A Comprehensive Maintenance Systems Audit Guide.
This Comprehensive ‘Maintenance Systems Audit
Guide’ is an amalgamation and tidy up of 5 previous audit articles I published
in recent years:
1.
Maintenance
Systems Audit part 1 – CMMS Success.
2.
Maintenance
Systems Audit Part 2 – CMMS Success.
3.
Maintenance
Systems Audit Part 3a – CMMS Success.
4.
Maintenance
Systems Audit Part 3b – CMMS Success.
5.
Maintenance
Systems Audit Part 4 – CMMS Success.
It probably serves as a great companion for these
2 other related articles I’ve published more recently as well:
1.
Asset
Operational Performance Audits – CMMS Success.
2.
5 Step
Maintenance Systems Auditing – CMMS Success.
Ultimately, I’m just hoping people can take the
bits that like from all of this and develop their own Auditing Form that best
serves their needs.
A quality maintenance systems audit is a vital
resource for organizations aiming to enhance their maintenance management
practices.
My information hopefully outlines the importance
of conducting periodic audits across various modules to ensure effective
maintenance operations.
By establishing a baseline for performance
measurement, your organisation can identify areas for improvement and implement
strategies that foster continuous enhancement.
I also touch on how regular quality maintenance
systems audits can actually do a lot more than just tidy up our maintenance
practices.
I’ve made mention of various risk analysis models,
including the Swiss Cheese Model, Bow-Tie Method, HFACS, STAMP, and ICAM, which
can help organizations understand potential risks and prevent disasters.
A comprehensive approach to maintenance auditing
aims to improve operational efficiency, reduce costs, enhance safety and drive
a culture of continuous improvement within organizations and I hope this works
out this way for you and your company.
Table
Of Contents.
1.0 Introduction
to CMMS Success.
2.0 Master
Data and Maintenance Strategy Development.
3.0 Work
Identification.
4.0 Work
Planning.
5.0 Execute
Work Readiness.
6.0 Execute
Work.
7.0 Complete
Work.
8.0 Maintenance
Systems Management & Compliance.
9.0 Improvements.
10. Managing
Costs & Reporting Functions.
11.0 Asking
The Right Types Of Questions During Audits.
12.0 The
Critical Role of Quality Audits in Preventing Disasters.
13.0 Conclusion:
The Path to Maintenance Excellence.
1.0
Introduction To Auditing Your Maintenance Systems.
Periodic maintenance management systems audits are
crucial for ensuring that all work processes are executed efficiently,
effectively and at the right times.
By regularly auditing your systems, you not only
keep them running smoothly but also identify areas for improvement to ensure
your entire maintenance department operates at peak performance.
These audits, often comprehensive in scope, cover
your whole organization, revealing potential enhancements beyond just the
maintenance systems.
Auditing your maintenance systems is more than a
compliance check; it’s a proactive approach to organizational excellence. By
systematically evaluating your processes, you can:
·
Ensure adherence to established
maintenance procedures.
·
Detect inefficiencies or gaps in
the system.
·
Align maintenance activities with
broader organizational goals.
Through regular audits, you’ll uncover hidden
opportunities for improvement, driving continuous enhancement across all levels
of your maintenance operations.
1.1
The Benefits Of Regular Maintenance Systems Audits.
1.
Establish
a Baseline: Set a benchmark for measuring future
improvements in maintenance performance.
2.
Evaluate
Effectiveness: Assess the impact of implemented changes
over time.
3.
Gain
Insights: Obtain deeper understanding of maintenance
management system behaviours and performance trends.
4.
Enhance
Communication: Foster better communication and alignment
within your maintenance team.
5.
Optimise
Resource Allocation: Ensure resources are used
efficiently and effectively.
1.2
Common Indicators for Needing a Maintenance Systems Audit.
1.
Inconsistent
Performance: Notable fluctuations in performance in
specific areas.
2.
Sporadic
Success: Irregular success with standard tasks and
maintenance activities.
3.
Procedure
Compliance Issues: Proper procedures are followed
only when time permits, leading to inconsistent practices.
4.
Stressed
Leadership: Leadership teams appear stressed and frequently
involved in unproductive meetings.
5.
Reactive
Work: Staff mainly engage in reactive maintenance
work, leaving little time for proactive improvement initiatives.
1.3
Signs Of A Maintenance Department That Is Performing Well.
1.
Proactive
Problem Solving: Early identification and resolution of
potential issues within the workplace and management systems.
2.
Culture
of Continuous Improvement: Viewing problems as
opportunities for learning and growth.
3.
Leadership
Excellence: Leaders embodying company core values and
driving improvement at all levels.
4.
Dedicated
Improvement Time: Allocating specific time for employees to
work on improvement projects.
1.4
Top 10 Recommended Maintenance Systems Audit Modules.
1.
Master Data & Maintenance
Strategy Development.
2.
Work Identification.
3.
Work Planning.
4.
Work Scheduling.
5.
Work Readiness Execution.
6.
Work Execution.
7.
Work Completion.
8.
Maintenance Systems Management
& Compliance.
9.
Improvements.
10. Cost
Management & Reporting Functions.
1.5
General Audit Process Information.
Data
Collection Methods: Include interviews,
observations, and data analysis to gather comprehensive insights.
Performance
Assessment Scale: Use a percentage scale to evaluate
performance:
0 = <50%
1 = 50% to 75%
2 = >75%
Yes/No/Partial
Questions: Employ the following scale for clarity:
0 = No
1 = Partial
2 = Yes
2.0
Master Data and Maintenance Strategy Development.
