Submission 117 Roadmap leading to attaining Total Asset ... · Roadmap Leading to Attaining Total...

Roadmap Leading to Attaining Total Asset Management on Electrical and Mechanical Facilities in Drainage Services Department, the Government of the Hong Kong Special Administrative Region (HKSAR)

Michael K.F.YEUNG 1, Gary W.Y. CHU2

Abstract The Drainage Services Department (DSD) is committed to providing world-class wastewater treatment and stormwater treatment services in Hong Kong. It is tasked, among other commitments, to operate and maintain (O&M) about 330 numbers of sewage treatment facilities, ranging from sewage pumping stations to sewage treatment works serving around 7 million people. In order to make more effective use of resources and manage the associated facilities, a Task Force was established in late 2011 to oversee the development of Total Asset Management (TAM) in the Electrical and Mechanical (E&M) Branch of DSD ac-cording to the Publicly Available Specifications (PAS 55) published by the British Standards Institutions in 3 stages. In Stage 1 (2012-2013) development, two sew-age pumping stations were selected to implement Asset Management (AM) sys-tem as pilot study, and obtained PAS 55 certification on 28 November 2013.

In January 2014, the International Organization for Standardization launched a new asset management standard ISO 55001. By adopting this new standard, it would address not only the public demand for the continued provision of quality drainage services but also put DSD’s mission to manage its assets in a more cost-

1 Michael K.F. YEUNG () Senior Electrical and Mechanical Engineer, Drainage Services Department, the Government of the Hong Kong Special Administrative Region e-mail: [email protected]

2 Gary W,Y.CHU () Electrical and Mechanical Engineer, Drainage Services Department, the Government of the Hong Kong Special Administrative Region email: [email protected]

2 Michael K.F. YEUNG - Roadmap Leading to Attaining Total Asset Management on Elec-trical and Mechanical Facilities in Drainage Services Department, the Government of HKSAR

effective manner. Hence the E&M Branch of DSD began its Stage 2 (2013 – 2014) development to follow the new standard in its asset management journey, in which 7 numbers of sewage treatment works and the 2 numbers of PAS 55 certi-fied sewage pumping stations were selected to implement AM system as pilot study. Through the new standard, a set of maintenance strategies and objectives were then established, taking into consideration a number of factors to eliminate or reduce risks as far as possible and to enhance reliability and utilization of criti-cal electrical and mechanical equipment in a cost effective manner throughout their life cycle, and obtained ISO 55001 certification on 29 May 2014.

The experience obtained from the pilot study in Stage 1 and Stage 2 developments laid a solid foundation and helped formulating the Stage 3 development strategy which is being manifested in 4 parts as follows:

Part 1: To replicate asset management system to all sewage treatment and storm-water facilities from 2015 to 2019. It is envisaged that all DSD’s E&M assets will achieve the ultimate goal of obtaining ISO 55001 certification by 2019.

Part 2: To conduct computerized maintenance management system review and maintenance data analysis.

Part 3: To conduct predictive maintenance trial studies

Part 4: To enhance staff competence

This paper provides an overview on the developments of AM system on electrical and mechanical assets in DSD since its inception in 2011 till now with focus on the lessons learnt, as well as the roadmap and perceived challenges ahead.

1 Introduction

Drainage Services Department (DSD) was established on 1 September 1989. The vision of DSD was to provide world-class wastewater and stormwater treat-ment services enabling the sustainable development of Hong Kong. In a depart-mental retreat held in 2011, DSD developed six strategic goals, one of which (i.e. Goal 4(b)) was to establish a TAM system to optimize the long term operation and maintenance of DSD’s electrical and mechanical assets.

Being a government department, the E&M Branch of DSD has been managing about 330 numbers of sewage and stormwater treatment facilities handling approx. 2.80 million m3 of sewage every day serving about 93% of the population in Hong Kong [1]. To maintain this large amount of E&M assets, substantial operation and maintenance (O&M) expenses have been incurred. In this connection, an AM sys-tem can be an effective means to achieve not only an optimal life cycle cost in the

Michael K.F. YEUNG - Roadmap Leading to Attaining Total Asset Management on Electrical and Mechanical Facilities in Drainage Services Department, the Government of HKSAR 3

long run, but also reliable performance to meet the level of services expected from the general public (Figure 1).

