Chapter 5 Types of Maintenance Programs

5.1 Introduction

What is maintenance and why is it performed? Past and current maintenance practices in
both the private and government sectors would imply that maintenance is the actions associated
with equipment repair after it is broken. The dictionary defines maintenance as follows: “the work
of keeping something in proper condition; upkeep.” This would imply that maintenance should
be actions taken to prevent a device or component from failing or to repair normal equipment
degradation experienced with the operation of the device to keep it in proper working order.
Unfortunately, data obtained in many studies over the past decade indicates that most private and
government facilities do not expend the necessary resources to maintain equipment in proper working
order. Rather, they wait for equipment failure to occur and then take whatever actions are necessary
to repair or replace the equipment. Nothing lasts forever and all equipment has associated with it
some predefined life expectancy or operational life. For example, equipment may be designed to
operate at full design load for 5,000 hours and may be designed to go through 15,000 start and stop
cycles.

The need for maintenance is predicated on actual or impending failure – ideally, maintenance
is performed to keep equipment and systems running efficiently for at least design life of the
component(s). As such, the practical operation of a component is time-based function. If one were
to graph the failure rate a component population versus time, it is likely the graph would take the
“bathtub” shape shown in Figure 5.1.1. In the figure the Y axis represents the failure rate and the X
axis is time. From its shape, the curve can be divided into three distinct: infant mortality, useful life,
and wear-out periods.

The initial infant mortality period of bathtub curve is characterized by high failure rate followed
by a period of decreasing failure. Many of the failures associated with this region are linked to poor
design, poor installation, or misapplication. The infant mortality period is followed by a nearly
constant failure rate period known as useful life. There are many theories on why components fail in
this region, most acknowledge that poor O&M often plays significant role. It is also generally agreed

Figure 5.1.1. Component failure rate over time for component population

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that exceptional maintenance practices encompassing preventive and predictive elements can extend
this period. The wear-out period is characterized by a rapid increasing failure rate with time. In most
cases this period encompasses the normal distribution of design life failures.

The design life of most equipment requires periodic maintenance. Belts need adjustment,
alignment needs to be maintained, proper lubrication on rotating equipment is required, and so on.
In some cases, certain components need replacement, (e.g., a wheel bearing on a motor vehicle)
to ensure the main piece of equipment (in this case a car) last for its design life. Anytime we fail
to perform maintenance activities intended by the equipment’s designer, we shorten the operating
life of the equipment. But what options do we have? Over the last 30 years, different approaches
to how maintenance can be performed to ensure equipment reaches or exceeds its design life have
been developed in the United States. In addition to waiting for a piece of equipment to fail (reactive
maintenance), we can utilize preventive maintenance, predictive maintenance, or reliability centered
maintenance.

5.2 Reactive Maintenance

Reactive maintenance is basically the
“run it till it breaks” maintenance mode. Advantages
No actions or efforts are taken to maintain • Low cost.
the equipment as the designer originally • Less staff.
intended to ensure design life is reached.
Studies as recent as the winter of 2000 Disadvantages
indicate this is still the predominant mode • Increased cost due to unplanned downtime of equipment.
of maintenance in the United States. The • Increased labor cost, especially if overtime is needed.
referenced study breaks down the average • Cost involved with repair or replacement of equipment.
maintenance program as follows: • Possible secondary equipment or process damage from
equipment failure.
• >55% Reactive
• Inefficient use of staff resources.
• 31% Preventive
• 12% Predictive
• 2% Other.
Note that more than 55% of maintenance resources and activities of an average facility are still
reactive.

Advantages to reactive maintenance can be viewed as a double-edged sword. If we are dealing

with new equipment, we can expect minimal incidents of failure. If our maintenance program is
purely reactive, we will not expend manpower dollars or incur capital cost until something breaks.
Since we do not see any associated maintenance cost, we could view this period as saving money.
The downside is reality. In reality, during the time we believe we are saving maintenance and
capital cost, we are really spending more dollars than we would have under a different maintenance
approach. We are spending more dollars associated with capital cost because, while waiting for
the equipment to break, we are shortening the life of the equipment resulting in more frequent
replacement. We may incur cost upon failure of the primary device associated with its failure causing
the failure of a secondary device. This is an increased cost we would not have experienced if our
maintenance program was more proactive. Our labor cost associated with repair will probably be

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higher than normal because the failure will most likely require more extensive repairs than would
have been required if the piece of equipment had not been run to failure. Chances are the piece of
equipment will fail during off hours or close to the end of the normal workday. If it is a critical piece
of equipment that needs to be back on-line quickly, we will have to pay maintenance overtime cost.
Since we expect to run equipment to failure, we will require a large material inventory of repair parts.
This is a cost we could minimize under a different maintenance strategy.

