Reliability Centered Maintenance:
A Case Study of Railway Transit
Maintenance to Achieve Optimal Performance
MTI Report 10- 06
MTI
A Case Study of Railway Transit Maintenance to Achieve Optimal Performance
MTI Report 10- 06
October 2010 The Norman Y. Mineta International Institute for Surface Transportation Policy Studies ( MTI) was established by Congress as part of the Intermodal Surface Transportation Efficiency Act of 1991. Reauthorized in 1998, MTI was selected by the U. S. Department of Transportation through a competitive process in 2002 as a national “ Center of Excellence.” The Institute is funded by Con­gress
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MTI Report 10- 06
RELIABILITY CENTERED MAINTENANCE:
A CASE STUDY OF RAILWAY TRANSIT
MAINTENANCE TO ACHIEVE OPTIMAL PERFORMANCE
Felix A. Marten, Jr., DBA
December 2010
a publication of the
Mineta Transportation Institute
College of Business
San José State University
San José, CA 95192- 0219
Created by Congress in 1991 Technical Report Documentationocumentationocumentation Page
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Title and Subtitle4.
Reliability Centered Maintenance: A Case Study of Railway Transit Maintenance to Achieve Optimal Performance
Report Date5.
December 2010
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Authors 7.
Felix A. Marten, Jr. , D. B. A.
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MTI Report 10- 06
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Mineta Transportation Institute
College of Business
San José State University
San José, CA 95192- 0219
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Supplementary Notes15.
Abstract16.
The purpose of this qualitative case study was to identify the types of obstacles and patterns experienced by a single heavy rail transit agency located in North America that embedded a Reliability Centered Maintenance ( RCM) Process. The outcome of the RCM process also examined the impact of RCM on availability, reliability, and safety of rolling stock. This qualitative study interviewed managers ( 10 cases), and non- managers ( 10 cases) at the transit agency obtain data. The data may serve to help rail transit leaders determine future strategic directions that would improve this industry. Despite the RCM record in other fields, it has infrequently been used in heavy rail transit agencies. The research method for the first portion of this qualitative case study was to collect data from subjects by administering an open- ended, in- depth personal interview, of manager and non- managers. The second portion of the study explored how the RCM process affected rolling stock for availability, reliability, and safety. The second portion of the study used data derived from project documents and reports ( such as progress reports, email, and other forms of documentation) to answer questions about the phenomena. The exploration and identification of the patterns and obstacles is important because organizational leaders in other heavy rail transit systems may use this knowledge to assist in embedding the process more smoothly, efficiently, and effectively to obtain the desired end results.
Key Words17.
Implementation; Infrastructure preservation; Operation and maintenance; Operational issues; Passenger rail services
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No restrictions. This document is available to the public through
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email: mti@ mti. sjsu. edu
http:// transweb. sjsu. edu Acknowledgments
The authors would like to acknowledge and thank the following people for their important contributions to this project. Thank yous are in order to Dr. Martin Gunnell, Dr. Frank Kahren, and Dr. Brent Hardegree.
The authors also thank MTI staff, including Research Director Karen Philbrick, Ph. D.; Director of Communications and Special Projects Donna Maurillo; Research Support Manager Meg A. Fitts; Student Publications Assistant Sahil Rahimi; Student Research Support Assistant Joey Mercado; Student Graphic Artists JP Flores and Vince Alindogan; and Webmaster Frances Cherman. Additional editorial and publication support was provided by Editorial Associate Catherine Frazier. Mineta Transportation Institute
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Table of Contents
Executive Summary ummary ummary 1
INTRODUCTION 3
Background of the Problem 3
Statement of the Problem 6
Purpose of the Study 7
Significance of the Study to Leadership 7
Nature of the Study 8
Research Questions 9
Conceptual Framework 9
Definition of Terms 10
Assumptions 11
Limitations 12
Delimitations 12
Summary 12
REVIEW OF THE LITERATURE 15
Urban Transportation in North America 17
Public Transportation Ridership Trends 18
Deterioration Due to a Lack of Maintenance 25
Maintenance as a Form of Strategy 26
Reliability Centered Maintenance Implementation Obstacles 31
Change Management 33
Conclusion 35
Summary 36
METHODOLOGY 39
Research Design 39
Methodology Justification 44
Population 44
Sampling 44
Informed and Organization Consent 45
Confidentiality 45
Geographic Location 46
Data Collection 46
The Data Collection Process 47
Instrumentation 48
Pilot Study 49
Validity 49 Mineta Transportation Institute
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Data Analysis 51
Summary 51
PRESENTATION AND ANALYSIS OF DATA 53
Research Questions 53
Sample 54
Pilot Study 54
Data Collection Process 55
Data Analysis 56
Results and Findings 58
Summary 65
CONCLUSIONS AND RECOMMENDATIOnS 67
Overview 68
Significance to Leadership 68
Findings and Interpretations 69
Implications 74
Recommendations 75
Summary and Conclusion 75
APPENDIX A: MILESTONES IN U. S. PUBLIC TRANSPORTATION HISTORY 77
AppenDix B: Transit Agencies in North America merica 79
APPENDIX C: INDIVIDUAL INFORMED CONSENT FORM 83
APPENDIX D: ORGANIZATION CONSENT AND CONFIDENTIALITY Form 85
APPENDIX E: NON- MANAGEMENT INTERVIEW SCHEDULE 89
REFERENCES 91
Abbreviationsbbreviations and Acronyms 99
About the Author 101
Peer review 103 Mineta Transportation Institute
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List of FigureS
Billions of Passenger Trips in the United States from 1900 to Present 11. 9 Mineta Transportation Institute
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List of Tables
Demographic Characteristics 51. 9
Problems with the Predicted Implementation Time 62. 0
Effective Communication Methods Used 63. 1
Influence of Organizational Culture on RCM Implementation 64. 1
Effect of RCM Process on Employees 65. 2
Most Challenging Aspects of Implementing RCM 66. 2
Biggest Obstacles of Implementing RCM 67. 4
Impact of RCM on Rolling Stock 68. 4 Mineta Transportation Institute
List of Tables
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Executive Summaryummary
This qualitative case study identified the types of obstacles and patterns experienced by a single heavy rail transit agency located in North America that embedded a Reliability Centered Maintenance ( RCM) process. The outcome of the RCM process also examined the impact of RCM on availability, reliability, and safety of rolling stock. This qualitative study interviewed managers ( 10 cases), and non- managers ( 10 cases) at the transit agency to obtain data. The data may serve to help rail transit leaders determine future strategic directions that would improve the heavy rail transit industry. Despite the RCM record in other fields, it has infrequently been used in heavy rail transit agencies.
The research method for the first portion of this qualitative case study was to collect data from subjects by administering an open- ended, in- depth personal interview, of managers and non- managers. The second portion of the study explored how the RCM process affected rolling stock availability, reliability, and safety.
The study used data derived from project documents and reports ( such as progress reports, email, and other forms of documentation) to answer questions about the phenomena. The exploration and identification of the patterns and obstacles are important because organizational leaders in other heavy rail transit systems may use this knowledge to assist in embedding the process more smoothly, efficiently, and effectively to obtain the desired end results.
Based on the analysis of data, seven themes emerged in regard to obstacles experienced by maintenance employees during the implementation of the RCM process at the single heavy rail transit agency. The first theme related to the problems with the predicted implementation time. The second theme was the effective communication methods used. The third theme was the influence of organizational culture on RCM implementation. The fourth theme was the effect of RCM processes on employees. The fifth theme was the most challenging aspects of implementing RCM. The sixth theme was the most significant obstacles of implementing RCM. The seventh theme was the impact of RCM on rolling stock.
The analysis revealed that there was very mixed results regarding the impact of RCM on the rolling stock. Some of the participants indicated that there was an increase in safety and reliability, whereas others indicated that there was a decrease in those aspects. However, the analysis revealed that the participants indicated that there had been a significant increase in rolling stock availability since pre- RCM. Mineta Transportation Institute
Executive Summary
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INTRODUCTION
Multinational leaders, managers, and employees of heavy rail transit agencies have faced new challenges in the 21st century related to innovation, technology, quality assurance movements, and downsizing initiatives ( Newstrom and Davis 2002). One such innovation that has made use of technology to drive quality management is Reliability- Centered Maintenance ( RCM) ( Backlund and Akersten 2003; Campbell and Reyes- Picknell 2006; Hansson, Backlund, and Lycke 2002). RCM is a process that identifies the maintenance requirements of physical assets ( plant, rolling stock, and buildings) and productivity to complement the operational goals of the organization ( Campbell and Reyes- Picknell). This ultimately results in optimal performance of the equipment as reported by Campbell and Reyes- Picknell.
Campbell and Reyes- Picknell ( 2006) reported that RCM must progress through three iterative steps before significant results are achieved. First, the RCM process must examine the function of the asset and understand the productivity goals of the asset. Second, various methods by which an asset can fail should be explored, including the impact of failure on other systems and subsystems. Third, depending on what is learned during the previous steps, RCM develops mitigation strategies that can be implemented against potential failures. When the RCM process has been used in other industries, the maintenance process increased equipment efficiency, reliability, and safety, and lowered maintenance costs ( Backlund and Akersten 2003; Delzell and Pithan 1996; Fleming 2006; Toomey 2006). Creecy ( 2003) reported that some organizations have realized up to $ 147 million per year in RCM- related maintenance cost savings.
Despite the RCM record in other fields, it has infrequently been used in heavy rail transit agencies. The focus of this qualitative case study was to interview 20 employees— one group in management ( 10 cases), and the other in non- management positions ( 10 cases)— of an East Coast United States heavy rail transit agency who have had at least one year of work experience with an RCM maintenance system to identify types of obstacles and patterns experienced embedding an RCM maintenance program. The outcome of the RCM process also sought to identify the impact on maintenance of the rolling stock ( known as the revenue vehicles carrying passengers or a train) with regard to availability, reliability, and safety. This data may serve to help rail transit leaders determine future strategic directions that would improve this industry.
This chapter includes an overview of the case study, the general and specific problem studied, the purpose statement, the significance of the study, the significance of the study to leadership, the nature of the study, the research questions, and the conceptual framework that guided the case study. It also includes definitions of key terms, assumptions, limitations, delimitations, and a section summary. The summary recaps significant points of the study regarding the implementing of an RCM process in a heavy railway transit agency.
Background of the Problem
According to the American Public Transportation Association ( APTA) ( 2007), heavy rail transit agencies in 2005 spent more than $ 5.2 billion dollars on maintaining rolling stock, Mineta Transportation Institute
Introduction
4
which represents a substantial amount of their operating budget. Heavy rail transit agencies depend on their fleet of rolling stock to move their patrons from point- A to point- B. The lack of a properly maintained fleet could create service problems that result in a change in leadership at the affected agency. A sustainable inability to provide transit service could even force the agency to seek bankruptcy protection. In order for heavy rail transit agencies to sustain their existence, transit leaders, may want to explore if an RCM- based maintenance process in a non- RCM- based maintenance organization is an option.
The demand for public transportation in the 21st century is estimated to increase based on a number of factors, including: ( a) growing population, ( b) increases in cost of fuel for personal vehicles, ( c) increases in traffic congestion, ( d) environmental concerns and the green revolution, ( e) urban growth, and ( f) increasing employment ( APTA 2006; Capital Corridor 2007; Celik and Yankaya 2006). These factors can influence decisions made by a heavy rail transit board of directors. The government and the public both realize the economic importance of rapid transit agencies ( APTA). Rapid transit agencies are established to provide transportation services to the general public, and are governed by a board of directors.