This section focuses on assessing how your
organization manages equipment data and develops maintenance strategies within
the CMMS.
2.1
Equipment Data Management.
1.
Capture all data for purchased
and commissioned equipment in the CMMS.
2.
A criticality analysis is
performed on all new assets and either a criticality ranking or business impact
code is assigned against each asset.
3.
Spare Parts Requirements are
identified for each new asset and submissions are made to the supply department
to keep critical parts in stock.
4.
The most critical parts for
critical assets are assigned as ‘Insurance Spares’ and are not subject to being
removed from stock via stock optimisation calculations (potentially
obsolete/slow moving stock).
5.
You develop maintenance
strategies for all maintainable assets.
2.2
Evidence of Effective Data Management.
·
Master Data creation is included
in project plans for new equipment commissioning.
·
Capital cost centres are used for
Master Data creation of new equipment.
·
Safety and Operational Readiness
audits are performed on all new equipment before use.
2.3
Biennial Physical Plant Audits.
Conduct physical plant audits every two years
maximum to ensure the CMMS equipment register matches physical assets.
Common Issues:
·
Project teams failing to include
master data for newly commissioned assets.
·
Decommissioned equipment not
deactivated in the CMMS.
2.4
Maintenance Strategy Development.
Strategies should be developed using risk-based
analysis, FMECA (Failure Mode, Effects, and Criticality Analysis) is a good
choice, so is RCM (Reliability Centred Maintenance).
2.4
Asset Hierarchy Data Quality.
·
Consistent asset hierarchy in
CMMS, using templates.
·
Clear naming conventions for
asset identification.
·
Critical equipment identified and
marked in CMMS.
2.5
Materials Management.
1.
Bills of Materials (BOMs):
a.
Created for all critical
equipment and entered into CMMS
b.
Reviewed at least every 6 months
c.
Updates include supplier part
changes and removal of obsolete parts
2.
Inventory Management:
a.
Max/Min stock levels established
for critical parts
b.
Acceptable lead times for ‘order
on demand’ parts
3.
Preventive Maintenance Parts:
a.
Parts listings included in
parts-intensive preventive maintenance plans
b.
CMMS automatically processes
parts requirements before maintenance execution
4.
Parts Availability:
a.
Monitor frequency of maintenance
workers needing additional parts for preventive maintenance
b.
Track percentage of added parts
2.6
Key Questions That Should Have Been Asked At This Point.
1.
Is Master Data creation part of new
equipment commissioning projects?
2.
Are physical plant audits
conducted at least every two years?
3.
How are decommissioned assets
handled in the CMMS?
4.
Is risk-based analysis used for
maintenance strategy development?
5.
How consistent is the asset
hierarchy in the CMMS?
6.
Are BOMs created and regularly
updated for critical equipment?
7.
How effective is the inventory
management for critical parts?
8.
Are parts requirements for
preventive maintenance automatically processed by the CMMS?
3.0
Work Identification.
This section focuses on assessing how new work is
identified and processed within your maintenance system.
3.1
Work Request Process.
1.
Documentation and Understanding:
a.
Existence of a documented process
for initiating new work.
b.
Staff awareness and comprehension
of the process.
c.
Adherence to the established
procedure.
2.
Non-CMMS User Work Requests:
a.
Availability of work request
forms for those without CMMS access.
b.
Process for entering paper-based
requests into the CMMS.
3.2
Work Request Review.
1.
Daily Review Process:
a.
Implementation of a 24-hour
review cycle for new work requests.
b.
Involvement of multiple team
members in the review process.
2.
Priority and Risk Assessment:
a.
Review and update of originator’s
priority designation.
b.
Use of risk assessment processes
for priority adjustment.
3.
Approval Workflow:
a.
Approval of work requests prior
to work order creation (except for emergencies).
b.
CMMS capability to prevent
unapproved requests from becoming work orders.
3.3
Quality Control.
1.
Work Request Quality:
a.
Periodic reviews to assess the quality
of information provided by originators.
2.
Duplication Management:
a.
Frequency of duplicate work
requests in the CMMS.
b.
Process for originators to check
for existing work orders.
c.
Periodic checks for duplicate
work in the CMMS.
3.
Work Request Specificity:
a.
Ensuring separate work requests
for each distinct problem or defect.
3.4
Work Order Lifecycle.
1.
Time-to-Completion Tracking:
a.
Average time from work request
creation to work order completion
b.
Documentation of reasons for
delays on incomplete work orders
2.
Escalation Procedures:
a.
Ability to escalate priority of
existing work orders when necessary.
3.5
Key Questions That Should Have Been Asked At This Point.
1.
Is there a clear, documented
process for initiating new work that is understood and followed by all staff?
2.
Is there a way for work requests
from non-CMMS users to be initiated, and entered into the system?
3.
Is there a daily review process
for all new work requests involving multiple team members?
4.
Are work request priorities
assessed and adjusted if required?
5.
Is there an approval process in
place for work requests before they become work orders?
6.
Is the quality of work requests
monitored and improved over time?
7.
Are there measures in place to
prevent and manage duplicate work requests (is someone deleting duplicates?).
8.
How is the lifecycle of work
orders tracked, from request to completion?
9.
Are there clear procedures for
escalating the priority of existing work orders when necessary?
4.0
Work Planning.
