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How to Use ASTM Standard E2608, Standard Practice for

Equipment Control Matrix

Jim Dieter. MIAM, CPPM CFNovember 14, 2013

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This standard began with news stories of nuclear warheads appearing on runways without the required knowledge of their location

Over 50 people lost their certification for nuclear weapons handling as a result

It was obvious that a requirement for higher level tracking was in place – and not followed

In other words “tracking” is not just a yes or no question

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• Equipment control is often characterized as a yes or no, binary proposition. • An entity either controls a piece of equipment (or

class of equipment) or it doesn't. • In practice there are of course many levels of

control that may be applied.

Levels of Control

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The Approach

• This standard establishes two dimensions regarding this issue, each having five levels:• Control addresses the type of tracking

available.• Class addresses possible consequences of

loss of control of the item(s).• The matrix relates these two concepts, and

stipulates standard levels of control by class.

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Equipment Control Matrix

A. B. C. D. E.

ContinuousContinuous

While MobileEvent

TrackingContainment No Tracking

1.Societal Safety/Security

ImpactS D D D NR

2.Personal Safety/Security

ImpactI S D D NR

3. Operational Impact I I S D NR

4. Compliance Impact I I I S D

5. No Discernable Impact I I I I S

S = Standard Control and TrackingI = Increased Control and TrackingD = Decreased Control and TrackingNR = Not Recommended

Equipment Control ClassesEquipment Control Levels

Consequences of Loss of Control

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• The five levels of control of equipment are based on differentiated tracking specifications.• Equipment Control Level A - Continuous • Equipment Control Level B - Continuous while mobile• Equipment Control Level C - Event tracking• Equipment Control Level D - Containment• Equipment Control Level E - No tracking

A. B. C. D. E.

ContinuousContinuous

While MobileEvent

TrackingContainment No Tracking

Equipment Control Levels

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Equipment Control Levels (ECLs)

• Equipment Control Level A – Continuous• Real time tracking and control with either human or

electronic monitoring and [/or] surveillance at all times.• Possible examples:

• Nuclear weapons• Devices with sensitive personal information

• Comment: • The “missing” nuclear warheads were the original

inspiration for this standard.

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Equipment Control Levels (ECLs)• Equipment Control Level B - Continuous while

mobile• Real time tracking and control with either human or

electronic monitoring and [/or] surveillance at any time the equipment is not stationary in a secure, fixed location.

• Possible examples:• Weapons, Contaminated items

• Comment: • Not quite “nuclear”

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Equipment Control Levels (ECLs)

• Equipment Control Level C - Event tracking• The level of control characterized by manual or

electronic recording of movement, accountability, or stewardship changes.

• Possible examples:• Computers• Manufacturing equipment

• Comment: • The “normal” level of tracking.

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Equipment Control Levels (ECLs)

• Equipment Control Level D – Containment• The level of control characterized by process or

electronic methods of assuring equipment items are contained within a designated area.

• Possible examples:• Office furniture, Stationary items

• Comment: • Contained within: an office area, a floor, a building,

an office park, …

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Equipment Control Levels (ECLs)

• Equipment Control Level E - No tracking• No protection is required at this level.

• Possible examples:• Staplers• Computer Mice

• Comment: • No tracking does not necessarily mean that no record

is created.

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Equipment Control Classes (ECCs)

• The ECCs are based on the consequences of the loss of control of the equipment. • Equipment Control Class 1• Equipment Control Class 2• Equipment Control Class 3• Equipment Control Class 4• Equipment Control Class 5

1.Societal Safety/Security

Impact

2.Personal Safety/Security

Impact

3. Operational Impact

4. Compliance Impact

5. No Discernable Impact

Equipment Control Classes

Consequences of Loss of Control

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Equipment Control Classes (ECCs)

• Equipment Control Class 2. • Consequence of loss of control is a personal

safety/security impact which is characterized by negative personal safety or security impact that does not rise to the level of a societal safety or security impact.

• Possible examples:• Weapons, Contaminated items

• Comment: • Not quite “nuclear”

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Equipment Control Classes (ECCs)• Equipment Control Class 3.

• Consequence of loss of control is an operational impact which is characterized by negative operational impact that does not rise to the level of a personal or societal safety or security impact.

• Possible examples:• Computers, Manufacturing equipment

• Comment: • What Property Professionals may consider

“normal” level of tracking.

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Equipment Control Classes (ECCs)• Equipment Control Class 4.

• Consequence of loss of control is a compliance impact which is characterized by negative compliance with applicable laws regulations, or other relevant internal or external guidance that does not rise to the level of an operational impact.

• Possible examples:• Office furniture, Stationary items

• Comment: • Contained within: an office area, a floor, a building,

an office park, a city, …

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Equipment Control Classes (ECCs)

• Equipment Control Class 5. • Consequence of loss of control is not discernible,

which is characterized by having no visible or recognizable impact on the organizational.

• Possible examples:• Staplers, Computer Mice

• Comment: • No tracking does not necessarily mean that no record

is created.

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Equipment Control Matrix (ECM)

• The equipment control matrix describes the relationships between equipment control classes (ECCs) and equipment control levels (ECLs).

• Each equipment control class (ECC) has a corresponding, standard equipment control level (ECL).

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Equipment Control Matrix

A. B. C. D. E.

ContinuousContinuous

While MobileEvent

TrackingContainment No Tracking

1.Societal Safety/Security

ImpactS D D D NR

2.Personal Safety/Security

ImpactI S D D NR

3. Operational Impact I I S D NR

4. Compliance Impact I I I S D

5. No Discernable Impact I I I I S

S = Standard Control and TrackingI = Increased Control and TrackingD = Decreased Control and TrackingNR = Not Recommended

Equipment Control ClassesEquipment Control Levels

Consequences of Loss of Control

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• The standard corresponding control level is marked with an "S" for Standard on the ECM

• An increased level of control is marked "I" for Increased on the ECM.

• A decreased level of control is marked "D" for Decreased on the ECM

• Levels of control marked "NR" for Not Recommended on the ECM are not appropriate in most environments.

S = Standard Control and TrackingI = Increased Control and TrackingD = Decreased Control and TrackingNR = Not Recommended

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• Entities that choose to track and control equipment at a level of control other than standard should investigate and understand the implications of such decisions and document the supporting rational.

• Entity approach may be stated in policy and procedure documents.

• Individual items might be annotated on individual item records; groups of items might be annotated in tables or catalogues.

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Significance• This practice establishes a standard equipment

control methodology to aid in requirements determination and communication, with the end goal of the promulgation of safe, secure, cost effective and risk appropriate control and tracking methodologies.

• This practice encourages an inclusive understanding and communication of the control and tracking of equipment, and enables meaningful discussion between parties with interest in the equipment.

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Usage

• An entity may use the ECM to better understand and thus appropriately control its equipment, and to leverage this information to enhance safety, security, and performance.

• This practice may be used as a preparatory step in implementing use of Practice E 2452, Standard Practice for Equipment Management Process Maturity (EMPM) Model or may be implemented concurrently or subsequently.

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Usage

• This practice may be used as a preparatory step or otherwise inform the use of Practice E 2495, Standard Practice for Prioritizing Asset Resources in Acquisition, Utilization, or Disposition.

• This practice is intended to foster and enable additional standard practices related to or based on these terms and concepts.

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Usage

• How might the use of this standard impact:• The Physical Inventory Standard?• The LDD Standard?• Your procedures?• FAR Property Management?• Property Management in a University environment?• Property Management in a Federal environment?

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The End

Thanks !

Jim Dieter

Sunflower Systems