The board of directors of heavy rail transit agencies is accountable to several governing bodies, including county, state, and federal governments. The board of directors oversees the operation of the transit agency, and their stakeholders and constituencies hold them accountable for their business decisions. According to Capital Corridor ( 2007), the government supports mass transit, primarily because it offers an efficient carbon footprint over personal vehicles, thus reducing the amount of global warming gases emitted by individual vehicles. Public transportation is supported because heavy rail transit systems are more efficient to operate and cost less per passenger mile than traveling by personal vehicle ( Capital Corridor 2007).
Compared to the initial stagecoach transit system, heavy rail transit systems of the 21st century are considerably more complex, efficient, and effective ( Middleton 2006). These innovations are attributed to the advances in complex solid- state technology and the Information Age ( Wolinsky 2006). Middleton ( 2006) noted that the more sophisticated and complex the transit vehicles ( also known as rolling stock) design becomes, the more maintenance the rolling stock requires to remain efficient and reliable.
Increased rolling stock complexity increases the likelihood that failures will be experienced; frequent maintenance inspections are deemed necessary to avoid recurrent failures ( Hansson et al. 2002; Tsang 2002). Non- operational rolling stock is difficult to remove from service because of the disruption to schedule when it fails on mainline ( Lustig 2005). Mainline failures cause system- wide delays and customer dissatisfaction with the transit agency ( BART 2006a). The goal of the maintenance department is to eliminate or correct any known problem on the rolling stock, ( e. g., brake problem, propulsion, or HVAC) or any mechanical failure that would keep the train from moving on its own propulsion. Rolling stock absent of any mechanical or electrical failures are considered revenue ready vehicles ( operational rolling stock) ready for revenue service.
Heavy rail transit agencies are heavily invested in rolling stock, which consists of heavy, Mineta Transportation Institute
Introduction 5
complex, and expensive machinery. Due to the nature of such machinery, agencies need to consider various methods of maintenance. Backlund and Akersten ( 2003) documented that organizations that had implemented an RCM- based maintenance process realized an increase in rolling stock availability, reliability, and safety.
RCM Principles
Moubray ( as cited in Mostafa 2004) defined RCM “ as a process used to determine the maintenance requirements of any physical asset in its operating context, and [ to] determine what must be done to ensure that the equipment continues to fulfill its function” ( 109). Backlund and Akersten ( 2003) noted that the RCM process combined several well- known risk analysis tools and techniques, including failure modes and effect analysis, as well as decision- tree analysis to identify problematic areas. Wheeler ( 2007) stated that the RCM process is more than just a way of performing maintenance. Wheeler noted “ in a nut shell, it’s a way at looking at system performance in terms of the impact of a failure and then mitigating those results by design, detection, or effective maintenance” ( 38).
According to Backlund and Akersten ( 2003), different terms have been used in the literature to refer to RCM- based maintenance. Researchers have used the terms RCM process, RCM technique, and RCM method interchangeably. According to Backlund and Akersten ( 2003), RCM is a process to maintain or improve reliability, availability, and safety, as well as control the cost of maintenance by reducing the amount of maintenance required.
Tsang ( 2002) reported that maintenance plays a vital role in any organization using machinery and should be incorporated into an organizations’ business model. Backlund and Akersten ( 2003) and Hansson et al. ( 2002) reported that for an efficient and successful implementation of the RCM process, organizations might need to review their current business processes.
Several transit agency directors have challenged railway managers to seek alternative methods to the existing maintenance processes to optimize rolling stock reliability, improve availability, and reduce maintenance costs ( BART 2006a). Managers of heavy rail transit agencies are looking for a method of optimizing the performance of maintenance programs and availability of rolling stock while reducing maintenance costs.
One potential process that managers explored was RCM, in which RCM uses statistical analysis tools to optimize the performance of the equipment ( Backlund and Akersten 2003; Fleming 2006; Hanson and Backlund 2003; Pintelon et al. 1999; Schein,  2004). The absence of a published study regarding implementing an RCM process in heavy rail transit agency may be limiting understanding of how the process functions and why it may be successfully applied to heavy rail transit agencies. Exploring the embedding of the RCM process and its outcome in one heavy rail transit agency may contribute to the adoption of an RCM process at other transit agencies. Adoption of an RCM process may allow heavy rail transit agencies to optimize performance, increase reliability, availability, and improve the safety of the rolling stock at a reasonable economic cost ( BART 2006a). Mineta Transportation Institute
6 Introduction
Statementtatementtatement of the Problem
The general problem that is addressed in this study relates to a number of failures ( ranging from a quantity of 5, and as many as 15 or more) of rolling stock that are experienced by heavy rail transit and the organizational need to cope with them ( BART 2006a). For example, San Francisco Bay Area Rapid Transit ( BART) reported that heavy rail transit agencies experience frequent and long service delays almost daily. These delays are often greater than 5 minutes and frequently occur during peak revenue hours. Since the inception of rolling stock, leaders in the heavy rail transit industry have operated the rolling stock until it failed.
Operational failures not only impact the customers’ satisfaction level and increase maintenance cost ( BART 2006a; Forker, Vickery, and Droge 1996), but also deter patrons from relying on public transportation ( Murthy, Atrens, and Eccleston 2002). According to BART, a decrease in ridership results in a loss of fare- box revenue, which is essential for maintaining and operating an urban railway transit system. A cycle of rolling stock maintenance failures due to poor maintenance practices leads to a loss of revenue for the transit agency.
The specific problem is the lack of sufficient knowledge about the obstacles and patterns experienced by heavy rail transit agencies when implementing an RCM process and the outcome of RCM with regard to rolling stock availability, reliability and safety.
One specific way of coping with rolling stock failures can be through the advantages offered by an RCM process. A lack of knowledge makes it more challenging for leaders of heavy rail transit agencies to address the barriers to a smooth transition implementing the RCM process. The gap in the literature regarding traditional challenges highlights the need for studies that examine RCM transitional experiences. The result of this study may influence leaders on strategies that would contribute to minimizing or avoiding potential obstacles ( including lack of management support and understanding, lack of training, partial implementation, and well- defined goals) experienced by other heavy rail transit agencies during the RCM embedding process. Transit agencies struggle to keep their rolling stock revenue ready, they can minimize and avoid potential obstacles by seeking to locate maintenance strategies that can optimize rolling stock performance.
The focus of this qualitative case study was to interview 20 employees— one group in management ( 10 cases), and the other in non- management positions ( 10 cases)— of an East Coast United States rail transit agency who have at least one year of work experience with the use and implementation of an RCM- based program. QSR- NVivo 8 software was used to perform content analysis of interviews and project documentation ( e. g., project progress reports, memorandums, project reports, and email) to identify themes and trends of obstacles and patterns experienced implementing and using an RCM- based program. This data may serve to help leaders of rail transit systems determine future strategic and profitable directions of this industry. Mineta Transportation Institute
Introduction 7
Purpose of the Study
The purpose of this qualitative case study was to identify themes of obstacles experienced by maintenance employees during the implementation of the RCM process at a single heavy rail transit agency. One part of the case study focused on two groups of heavy rail transit maintenance employees in North America, one group in management ( 10 cases) and the other group in non- management positions ( 10 cases). The other part of the case study explored the outcome of the RCM process to determine the impact that the RCM process has had on the rolling stock with regard to change in availability, reliability, and safety. This single case study used an embedded design in which more than one unit of analysis was examined. The units of analysis will include in- depth personal interviews for the first part of the study, and project documentation ( e. g., project progress reports, memorandums, project reports, and email) for the second part of the study.
A case study research design was appropriate because it allows the identification of events to help describe the RCM implementation obstacles and patterns, including any changes in rolling stock availability, reliability, and safety. The gathering of information may help to develop an in- depth understanding of the phenomenon. Multiple data collection methods were used to triangulate on the topic under study. These multiple data collection methods included in- depth telephone interviews and project documentation review ( project progress reports, memorandums, project reports, and email).
QSR- NVivo 8 software was used to do a content analysis of the interview data and project documentation ( e. g., project progress reports, memorandums, project reports, and email). The exploration of the interview data may identify themes, patterns, and keywords using the QSR- NVivo 8 software. Content analysis was used for the written documentation. The selected employees who were considered are subject matter experts ( SME) in their field. The participants of the study were full- time employees who have been with the organization longer than one year and have been involved with the implementation and use of RCM.
Significance of the Study toto Leadership
The first part of the study sought to uncover information about the obstacles that were experienced by the heavy rail transit agency when implementing the RCM strategy. Data from this study could provide new insights into changes on the availability, reliability, and safety of the rolling stock fleet as a result of applying an RCM strategy. The experiences of implementing an RCM process using the shared perceptions of one agency may serve to inform the management of other agencies regarding how to deal with patterns and obstacles.
The exploration and identification of the patterns and obstacles was important because organizational leaders in other heavy rail transit systems may use this knowledge to assist in embedding the process more smoothly, efficiently, and effectively to obtain the desired end results. By examining and exploring patterns associated with the embedding of an RCM process at a heavy rail transit agency, the findings could provide information that may help other heavy rail transit properties reduce the stress associated with implementing the same or a similar maintenance strategy. The data may provide leaders with a point Mineta Transportation Institute
8 Introduction
of departure for heavy rail transit agencies looking for a more predictable solution. The data may assist transit agency leaders avoid organizational resistance to change while implementing an innovative RCM maintenance strategy.
Natureature of the Study
The purpose of the qualitative two- part case study was ( a) to explore and gain a holistic understanding of the obstacles encountered while embedding an RCM process at a single heavy rail transit agency; and ( b) to explore if applying the RCM process changed the availability, reliability, and safety of the rolling stock. By exploring the implementation of the RCM process, other transit agencies will be better able to strategically design and implement a similar RCM- based maintenance process. The heavy rail transit agency used for this case study was selected because of its availability to be studied. This heavy rail transit agency was one of the first to incorporate RCM into their maintenance practice. On its ships, the U. S. Navy uses the RCM process to analyze the fleet’s maintenance requirement. As a result the Navy has witnessed significant benefits in equipment availability, reliability, and safety on board its fleet.
A qualitative research method was chosen over a quantitative or mixed method for this study. Creswell ( 2005) described a qualitative study as the ability to ask participants broad questions to collect data that will be in the form of stories and experiences. Qualitative researchers pose questions that gauge the experiences of the participants ( Creswell). The respondents’ ability to express personal views in their own words is an important component of qualitative research. A qualitative method is appropriate for this study because it provides a deeper understanding of the RCM implementation and use by individuals who have been involved in the process. Qualitative research is an appropriate research method when there is a need to study and understand an unknown ( Yin 2003).
Quantitative research was not selected because it focuses on exacting measurements into such areas as business research, consumer behavior, extent of understandings, knowledge, attitudes, and opinions, providing conclusions about how many, who, and when ( Creswell 2005). Quantitative research does not meet the need of this study to identify themes leading to an understanding of the outcome.
In this qualitative case study the participants were asked to describe the complex nature ( Yin 2003) of embedding an RCM process in order to obtain a holistic perspective on the types of obstacles experienced by the different groups during the embedding of the RCM process in a natural setting and the outcome of the RCM process. A qualitative method is chosen over other research methods because the study will explore obstacles, patterns, and themes that may identify the reasons heavy rail transit agencies do not implement RCM- based programs.
Yin ( 2003) reported case studies are an appropriate method to use when seeking to understand social and human challenges. Leedy and Ormrod ( 2005) noted that researchers typically use qualitative designs to answer questions about a complex natural phenomenon, often with the purpose of describing and understanding the phenomenon from the participants’ perspectives. This case study collected data by conducting in- Mineta Transportation Institute
Introduction 9
depth interviews and by exploring project documentation, such as progress and project reports, memorandums, and other forms of documentation, to answer questions about the phenomena.
The study sought to identify ( a) the types of obstacles and patterns that will be necessary for the agency to overcome during the embedding of the RCM program or any obstacles that have not been resolved; and ( b) establish changes in rolling stock availability, reliability, and safety since the implementation of the RCM process. This was achieved through the review of qualitative data obtained from personal interviews and through the review of project documentation ( e. g., project progress reports, memorandums, project reports, and email). The goal of the research was be to evaluate the efficacy of the RCM maintenance program, not to predict the outcome of the program on the equipment.