This section focuses on assessing the planning
efforts applied to work orders and the support provided to maintenance
planners.
4.1
Planning Process Structure.
1.
Planner Role Understanding:
a.
Clarity of expectations for
planners’ core responsibilities.
b.
Process for reviewing and
processing maintainer feedback on planned work orders.
2.
Planning Standards:
a.
Existence of specifications for
fully planned work orders.
b.
Availability of step-by-step
procedures for planning work orders.
4.2
Standard Task Creation.
1.
Frequency and Process:
a.
Creation of standard jobs or task
lists for recurring corrective maintenance.
b.
Average monthly creation rate of
standard tasks.
c.
Planner knowledge and capability
in creating standard tasks.
2.
Documentation:
a.
Availability of procedures for
creating standard jobs/task lists.
b.
Responsibility assignment for
procedure creation.
4.3
Work Order Resource Allocation.
1.
Trade Resource Identification:
a.
Separate identification of
various resource/trade types on work order tasks.
b.
Specification of resource
quantities (e.g., 2 x Tyre Fitters).
2.
Time Estimation:
a.
Inclusion of durations and total
planned work hours for each task.
b.
Accuracy of time estimates
(comparison of planned vs. actual hours).
c.
Methods for planning execution labour
requirements and measuring team performance.
4.4
Backlog Management.
1.
Process Guidelines:
a.
Existence of processes for
managing backlogged work.
b.
Average duration of non-completed
work orders with past start dates.
2.
Company Standards:
a.
Expectations or specifications
for maximum backlog size and age.
b.
Leadership involvement in
reviewing and updating non-completed work orders.
4.5
Work Pack Creation.
1.
Content:
a.
Creation of comprehensive work
packs for fully planned work orders
b.
Inclusion of relevant
documentation (e.g., P&IDs, drawings, technical updates, safety
instructions)
4.6
Work Order Feedback Process.
1.
Documentation Procedure:
a.
Existence of a documented process
for maintainers to mark up corrections on work orders.
b.
Implementation of “Red Pen Mark-Up” system.
2.
Review and Approval:
a.
Supervisor review and approval of
mark-up comments.
b.
Process for scanning and
attaching marked-up work orders to the CMMS.
3.
Feedback Loop:
a.
Communication between
planners/supervisors and originators of mark-up comments.
b.
Process for adopting or rejecting
suggested changes.
4.7
Key Questions That Should Have Been Asked At This Point.
1.
How structured is the planning
process, and do planners fully understand their role?
2.
Is there a system for creating
and utilizing standard tasks for recurring maintenance?
3.
How accurately are work order
resources and time requirements estimated?
4.
What processes are in place for
managing and reviewing backlogged work?
5.
Are comprehensive work packs
created for fully planned work orders?
6.
Is there an effective system for
maintainers to provide feedback on work order content?
7.
How is maintainer feedback
reviewed, processed, and communicated back to the originators?
5.0
Execute Work Readiness.
This section focuses on assessing the preparedness
for work execution, ensuring all necessary elements are in place before
maintenance tasks begin.
5.1
Pre-Execution Checklist.
1.
Resource Availability:
a.
Confirmation of personnel
availability as per the schedule.
b.
Verification of required skills
and certifications for assigned tasks.
2.
Materials and Tools:
a.
Confirmation that all required
parts are available and staged.
b.
Verification of tool availability
and condition.
3.
Documentation:
a.
Availability of complete work
packs for each scheduled task.
b.
Accessibility of up-to-date
procedures and safety instructions.
5.2
Safety Preparations.
1.
Risk Assessments:
a.
Completion of job safety analyses
for high-risk tasks.
b.
Review and communication of
identified hazards and control measures.
2.
Permits and Isolations:
a.
Preparation of necessary work
permits.
b.
Planning and verification of
required isolations.
5.3
Operational Readiness.
1.
Equipment Status:
a.
Confirmation that equipment is available
for maintenance.
b.
Coordination with operations for
equipment handover.
2.
Area Preparation:
a.
Verification that work areas are
cleared and accessible.
b.
Implementation of necessary
barricades or signage.
5.4
Communication.
1.
Pre-Execution Meetings:
a.
Scheduling and conducting pre-job
briefings.
b.
Review of work scope, safety
requirements, and potential challenges.
2.
Stakeholder Notification:
a.
Communication of planned work to
all affected departments.
b.
Confirmation of support from
auxiliary services (e.g., crane operators, scaffolders).
5.5
Key Questions That Should Have Been Asked At This Point.
1.
Is there a standardized
pre-execution checklist used for all scheduled work?
2.
How is resource availability
confirmed prior to work commencement?
3.
What process ensures all required
materials and tools are ready before work starts?
4.
How are safety preparations,
including risk assessments and permits, managed?
5.
Is there a clear process for
equipment handover from operations to maintenance?
6.
Are pre-execution meetings
conducted, and what do they typically cover?
7.
How is communication managed with
all stakeholders before work execution begins?
6.0
Execute Work.
This section focuses on assessing the actual
execution of maintenance work, ensuring efficiency, safety, and quality in the
performance of tasks.
6.1
Work Order Execution Process.
1.
Adherence to Plans:
a.
Frequency of work performed
according to planned procedures.
b.
Process for handling deviations
from planned work.
2.
Time Management:
a.
Tracking of actual time spent on
tasks compared to planned estimates.
b.
Methods for recording and
justifying time variances.
6.2
Safety Compliance.
1.