5.3 Preventive Maintenance

Preventive maintenance can be
defined as follows: Actions performed on a Advantages
time- or machine-run-based schedule that • Cost effective in many capital-intensive processes.
detect, preclude, or mitigate degradation • Flexibility allows for the adjustment of maintenance
of a component or system with the aim of periodicity.
sustaining or extending its useful life through • Increased component life cycle.
controlling degradation to an acceptable level. • Energy savings.
• Reduced equipment or process failure.
The U.S. Navy pioneered preventive • Estimated 12% to 18% cost savings over reactive
maintenance as a means to increase the maintenance program.
reliability of their vessels. By simply
Disadvantages
expending the necessary resources to
• Catastrophic failures still likely to occur.
conduct maintenance activities intended by
the equipment designer, equipment life is • Labor intensive.
extended and its reliability is increased. In • Includes performance of unneeded maintenance.
addition to an increase in reliability, dollars • Potential for incidental damage to components in
are saved over that of a program just using conducting unneeded maintenance.
reactive maintenance. Studies indicate that
this savings can amount to as much as 12% to
18% on the average. Depending on the facilities current maintenance practices, present equipment
reliability, and facility downtime, there is little doubt that many facilities purely reliant on reactive
maintenance could save much more than 18% by instituting a proper preventive maintenance
program.

While preventive maintenance is not the optimum maintenance program, it does have several
advantages over that of a purely reactive program. By performing the preventive maintenance as
the equipment designer envisioned, we will extend the life of the equipment closer to design. This
translates into dollar savings. Preventive maintenance (lubrication, filter change, etc.) will generally
run the equipment more efficiently resulting in dollar savings. While we will not prevent equipment
catastrophic failures, we will decrease the number of failures. Minimizing failures translate into
maintenance and capital cost savings.

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5.4 Predictive Maintenance

Predictive maintenance can be defined
as follows: Measurements that detect the Advantages
onset of system degradation (lower functional • Increased component operational life/availability.
state), thereby allowing causal stressors to be • Allows for preemptive corrective actions.
eliminated or controlled prior to any significant • Decrease in equipment or process downtime.
deterioration in the component physical state.
• Decrease in costs for parts and labor.
Results indicate current and future functional
capability. • Better product quality.
• Improved worker and environmental safety.
Basically, predictive maintenance differs • Improved worker morale.
from preventive maintenance by basing • Energy savings.
maintenance need on the actual condition of the
• Estimated 8% to 12% cost savings over preventive
machine rather than on some preset schedule. maintenance program.
You will recall that preventive maintenance
is time-based. Activities such as changing Disadvantages
lubricant are based on time, like calendar time • Increased investment in diagnostic equipment.
or equipment run time. For example, most • Increased investment in staff training.
people change the oil in their vehicles every • Savings potential not readily seen by management.
3,000 to 5,000 miles traveled. This is effectively
basing the oil change needs on equipment
run time. No concern is given to the actual condition and performance capability of the oil. It is
changed because it is time. This methodology would be analogous to a preventive maintenance task.
If, on the other hand, the operator of the car discounted the vehicle run time and had the oil analyzed
at some periodicity to determine its actual condition and lubrication properties, he/she may be able to
extend the oil change until the vehicle had traveled 10,000 miles. This is the fundamental difference
between predictive maintenance and preventive maintenance, whereby predictive maintenance is
used to define needed maintenance task based on quantified material/equipment condition.

The advantages of predictive maintenance are many. A well-orchestrated predictive

maintenance program will all but eliminate catastrophic equipment failures. We will be able to
schedule maintenance activities to minimize or delete overtime cost. We will be able to minimize
inventory and order parts, as required, well ahead of time to support the downstream maintenance
needs. We can optimize the operation of the equipment, saving energy cost and increasing plant
reliability. Past studies have estimated that a properly functioning predictive maintenance program
can provide a savings of 8% to 12% over a program utilizing preventive maintenance alone.
Depending on a facility’s reliance on reactive maintenance and material condition, it could easily
recognize savings opportunities exceeding 30% to 40%. In fact, independent surveys indicate the
following industrial average savings resultant from initiation of a functional predictive maintenance
program:

• Return on investment: 10 times

• Reduction in maintenance costs: 25% to 30%
• Elimination of breakdowns: 70% to 75%
• Reduction in downtime: 35% to 45%
• Increase in production: 20% to 25%.

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On the down side, to initially start into the predictive maintenance world is not inexpensive.
Much of the equipment requires cost in excess of $50,000. Training of in-plant personnel to
effectively utilize predictive maintenance technologies will require considerable funding. Program
development will require an understanding of predictive maintenance and a firm commitment to
make the program work by all facility organizations and management.