Research Questions
The following two research questions guided this qualitative case study.
Research Question 1: What were the major obstacles encountered implementing the • RCM process?
Research Question 2: What has been the impact on the rolling stock since the • implementation of the RCM process with regard to rolling stock availability, reliability, and safety?
Conceptual Framework
As organizations move into the 21st century, multinational leaders, railway managers, and railway maintenance employees face new and challenging issues such as innovation, technology, quality movement, and downsizing ( Newstrom and Davis 2002). Newstrom and Davis ( 2002) noted that organizations must be flexible and willing to recognize and accept change to remain competitive. Chowdhury ( 2003) reported:
Organizations must create ( a) a constant learning environment that embraces positive challenges, ( b) a fearless environment where people can collaborate with one another, ( c) a diversified environment where people think differently and value each other’s thinking, ( d) new ways of looking at old problems and opportunities and a strong sense of urgency, and ( e) a culture that effectively leverages talent. ( 1)
Chowdhury ( 2003) noted that organizations must examine new ways of resolving old problems, which becomes an important strategy for the sustainability of organizations. For example, an examination of existing maintenance techniques and the introduction of new techniques might help uncover a viable solution to an existing problem, and a newly proposed maintenance solution that can trigger a paradigm shift for the maintenance process in the organization. According to Newstrom and Davis ( 2002), a paradigm is a model, a pattern, or “ framework of possible explanations about how things work” ( 33). Underlying paradigm shifts are powerful guides that form and guide managers’ behavior Mineta Transportation Institute
10 Introduction
and later become integral elements in transforming an organization’s current business model ( Newstrom and Davis 2002). The paradigm shift may influence how a transit agency performs maintenance on the rolling stock.
Paradigm shifts tend to influence managers’ perceptions of an organization’s business model and can assist in resolving old problems with new approaches ( Newstrom and Davis 2002). According to Newstrom and Davis, organizations require a paradigm shift to resolve old problems with tools previously developed for and used in other industries. The RCM process was developed and has been used in the airline industry since the 1960s; its application could be considered a maintenance paradigm shift for the heavy rail transit industry.
Management Theory
Management Theory was selected for this qualitative case study. Fredrick W. Taylor first introduced management Theory in 1911. The RCM process is grounded in the work of Fredrick W. Taylor, a scientific management theorist. Taylor believed that minimizing unnecessary steps could result in efficient productivity. According to Wren ( 2004), Taylor utilized time motion study to analyze and minimize the number of redundant steps, thus increasing productivity and efficiency.
Management theory consists of applying quantitative management techniques to resolve management and organizational challenges ( Bowditch and Buono 2005). This may require that organizations evaluate their strategic perspectives, combined with planning and forecasting to reach the organizational goals. Today, management science has expanded to include management practices, such as Just- In- Time ( JIT), Six Sigma, Total Quality Management ( TQM), and Continuous Improvement ( CI) programs ( Bowditch and Buono 2005). The same scientific management concepts will be applied to the RCM process. Organizations today continue to seek scientific principles to improve how organizations become effective and efficient.
Definition of Terms
Defining terms serves to convey an understanding of each term’s specific meaning. The following terms are defined with a brief discussion of their intended meaning.
Computerized Maintenance Management System ( CMMS): A CMMS is an application that runs on a computer. The user can schedule future maintenance work, view what work has been performed, and track equipment performance. The application allows the user the flexibility to run reports at will ( Wilmeth and Usrey 2000).
Failure Mode, Effects, and Criticality Analysis ( FMECA): Failure mode, effects, and criticality analysis is an analytical tool for evaluating products and processes that can be used to prevent failure or malfunction ( Moubray 1997).
Heavy rail: Heavy rail consists of an electric railway with the capability of carrying a high capacity of passengers at high speeds and with rapid acceleration in a separate right of Mineta Transportation Institute
Introduction 11
way ( APTA 2006). Heavy rail is also known as metro, subway, rapid transit, or rapid rail.
Light rail: Light rail vehicles are also known as streetcars, tramways, or trolleys. These transit vehicles are lightweight passenger rail cars driven on a non- dedicated right of way. Light rail draws electric power from an overhead power line via a trolley or a pantograph ( APTA 2006).
Mean Time Between Failures ( MTBF): The mean time between failures is the arithmetic average of the time between physical hardware and or software failure ( Wu, Liu, Ding, and Liu 2004).
Reliability Centered Maintenance ( RCM): The process of Reliability Centered Maintenance helps determine the maintenance requirements of any asset and helps conduct analysis to ensure the asset continues to perform the task without loss of function. Reliability Centered Maintenance combines several well- known risk- analysis tools and techniques that can identify failure modes, along with decision trees to identify problematic areas ( Backlund and Akersten 2003; Delzell and Pithan 1996; Fleming 2006; Toomey 2006). In this study, the term RCM process is used when referring to a series of maintenance actions or operations conducted to obtain a desired goal or objective.
Rolling stock: Rolling stock consists of the revenue vehicles or cars used for providing transit service for passengers. Rolling stock includes the chassis and the control logic for each of the cars ( APTA 2006).
Run- to- failure: Run- to- failure is a form of maintenance that allows the component to fail without affecting the safety of the asset. Run- to- failure requires removal of the asset from service to correct the failure ( Mostafa 2004).
Total Productive Maintenance ( TPM): Total productive maintenance is a means to improve the performance and condition of projects or manufacturing plants with the assistance of repetitive maintenance activities ( Sharma, Kumar, and Kumar 2005).
Unscheduled maintenance: Unscheduled maintenance consists of any maintenance actions initiated by the governing property because of malfunction of the equipment ( APTA 2006).
Wayside: Wayside is equipment located along the track and not located in a remote location such as a control room ( APTA 2006).
Assumptions
Assumptions are concepts that are accepted as truths or “ statements about the nature of things that are not observable or testable” ( Neuman 2003, 49). The following assumptions are not in any specific order of importance. This study identified five assumptions that were made for this qualitative case study. The first assumption was that participants understood the confidentiality and anonymity provided to them and would respond openly and candidly. The second assumption was that the participants of the heavy rail transit RCM process Mineta Transportation Institute
12 Introduction
recall accurately what, how, and why certain events were obstacles in the implementation of the RCM process. The third assumption was that the participants had a positive attitude towards the heavy rail transit RCM implementation process. The fourth assumption was that the RCM process at the heavy rail transit agency was successful. A successful RCM process may be verified by reviewing maintenance records or by examining if there was an increase in rolling stock availability or reliability. The fifth assumption was that the obstacles experienced during the embedding process at this agency could be successfully mitigated at other heavy rail transit agencies.
Limitationsimitationsimitations
Creswell ( 2005) described limitations as “ potential weaknesses or problems with the study that are identified by the researcher” ( 253). The qualitative case study had several limitations. One limitation was that this study focused on a single heavy rail transit agency. There were a number of employees at this transit agency, the sample of participants was small compared to the relative number of employees. Another limitation of the case study pertained to the participant population, which consists only of maintenance department managers and non- managers as opposed to engineering, transportation and finance. Another limitation was geographical. Because of the geographical distance of the chosen transit agency from the researcher’s home, the researcher conducted interviews by telephone. The digital voice recorded telephone interviews eliminated face- to- face contact, which would have allowed collecting body language as an additional source of data. The use of multiple sources of data, which included written agency documentation and personal interviews, helped to minimize potential bias.
Delimitationselimitationselimitations
In a research study, delimitations were used to narrow the scope of the study or to list what is not included or intended in the study ( Creswell 2005). This study contained several delimitations. The study involved a single heavy rail transit agency. Only a few RCM heavy rail transit agencies exist. The study did not examine more than the one that indicated a willingness to participate. Within this single transit agency, the study focused only on the maintenance department and excluded other departments or higher- level executives within the transit agency. The only department that participated in the study was the maintenance department, known as the Rolling Stock and Shop ( RS& S). Another delimitation of the case study was that it included only a single department that had been using the RCM process for longer than one year. The final delimitation was that the study consisted of only two groups of heavy rail transit maintenance employees, one group in management positions ( 10 cases) and one group in non- management positions ( 10 cases), which represented only a fraction of the employees who work in the RS& S maintenance department.
Summaryummary
Multinational leaders, managers, and employees of heavy rail transit agencies face new challenges in the 21st century related to innovation, technology, quality assurance movements, and downsizing initiatives ( Newstrom and Davis 2002). One such innovation Mineta Transportation Institute
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that makes use of technology to drive quality management is RCM ( Backlund and Akersten 2003; Campbell and Reyes- Picknell 2006; Hansson et al. 2002). The RCM process has been shown to reduce the cost of maintaining equipment in other industries ( Backlund and Akersten 2003; Delzell and Pithan 1996; Fleming 2006; Toomey 2006) and appears to have the same ability to reduce maintenance on rolling stock in the heavy transit industry. A few instances exist where the RCM process has been implemented in the heavy transit industry ( Cotaina, Matos, Chabrol, Djeapragache, Prete, and Carretero 2000). By understanding the embedding of an RCM process, managers at other transit agencies may be able to implement a similar program to reduce mainline system failures, increase rolling stock availability and reliability, and extend the life cycle of the rolling stock until funding can be identified for procurement of new rolling stock.
This qualitative case study sought to explore and identify the types of obstacles and patterns experienced by heavy rail transit maintenance employees who have implemented RCM and have at least one year of experience with the use and implementation of this system. This study collected, analyzed, and interpreted detailed information to produce an in- depth understanding of the obstacles and outcomes of the RCM process at the particular heavy rail transit agency in North America.
An understanding of the types of obstacles and pattern of implementing an RCM process at an existing heavy rail transit system may help other transit agencies develop a support system that can guide other transit agencies to implement a similar RCM- based maintenance program. This might offer management at heavy rail transit systems insight to the challenges they face implementing a maintenance program that may have an impact on the availability, reliability, profitability, and safety.
The qualitative case study expands the existing body of knowledge in the literature, exploring obstacles that heavy rail transit agencies face while embedding an RCM- based maintenance program, and by exploring and identifying patterns of difficulties during the implementation of the program. The qualitative case study also expands the existing body of knowledge in the literature by determining the impact an RCM- based maintenance program has on the rolling stock with regard to availability, reliability, and safety. Leaders of heavy rail transit may use results of this study to become aware of the various obstacles and patterns potentially encountered when implementing an RCM- based maintenance program.
The resulting research data can be utilized to overcome the barriers of implementing such a program. The results created knowledge of availability, reliability, and safety of rolling stock and the maintenance strategy for optimal availability, reliability, and safety of rolling stock through the RCM process. The RCM process may enhance the maintenance process of the organization and realizes a better understanding of the Return on Investment ( ROI).
Organization of this Study
The next chapter presents a review of the literature that guided the case study. The literature review includes an examination of the importance of the RCM process in other Mineta Transportation Institute
14 Introduction
industries, and provides evidence indicating that the RCM process might serve heavy rail transit agencies as well as it has served the airline industry, the power generation industry ( e. g., fossil and nuclear), and the automotive manufacturing industry. The next chapter, Methodology, describes the research methods used in compiling this study. The following chapter, “ Presentation and Analysis of Data,” answers the two reserach questions, “ What were the major obstacles encountered implementing the RCM process?” and “ What has been the impact on the rolling stock since the implementation of the RCM process with regard to rolling stock availability, reliability, and safety?” The study concludes with a chapter titled “ Conclusions and Recommendations.” Appendices include milestones in United States trainsit history, a list of transit organizations in North America, and materials used in obtaining the data used in this report. Mineta Transportation Institute
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REVIEW OF THE LITERATURE
The purpose of this qualitative case study was to identify themes of obstacles experienced by maintenance employees during the implementation of the RCM process at a single heavy rail transit agency. One part of the case study focused on two groups of heavy rail transit maintenance employees in North America, one group in management ( 10 cases) and the other group in non- management positions ( 10 cases). The other part of the case study explored the outcome of the RCM process to determine the impact that the RCM process had on the rolling stock with regard to change in availability, reliability, and safety.