Pre-Job Start Safety Briefings:
a.
Consistency in conducting pre-job
safety meetings.
b.
Documentation of safety
discussions and risk mitigation strategies.
2.
Permit Compliance:
a.
Adherence to work permit
requirements.
b.
Process for managing permit
extensions or modifications during work.
6.3
Quality Control.
1.
Work Quality Checks:
a.
Implementation of quality control
measures during work execution.
b.
Process for supervisory oversight
and approval of completed work.
2.
Documentation:
a.
Accuracy and completeness of work
order documentation during execution.
b.
Capture of “as-found”
and “as-left” equipment conditions.
6.4
Resource Utilization.
1.
Skill Matching:
a.
Alignment of assigned personnel
skills with task requirements.
b.
Process for addressing skill gaps
or specialized task needs.
2.
Tool and Equipment Usage:
a.
Availability and proper use of
required tools and equipment.
b.
Tracking and management of
specialized equipment.
6.5
Collaboration and Communication.
1.
Inter-Trade Coordination:
a.
Effectiveness of communication
between different trades during multi-craft jobs.
b.
Management of handovers between
shifts or teams.
2.
Stakeholder Updates:
a.
Process for keeping relevant
stakeholders informed of work progress.
b.
Handling of unexpected issues or
delays during execution.
6.6
Continuous Improvement.
1.
On-the-Job Learning:
a.
Identification and documentation
of lessons learned during work execution.
b.
Process for sharing insights and
best practices among team members.
2.
Feedback Mechanisms:
a.
Systems for capturing executor
feedback on work order quality and accuracy.
b.
Process for incorporating
feedback into future planning and execution.
6.7
Key Questions That Should Have Been Asked At This Point.
1.
How closely do executors adhere
to planned procedures, and how are deviations managed?
2.
What processes are in place to
ensure safety compliance throughout work execution?
3.
How is work quality monitored and
ensured during the execution phase?
4.
Are resources (personnel, tools,
equipment) effectively utilized during work execution?
5.
How well do different trades and
shifts collaborate during complex or multi-day jobs?
6.
What mechanisms are in place to
capture and utilize lessons learned from work execution?
7.
How is executor feedback on work
order quality collected and incorporated into improvement processes?
7.0
Complete Work.
This section focuses on assessing the processes
and procedures for finalizing maintenance tasks, ensuring proper documentation,
and transitioning equipment back to operational status.
7.1
Work Order Closure.
1.
Documentation Completeness:
a.
Verification that all required
fields in the work order are filled out.
b.
Accuracy and detail of work
performed descriptions.
2.
Time and Resource Reporting:
a.
Proper recording of actual labour
hours and materials used.
b.
Comparison of actual vs. planned
resources and time.
7.2
Quality Assurance.
1.
Post-Work Inspections:
a.
Implementation of quality checks
before work order closure.
b.
Process for supervisor or quality
control sign-off on completed work.
2.
Testing and Verification:
a.
Procedures for equipment testing
after maintenance.
b.
Documentation of test results and
performance metrics.
7.3
Equipment Handover.
1.
Return to Service Process:
a.
Clear procedure for transitioning
equipment back to operations.
b.
Communication protocols between
maintenance and operations teams.
2.
Operational Readiness Checks:
a.
Verification of equipment
functionality and safety before handover.
b.
Process for addressing any issues
identified during handover.
7.4
Work Order History.
1.
Failure Analysis:
a.
Recording of failure modes and
root causes for corrective work.
b.
Process for updating asset
history with relevant information.
2.
Maintenance Strategy Updates:
a.
Mechanism for feeding completed
work information back into maintenance strategies.
b.
Process for updating preventive
maintenance tasks based on work order findings.
7.5
Performance Metrics.
1.
Completion Time Tracking:
a.
Measurement of time from work
initiation to closure.
b.
Analysis of factors affecting
work order completion times.
2.
Rework Monitoring:
a.
Tracking of instances where work
needs to be re-done.
b.
Process for analysing and
addressing causes of rework.
7.6
Continuous Improvement.
1.
Lessons Learned:
a.
System for capturing and sharing
insights from completed work.
b.
Process for incorporating lessons
into future planning and execution.
2.
Feedback Loop:
a.
Mechanism for maintainers to
provide feedback on work order process.
b.
System for acting on feedback to
improve overall maintenance processes.
7.7
Key Questions That Should Have Been Asked At This Point.
1.
How thorough and accurate is the documentation
process for completed work orders?
a.
Does the information on the work
order accurately reflect the work that was performed and has it been recorded
at the appropriate level of detail?
2.
What quality assurance measures
are in place to verify work before closure?
3.
How effective is the equipment
handover process between maintenance and operations?
4.
Is failure analysis consistently
performed and recorded for corrective work?
5.
How are completed work orders
used to inform and update maintenance strategies?
6.
What metrics are tracked to
assess work order completion performance?
7.
How are lessons learned from
completed work captured and utilized for improvement?
8.0
Maintenance Systems Management & Compliance.
This section focuses on assessing the overall
management of maintenance systems and ensuring compliance with established
procedures and regulations.
8.1
CMMS Administration.
1.
System Configuration:
a.
Regular review and update of CMMS
configuration settings.
b.
Process for managing user access
rights and permissions.
2.
Data Integrity:
a.
Procedures for maintaining data
accuracy and completeness.
b.
Regular audits of CMMS data
quality.
8.2
Compliance Management.
1.
Statutory & Regulatory
Requirements:
a.