5.5 Reliability Centered Maintenance

Reliability centered maintenance (RCM) magazine provides the following definition of RCM:
“a process used to determine the maintenance requirements of any physical asset in its operating
context.”

Basically, RCM methodology deals with

some key issues not dealt with by other Advantages
maintenance programs. It recognizes that • Can be the most efficient maintenance program.
all equipment in a facility is not of equal • Lower costs by eliminating unnecessary
importance to either the process or facility maintenance or overhauls.
safety. It recognizes that equipment design and • Minimize frequency of overhauls.
operation differs and that different equipment • Reduced probability of sudden equipment failures.
will have a higher probability to undergo failures
• Able to focus maintenance activities on critical
from different degradation mechanisms than components.
others. It also approaches the structuring of a
• Increased component reliability.
maintenance program recognizing that a facility
• Incorporates root cause analysis.
does not have unlimited financial and personnel
resources and that the use of both need to be Disadvantages
prioritized and optimized. In a nutshell, RCM • Can have significant startup cost, training,
is a systematic approach to evaluate a facility’s equipment, etc.
equipment and resources to best mate the two • Savings potential not readily seen by management.
and result in a high degree of facility reliability
and cost-effectiveness. RCM is highly reliant
on predictive maintenance but also recognizes that maintenance activities on equipment that
is inexpensive and unimportant to facility reliability may best be left to a reactive maintenance
approach. The following maintenance program breakdowns of continually top-performing facilities
would echo the RCM approach to utilize all available maintenance approaches with the predominant
methodology being predictive.

• <10% Reactive
• 25% to 35% Preventive
• 45% to 55% Predictive.
Because RCM is so heavily weighted in utilization of predictive maintenance technologies, its
program advantages and disadvantages mirror those of predictive maintenance. In addition to these
advantages, RCM will allow a facility to more closely match resources to needs while improving
reliability and decreasing cost.

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Table 5.5.1 below highlights guidance on RCM development by equipment application (adapted
from NASA 2000). It is important to both define the equipment criticality and cost of down-time
when determining the optimal mix of maintenance elements. Once defined, the equipment can be
prioritized in the developing a functional RCM program.

Table 5.5.1. Reliability centered maintenance element applications

Reliability Centered Maintenance Hierarchy

Reactive Element Applications Preventive Element Applications Predictive Element Applications
Small parts and equipment Equipment subject to wear Equipment with random failure patterns
Non-critical equipment Consumable equipment Critical equipment
Equipment unlikely to fail Equipment with known failure patterns Equipment not subject to wear
Redundant systems Manufacturer recommendations Systems which failure may be induced by
incorrect preventive maintenance

5.6 How to Initiate Reliability Centered Maintenance

The road from a purely reactive
program to a RCM program is not Maintenance Priority Matrix for RCM
an easy one. The following is a list Development
of some basic steps that will help to Priority
get moving down this path (NASA Weighting Description Application
2000).
1 Emergency Life, health, safety risk-mission criticality
1. � Develop a Master equipment
list identifying the equipment in 2 Urgent Continuous operation of facility at risk
your facility. 3 Priority Mission support/project deadlines
4 Routine Prioritized: first come/first served
2. � Prioritize the listed components
based on importance or 5 Discretionary Desired but not essential
criticality to operation, process, 6 Deferred Accomplished only when resources allow
or mission – see text box
highlighting priority scheme.

Comparison of Four Maintenance Programs (Piotrowski 2001)

Reactive Maintenance (Breakdown or Run-to-Failure Maintenance)

Basic philosophy
• Allow machinery to run to failure.
• Repair or replace damaged equipment when obvious problems occur.

Cost: $18/hp/yr
This maintenance philosophy allows machinery to run to failure, providing for the repair or replacement of
damaged equipment only when obvious problems occur. Studies have shown that the costs to operate in this
fashion are about $18 per horsepower (hp) per year. The advantages of this approach are that it works well if
equipment shutdowns do not affect production and if labor and material costs do not matter.

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3. Assign components into logical groupings.

4. Determine the type and number of maintenance activities required and periodicity using:
a. Manufacturer technical manuals
b. Machinery history
c. Root cause analysis findings - Why did it fail?
d. Good engineering judgment
5. Assess the size of maintenance staff.
6. Identify tasks that may be performed by operations maintenance personnel.
7. Analyze equipment failure modes and impacts on components and systems.
8. Identify effective maintenance tasks or mitigation strategies.
The references and resources provided below are by no means all-inclusive. The listed organiza-
tions are not endorsed by the authors of this guide and are provided for your information only. To
locate additional resources, the authors of this guide recommend contacting relevant trade groups,
databases, and the world-wide web.

