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Diego Galar1, Christer Stenström1, Aditya Parida1, Rupesh Kumar 1, Luis Berges 2
1
Division of Operation and Maintenance Engineering, Luleå University of Technology, Luleå, Sweden
2
Manufacturing Engineering and Advanced Metrology Group, Aragon Institute of Engineering Research (I3A),
University of Zaragoza, Zaragoza, Spain
Diego.galar@ltu.se
actually an attempt of evolution from theory X to theory experience, many of the ideas of work teams and
Y, with the convinction that a flatter structure giving participatory management, like the Swedish Employers
workers autonomy would increase productivity. Confederation [5]. More recently, the industrial climate
Similarly we can conclude that the Maslow’s pyramid has changed again and brought about staff reductions and
[2] has an absolute validity in the field of maintenance, as new alliance policies which are changing the management
needs are concerned, in three basic aspects: style of human factors. In some cases, wrong maintenance
x It is difficult to perceive ownership pride when performance implementations and further decisions based
the bottom of the pyramid is not covered, i.e. the on them are backward steps of considerable size, due to
salary to support the operator and his/her family wrong outsourcing or misunderstood multitasking policy.
is unsatisfactory. The feelings of belonging are Therefore, identifying and understanding the human
typical of populations where the basic needs are factor make the employee work more satisfactory and
satisfied. thus more effective regarding of organizational objectives.
x The introduction of work teams has provided The interest lies in identifying the main factors
individuals with high autonomy, thus making influencing the effort to achieve the objectives of the
self-esteem and external recognition grow faster. maintenance. Some of the factors (e.g. a sense of
One factor that influences negatively is ownership of the equipment, which have an effect on the
subcontracting, where the non-membership in reliability and performance) will affect the maintenance
the organization leads to a little recognition as through targets, and hence the effectiveness of the
well as a reduced sociability that impedes the maintenance function, and others will affect (e.g.
operator's personal growth. motivation) through efficient resource use. It is important
x Number of maintenance accidents is higher to understand that management can undertake actions to
compared to normal operation accidents due to change human factors, for instance, creation of work
the non-standardized intervention in machines teams at shop floor level, proposed in TPM, can improve
with lowered barriers. With the appropriate the feeling of ownership.
ergonomics and protections established by When identifying human factors, the following points
regulating organizations employees feel are relevant:
protected and appreciated. x It is important to distinguish between human
Herzberg [3], in line with Maslow [2], as said above, factors and measures that affect them.
suggested a prioritization of physical needs with respect x Human factors can interact between one another.
to personal development. Regarding maintenance, the For instance, moral affects motivation.
physical capacity of an individual is also important. x Kelly [6] believes that some human factors, such
Mounting/dismounting or transporting of spare parts as goodwill toward the company, may be
become insurmountable obstacles if the maintenance regarded as dominant.
workers do not have the appropriate tools or the necessary x There are performance indicators that provide a
logistical support. measure of certain human factors. For instance,
During this period, the general view of industrial the level of absenteeism is an indicator of
sociologists was that work had become too controlled and morality. Such indicators will be easily
boring. This feeling towards excessively hierarchical calculated with "hard" and "soft" cost division.
structures with no room for innovation led to the The absenteeism rate is a parameter easily
following changes: obtained from the Enterprise Resource Planning
x Replacement of detailed instructions for clear or ERP, therefore the degree of absenteeism will
objectives. be easily quantified. Other parameters are not so
x Increased accountability, providing more immediate, they are more difficult to obtain.
opportunities for progress, performing tasks of When maintenance departments are audited, the
planning, organization, direction and control of a purpose is to get an idea of how well the human factors
joint function with other employees. are involved in this function, since human factors, the cost
x Study of job organization in an attempt to give model and the RAMS parameters are three underlying
greater satisfaction to human needs. factors for a successful audit, Galar, Berges et al. [18].
x Replacement of control oriented leadership to Strategies, structures and systems are not complete if they
mentor/advisor oriented leadership. do not provide the relevant information about human
x Suitable configuration to create efficient factors.
employee teams.