System for tracking and managing statutory
and regulatory compliance tasks.
b.
Process for updating maintenance
procedures based on regulatory changes.
2.
Internal Policies:
a.
Adherence to company-specific
maintenance policies and standards.
b.
Regular review and update of
internal maintenance procedures.
8.3
Performance Monitoring.
1.
KPI Tracking:
a.
Implementation of key performance
indicators for maintenance activities.
b.
Regular reporting and review of
maintenance performance metrics.
2.
Trend Analysis:
a.
Process for identifying and analysing
trends in maintenance data.
b.
Use of trend analysis to inform decision-making
and strategy.
8.4
Document Control.
1.
Procedure Management:
a.
System for creating, reviewing,
and updating maintenance procedures.
b.
Process for ensuring all staff
have access to current versions of procedures.
2.
Record Keeping:
a.
Compliance with record retention
policies for maintenance activities.
b.
Accessibility and organization of
maintenance records.
8.5
Training and Competency.
1.
Skills Management:
a.
System for tracking and managing
maintenance staff competencies.
b.
Regular assessment of training
needs and implementation of training programs.
2.
CMMS User Training:
a.
Provision of initial and ongoing
training for CMMS users.
b.
Process for assessing and
improving CMMS user proficiency.
8.6
Continuous Improvement.
1.
Audit Processes:
a.
Regular internal audits of maintenance
systems and processes.
b.
Implementation of corrective
actions based on audit findings.
2.
Feedback Mechanisms:
a.
Systems for collecting and acting
on feedback from maintenance staff and stakeholders.
b.
Process for incorporating lessons
learned into system improvements.
8.7
Key Questions That Should Have Been Asked At This Point.
1.
How effectively is the CMMS
administered and configured to meet organizational needs?
2.
What processes are in place to
ensure compliance with both regulatory requirements and internal policies?
3.
How are maintenance performance
metrics tracked, reported, and used for decision-making?
4.
Is there an effective system for
managing maintenance procedures and records?
5.
How are staff competencies
managed, and what training is provided for CMMS users?
6.
What processes are in place for
continuous improvement of maintenance systems?
7.
How are internal audits
conducted, and how are the findings addressed?
9.0
Improvements.
This section focuses on assessing the processes
and procedures for continuous improvement within the maintenance system.
9.1
Improvement Identification.
1.
Root Cause Analysis:
a.
Implementation of formal root
cause analysis processes for significant failures or recurring issues.
b.
Training and tools provided for
staff to conduct effective root cause analyses.
2.
Performance Data Analysis:
a.
Regular review of maintenance
KPIs to identify areas for improvement.
b.
Process for translating
performance data into actionable improvement initiatives.
9.2
Improvement Planning.
1.
Prioritisation Process:
a.
System for evaluating and prioritising
improvement opportunities.
b.
Criteria used for selecting
improvement projects.
2.
Resource Allocation:
a.
Process for assigning resources
(time, personnel, budget) to improvement initiatives.
b.
Balance between daily maintenance
activities and improvement projects.
9.3
Implementation of Improvements.
1.
Project Management:
a.
Use of project management
methodologies for implementing improvements.
b.
Tracking and reporting of
improvement project progress.
2.
Change Management:
a.
Processes for managing the impact
of improvements on existing systems and procedures.
b.
Communication strategies for
rolling out changes to maintenance staff.
9.4
Evaluation of Improvements.
1.
Measuring Impact:
a.
Methods for quantifying the
results of improvement initiatives.
b.
Comparison of pre- and
post-implementation performance metrics.
2.
Feedback Loop:
a.
Process for gathering feedback on
implemented improvements.
b.
System for incorporating lessons
learned into future improvement efforts.
9.5
Continuous Learning.
1.
Best Practice Sharing:
a.
Mechanisms for sharing successful
improvements across the organization.
b.
Participation in industry forums
or benchmarking activities to identify external best practices.
2.
Training and Development:
a.
Ongoing training programs to
enhance staff skills in improvement methodologies.
b.
Encouragement of staff-led
improvement initiatives.
9.6
Innovation in Maintenance.
1.
Technology Adoption:
a.
Process for evaluating and
implementing new maintenance technologies.
b.
Integration of innovative tools
or techniques into existing maintenance processes.
2.
Predictive Maintenance:
a.
Development and implementation of
predictive maintenance strategies.
b.
Use of data analytics and machine
learning for maintenance optimisation.
9.7
Key Questions That Should Have Been Asked At This Point.
1.
How are areas for improvement
systematically identified within the maintenance system?
2.
What processes are in place for prioritising
and planning improvement initiatives?
3.
How effectively are improvement
projects managed and implemented?
4.
What methods are used to measure
and evaluate the impact of improvements?
5.
How is knowledge from improvement
initiatives shared across the organization?
6.
What ongoing training or
development opportunities are provided to support continuous improvement?
7.
How does the organization stay
current with and adopt innovative maintenance practices or technologies?
10.0
Managing Costs & Reporting Functions.
This section focuses on assessing the processes
and procedures for managing maintenance costs and generating reports that
support decision-making and continuous improvement.
10.1
Cost Tracking and Analysis.
1.
Work Order Costing:
a.
Accuracy of labour and material
costs attributed to individual work orders.
b.
Process for reviewing and
approving work order costs.
2.
Budget Management:
a.
Procedures for creating and
managing maintenance budgets.
b.
Regular comparison of actual vs.
budgeted maintenance costs.
