way for key or critical matters. Firms establishing a new reliability function have a compelling need for them; firms engaged in the manufacture and sale of products or systems that can present a significant public safety hazard or can affect national security or national prestige have a critical need for them.

To be effective, reliability procedures must issue from high-level management.

Management's attitude toward reliability, as expressed through procedures, is the most important single ingredient in making maintenance engineering and reliability assurance a successful practice in any organization. If the deeds of management in fact support written procedures, procedures gain credibility and legitimacy and will be respected.

Reliability procedures and , ultimately, the final responsibility for the reliability of products and services rest on the chief executive officer, albeit through successive management levels. The top assurance executive is responsible for pursuing reliability in the manner and to the extent prescribed by general management procedures and establishes his or her own procedures in support of this function.

Attributes of Procedures

Procedures, in general, should be as follows:

a. Action-oriented (as contrasted to mere statement of belief)

b. Supportive of organizational goals

c. Consistent with other procedures

d. Authoritative, credible, and acceptable at the level of implementation

e. Inclusive to the extent of embracing all aspects of the intended application

f. Specific to the extent of providing unambiguous direction and focus

g. Admissive to the extent of allowing maximum flexibility of choice within the prescribed framework of guidance or direction

h. Concise and readily understandable

i. Relevant to the times and circumstances

j. Stable over relatively long periods of time

Types and Levels of Procedures

Procedures are established at all levels of the organization, beginning at the corporate level and proceeding through divisional levels and successively finer levels of organizational structure down to departments and functional units.

High-level procedures such as those at the corporate level are broad and general to deal effectively with the broad concerns of top-level management. Corporate reliability procedures provide for the establishment and promotion of reliability activity and achievement to fulfill obligations to customers and to society. They deal with internal matters pertaining to overall performance and with external matters pertaining to relationships with customers, the community, and involvements with regulatory and other such organizations. It sponsors the reliability function by declaring its intentions to the organization at large and provides for review and evaluation of the overall reliability system.

Divisional procedures respond to corporate procedures and relate to the more specific issues encountered by departments and functional units. Typically, they deal with administration, organizational interrelationships, operating methods, and the maintenance or improvement of organizational performance. Depart-mental procedures deal with situations and conditions more apt to arise on a day-to-day basis. These situations typically include matters relating to suppliers, subcontractors, product design activities, parts and materials, manufacturing, testing, auditing, and reviewing.

Developing and Establishing Procedures

The formation of effective and lasting procedures requires a comprehensive view of the issues and a full appreciation of the circumstances leading to the need for procedures. If the procedures developer is not in full possession of the facts and nuances, it's advisable to enlist the views of others who may be deeply involved in the situation and have the breadth of view, knowledge, judgment, and experience to make constructive contributions. It is desirable that managers and supervisors who would be affected by the procedures or who would be expected to carry them out should be considered as potential contributors. Not only can their views be constructive, their involvement in developing the procedures will increase their acceptance and support when the procedures go into effect.

Although the participative approach is useful, the responsible manager nonetheless must impress the force of office and provide the benefit of experience to create appropriate procedures.

It is especially important to the formation of procedures for a new reliability function to win the acceptance and cooperation of long-established groups, particularly those that play prominent roles in the organization. Key individuals from those groups brought into the definition and development phases of procedures formation can help ensure well-conceived procedures by raising key issues to address.

While the development of many procedures is straightforward, some procedures are more involved and may require advance planning and study. To assist in such cases, the following outline is presented as a guide.

General Guide for Procedures Development

Effective procedures should follow well-defined guidelines that include the following:

1. State the need. Describe the situation that created the need. Identify who or what is involved, how they are involved, and to what extent.

2. Identify and review any existing procedures that relate to the situation.

3. Survey managers and supervisors who will be affected by the new procedures. Obtain pros and cons.

4. Determine if a new procedure is actually needed or if existing procedures should be revised to accommodate the situation.

5. Draft a preliminary procedure statement for review and comment by the departments affected. Include purpose and scope.

6. Integrate appropriate suggestions and prepare a revised statement for additional review. Add sections on responsibilities and actions, if appropriate.

7. Check the procedure against the attributes presented in the preceding section and prepare a final document.

8. With executive approval and sign off, release the document for distribution.

Procedures are communicated by memoranda, letters, instructions, or directives and are included in program plans and various manuals. They are given visibility by way of meetings, workshops, lectures, and training sessions. New procedures should be routed to all departments and units affected and acknowledged by signature and date.

Procedure statements range in size from simple statements of a paragraph or two in length to comprehensive documents that may include some or all of the following topics:

<> Background

<> Procedures

<> Purpose

<> Responsibility

<> Scope

<> Actions

<> Definitions While procedures are essential to effective and efficient operations, they should be held to the minimum allowed by size of organization; complexity of operations; criticality of processes; management style; and self-responsibility, awareness, and professional level of employees. As guiding forces, they should admit the widest possible latitude for action any given situation allows.

Procedures should be reviewed for possible revision or cancellation on a scheduled basis and whenever major changes are made in organization, management, practice, or overall organizational strategy.

The absence of a formal, universally followed configuration management procedure is a known cause of less-than-acceptable facility performance. Partial procurement specifications, as well as undocumented changes to installed assets, are a major contributor to chronic reliability problems that result in serious loss of capacity and excessive life cycle costs.

To the best of our knowledge, none of the required configuration management modules outlined above exist in the facility. Therefore the development process will literally be from a clean sheet of paper. Our best estimate is that will require a minimum of one (1) man-year to complete the initial procedure and will require the active participation of most of the functional groups that comprise the facility. As a minimum, the effort will require active input and /or participation from:

<> Plant engineering

<> Maintenance engineering

<> Planning (business and maintenance)

<> Procurement

<> Labor relations

<> Human resources

<> Production

<> Maintenance

<> Customer relations

<> Materials management

<> Project management

<> Asset owners

<> Cost accounting.

Because the resultant procedure must include multiple functional groups (i.e., plant engineering, procurement, training, human resources, etc.), this task can't be completed by maintenance engineering, the maintenance organization, or any other single functional group within the facility. The best way to proceed is to assign, with the approval of the functional managers, a cross-functional team to develop the procedure. As a minimum, this team should include representatives of plant engineering, maintenance engineering, project management, production, procurement, and financial management. Since these functional groups play the greatest role in the configuration management process, they are best suited to develop the procedures. The assigned team will need input from other individuals and /or groups but should be able to develop a mutually agreeable and effective procedure.

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