In recent years there have been many industrial III. AUDIT MAINTENANCE MODEL THROUGH
applications of this approach. Some applications have SURVEYS
focused on the design of individual jobs with some The maintenance audit is a concept that hides a
autonomy, but with little emphasis on self-managing complexity associated with the regulation vacuum and the
working groups. In other work, managers and unions have dispersion of opinions on this practice, even unusual in
worked together, implementing and modifying, through organizations. The criteria differ and the lack of
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standardized procedures and the scanty literature on this • Minimum training required for the auditor. Hoberg
subject, has led to a gap in research and in the application and Rudnick [11] propose that managers and supervisors
of the auditor models. There are few standards regarding appoint the staff who will be involved in the audit
the assessment of maintenance performance. The most process. An outside consultant or trainer will be in charge
classic one is the COVENIM 2500-93 [7] of Venezuela, of training on how to proceed and achieve objectives,
which considers an evaluation survey format. Recent which will have been clarified by management. The audit
standards, BS PAS 55:2008 [8] and EN 15341:2007 [9], team is the one to begin the process of collecting and
propose Key Performance Indicators or KPIs for analyzing data and to conduct the audit, and the facilitator
maintenance, i.e. numerical indicators derived from acts as a passive advisor. Many authors, like Kaiser [12]
information systems, as the most appropriate way of Idhammar [13] or Tomlingson [14] match Hoberg and
measuring performance of the maintenance function, Rudnick [11] on the need for specific training before the
similar to performance measurement in production audit, in order to create a multidisciplinary team to meet
management, e.g. Jovan, Zorzut [18]. the audit responsibilities.
Qualitative methods, like COVENIM 2500-93, come • Involvement of subcontractors in the audit process.
from surveys and interviews carried out, with a strong The audits should involve subcontractors, even assuming
component of human factor. While those made through the complexity of the measurement between internal and
indicators are considered and called quantitative, since external service and the suspicions that have traditionally
they are influenced only of the reliability of the data existed in relation to each other. The subcontractors are a
contained in the computer systems. These typologies major factor in this process because they are part of the
present characteristic problems and difficulties that arise performance of the maintenance function and contribute
from the nature of these evaluation processes, which are: to it. Therefore, the integration of contracts and their
x Qualitative: Related to the complexity of efficiency and effectiveness deserve special attention, and
evaluating the performance associated with work especially when studying outsourced parts where future
of people. outsourcing are going to be decided. Again, there will be
x Quantitative aspects: Quality of the records fear in internal staff that the produced data will possibility
stored in computer systems. increase outsourcing of the maintenance. On the other
This article proposes a model of combining qualitative hand, the contractors will not welcome the performance
and quantitative methods in order to complement measurement either. Provided information must be
advantages and disadvantages of the both. The surveys of reflected in the contractual terms, otherwise it becomes
different hierarchical levels constitute the qualitative side, useless. In the absence of measurements when performing
compared to the measurement of a set of indicators that the contracted services, the subsequent insertion of
represent the quantitative. The indicators revise the metrics is extraordinarily complex.
possible tendency of too optimistic or pessimistic • Involvement in the audit of the safety and the
responses of the surveys. Both methods should be used environment. Woodhouse [15], in his definition of asset
together, since their mixture will provide staff’s management, emphasizes that the workers and supervisors
perception of the reality, with the boundary conditions of are exposed to risks associated to manipulation of
the numerical indicators. Clarke [10] stresses upon that physical assets, hazardous for individuals and the
the maintenance assessment should include acquisition, environment. This is an intrinsic aspect of maintenance
operation, maintenance and disposal of assets in the performance management. That is why audits should
measurement, and observe their performance from all the involve aspects of quality, safety and environment.
aspects related to the organization. This inevitably leads Maintenance work is the most exposed activity to
to the use of both qualitative and quantitative indicators, accidents for staff and to environment. This is due to
as proposed in the model presented. many factors, like; safety barriers lowered, leakage of
The human factor influences both aspects, but the fluids, work at heights, exposure to chemicals, bad
qualitative one reflecting a more loaded measurement on ergonomics, etc. Apart from the damage the maintenance
this factor. However, several factors, involving people, staff may suffer from, there are a number of potential
influences the audit process: hazards towards production workers, which the
• Positive and negative experiences of previous internal maintenance is responsible for. As an example, the fact
and external audits. Obviously the most complex audit is that a mechanical seal of a centrifugal pump cannot leak
the first one due to the concerns and fears that it is fluid from the pumping, which can cause damage to the
believed to cause, and the difficulty of finding certain operator next to it. These two responsibilities, within the
records necessary in the production of indicators. team itself, and the one with respect to staff at the factory,
Systematization of the process will be streamlined in make safety and environment key factors in the audit of
future audits. The fear of negative results, warranting maintenance.
punitive measures, sanctions, cutbacks or restructurings • Participants in the audit: All the staff involved in the
prevails in this first part. Therefore one has to be prepared maintenance function should participate in the proposed
of the weaknesses in favor of the improvements that can audit process, as required by the Balanced Scorecard
be made. perspective. All hierarchical levels in the command chain
have input to the maintenance, and each should contribute
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Proceedings of the 2011 IEEE IEEM
in providing information and in achieving the metrics What is important in this assignment of ratings is to
needed. Staff from other areas, such as production, have a baseline, in order to first have an idea about the
purchasing, finance and human resources should be part current state of maintenance, and second, to compare
of the working group, as the issues arising from these under the same scale the various aspects involved, rather
departments have a high impact on effectiveness, but than the value itself, as an absolute value that does not
especially in maintenance efficiency. Obviously this type have any interest. It is therefore important to be especially
of multilevel and interdepartmental working groups careful in conducting the first audit, since it will be a
requires some degree of corporate maturity and an support and a subsequent reference. Individualized
established quality culture. graphics can also be generated for some specific items of
the surveys according to hierarchical levels, or
IV. MAINTENANCE AUDIT MODEL calculations of the dispersion in the results of different
people in the same category within the organization.