3.
Cost Allocation:
a.
System for allocating maintenance
costs to appropriate cost centres or assets.
b.
Accuracy and timeliness of cost
allocation processes.
10.2
Financial Reporting.
1.
Standard Reports:
a.
Availability of pre-configured
financial reports within the CMMS.
b.
Frequency and distribution of
standard financial reports.
2.
Custom Reporting:
a.
Capability to generate ad-hoc
financial reports as needed.
b.
Training and tools provided for staff
to create custom reports.
10.3
Performance Metrics.
1.
Key Performance Indicators (KPIs):
a.
Definition and tracking of
cost-related KPIs (e.g., maintenance cost per unit of production).
b.
Process for reviewing and acting
on KPI trends.
2.
Benchmarking:
a.
Comparison of maintenance costs
against industry standards or similar facilities.
b.
Use of benchmarking data to
identify areas for cost improvement.
10.4
Cost Optimisation.
1.
Cost Reduction Initiatives:
a.
Process for identifying and
implementing cost-saving measures.
b.
Tracking and reporting of cost
reduction achievements.
2.
Life Cycle Cost Analysis:
a.
Use of life cycle costing in
equipment replacement decisions.
b.
Integration of life cycle cost
data into maintenance strategy development.
10.5
Inventory Cost Management.
1.
Spare Parts Optimisation:
a.
Processes for optimising
inventory levels to balance costs and availability.
b.
Regular review of slow-moving or
obsolete inventory items.
2.
Procurement Efficiency:
a.
Analysis of procurement costs and
lead times.
b.
Strategies for reducing procurement-related
expenses.
10.6
Reporting Technology.
1.
CMMS Reporting Capabilities:
a.
Utilization of built-in CMMS
reporting functions.
b.
Integration with external
business intelligence tools for advanced analytics.
2.
Data Visualization:
a.
Use of dashboards and visual reporting
tools to present maintenance cost data.
b.
Accessibility of cost reports to
relevant stakeholders.
10.7
Continuous Improvement.
1.
Cost Trend Analysis:
a.
Regular review of long-term cost
trends to identify systemic issues.
b.
Process for using cost data to inform
maintenance strategy adjustments.
2.
Return on Investment (ROI)
Analysis:
a.
Evaluation of ROI for major
maintenance initiatives or equipment upgrades.
b.
Use of ROI data to justify future
maintenance investments.
10.8
Key Questions That Should Have Been Asked At This Point.
1.
How accurately are labour and
material costs tracked and attributed to work orders?
2.
What processes are in place for
creating, managing, and reviewing maintenance budgets?
3.
How effectively does the
organization use financial reporting to support decision-making?
4.
What cost-related KPIs are
tracked, and how are they used to drive improvement?
5.
How does the organization
identify and implement cost optimisation initiatives?
6.
Is life cycle cost analysis used
in equipment management decisions?
7.
How effectively are inventory
costs managed and optimised?
8.
What reporting tools and
technologies are used to analyse and present maintenance cost data?
9.
How is cost data used to drive
continuous improvement in maintenance practices?
11.0
Asking The Right Types Of Questions During Audits.
This section focuses on the importance of using
appropriate questioning techniques during maintenance systems audits, with a
particular emphasis on searching questions.
11.1
Types of Questions.
1.
Open Questions:
a.
Example 1: “What challenges
have you faced in implementing preventive maintenance?”
i. Good:
Allows respondents to share their unique experiences and insights.
ii. Bad:
Might lead to overly lengthy or unfocused responses if not properly managed.
b.
Example 2: “How do you
approach training new maintenance technicians?”
i. Good:
Encourages detailed explanations of training processes and philosophies.
ii. Bad:
Could result in vague answers if the respondent doesn’t have a structured
approach.
c.
Example 3: “What factors do
you consider when deciding to repair or replace equipment?”
i. Good:
Prompts thoughtful consideration of multiple aspects of decision-making.
ii. Bad:
Might be overwhelming for less experienced staff or lead to inconsistent
responses across different individuals.
2.
Closed Questions:
a.
Example 1: “Is your
maintenance team certified in lockout/tagout procedures?”
i. Good:
Quickly identifies compliance with a specific safety requirement.
ii. Bad:
Doesn’t provide context or details about the extent of training or
implementation.
b.
Example 2: “Do you conduct
daily equipment inspections?”
i. Good:
Directly assesses adherence to a particular maintenance practice.
ii. Bad:
Misses nuances in frequency or quality of inspections.
c.
Example 3: “Have you
implemented a predictive maintenance program?”
i. Good:
Clearly establishes the presence or absence of a specific maintenance strategy.
ii. Bad:
Doesn’t reveal the extent or effectiveness of the program if it exists.
3.
Leading Questions
a.
Example 1: “Don’t you think
preventive maintenance is more cost-effective than reactive maintenance?”
i. Good:
Can quickly confirm alignment with best practices if the respondent agrees.
ii. Bad:
May pressure the respondent to agree even if their experience differs, leading
to inaccurate information.
b.
Example 2: “Surely you’ve
noticed an improvement in equipment reliability since implementing condition
monitoring, right?”
i. Good:
Might encourage positive reflection on implemented changes.
ii. Bad:
Can bias the response and miss out on honest feedback about challenges or
shortcomings.
c.
Example 3: “You always
document all maintenance activities in detail, don’t you?”
i. Good:
Emphasizes the importance of thorough documentation.
ii. Bad:
May lead to an overstated or unrealistic portrayal of actual practices.