Figure 1 Objectives of AM system

A Task Force chaired by a chief engineer was then established in December 2011 with members drawn from all 3 divisions of E&M Branch to oversee the de-velopment and implementation of TAM with the following 3 main initiatives:

i. To build up competence in TAM ii. To improve the accuracy of asset inventory iii. To develop the 5-year TAM plan

Various short, medium and long term action plans were then developed to build the TAM systems gradually with their progress monitored by the Task Force. De-tails of action items were elaborated in our earlier paper [2]. At the invitation of the organizing committee of the 9th World Congress on Engineering Asset Man-agement, representatives of DSD had conducted a workshop to share DSD’s AM strategic roadmap and practices held at the University of Pretoria, South Africa on 28 October 2014.

One of the action items of the TAM Task Force was to commission studies in 3 stages with a view to formulating the development of an AM system in E&M Branch of DSD. The lessons learnt, as well as the roadmap, perceived challenges ahead and progress achieved thus far in our AM journey are elaborated in the fol-lowing sections.


2 Pilot Study of AM System

Implementation of AM system in E&M Branch has been proceeding in stages. A pilot study was first launched in two Sewage Treatment Divisions since 2010. 2 numbers of sewage pumping stations, namely Ho Pong Street sewage pumping station (HPSSPS) at Tuen Mun district and Hung Hom Bay sewage pumping sta-tion (HHBSPS) at Hung Hom district (Figures 2 and 3) were selected as pilot sites.

Figure 2 Pilot Sites for PAS55 Implementation – Ho Pong Street Sewage Pumping Station.

Figure 3 Pilot Sites for PAS55 Implementation – Hung Hom Bay Sewage Pumping Station.

Analysis was conducted to determine the gaps between the current AM systems applied in these 2 pilot sites against the requirements of PAS 55. The following major gaps were identified [3]:

i. AM policy, strategies, objectives and plans consistent with the depart-


mental strategic plan should be established. ii. A risk management system should be established and applied to enable

the proper risk identification and assessment of these assets and asset sys-tems.

iii. The current contingency plans, operational procedures for control of ac-tivities across the whole asset life cycle should be reviewed against the results from risk assessments.

Following this exercise, action plans were then developed to close the gaps. In the course of gap closing, the Task Force opined that it was essential to ensure our staff at different levels should possess an appropriate level of competence in terms of education, training and experience to nurture an AM culture within DSD. Local and overseas training activities were therefore conducted to introduce the rationale in establishing the AM system, the concept of risk-based maintenance strategies, AM framework under PAS 55, and respective individual roles and responsibilities, etc. An external audit was conducted in early 2012 and verified that most of the gaps were generally addressed. The targets on various AM objectives from cost, performance and risk aspects were achieved satisfactorily (Table 1).

Table 1 AM Objectives Adopted in the Pilot Study

AM Aspects AM Objectives HPSSPS HHBSPS Target Actual Target Actual

Cost Effectiveness Corrective Maintenance Man-hours

190

158

310

120

Performance Overflow Incident

0 0 0 0

Risk Availability of Critical

Equipment

97.7%

100%

97.7%

100%

3 Strategic Roadmap to Develop AM System

The above pilot study provided solid foundation and insight for readiness in developing the AM system in E&M Branch of DSD at a later stage. In particular, it was remarked in the external audit report that the two pumping stations under the pilot study were regarded as relatively small-scale. Considerations should be given to apply the AM system to the sewage treatment facilities having high sig-nificance in delivering and achieving the departmental strategic goals. This marked the evolution of a strategic roadmap to develop the AM system in 3 stages.