This chapter is a review of the literature that guided the case study illustrating successful and failed implementations of RCM processes that have been documented in other industries; none of the literature researched discussed the implementation of an RCM process in the heavy rail transit industry. Examination of the importance of the RCM process in other industries provides evidence indicating that the RCM process may serve heavy rail transit agency as well as it has served the airline, power generation ( e. g. fossil and nuclear), and automotive manufacturing industries.
According to Backlund and Akersten ( 2003), a number of obstacles are experienced during the implementation of an RCM process. The aim or goal was be to provide leaders at heavy rail transit agencies with the knowledge to avoid same or similar obstacles that were experienced in other industries, allowing for a smother transition. The second goal of the study was to review the outcome of the RCM process to identify the impact of RCM on availability, reliability, and safety of rolling stock.
Hansson et al. ( 2002) noted that companies in the transportation, aviation and power plant industry realized that, in order to remain competitive, maintenance must be performed. This will ultimately improve the efficiency and safety of the equipment. The quality and frequency of maintenance plays a significant role because it affects the performance of the equipment ( Backlund and Akersten 2003; Hansson et al. 2002). Hansson et al. identified in the same case study that organizational livelihood depends on the performance of equipment.
Equipment performance can be tracked with a computerized maintenance management system. When the equipment is off line or in a state of disrepair, the organization is losing revenue ( Murthy et al. 2002; Wu 2004). Murthy et al. ( 2002) reported that the loss of revenue in an open- cut mining operation caused by non- operational equipment could be as high as $ 500,000 to $ 1,000,000 per day. In an airline operation, the loss of revenue from a Boeing 747 plane being out of service could reach $ 500,000 per day ( Murthy et al. 2002). Smith and Hinchcliffe ( 2004), noted that organizations should perform frequent maintenance in order to ensure the equipment is performing optimally. Equipment not properly maintained will experience failure during critical moments, such as when approaching a deadline or during a time of high volume. According to BART ( 2006b), mainline failure or unreliable forms of transportation can persuade patrons to find alternative forms of transportation driving away patrons, resulting in a reduction of revenue. Public transit agencies have a legal liability of ensuring that maintenance is performed to ensure that safety is not compromised, and meets oversight regulatory needs ( BART 2006b). Mineta Transportation Institute
Review of the Literature
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Companies in the aviation, automotive, fossil, and nuclear power industries that have implemented an RCM process have operated more efficiently, effectively, and with increased equipment reliability ( Hansson et al. 2002; Smith and Hinchcliffe 2004; Moubray 1997; Pintelon, Nagarur, and Van Puyvelde 1999). Because transit agencies rely heavily on high quality preventative maintenance to minimize equipment failure, the successful use of RCM in the transit industry appears to be worthy of case study.
The authors reported that many successful RCM implementations have been documented; several failed RCM implementations have been documented. Many implementations failed because they were poorly implemented, or not fully supported by upper management ( Backlund and Akersten 2003; Hansson et al. 2002). In the study by Backlund and Akersten, ( 2003) the authors discussed the imortance of making the RCM process a long- term goal of the organization, with full support and buy- in from senior and middle management. The study reported organizations that failed to have full support of senior and middle management failed to successfully implement an RCM process. Backlund and Akersten ( 2003) reported that management and employee buy- in is relatively important, the more people involved in the process, the greater the challenge to involve more people.
The relatively frequent failure of RCM implementation is viewed as problematic and a weakness of RCM, often leading management and individuals to look for other maintenance strategies that have less vulnerability ( Hansson et al. 2002). Hansson et al. ( 2002) identified that RCM implementation requires the commitment from the entire organization. RCM needs to be an integral part of the fabric of the organization, meaning that the RCM process should be incorporated in the strategic plan of the organization in order to be supported by staff and management ( Backlund and Akersten 2003; Fleming 2006).
Documentation
The purpose of this section is to examine relevant literature regarding the phenomena of managing an RCM implementation in order to examine the obstacles and patterns experienced by heavy rail transit agencies. The literature review includes current research in RCM implementation in industries other than transportation, as well as background information on relevant maintenance processes. The characteristics of successful RCM implementation identified in the research literature are examined to determine if similar experiences were encountered by the transportation industry in an effort to increase equipment availability, efficiency, and offer both a reduction of unplanned maintenance and cost savings. Several title searches were conducted to find germane information on the following topics: ( a) the economic importance of rapid transit both historically and currently, ( b) transit deterioration due to a lack of maintenance, ( c) transit maintenance strategies ( e. g., strengths and weaknesses), ( d) overview of RCM, ( e), computerized maintenance management systems, and ( f) impact of organizational culture changes as a result of RCM.
The literature research findings were obtained from title searches, journals, refereed journal articles, books, case studies and research documents. The University of Phoenix’s online library collection was utilized including EBSCOhost, ProQuest, ProQuest Digital Mineta Transportation Institute
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Dissertation, and Thomson Gale PowerSearch ( see Appendix J). Literature was obtained from the Harmer E. Davis transportation library located at the University of California, Berkeley campus. The research identifies a dearth of information dealing with embedding an RCM process in a rapid transit environment. This gap in the literature served as the foundation for the case study such that the body of knowledge regarding the introduction of RCM serves as a strategic means to optimize the operation by the leadership at heavy rail transit agencies.
Urban Transportationransportationransportation in North America
The history of rapid transit began with the first transit system, which consisted of stagecoaches pulled by horses. Over time, horses were replaced with other motive sources such as pneumatic, steam, cable, and electricity. Middleton ( 2003), a rapid transit historian, reported that the first urban transit system in North America appeared in New York City in 1827, consisting of horse- drawn stagecoaches.
By 1832, the New York City stagecoaches were replaced by horse- drawn streetcars. The congestion on the street from the horse- drawn streetcars, pedestrians, and private stagecoaches, became a concern for the growing city ( IIes 2005). Middleton reported that in 1867, an innovator named Alfred Beach proposed to resolve the congestion problem on New York City streets with a pneumatic subway, which he subsequently designed and built. His pneumatic subway used air to power the trains under street level, avoiding the use of conventional steam engines. Beach’s innovation used 10- foot fans located at each end of the subway to propel the train along the subway line.
Middleton ( 2003) went on to report that in 1866, William Hemstreet built a transit system that was elevated 30 feet above the busy streets of New York City. The elevated railway transit system operated for the next two decades. Middleton posited that since the introduction and subsequent abandonment of the pneumatic subway in 1870, other innovators proposed, designed, and built different configurations of railway transit systems.
Schwarz ( 1998) reported that San Francisco, California was the first city to successfully implement a street railway system powered by a cable running underneath the city streets. Andrew Hallidie, the owner of the cable car railway, placed it into service on September 1, 1873. The cable car line traversed six- tenths of a mile and ran between Kearney Street and Jones Street, known as the Clay Street line ( Schwarz 1998). According to Schwarz, the cable cars were popular and practical until the advent of the electric powered streetcars. With the advent of the electric streetcar, cable cars continued to fill a niche in the city’s transit scheme, while electric cars offered service to much of the rest of the city.
Semsel ( 2001) reported that owners Edward Bentley and Walter Knight, of the East Cleveland Street Railway, were the first to commission an electric powered railway. The electric system carried its first passenger on a one- mile route along Garden Street in Cleveland in 1884. This electric powered railway was capable of operating at speeds up to 25 mph. Due to several technical problems the electric vehicles were removed from service, and horse drawn vehicles were reinstated within less than 7 years ( Semel 2001).
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In 1889, Eben M. Boynton created the Boynton Bicycle Railway, which developed the concept of a steam- powered locomotive monorail train. This bicycle railway ran on a single running rail, giving birth to the monorail. While the idea of the steam- powered locomotive monorail did not catch on, this did not discourage inventor Eben M. Boynton from developing another locomotive concept. By 1894, Boynton had developed the Boynton Electric Bicycle Railway. This electric powered train was able to travel at speeds up to 100 mph on a 2- mile test track in Long Island New York ( Middleton 2003). The train operated on the 2- mile test track for 2 years and was later abandoned.
In 1901, the popularity of the monorail design influenced the development of a 9.3 mile suspended monorail rapid transit system in Germany ( Middleton 2003). According to Middleton, by 1910, New York City had developed a monorail transit system capable of reaching 50 mph. Middleton goes on to report that these innovative monorail successes influenced the construction of additional European rapid transit lines. In 1921, the Russian government constructed a 20- mile monorail. A similar design in 1929 was developed in Glasgow, Scotland, which operated using a steam diesel- electric propulsion system ( Middleton 2003).
Since the 1900s, several transit designs have used subway, elevated tracks, and at- grade guideways. Designs incorporated pneumatic, steam, complex cable, and electricity to propel the trains. While each of the propulsion systems offer advantages and disadvantages, pneumatic and steam solutions have been largely abandoned, while cable remains suitable for limited situations.
Since the introduction of Beach’s rapid transit system, many forms of underground ( e. g., subway) and elevated railway transit systems have been constructed. After 1900, railway rapid transit increased in popularity and eventually replaced the horse- and mule- drawn carriages. Appendix A illustrates additional milestones of the U. S. public transportation history.
Public Transportationransportationransportation Ridership Trends
Heavy rail transit systems have grown in popularity for several reasons ( APTA 2006). Patrons rely on public railway transit systems primarily because of the increasingly high cost of automobile fuel, traffic congestion, escalating property costs, and environmental concerns, as well as the systems’ convenience and efficiency ( APTA 2006; Capital Corridor 2007; Celik and Yankaya 2006). The public transportation ridership trend illustrated in Figure 1 clearly illustrates the trends and importance of transit to the United States since the early1900s ( APTA 2006).
According to APTA ( 2006), various social and economic factors have affected the popularity of public transportation. In the beginning of the 20th century, ridership grew at a steady rate until the Great Depression ( see Figure 1). Between 1929 and 1939 ridership declined ( APTA), which was directly attributed to the loss of jobs and lack of money. The patron ridership increased again during World War II, when public transport became the main mode of transportation in many urban areas. Ridership peaked in 1946 with more than 23.4 billion trips reported on trains, buses, and trolleys. The increase in ridership in Mineta Transportation Institute
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the early 1940s was directly attributed to the large increase in the workforce supporting the war, the rationing of fuel, and a shortage of automobiles, which were scrapped for their metal to support the war effort ( Kirk 1995).
Billions of Passenger Trips in the United States from 1900 to PresentFigure 1.
( Copyright 2003 by APTA. Permission to reproduce by APTA [ Appendix I]).
APTA ( 2006) reported that following World War II, public transport experienced a decline in ridership due to low- density suburban housing and the availability of individual cars with cheap gas and more highways. By 1960, public transportation ridership had declined to 9.3 billion trips, and the number continued to fall, reaching 6.5 billion trips by 1972 ( APTA). Ridership then increased and reached 9.6 billion trips by 2004. This increase resulted from a strong economy and better relations with patrons, as well as government support for public transportation and the passing of a funding resolution bill in 1991, making public transportation more economical than other modes ( APTA 2006).
The Economic Importance of Rapid Transit
According to the American Public Transportation Association ( APTA) report ( 2006), rapid transit plays a vital role to the economy, both historically and presently. The APTA report, noted that the public transportation industry was a $ 27 billion industry. Over the last several years transit agencies have been partnering with both private and public sectors. The joint business partnership has worked well for transit agencies and the private sector. According to APTA, capital investments in public transportation spark an economic chain reaction generating hundreds, if not thousands, of jobs. In 2004, more than $ 13.2 billion tax dollars were spent on capital expenses to procure rolling stock, facilities guide ways, stations, administrative buildings, and other expenses, of which 28.7 percent was spent on actual heavy rail ( APTA).