4.
Searching Questions:
a.
Example 1: “Can you walk me
through the last time you troubleshooted a complex equipment failure?”
i. Good:
Elicits specific, detailed information about real-world problem-solving
processes.
ii. Bad:
Might be time-consuming or difficult for the respondent to recall all details
accurately.
b.
Example 2: “What data do you
collect to measure the effectiveness of your preventive maintenance
program?”
i. Good:
Probes for concrete evidence of performance tracking and analysis.
ii. Bad:
Could be challenging to answer if the organization lacks robust data collection
practices.
c.
Example 3: “How do you
determine the appropriate inventory levels for critical spare parts?”
i. Good:
Encourages the respondent to explain their decision-making process with
specific criteria.
ii. Bad:
Might be difficult to answer if the process is informal or not well-defined.
11.2
Importance of Searching Questions in Audits.
1.
Evidence Gathering.
·
Searching questions help auditors
collect concrete evidence rather than relying on assumptions or general
statements.
2.
Depth of Understanding.
·
These questions allow auditors to
delve deeper into processes and uncover potential issues.
3.
Objectivity.
·
By focusing on specific details,
searching questions help maintain objectivity in the audit process.
11.3
Techniques for Asking Effective Searching Questions.
1.
Use of “How,”
“What,” “When,” “Where,” “Who,” and
“Why”.
·
Example: “How do you ensure
all critical equipment is included in the preventive maintenance
schedule?”
2.
Request for Examples.
·
Example: “Can you provide a
specific instance where this procedure was applied successfully?”
3.
Seeking Documentation.
·
Example: “Where can I find
the records of the last three maintenance strategy reviews?”
4.
Probing for Details.
·
Example: “What specific
criteria do you use to determine if a work order is fully planned?”
11.4
Common Pitfalls to Avoid.
1.
Overuse of Closed Questions.
·
Limit questions that can be
answered with only a simple yes or no.
2.
Leading the Auditee.
·
Avoid suggesting the desired
answer in your question.
3.
Compound Questions.
·
Ask one question at a time to
ensure clear and focused responses.
4.
Assuming Knowledge.
·
Don’t assume the auditee
understands technical terms or acronyms.
11.5
Practicing Effective Questioning.
1.
Prepare Questions in Advance.
·
Develop a list of key searching
questions for each audit area.
2.
Active Listening.
·
Pay close attention to responses
and ask follow-up questions as needed.
3.
Encourage Elaboration.
·
Use phrases like “Tell me
more about…” or “Can you elaborate on…”
4.
Document Responses Accurately.
·
Take detailed notes or use
recording devices when permitted.
11.6
Key Audit Questions About Questioning Techniques.
1.
Are auditors trained in effective
questioning techniques, particularly in the use of searching questions?
2.
How do auditors prepare their
questions before conducting an audit?
3.
Is there a process for reviewing
the effectiveness of questions used in previous audits?
4.
How do auditors ensure they’re
gathering concrete evidence rather than relying on general statements?
5.
What methods are used to
encourage auditees to provide detailed, specific responses?
12.0
The Critical Role of Quality Audits in Preventing Disasters.
This section explores how regular,
professional-quality audits can prevent major problems and disasters in
maintenance systems, with a focus on various risk analysis models.
12.1
The Swiss Cheese Model in Maintenance Auditing.
1.
Concept Overview:
a.
Developed by James Reason in the
late 1990’s.
b.
He introduced it in a 2000
article in the British Medical Journal titled “Human Error: Models and
Management” and since then this model has been used globally as a
framework for understanding and managing human errors in complex and dangerous
systems.
c.
Visualizes defences as layers of
Swiss cheese, with holes representing weaknesses.
d.
Used extensively in the Oil &
Gas Industry in Australia.
2.
Application to Maintenance
Systems:
a.
Each layer represents a defence
mechanism (e.g., procedures, training, inspections).
b.
Holes align when multiple defences
fail, potentially leading to accidents and in some extreme cases, disasters.
3.
Role of Audits:
a.
Regular audits help identify and
address “holes” in defence layers.
b.
Prevents alignment of weaknesses
across multiple systems.
12.2
Alternative Risk Analysis Models for Maintenance Auditing.
1.
Bow-Tie Method:
a.
Combines Fault Tree Analysis
(FTA) and Event Tree Analysis (ETA).
b.
Visually maps potential causes
and consequences of incidents.
c.
Helps identify preventive and
mitigative measures.
2.
Human Factors Analysis and
Classification System (HFACS):
a.
Focuses on human error as a
contributing factor.
b.
Categorizes errors from unsafe
acts to organizational influences.
c.
Provides a comprehensive view of
potential human-related issues.
3.
Systems-Theoretic Accident Model
and Processes (STAMP):
a.
Emphasizes systemic factors and
interactions leading to accidents.
b.
Helps identify vulnerabilities
within the entire maintenance system.
c.
Improves overall safety by
addressing system-wide issues.
4.
Incident Cause and Analysis Model
(ICAM):
a.
Aids in identifying root causes
of incidents.
b.
Provides a structured approach to
analysing and addressing causes.
c.
Useful for post-incident analysis
and prevention of future occurrences.
12.3
Importance of Regular, High-Quality Audits.
1.
Early Detection of Issues:
a.
Regular audits catch problems
before they escalate.
b.
Allows for proactive rather than
reactive maintenance.
2.