The audit submitted consists of both qualitative and
quantitative aspects. Numerical indicators are measured
through information systems, which constitute the
quantitative part, and the survey batteries, conducted at
different hierarchical levels, constitute the qualitative one. Different hierarchical levels
Level 3
surveyed
The indicators together with the results of the surveys will
Level 2
Level 2
Score 1-5
Level 3
Level 3
be processed as shown in Fig. 1.
Level 1
Level 2
Different items evaluated as
Level 1
Level 1
preventive maintenance,
CMMS, WO system, etc. ..
SU
RV
Item
Item
Item
EY
S
1
3
SURVEYS BENCHMARKS
SURV
EYS Surveys results
S
EY
RV SURVEYS PROCESING
SU
Fig. 2. Graphic representations of the survey items and hierarchical
levels.
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third line of work, even store management that are [7] COVENIM 2500-93. Manual para evaluar los sistemas de
sometimes transferred to a specialized company, part of mantenimiento en la industria. 1ª Revisión. Comisión
the alliance, which combines mixed company-transferred Venezolana de Normas Industriales. Ministerio de fomento..
employees and new personnel provided by the contractor. FONDONORMA: Caracas 1993
[8] BS PAS 55: Asset Management. British Standards Institutes.
This practice introduces some negative items to the London. UK 2008
human factors, such as a decline in morale and a strong [9] EN 15341:2007 Maintenance – Maintenance Key
resistance to change, no positive feeling of goodwill Performance Indicators, CEN – European Committee for
towards the company, an a decrease in the pride of Standardization
belonging and in the ownership for the equipment. This is [10] Clarke, P. Physical Asset Management Strategy
worrying factors in critical facilities, where reliability Development and Implementation, Proceedings, ICOMS,
improvement is pursued. 2002.
Performance measurement of this function is imbued [11] Hoberg, W.A .&,Rudnick, M.F. The role of assessments in
with aspects of behavior of those who perform tasks. In a switching supplier’s TQM system. IEEE, Vol.3, 1994, pp
1591-1595.
any performance measurement process a punitive aspect [12] Kaiser, H.. Maintenance Management Audit. R.S. Means
is perceived. The metrics should take into account Company Inc., Kingston, MA. 1991
feelings as moral, envy, jealousy, vertical and horizontal [13] Idhammar,, C. Maintenance Assessments. Pulp & Paper,
polarization, protectionism, team spirit, and as far as the Vol.65, no.2, Feb 1991, p.45(1)
implementation of the measurement system is concerned, [14] Tomlingson, P.D. Effective maintenance: The key to
they should take into account the resistance to change in profitability: a managers guide to effective industrial
an organization where there is no tradition of measuring. maintenance management. First edition. International
Therefore, the proposed model combines the qualitative Thomson Publishing, New York. 1992
and quantitative measurements of the quality of work [15] Woodhouse, J. Asset Management – An Introduction.
Institute of Asset Management, http://www.iam-
performed. It performs a mixture between the traditional uk.org/iam_publications.htm. 2004
method of in-depth surveys and the interviews at different [16] Tavares, L. Auditorías de Mantenimiento. Revista
hierarchical levels in the search for associated KPIs that Mantenimiento. San José. 2001.
are associated with the results of these questionnaires. The [17] Jovan, V. and Zorzut, S., 2006. Use of Key Performance
result is backed by the quality of computer information Indicators in Production Management, IEEE International
systems, and it modulates, endorsing or punishing, the Conference on Cybernetics & Intelligence Systems (CIS)
results of questionnaires, which are a hierarchical sense or and Robotics, Automation & Mechatronics (RAM), 7-9 June
the projection of a desire rather than the current state of a 2006.
situation. [18] Galar, D., Berges, L. and Royo, J., 2010. La Problemática
de la Medición del Rendimiento en la Función
Finally, the proposed audit affects the ownership of the Mantenimiento (The Issue of Performnance Measurement in
indicators. The performance measured, ranked by the Maintenance Function). Ataque Frontal al Visado
hierarchical levels, allows us to observe the strategies to Industrial, 85.
meet the objectives, not only depending on the overall
organization, but sometimes being more tied to a
hierarchical level. Like in the maintenance scheduling in
the case study; the planners and supervisors are
responsible and therefore they have to do the
improvements, according to validated survey in Table III.
This hierarchical aspect allows not only the rapid
identification of the persons responsible for improving the
strategy, but also the encouragement to that improvement.
REFERENCES
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