Investing in public transportation has a positive effect on the local economy ( APTA 2006). Public transportation investments stimulate the economy by generating business sales; for example, every $ 10 million in capital investment in public transportation can result in $ 30 million in business sales, and the creation of 310 additional jobs ( APTA 2006). The 14 heavy rail rapid transit agencies in North America employ more than 47,000 Mineta Transportation Institute
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employees nationwide ( see Appendix B) ( Public Transportation Fact Book 2006). Public transportation stations attract and promote development, often creating transit villages, which encourage the use of public transportation, and discourage the use of a private vehicle ( APTA).
Several transit agencies have embraced transit- oriented development ( TOD), which often leads to new jobs and an increased revenue base ( APTA 2006). TODs are private- public partnership developments near and around stations. Thee typically consist of residential and commercial property ( APTA 2006). These high- density residential properties are known as transit villages. The individuals who reside in transit villages adjacent to rail stations are more likely to use public transportation, and rely less on personal motor vehicles ( APTA 2006). Transit agencies who offer efficient, reliable, and safe service are more likely to attract these patrons, resulting in revenue for maintenance and operation of the system.
Importance of Rapid Transit
The rising costs of property in metropolitan cities have forced individuals to relocate to the suburbs in order to find greater value in real estate. With the relocation of families to the suburbs, more individuals rely on commuter rail or rapid transit as a means to commute to work. Empirical data revealed when new transit lines are brought to suppressed areas, property value increases ( APTA 2006). A number of other factors may influence individuals to consider heavy rail transit as their primary form of transportation.
Economic factors include the rising cost of parking, major roadwork or repair, serving the needs of economically disadvantaged individuals who cannot afford to procure a motor vehicle, insurance premiums, and car maintenance. This includes both the young and mature populations who do not operate a motor vehicle. As individuals continue to move to the suburbs, many come to depend on public transportation due to environmental concerns or because they belong to the aging population ( APTA 2006). Since many patrons rely on heavy rail transit as their primary form of transportation, the transit system needs to function optimally, reliably, and economically.
The increase in demand requires longer or additional trains for frequent service. Increasing train length or frequency of service on any line requires that trains be more reliable to minimize any failure during revenue service. The added service translates into higher maintenance costs that must be controlled. Maintenance must optimally and efficiently be performed in order to minimize failure during revenue service.
According to Holmgren ( 2005) and Backlund and Akersten ( 2003), implementing the RCM process is a means of optimizing equipment functionality and reducing maintenance inefficiencies and cost. Holmgren suggested that RCM could extend the life cycle of the equipment while increasing its reliability, availability, and safety. The benefits provided by an RCM process can be directly applied to the heavy rail transit industry. Not maintaining equipment properly can generate safety issues ( Backlund and Akersten 2003; Holmgren 2005; Murthy et al. 2002). According to a study by Holmgren ( 2005), between the years of 1988 and 2000 there were 666 train derailments and collisions caused by a lack of properly maintained equipment. Mineta Transportation Institute
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The RCM process reduces the frequency of maintenance, thus reducing operating and maintenance costs ( Backlund and Akersten 2003; Toomey 2006). The RCM process evaluates and ensures that the functionality of assets is maintained through analysis of the assets and designs against known failures. According to Toomey ( 2006), Trans- Alta Utilities witnessed that RCM offered significant “ advantages by focusing on systems failures” ( 2).
Toomey ( 2006) reported that RCM was first used as an analysis tool for identifying failures, access to equipment history and preventative maintenance records. RCM quickly became a tool for identifying repeated failures. Managers viewed RCM as an optimization strategy and a tool for continued improvement ( Backlund and Akersten 2003; Holmgren 2005; Murthy et al. 2002). The Trans- Alta utility company identified additional advantages of an RCM program: ( a) “ identified design shortcomings and operational problems, ( b) justified manpower resources utilization and reallocation, ( c) defined a clear set of PM tasks tied to failure causes, and ( d) served as a learning and bridging tool” ( Toomey 2006, 3).
Organizations can take advantage of RCM during the re- engineering phase of a plant. Plants are re- engineered to introduce latest state- of- the- art machinery and technology to optimize plant performance. According to Creecy ( 2006), NOVA Gas Transmission Ltd. accomplished this goal within three years after implementing an RCM program. As a result, they witnessed significant cost savings in maintenance. NOVA saved $ 1 million in an RCM process for the pipeline alone, and another $ 980,000 in an RCM process for leak detectors, cathodic protection, and station valves ( Toomey 2006). Creecy ( 2003) reported that some organizations have realized up to $ 147 million per year in RCM related savings in maintenance costs.
RCM- based maintenance may be an excellent solution for the heavy rail transit agencies. The process of RCM results in an extension of the life cycle of the rolling stock and an increase in reliability, availability, and safety ( Holmes 2005; Murthy et al. 2002). The RCM process results in an increase in effectiveness, which is an alternative solution for transit agencies. This translates in operations’ cost savings over the life cycle of the product ( Backlund and Akersten 2003; Murthy et al. 2002). Implementing the RCM process involves working closely with technical and management teams ( Murthy et al. 2002).
Management and staff members of the organization need to commit to the RCM process, resulting in a modification in the culture of the organization ( Backlund and Akersten 2003). According to the study by Backlund and Akersten ( 2003), organizations that share the vision of the RCM maintenance program have been more successful than those who were not totally committed. This change in maintenance philosophy is a culture change and may require the introduction of a change management team to assist everyone in adjusting to the cultural changes brought about by the implementation of an RCM process. Backlund and Akersten ( 2003) and Toomey ( 2006), noted that an RCM process has a better chance of succeeding if the organization’s employees offer their full support, involvement, commitment, and open communication in the implementation of the RCM process. Several industries have successfully applied the RCM process, very few heavy rail transit agencies have managed to do so. Mineta Transportation Institute
22 Review of the Literature
Capturing the experiences of heavy rail maintenance employees during the implementation of the RCM process in heavy rail transit environments helps the transit agency comprehend how to overcome the obstacles. Those who have experience with the process may be able to articulate and explain why the RCM process can be used to optimize equipment reliability, facilitate a reduction in cost of conducting business, and extend the life cycle of equipment with planned maintenance ( Holmes 2005; Murthy et al. 2002). The literature reported several successful RCM processes in the power generation and airline industries ( Backlund and Akersten 2003; Delzell and Pithan 1996; Fleming 2006; Toomey 2006). Conversely, the literature contained little information on the successful management and implementation of the RCM process in heavy rail transit agencies in North America. None of the literature located discusses the introduction of RCM in the transportation industry.
Population in the U. S. and Public Transportation
According to APTA ( 2006), in the coming decade a number of factors will cause public transportation ridership to increase. One such factor is the growth of urban areas. According to Smith ( 2003), the population in the United States is doubling every 35 years. According to Kincannon ( 2006), California remains the most heavily populated with 35.9 million people, followed by Texas with 22.5 million and New York with 19.2 million. At the current trend, Florida, California, and Texas will account for 46 percent of the total U. S. population sometime between 2000 and 2030. As the population continues to grow in these metropolitan cities, individuals are moving further out to smaller towns, often commuting to work via heavy rail ( Rogers 2006). More individuals are commuting to work and rely on public transportation to escape traffic congestion.
An indication that more individuals are becoming dependent on heavy rail transit for transportation is the aging population. A report by APTA ( 2006), asserted that over the next 25 years baby boomers will reach their 60s, 70s, and beyond. According to APTA, senior citizens prefer to take public transportation rather than drive their personal vehicle. The numbers of patrons that rely on public transportation fluctuate; the fare collected at the fare box plays a vital economic role in paying for the operations and maintenance of public transportation. The 2006 annual report published by APTA stated that during fiscal year 2004, more than 2.7 billion trips were taken on rapid transit ( Public Transportation Fact Book 2006). According to the Public Transportation Fact Book, 83 percent of trips were by those who were between 19 and 65 years old. These trips occurred on 14 heavy rail rapid transit agencies throughout North America ( Appendix B).
Property Value and Public Transportation
Several studies reported that rail transit promotes an increase in property values of both residential and commercial property within close proximity of a passenger station ( Celik and Yankaya 2006; Trian 2006). Celik and Yankaya reported that development planners need to consider this relationship when envisioning future developments; the presence of a station can, in fact, transform economically suppressed areas.
APTA ( 2006) reported that from a city planning point of view, public transportation is much more efficient than traveling by automobile. Each year, public transportation saves more Mineta Transportation Institute
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than 885 million gallons of gasoline ( equivalent to the consumption of 45 million barrels of oil), which is the quantity of foreign oil that is imported in to the U. S. in a month. According to an APTA report, a full rail car removes 200 vehicles from the road, thus reducing traffic congestion. A decrease in automobile traffic results in a decrease in greenhouse gas emissions ( Balsas 2001; Smith, 2003). According to Balsas ( 2001), “ continued automobile usage causes serious environmental and social problems” ( 316).
The United States continues to deplete natural resources at an alarming rate, which may result in exhausting the fossil fuel resources used for making gasoline ( Smith 2003; Turpin 2008). The nation has felt the financial strain associated with the rise in fuel; gas prices have experienced an exorbitant rise in cost over the last few years, not to mention the affect of the byproducts on our environment ( Smith 2003; Turpin 2008). Secondary factors are associated with motor vehicles, such as global warming, fumes, traffic congestion, traffic accidents, and noise pollution ( Smith 2003; Jenks 2003). Studies suggested that public transportation travel is more than twice as efficient compared to traveling by motor vehicle ( APTA 2006; Capital Corridor 2007).
Traveling by rapid transit results in fewer accidents than traveling by motor vehicle ( Capital Corridor 2007). Communities need to consider the impact of rapid transit use rather than that of personal vehicles, the potential rise in traffic safety, and other savings associated with health- related issues ( Smith 2003). According to the American Automobile Association ( AAA), the average cost of driving an automobile is 44 to 62 cents per mile, excluding parking and bridge tolls, compared to 21 cents per mile ( Capital Corridor 2007). The cost can be further reduced to 11 cents per mile with discounted multi- ridetickets as stated by the Capital Corridor.
Some health- related issues are associated with the high level of pollutants for individuals who have respiratory or heart- related concerns ( Rockhold 2005). According to Rockhold, automobiles are responsible for about the 33 percent of air pollution. This air pollution creates smog and the acid rain that affects our ecosystem ( Rockhold 2005). The author asserts that society does not fully understand the magnitude of the emissions released by automobiles. For example, an automobile that gets 25 mpg generates 11,640 pounds of carbon dioxide ( CO2) per year, a gas that is assumed to be responsible for global warming. Another advantage of traveling by rapid transit is the ability to run on clean electricity, which reduces emissions and conserves hydrocarbon fuels ( Smith 2003).
Phillips ( 2007) reported that coal is the energy source responsible for half of the electricity generated in the United States. Forty years ago, coal energy plants were far from being environmentally friendly; today the coal generation power plants can reduce some pollutants by more than 90 percent. This reduction has been achieved with the development and deployment of CO2 capture and storage technologies ( Phillips 2007). In other parts of the world, some nations have taken advantage of more clean power. In Switzerland, trains run on electricity; 97 percent of their power is generated from renewable hydropower. In France, 77 percent of their trains run on electricity generated by nuclear power ( Smith 2003). Mineta Transportation Institute
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Public Transportation Fleet
According to the Public Transportation Fact Book ( 2006), public transportation fleets consist of various forms of transit vehicles, amounting to about 144,000 active vehicles that include buses, subways, rail, trolleys, ferryboats, and paratransit services. Rail modes ( e. g., railway) include heavy rail, light rail, commuter rail, automated guideways transit, incline plane, cable car, monorail, and aerial tramway ( Appendix B). The focus of the case study is exclusively on heavy rail or railway transit.