Continuous Improvement:
a.
Frequent audits create a culture
of ongoing enhancement.
b.
Helps maintain high standards and
best practices.
3.
Compliance Assurance:
a.
Ensures adherence to regulatory
requirements and industry standards.
b.
Reduces risk of legal and
financial penalties.
4.
Cost Savings:
a.
Prevents costly breakdowns and
unplanned downtime.
b.
Optimises resource allocation
based on audit findings.
5.
Safety Enhancement:
a.
Identifies potential safety
hazards before accidents occur.
b.
Contributes to a safer work
environment for maintenance personnel.
12.4
Implementing Effective Audit Programs.
1.
Frequency and Scope:
a.
Determine optimal audit frequency
based on risk assessment.
b.
Ensure comprehensive coverage of
all maintenance systems.
2.
Auditor Qualifications:
a.
Use trained, experienced auditors
familiar with maintenance systems.
b.
Consider both internal and
external auditors for different perspectives.
3.
Audit Methodology:
a.
Employ a combination of risk
analysis models for thorough assessment.
b.
Tailor audit approach to specific
maintenance system characteristics.
4.
Follow-up and Action Plans:
a.
Develop clear action plans based
on audit findings.
b.
Ensure timely implementation of
corrective measures.
5.
Continuous Learning:
a.
Use audit results to inform
training programs and system improvements.
b.
Share lessons learned across the
organization.
12.5
Key Audit Questions About Quality Audits.
1.
How frequently are comprehensive
maintenance system audits conducted?
2.
What risk analysis models are
employed in the audit process?
3.
How are audit findings translated
into actionable improvements?
4.
Is there a system in place for
tracking the implementation of audit recommendations?
5.
How does the organization ensure
auditor competence and objectivity?
13.0
Conclusion: The Path to Maintenance Excellence.
This final section summarises the key points of what
I’ve provided as a maintenance systems auditing guide and emphasizes the
importance of doing these audits (your versions of them) and pushing continuous
improvement in maintenance practices.
13.1
Recap of Key Audit Areas.
1.
Master Data & Maintenance
Strategy Development.
·
Importance of accurate equipment
data and well-developed maintenance strategies.
2.
Work Management Process.
·
From identification to
completion, ensuring efficient work flow
3.
Planning and Scheduling.
·
Emphasizing the critical role of
proper planning and effective scheduling.
4.
Execution and Completion.
·
Focusing on quality work
execution and thorough completion processes
5.
Continuous Improvement.
·
Highlighting the ongoing need for
system enhancements.
6.
Cost Management and Reporting.
·
Stressing the importance of
financial oversight and performance metrics.
7.
Effective Questioning Techniques.
·
Emphasizing the role of searching
questions in conducting thorough audits.
8.
Risk Analysis and Disaster
Prevention.
·
Underlining the critical role of
audits in preventing major issues.
13.2
The Value of Comprehensive Auditing.
1.
Proactive Problem Identification.
·
Regular audits help catch issues
before they escalate into major problems.
2.
Performance Optimisation.
·
Audits provide insights for
improving maintenance efficiency and effectiveness.
3.
Compliance Assurance.
·
Ensures adherence to regulatory
requirements and industry best practices.
4.
Cost Reduction.
·
Identifies areas for potential
cost savings and resource optimisation.
5.
Safety Enhancement.
·
Contributes to a safer working
environment by identifying and addressing risks.
13.3
Moving Forward: Implementing Audit Findings.
1.
Action Plan Development.
·
Create specific, measurable, and
time-bound action plans based on audit results.
2.
Leadership Commitment.
·
Ensure management support for
implementing recommended improvements.
3.
Employee Engagement.
·
Involve staff at all levels in
the improvement process.
4.
Progress Tracking.
·
Regularly monitor and report on
the implementation of audit recommendations.
5.
Continuous Learning.
·
Use audit findings as learning
opportunities to enhance maintenance practices.
13.4
The Role Of Technology In Future Audits.
1.
Digital Audit Tools.
·
I don’t think we’ll ever need or
want to get rid of the human element with auditing but I’m sure we’ll be able
to better leverage technology for more efficient and accurate auditing
processes.
2.
Data Analytics.
·
Utilizing advanced analytics for
deeper insights from audit data and I’m sure AI is going to play a much bigger
role with this in the future.
3.
Integration with CMMS.
·
Seamless connection between audit
processes and maintenance management systems, our CMMS/AMS/ERP software.
·
In this context it would be
advantageous if our audits were processed via apps on tablets and the results
fed directly into our maintenance management product and have the entered
results ‘workflow’d’ through our system and acted upon by the right positions
and actions raised (just as you would with a safety incident) and processed
within the same software.
13.5
Final Comments.
Maintenance systems auditing is not just a
compliance exercise but a powerful tool for driving continuous improvement.
By regularly assessing your maintenance practices,
you can:
1.
Enhance equipment reliability.
2.
Optimise resource utilization.
3.
Improve safety standards.
4.
Reduce operational costs.
5.
Foster a culture of excellence in
maintenance.
Remember, the goal of these audits is not to find
fault (it’s not a witch hunt), but to identify opportunities for improvement.
The audit process is often a chance for us to
learn “What Does Good Look Like?” for a particular area of operations &
maintenance or a particular scenario etc and, “How are we positioned in respect
to that?”
I encourage people to embrace the audit process as
a step on a pathway towards achieving maintenance excellence and drive your
organization towards world-class performance.