An Introduction to Reliability and Maintainability and Maintenance Management

Maintainability Engineering By: Joseph D. Patton, Jr.
�
By: Charles E. Ebeling Published by: Instrument Society of America,

Published by: McGraw Hill College Division 3rd Revision

�
Publication date: September 1996 Publication date: February 1994
�

Maintenance Engineering Handbook Reliability-Centered Maintenance

By: Lindley R. Higgins, Dale P. Brautigam,
� By: John Moubray
and R. Keith Mobley (Editor)
� Published by: Industrial Press, 2nd Edition
Published by: McGraw Hill Text, 5th Edition
� Publication date: April 1997
Publication date: September 1994
�
Reliability-Centered Maintenance
Condition-Based Maintenance and By: Anthony M. Smith
Machine Diagnostics Published by: McGraw Hill
By: John H. Williams, Alan Davies, and Publication date: September 1992.
Paul R. Drake
Published by: Chapman & Hall
Publication date: October 1994

Maintenance Planning and Scheduling

Handbook
By: Richard D. (Doc) Palmer
Published by: McGraw Hill
Publication date: March 29, 1999

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Types of Maintenance Programs

Preventive Maintenance (Time-Based Maintenance)

Basic philosophy
• Schedule maintenance activities at predetermined time intervals.
• Repair or replace damaged equipment before obvious problems occur.

Cost: $13/hp/yr
This philosophy entails the scheduling of maintenance activities at predetermined time intervals, where
damaged equipment is repaired or replaced before obvious problems occur. When it is done correctly, studies
have shown the costs of operating in this fashion to be about $13 per hp per year. The advantages of this
approach are that it works well for equipment that does not run continuously, and with personnel who have
enough knowledge, skills, and time to perform the preventive maintenance work.

Predictive Maintenance (Condition-Based Maintenance)

Basic philosophy
• Schedule maintenance activities when mechanical or operational conditions warrant.
• Repair or replace damaged equipment before obvious problems occur.

Cost: $9/hp/yr
This philosophy consists of scheduling maintenance activities only if and when mechanical or operational
conditions warrant-by periodically monitoring the machinery for excessive vibration, temperature and/or
lubrication degradation, or by observing any other unhealthy trends that occur over time. When the condition
gets to a predetermined unacceptable level, the equipment is shut down to repair or replace damaged
components so as to prevent a more costly failure from occurring. In other words, “Don’t fix what is not broke.”
Studies have shown that when it is done correctly, the costs to operate in this fashion are about $9 per hp per
year. Advantages of this approach are that it works very well if personnel have adequate knowledge, skills,
and time to perform the predictive maintenance work, and that it allows equipment repairs to be scheduled in
an orderly fashion. It also provides some lead-time to purchase materials for the necessary repairs, reducing
the need for a high parts inventory. Since maintenance work is only performed when it is needed, there is
likely to be an increase in production capacity.

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Reliability Centered Maintenance (Pro-Active or Prevention Maintenance)

Basic philosophy
• Utilizes predictive/preventive maintenance techniques with root cause failure analysis to detect and pinpoint the
precise problems, combined with advanced installation and repair techniques, including potential equipment
redesign or modification to avoid or eliminate problems from
occurring.

Cost: $6/hp/yr
This philosophy utilizes all of the previously discussed predictive/preventive maintenance techniques, in
concert with root cause failure analysis. This not only detects and pinpoints precise problems that occur,
but ensures that advanced installation and repair techniques are performed, including potential equipment
redesign or modification, thus helping to avoid problems or keep them from occurring. According to studies,
when it is done correctly, operating in this fashion costs about $6 per hp per year. One advantage to this
approach is that it works extremely well if personnel have the knowledge, skills, and time to perform all of the
required activities. As with the predictive-based program, equipment repairs can be scheduled in an orderly
fashion, but additional improvement efforts also can be undertaken to reduce or eliminate potential problems
from repeatedly occurring. Furthermore, it allows lead-time to purchase materials for necessary repairs, thus
reducing the need for a high parts inventory. Since maintenance work is performed only when it is needed,
and extra efforts are put forth to thoroughly investigate the cause of the failure and determine ways to improve
machinery reliability, there can be a substantial increase in production capacity.

5.7 References
NASA. 2000. Reliability Centered Maintenance Guide for Facilities and Collateral Equipment.
National Aeronautics and Space Administration, Washington, D.C.

Piotrowski, J. April 2, 2001. Pro-Active Maintenance for Pumps, Archives, February 2001,
Pump-Zone.com [Report online]. Available URL: http://www.pump-zone.com. Reprinted with
permission of Pump-Zone.com.

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