Railway transit vehicles make up 18 percent of the public transportation fleet. Rapid transit has a number of different aliases. In the United States rapid transit systems aliases include the following: urban public transit, mass rapid transit, electric subway, metro, or railway. IIes ( 2005) describes a rapid transit system as a means of mass transportation offering a uniquely fast service compared to other forms of transit, with an average speed greater than 31 mph ( e. g., 50 KPH), running on an exclusive or dedicated right- of- way ( e. g., grade separation).
Rapid transit systems fall into the categories of light rail or heavy rail, and both operate on a high- frequency schedule ( IIes 2005). According to the Public Transportation Fact Book ( 2006), a light- rail car is a vehicle powered by electricity, with power usually distributed by overhead lines, and it operates on a non- exclusive right- of- way. Light rail is referred to as streetcar, tramway, or trolley. Heavy rail is an electric railway with the capability of carrying a high capacity of passengers at high speeds and with rapid acceleration on a separate right- of- way ( APTA 2006). Heavy rail is referred to as metro, subway, rapid transit, or rapid rail
According to Public Transportation Fact Book ( 2006), commuter rail is an electric or diesel propelled railway. This form of rail primarily is found utilizing locomotives and self- propelled railroad cars for making short trips, or between central city and adjacent suburbs. Commuter rail is referred to as metropolitan rail, regional rail, or suburban rail ( Public Transportation Fact Book 2006).
Another mode of railway transit is called a monorail or people mover. Monorails operate on a fully automated guideway and contain no operator on board ( Public Transportation Fact Book 2006). This form of transit operates on a loop or shuttle route within the central business district, an airport, and at Disneyland parks.
According to Public Transportation Fact Book ( 2006), another mode of rail transit is the incline plane. Few remain in operation today. Incline planes typically are used on short distances on the side of a mountain and are operated up and down with a cable. Another less popular mode of transit is the cable car that is operated with a cable ( Appendix B). Cable cars are electric, individually operated, and attached to a cable located beneath the street surface ( Public Transportation Fact Book 2006). Only one cable car system exists in the world; it operates in San Francisco, California.
Another mode of railway transit is the aerial tramway. The aerial tramway is an electric system consisting of a network of cables connected to the powerless passenger vehicles. Mineta Transportation Institute
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Only two transit operations exist: in New York, and at Mountain Village in Colorado. All others are in ski areas or tourist sites ( Public Transportation Fact Book 2006). An example of a heavy rail fully automated rapid transit system is located in the San Francisco Bay Area, California, and is known as BART.
San Francisco Bay Area Rapid Transit District
The San Francisco Bay Area Rapid Transit District ( BART) provides service to passengers in the San Francisco Bay Area. The service lines run through the urban and suburban areas of San Francisco, Contra Costa, Alameda, and San Mateo Counties. Including 43 passenger stations distributed on 104 miles of double track. Service patterns are largely dictated by the topography of the region. Lines run along the east and west sides of the San Francisco Bay, under the bay, and then traverse the hills and valleys of the East Bay. The system radiates from the Oakland wye ( e. g. a triangle of railroad track), which is located under downtown Oakland. Lines running west from the Wye travel under San Francisco Bay, through downtown San Francisco, and they terminate at Daly City, Millbrae, or the San Francisco International Airport. Other lines radiate from the Oakland wye and terminate in Richmond, Pittsburg/ Bay Point, Dublin, or Fremont.
A second wye is located on the San Francisco Peninsula between San Bruno Station, Millbrae Station, and the San Francisco International Airport station. Not only in the two wye do merges and diverges occur, they are also found at two other locations in Alameda County. A merge/ diverge for three service lines is located between Bay Fair Station, Castro Valley Station, and Hayward Station. Other merge/ diverge occurrences exist for three service lines located between MacArthur Station, Rockridge Station, and Ashby Station. Approximately one- third of the system is underground, one- third is aerial, and one- third is at grade. The transportation system has been in service for more than 40 years and much of the equipment is reaching the end of its life cycle ( Holmes 2005; Murthy et al. 2002).
Deteriorationeterioration Due toto a Lack of Maintenance
Transit agencies continuously look for various methods of saving operating costs. One particular area that is often considered for cutbacks is in the area of maintenance. Organizations often view maintenance as an expense and not as a profit center ( Campbell and Reyes- Picknell 2006). According to Holmgren ( 2005), equipment maintenance is necessary for several reasons. First, it ensures dependability of the equipment. Second, it reduces potential problems because of equipment failure, such as a derailment or collision that might injure or kill passengers. Finally, low- cost maintenance that is performed incorrectly can result in an accident, just as if no maintenance had been performed ( Holmgren 2005). This is an important factor because accidents cost organizations a great deal of money, create ill will with the public, and develop a poor reputation, resulting in revenue loss ( Holmgren 2005).
According to the Federal Railroad Administration ( FRA) which tracks data regarding railway accidents in North America, rail accidents across the nation have been increasing ( Kean 2005). As indicated by Kean in 2004, more than 3,100 accidents were recorded, which was up from 2002 with 2,700 rail accidents. Kean ( 2005) suggested that, although Mineta Transportation Institute
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several accidents were related to operator error and rule violation, many accidents were attributed to equipment failure due to a lack of maintenance, improper maintenance, or equipment malfunction ( Holmgren 2005). An increase in equipment failures or accidents should result in less usage of the transit system.
Normal operations of equipment, whether rolling stock or located on the wayside ( track way), sustain normal wear and tear. Equipment degradation inevitably occurs, rendering equipment performance to become impaired. Intervening corrective maintenance is necessary to restore the equipment from excessive wear and tear, dirt build up, and corrosion ( Holmgren 2005). Equipment failures in the passenger station usually cause only minor patron frustrations, but do not result in catastrophic failure; if switches and track failure occur on the wayside or on the vehicle, the result can be catastrophic failure, causing injuries or even deaths.
On June 22, 2009, the Washington Metro experienced the worst accident it has experienced in the history of heavy rail transit in this nation. One metro train slammed into the rear of another metro train waiting to enter into the station. The accident that resulted in nine fatalities and 80 passengers were injured. The key component under investigation is equipment that failed to detect the presence of a train on the track ( Urbina and Emery 2009). Could the incorporation of an RCM- based maintenance strategy have avoided such a catastrophic accident?
Holmgren ( 2005) suggested that management must make sure that maintenance strategies and business objectives and goals are in line with the maintenance program to ensure the maintenance of vital equipment. According to Kube ( 2005), due to deferred maintenance, some railroad infrastructures are in shambles and have experienced frequent derailment caused by the poorly maintained tracks and infrastructure.
Accidents occur when maintenance procedures are performed on the infrastructure but deviate from the recommended procedures of the equipment manufacturer. When maintenance is performed on the infrastructure consistent with recommendations listed by the manufacturer, the equipment generally performs and operates as designed ( Holmgren 2005). According to Holmgren, this can often assist in identifying premature equipment failure ( Holmgren 2005). Holmgren reported that on October 1999, a derailment and collision occurred and, as a result, 31 people died and 227 were taken to hospital. In October 2000, due to rail failure caused by a lack of maintenance, four people were killed. Maintenance strategies are not to be taken lightly; they can be detrimental to patrons and the community, taking days and weeks to restore service.
Maintenance as a Form of Stratetrategy
According to Murthy et al. ( 2002), almost all modern industrial societies rely on technology in order to produce goods and services. Businesses ( transportation, mining, computer, technology, and health) require equipment to deliver their final product. According to Murthy et al., ( 2002), equipment assets play a vital role for business success. As a result of technological advances, equipment has increased in productivity and efficiency ( Campbell and Reyes- Picknell 2006; Murthy et al. 2002). Mineta Transportation Institute
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Campbell and Reyes- Picknell ( 2006) and Murthy et al. ( 2002) reported that the equipment is getting more complex and expensive. When equipment fails to perform, businesses realize heavy losses. The authors reported equipment degrades with age usage and becomes non- operational, and that degradation can be controlled or reduced through the use of proper operating practices and proper preventative maintenance actions ( e. g. RCM process).
What is Considered Maintenance?
According to Campbell and Reyes- Picknell ( 2006), maintenance “ is an activity carried out to retain an item in, or restore it to, any acceptable condition for use or to meet its functional standard” ( 331). Studies have shown that equipment not properly maintained costs more to restore than equipment that undergoes periodic maintenance. The authors reported that “ there is a link between planned maintenance and reduced cost” ( 84), and reported that work that is planned is easier and cheaper to perform than unplanned work. According to Campbell and Reyes- Picknell, unplanned running repair work costs 50 percent more than planned and scheduled work and emergency work will cost three times as much.
Maintenance Strategies
Over the last decade, transit agencies have pursued several maintenance strategies. These strategies have evolved to deal with the complexity and sophistication of the equipment. Sharma, Kumar, and Kumar ( 2005) reviewed the five strategies. These maintenance strategies focus on different aspects of the equipment to make sure performance is optimal and not compromised.
One such maintenance strategy, according to Sharma et al. ( 2005), is called Breakdown Maintenance ( BDM). This type of reactive maintenance is also known as Frequency- Based Maintenance ( FBM). This type of maintenance is conducted on a periodic basis. The authors indicate that BDM maintenance is conducted to restore the functionality of the equipment; no action is taken to comprehend what caused the failure, or what possible actions could be taken to minimize future failures. This form of maintenance strategy is often called action- oriented maintenance or fire fighting maintenance strategy.
The second maintenance strategy described by Sharma et al. ( 2005) is called Preventative Maintenance ( PM). Preventative maintenance is a maintenance strategy that reduces the frequency and sporadic failure by performing planned repairs, replacement, overhauling, lubricating, cleaning and inspecting at specific time intervals. The intent of the PM strategy is to minimize the probability of equipment failure prematurely by conducting maintenance before the failure of the equipment. Sharma et al. ( 2005) reported that this form of maintenance would be more effective with the support of a computerized system, such as a Computerized Maintenance Management System ( CMMS). A CMMS generally is not incorporated as part of the maintenance strategy. This form of maintenance is effective, but the maintenance process does possess inherent risk; it lacks the use of a data collection and risk assessment tools used by RCM to assist in identifying potential problematic areas. Mineta Transportation Institute
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The third maintenance strategy is called predictive or Conditions- Based Maintenance ( CBM). This form of maintenance defined by Sharma et al. ( 2005) suggests that maintenance is performed with the assistance of diagnostic tools, on a timely schedule— daily, weekly, or monthly. CBM maintenance can be performed with the aid of vibration- based tools and diagnostic equipment. The diagnostics equipment measures physical conditions such as temperature, vibration, noise, corrosion, and other telltale signs, which may lead to premature equipment failure.
The author reported that CBM maintenance is considered a more prominent maintenance program designed for mechanical industries, which monitors the performance of rotating or reciprocating equipment. This form of maintenance is effective in the mechanical industry; this maintenance strategy does possess an inherent risk. This form of maintenance lacks the use of a data collection and risk assessment tools used by RCM to assist in identifying potential problematic areas. CBM requires the maintainers receive specialized training that requires additional time, cost, and resources without necessarily receiving the cost savings proposed by RCM.
The fourth maintenance strategy is identified as Total Productive Maintenance ( TPM). This maintenance philosophy requires active participation by all in the organization, including management. Sharma et al. ( 2005) suggested that the TPM priorities here are to eliminate or minimize the following: loss due to downtime, loss due to setup and adjustments, speed loss, speed reduction, defect loss, and reduced yields. This form of maintenance focuses on increasing the overall equipment effectiveness ( OEE). According to Sharma et al. ( 2005), this is an excellent indicator of how well TPM is working. According to the author although TPM has been effective and offers advantages over the other maintenance strategies, it does possess an inherent weakness. According to Ben- Daya ( 2000) and Jonsson ( 1997), TPM lacks the necessary component for implementing an effective preventative maintenance program that keeps the equipment running optimally.
The fifth and final maintenance strategy reviewed by Sharma et al., ( 2005) was Reliability Centered Maintenance. The authors reported that this maintenance strategy focuses on optimizing preventative and predictive maintenance, which results in an increase in equipment effectiveness while minimizing maintenance cost. The RCM strategy focuses on maintaining system function rather than both restoring equipment functionality and restoring equipment to an ideal condition ( Sharma et al. 2005; Worledge, 1993). According to Ben- Daya ( 2000), RCM plays a significant role in developing preventative maintenance programs to ensure that equipment continues to function at a high level of overall effectiveness.
RCM is clearly effective over the other maintenance strategies. However, RCM is often mistakenly viewed as abandoning periodic maintenance. Many experts do not necessarily agree with this perspective. According to Campbell and Reyes- Picknell ( 2006), this perspective exists because RCM provides for the safe minimum amount of proactive maintenance. RCM preserves preventative maintenance and incorporates Condition- Based Maintenance, and where appropriate, Run- to- Fault Maintenance ( Fleming 2006). Mineta Transportation Institute
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Measuring Operational Optimization and Benchmarking
According to Jones ( 2004) and Newstrom and Davis ( 2002), organizations need to benchmark their operations against industry competitors. Vitasek ( 2006) and Whitlock and Rubin ( 2006) suggested that benchmarking involves comparing the operation of one’s own plant and comparing the findings to the competitor. The data can be used to generate performance reports, which can be used to identify areas that may need adjusting in order to achieve optimal performance in the organization ( Whitlock and Rubin 2006). Performance reports can assist management in identifying assets, which continue to run optimally, or to identify assets that are not running optimally and may need service or replacing ( McPherson 2005). Ultimately, this translates into an optimal financial position for the operation of the organization.
Railway transit managers need to have the tools in place to measure if the proposed maintenance program is effective and operating efficiently ( Garg and Deshmukh 2006). The vast amount of data that is produced and available with the implementation of the RCM program can be tracked and compared against industry standards. This can be tracked with the implementation of a performance measurement system. A performance tracking system can be achieved with the implementation of a CMMS ( Garg and Deshmukh 2006; Labib 2005; Wilmeth and Usrey 2000; Worledge 1993).
Garg and Deshmukh reported that one of the features of a CCMS is to track equipment performance, which can be used to identify the optimal and efficient operation of any piece of equipment. A CMMS has become an important aspect of organizations to keep detailed information of equipment performance metrics and to track critical aspects of maintenance programs such as an RCM program ( Garg and Deshmukh 2005).
Overview of Reliability Centered Maintenance
David H. Worledge ( 1993) articulated that RCM was first proposed by airline and major airplane manufacturers in the late 1960s when the aircraft industry introduced a new generation of wide- bodied passenger jets. According to Worledge ( 1993), the aircraft industry feared the introduction of technological advances along with the enormous size of these jets would make the new planes uneconomical to maintain. The traditional methods used to maintain the previous airlines would become too expensive to perform on the new generation of aircrafts.
Due to external pressure and concerns from the Federal Aviation Administration ( FAA), traditional methods of maintenance would be overlooked due to the uneconomical cost of using these methods of maintenance. Major airlines responded by proposing RCM as a maintenance strategy ( Worledge 1993). Several years after the implementation of RCM in the airline industry, empirical data revealed that aircraft reliability and availability actually improved, while the cost of maintenance remained virtually constant ( Worledge 1993). An early version of RCM was used in a Naval ship design project, which resulted in substantial fleet availability improvements where fewer vessels were required to replace the antiquated fleet. According to Campbell and Reyes- Picknell ( 2006), this alone resulted in capital cost savings of nearly $ 2 billion. Mineta Transportation Institute
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Reliability Centered Maintenance Process
The RCM process ( also known as a proactive approach) focuses on four particular key elements that ( a) preserve system functions, ( b) identify failure modes that can impact system function, ( c) prioritize system function needs, and ( d) select applicable and effective preventative maintenance tasks ( Backlund and Akersten 2003). According to a General Accounting Office ( GAO) report by Fleming ( 2006), RCM techniques are more effective than other maintenance processes and techniques. Primarily, RCM techniques are effective because they involve ( a) continued periodic maintenance that includes inspections, repairs, and performance checks; ( b) conditioned- based maintenance that can assist in preventing equipment failure; and ( c) run- to- fault maintenance ( Fleming 2006). Equipment that is allowed to run- to- fault, this equipment can run to failure without causing safety concerns. Flemming reported that this form of failure is considered non- salient and is similar to a burnt out light bulb.
Nuclear Power Plant
According to Worledge ( 1993), in order to minimize damage, lost production, and other losses under control, Periodic Preventative Maintenance ( PM) may need to be performed in order to decrease failure. In 1990, the Utility Data Institute database identified that nuclear power plants averaged maintenance costs of more than $ 37 million per 1000 MW ( Worledge 1993). The nuclear industry turned to RCM to reduce the cost of maintenance and to increase reliability of the plants. The implementation of RCM in 72 power plants resulted in maintenance man- hour savings amounting to more than $ 5,000 per system.
Utilities Company
According to Wilmeth and Usrey ( 2000), in 1991, the Puget Sound Power & Light Company was motivated to find an alternative maintenance strategy after management made budget cuts. Subsequently, management decided to turn to the RCM process as the alternative maintenance strategy. In 1991, the utility company implemented an RCM process to the substation equipment, transformers, voltage regulators, and transmissions and line maintenance ( Wilmeth and Usrey 2000). By1995, the utility company reported that planned maintenance had been substantially reduced; several of the required planned maintenance procedures along with the circuit breakers maintenance were reduced ( Wilmeth and Usrey 2000). The authors noted that not only did Puget Sound Power & Light Company feel that their liability decreased with regard to equipment failure, but as a result of RCM, they were now able to focus their attention on the operations aspect of the organization.
According to Wilmeth and Usrey ( 2000), the British Columbia Hydro and Power Authority have been applying RCM principles since 1995. Since then, they have received an annual savings of 20 percent to 50 percent on job site hours on circuit breakers and 15 percent on transformers. These savings in labor hours accumulate over time, yielding a substantial savings for the organization. Mineta Transportation Institute
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Wilmeth and Usrey ( 2000) believed the CMMS contributed to the success of their RCM program. They mentioned that a Texas energy company ( TXU) evaluated the RCM process in 1994. When TXU engaged in the RCM process, they elected to do so without the use of a CMMS to assist with data record keeping. CMMS can contribute to the success of the RCM program, especially since the CMMS is used to track vital information such as maintenance records and the preventative Maintenance ( PM) schedule, as well as conduct performance analysis. Since that first year, TXU has implemented a CMMS yielding larger cost saving. TXU is in the process of adding an RCM process to the existing maintenance procedures in the plant and expect an additional 10 percent to 15 percent savings ( Wilmeth and Usrey 2000).
Reliability Centered Maintenance Implementationmplementationmplementation Obstaclesbstacles
According to Backlund and Akersten ( 2003), several organizations that have implemented an RCM program experienced a number of obstacles. Backlund and Akersten noted that some obstacles that organizations faced during the embedding of an RCM- based maintenance program included a lack of management support, information, and communication. The authors reported that identifying obstacles early in the implementation process is vital to overcoming the obstacles.
The authors reported that in order to implement an RCM program with the least amount of resistance, management and employees must be committed to a long- term approach rather than a quick introduction of an RCM program ( Backlund and Akersten 2003). Commitment includes the full support by executive management, middle management, and employees at all levels of the organization ( Ahuja and Khamba 2008). Backlund and Akersten ( 2003) reported that management should be aware of what is required to fully implement RCM; this includes the aim and goal of the RCM program, and the necessary resources required to fully embed the program.
Backlund and Akersten ( 2003) reported that a number of failed RCM implementations occurred. The authors noted that many implementations were designed to fail from the beginning, since the program was being introduced during a time when the organizations lacked the resources to fully commit to the implementation. With a lack of support from executive management, the RCM program tends to simply fade away ( Backlund and Akersten). Backlund and Akersten also noted that if management does not have a clear comprehension of the program or an understanding of what the RCM program can do for the organization, management simply withdraws from the program. Management must be fully aware of the benefits of the RCM program and what it means to the performance of the equipment ( Backlund and Akersten).
In the study conducted by Backlund and Akersten ( 2003), the following obstacles were identified during the planning, preparation and analysis phase. The obstacles include ( a) lack of a computerized maintenance management system; ( b) lack of a computer system; ( c) lack of a plant register; ( d) unavailability of documentation and information; ( e) problematic routines, roles, and responsibilities; ( f) communication problems; ( g) lack of overarching maintenance management strategy; and ( h) incomplete goal setting, and benefits identification and measurement. Mineta Transportation Institute
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Computerized Maintenance Management System
According to Fernandez, Labib, Walmsley, and Petty ( 2003), information is an essential resource, which can be leveraged by management to determine if the organization’s objectives are being met. Fernandez et al. ( 2003) suggested that maintenance information can be used to gain knowledge about the status of the equipment and the information can be utilized to measure the overall performance of the assets. According to Fernandez et al. information systems were no longer being used to supply management with information about the operation of the organization. The author suggested that CMMS are computerized systems that are specifically developed along with software applications to monitor the work, as well as report how assets are working ( Fernandez et al. 2003).
CMMS software is a tool that can be used with any of the above five maintenance strategies, offering management tools to make decisions about maintenance strategies. Labib ( 2005) suggested that several factors were a driving force behind CMMS. The onset of such a requirement is driven by the mere fact that record keeping in an RCM program is paramount, which can be the difference between success and failure.
Labib ( 2005) stated that CMMS is a set of computer based software programs used to control resources and work activities, as well as monitor conditions of equipment located in the plant. The ability to have information readily available on equipment in real time is critical for management to make decisions ( Fernandez et al. 2003; Labib 2005). Maintenance planners can effectively use the CMMS tools to schedule work based upon information made available on the system, track maintenance costs, and develop an accurate budget.
A CMMS can be used to retain equipment performance and compare against previously defined metrics. This can assist management to easily identify bad actors or frequently ineffective pieces of equipment. Maintenance and equipment historical records can assist management in gaining an insight into how well the facility is functioning ( Fernandez et al. 2003; Labib 2005). This is an important indicator of the effectiveness and efficiency of the maintenance program. Organizations that have implemented a CMMS with an RCM program, have found that the systems do complement one another and perform more effectively ( Smith 2004).
Without a system that tracks vital maintenance records and information, it becomes challenging to measure the effectiveness of an RCM program; the lack of a CMMS can influence an RCM program from operating efficiently and effectively. With a CMMS, all employees in the organization can track equipment performance and compare the data to similar equipment on the property ( Fernandez et al. 2003; Labib 2005). The CMMS may be used to track the asset management to realize how well the equipment performs against the ROI ( Gahbauer 2007).
With a CMMS system, workers may easily identify when the last service was conducted as well as the next scheduled date for service, allowing planners to schedule work accordingly. With safety on the mind of many, federal and state regulatory agencies require transit agencies to remain compliant with scheduled maintenance. These transit Mineta Transportation Institute
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agencies are often required to provide a copy of their service records, or the information may be requested during an accident investigation or a safety audit ( Fernandez et al. 2003; Labib 2005). A CMMS offers management and employees the ability to generate customized reports that satisfy the needs of regulatory bodies.
Labib ( 2005) suggested that organizations that implement a CMMS into their maintenance center often achieve world- class maintenance. He stated that such a tool offers a number of functions and supports for various maintenance programs, such as Reliability Centered Maintenance ( RCM), Condition- Based Maintenance ( CBM), and Total Productive Maintenance ( TPM). A CMMS has the capability of tracking spare parts and inventory levels with automatic order replenishment. This system facilitates inter- departmental communication, provides historical information about equipment, schedules preventative maintenance, and provides senior management with the health status of the plant. CMMS has the ability to run statistical analysis to assist in locating problematic assets ( Labib, 2005). Labib asserts that companies that have implemented a CMMS into their business process have witnessed substantial savings in their maintenance program. According to Campbell and Reyes- Picknell ( 2006), using “ data management clearly has a direct impact on maintenance output” ( 208). The authors’ purport that equipment effectiveness can jump from 50 percent to 85 percent, reliability can rise from 20 percent, workforce productivity can increase 20 to 30 percent, and material usage can be reduced 20 to 50 percent.
Impact of Organizational Culture Changes as a Result of RCM
According to Jones ( 2004) and Proctor and Doukakis ( 2003), organizations have to experience change and deal with transformation if the organization shall continue to prosper and exist. Organizations have to continuously develop and assess their strategic plan. Railway transit agency management, along with the support of the board of directors, must craft a business plan that will outline how to compete in its environment ( Ahuja and Khamba 2008; Jones 2004). According to Jones ( 2004) and Newstrom and Davis ( 2002), comprehending the impact of change on an organization can minimize the effects and impact on the organization.
Change Management
According to Jones ( 2004) and Proctor and Doukakis ( 2003), organizations have to experience change and deal with transformation if the organization shall continue to prosper and exist. This means that organizations have to continuously develop and assess their strategic plan. Railway transit agency management, along with the support of the board of directors, must craft a business plan, which will outline how to compete in its environment ( Jones 2004). According to Jones ( 2004) and Newstrom and Davis ( 2002), comprehending and understanding the impact of change on an organization can minimize the effects and impact on the organization. Change agents can facilitate successful change in the organization ( Newstrom and Davis 2002). Newstrom and Davis noted that change agents are “ people whose roles are to stimulate, facilitate, and coordinate change within a system while remaining independent of it” ( 476). Mineta Transportation Institute
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Organizational Behavior to Change
According to Newstrom and Davis ( 2002), change is considered to be any form of alteration occurring at the place of work that causes an individual to change the way work is conducted. Newstrom and Davis claimed that “ changes may be planned or unplanned, catastrophic, or evolutionary, positive, negative, strong or weak, slow or rapid and stimulated either internally or externally” ( 337). Jones ( 2004) defined organizational change as “ the process by which organizations move from their present state to some desired state to some desired future to increase their effectiveness” ( 301). According to Bowditch and Buono ( 2005), employees can adequately prepare to deal with the resistance of change in a constructive manner if the effects of change are understood.
Cultural Changes
According to McGreevy ( 2003), employees exhibited a number of behavioral changes influencing cultural changes in the organization. Key talents may disappear if downsizing is an issue, minimizing the effects of downsizing. The organization may experience morale problems by the employees surviving the downsizing. After a downsizing phase, it takes time before the employees begin to gain the trust of management, fearing that they may be next to be cut from the workforce. The author reported that the added workload resulted in employees being unmotivated because of the additional workload. According to McGreevy, individuals need to recognize the world encounters changes and organizations need to be flexible and adaptable in order to remain competitive.
Management’s Role
According to Jones ( 2004), organizational change is considered a normal course of action to be considered by management. This can occur at any of the four different levels: human resource, functional resource, technological, and organizational capabilities. Jones suggested the latter areas are interdependent; change in any one region will most likely trigger a change in the other areas.
Railway transit agency management and employees, as well as the board of directors, recognize that change is being driven not by the latest fad, but rather by external factors such as recently adopted executive orders or federal regulations. Failure to comply with the executive order or federal regulations can jeopardize the funding source, resulting in loss of funding due to failure to comply with the executive orders.
Management plays a key role in initiating and implementing change successfully ( Newstrom and Davis 2002). According to Jones ( 2004), management has to articulate and communicate to its employees the strategic changes being implemented and why the changes are necessary. Employees can exhibit behavioral changes that can influence a negative cultural change in the organization. This may result in key employees leaving the organization due to the fear of losing their job, or a lack of information or the benefits of the change ( Proctor and Doukakis 2003). Often organizations may experience morale problems by the employees surviving the downsizing ( McGreevy 2003). Employees will need to recognize the world has changed and the organization needs to be flexible and adaptable to remain competitive ( Meredith 2007). Mineta Transportation Institute
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Railway transit agency management and employees have to accept the fact that organizational change is a normal course of being in business and that its effects can influence the human resource, functional resource, technological, and organizational capabilities ( Jones, 2004; Newstrom and Davis, 2002). A change in any one region will cause the other areas to trigger a change ( Harrington and Tjan 2008).
Conclusion
The review of the literature revealed that organizations that implement an RCM- based maintenance program encounter a number of challenges and obstacles ( Backlund and Akersten 2003). Hansson et al. ( 2002) noted that companies in the transportation, aviation and power plant industry realized that in order to remain competitive, maintenance must be performed. The quality and frequency of maintenance plays a significant role because it affects the performance of the equipment ( Backlund and Akersten 2003; Hansson et al. 2002).
Backlund and Akersten ( 2003) discussed the importance of making the RCM process a long- term goal of the organization. Hansson et al. ( 2002) identified that RCM implementation requires the commitment from the entire organization. RCM needs to be an integral part of the fabric of the organization ( Backlund and Akersten 2003; Fleming 2006). Management and staff members of the organization need to commit to the RCM process, resulting in a modification in the culture of the organization ( Backlund and Akersten 2003).
Campbell and Reyes- Picknell ( 2006) and Murthy et al. ( 2002) reported that the equipment is getting more complex and expensive. When equipment fails to perform, businesses realize heavy losses. The authors reported that the degradation can be controlled or reduced through the use of proper operating practices and proper preventative maintenance actions ( e. g. RCM process).
Studies have shown that equipment not properly maintained costs more to restore than equipment that undergoes periodic maintenance. According to Campbell and Reyes- Picknell, unplanned running repair work costs 50 percent more than planned and scheduled work and emergency work will cost three times as much.
The authors reported that in order to implement an RCM program with the least amount of resistance, management and employees must be committed to a long- term approach rather than a quick introduction of an RCM program ( Backlund and Akersten 2003). Commitment includes the full support by executive management, middle management, and employees at all levels of the organization ( Ahuja and Khamba 2008).
According to Jones ( 2004) and Proctor and Doukakis ( 2003), organizations have to experience change and deal with transformation if the organization shall continue to prosper and exist. Organizations have to continuously develop and assess their strategic plan ( Jones). Mineta Transportation Institute
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Summaryummary
This chapter reviewed the literature that guides the case study. The literature review examined the importance of RCM in other industries and evidence indicating that it may serve heavy railway transit agencies as well as it has served the airline industry, power generation ( e. g., fossil and nuclear), and automotive manufacturing industries. The following topics were reviewed: ( a) the historic and current economic importance of rapid transit; ( b) the reliability of RCM in the airline; ( c) the power generation; ( d) automotive industries; ( e) transit deterioration due to a lack of maintenance; ( f) current transit maintenance strategies other than RCM; ( g) RCM implementation obstacles; and ( h) a computerized maintenance management system ( CMMS).
Hansson et al. ( 2002) noted that companies in the transportation, aviation and power plant industries realize that in order to remain competitive they must perform maintenance. Hansson et al. identified in the same case study that organizational livelihood depends on the performance of equipment. When the equipment is off line or in a state of disrepair, the organization is losing revenue ( Murthy et al. 2002; Wu 2004).
If patrons rely on heavy rail transit as their primary form of transportation, the transit system will need to function optimally, reliably, and economically. The added service translates into higher maintenance costs that must be controlled. Maintenance must be performed optimally and efficiently ( Pintelon, Nagarur, and Van Puyvelde 1999) in order to minimize failure during revenue service.
According to Backlund and Akersten ( 2003), and Holmgren ( 2005), implementing the RCM process is a means of optimizing equipment functionality and reducing maintenance inefficiencies and cost. Holmgren ( 2005) suggested that RCM could extend the life cycle of the equipment while increasing its reliability, availability, and safety. Not maintaining equipment properly can generate safety issues ( Backlund and Akersten 2003; Holmgren 2005; Murthy et al. 2002).
The RCM process reduces the frequency of maintenance while reducing operating and maintenance costs ( Backlund and Akersten 2003; Pintelon, Nagarur, and Van Puyvelde 1999; Toomey 2006). Managers viewed RCM as an optimization strategy and a tool for continued improvement ( Backlund and Akersten 2003; Holmgren 2005; Murthy et al. 2002). Many successful RCM implementations are documented, several failed RCM implementations have been documented, because they were poorly implemented, or not fully supported by upper management ( Backlund and Akersten 2003; Hansson et al. 2002).
This change in maintenance philosophy is a culture change and may require the introduction of a change management team to assist everyone in adjusting to the cultural changes brought about by the implementation of an RCM process. Backlund and Akersten ( 2003) noted that an RCM process has a better chance of succeeding if the organization employees offer their full support, involvement, commitment, and open communication ( Backlund and Akersten 2003; Toomey 2006) in the implementation of the RCM process. Mineta Transportation Institute
Review of the Literature 37
Over the last decade, transit agencies have pursued several maintenance strategies looking for an optimal and effective maintenance strategy ( Sharma et al. 2005; Pintelon, Nagarur, and Van Puyvelde 1999). RCM techniques are effective because they involve: ( a) continued periodic maintenance that includes inspections, repairs, and performance checks; ( b) Conditioned- Based Maintenance that can assist in preventing equipment failure; and ( c) Run- to- Fault Maintenance ( Fleming 2006). As a result, the major airline and nuclear power plant industry responded by embedding RCM as a maintenance strategy ( Worledge 1993). Garg and Deshmukh ( 2005), Sharma et al. ( 2005), and Smith ( 2004) reported that this form of maintenance would be more effective when complimented with the support of a computerized system, such as a Computerized Maintenance Management System ( CMMS).
According to Backlund and Akersten ( 2003), several organizations that have implemented RCM programs experienced a number of obstacles. Backlund and Akersten ( 2003) and Hansson et al. ( 2002) noted that some obstacles organizations faced during the embedding of an RCM- based maintenance program included a lack of management support, information, and communication. The next chapter provides details of the research methodology, including the design of the case study, the population and sample, data sources and data.
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38 Review of the Literature
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METHODOLOGY
The purpose of this qualitative case study was to identify themes of obstacles experienced by maintenance employees during the implementation of the RCM process at a single heavy rail transit agency. One part of the case study focused on two groups of heavy rail transit maintenance employees in North America, one group in management ( 10 cases) and the other group in non- management positions ( 10 cases). The other part of the case study explored the outcome of the RCM process to determine the impact that the RCM process had on the rolling stock with regard to change in availability, reliability, and safety.
This chapter provides an overview of the research method used in this study. The primary focus is to describe the method and explain the data collection process. Discussion includes the design appropriateness, population, sampling, the instrument chosen for the study, validity, and reliability, and the planned data analysis process.
This qualitative case study consists of two parts. First, the study identified the types of obstacles and patterns experienced by two groups of heavy rail transit maintenance employees at an Eastern U. S. heavy rail transit agency that have embedded and used the RCM process for at least one year. One group of employees held management positions ( 10 cases) and the other group of employees were in non- management positions ( 10 cases). Second, the study explored whether the RCM process affected rolling stock with regard to a change in availability, reliability, and safety. The data collection for the study consisted of in- depth personal interviews and the second part consisted of project documentation and progress reports.
Once the interview questions were formulated, a pilot study was performed to determine if any of the interview questions needed to be rewritten or clarified. The pilot study is explained further in this chapter. Once the semi- structured questions were refined, the 10 cases in management, and the other 10 cases in non- management positions we