Stage 1 (2012- 2013): To identify Selected Critical Plants (SCPs) for holistic gap assessment leading to the development of an AM Improvement Plan (AMIP) for E&M Branch.

Stage 2 (2013 -2014): To address the identified gaps based on AMIP and es-tablish a more comprehensive AM system at SCPs for trial implementation for a period of time with a view to paving a long term TAM development plan.

Stage 3(2014 – 2019): To populate the established AM system from Stage 2 progressively to all sewage and stormwater treatment facilities in E&M Branch of DSD leading to full certification in 2019.

Various stages of AM system development are illustrated in Figure 4.

Figure 4 Roadmap for Development of AM System.

The lessons learnt as well as perceived challenges ahead and progress achieved thus far is elaborated in the following sections.

4 Stage 1 Study (2012-2013)

Stage 1 study was aimed to provide a general overview on the performance and practices of existing AM system in E&M Branch with reference to PAS 55. In view of the recommendation made in the external audit report of the pilot study, a


desk-top study across the full asset portfolio was commissioned to identify repre-sentative critical plants for the Stage 2 study. With the aids of statistical methods, all the plants were rated into 4 levels with consideration of crucial factors such as maintenance cost, human resources, system availability, corrective maintenance (CM) works orders, etc. Level 1 is the bottom 25% of the total DSD-owned sew-age treatment works with least significance impact. Level 2 and 3 are the two re-spective middle 25% ranges with moderate significance impact whereas level 4 is the top 25% with the most significance impact (Figure 5). The total ratings of all crucial factors were then compiled for each plant and arranged in descending or-der. The top 7 numbers of plants with highest total ratings were then shortlisted accordingly as SCP for further gap assessment at Stage 2 study.

Figure 5 Use of Statistical Technique to Identify Representative Critical Plants

The current AM practices of the 7 SCPs were then holistically reviewed using the assessment tool developed by the Institute of Asset Management (IAM) to de-termine the maturity level of current AM practices [4]. The results were presented in the form of RADAR chart to benchmark the average score range according to PAS 55 (Figure 6). Their overall maturity ratings can be determined and will form the basis for formulating the Asset Management Improvement Plan (AMIP) with recommendations to raise the maturity level of the SCPs (Table 2).


Figure 6 RADAR Chart in Stage 1 Study for 7 SCPs.

In order to get some advance experience and quick-win, it was decided to apply certification for HPSSPS and HHBSPS. The AM system was fine-tuned according to recommendations of AMIP, and obtained PAS 55 certification on 28 November 2013.

Table 2 Summary of Recommendations in AMIP

AM Aspects Recommendations 1. Policy and Strategies To enhance Integrated Management System (IMS) policy to

address asset management and establish long-term AM strategies.

2. Objectives To enhance the current IMS objectives to extend their cover-age to include AM objectives

3. Plan To establish formal asset management plan(s) across all the life cycle activities and enhance the current practices of re-placement and improvement plan

4. Contingency Planning To enhance the current contingency plan to address asset-related risk

5. Outsourcing of AM ac-tivities

To establish sharing of AM knowledge between DSD and the contracted service provider

6. Training, awareness and communication

To include AM related contents in the training system estab-lished under IMS

7. Information manage-ment

To record failure mode of breakdowns in the AM information system for failure / risk analysis

8. Risk Management To establish risk management system for on-going identifica-tion and assessment of AM related risks and implementation of necessary control measures

9. Performance and condi-tion monitoring

To streamline manual and auto data recording and study the mean time between failure of major equipment


It is remarked that DSD has implemented an Integrated Management System (IMS) to safeguard its sewage treatment operations. The lesson learnt from the Stage 1 Study is that AM system should link up with the existing IMS so that maximum synergy between the two systems could be achieved without duplica-tion of effort from operation and system administration point of view. In the long run, the AM system should be integrated with the IMS when a suitable opportu-nity arises.

5 Stage 2 Study (2013-2014)

The Stage 2 study was aimed to materialize all the recommendations in AMIP by launching pilot study to the 7 numbers of SCPs together with HPSSPS and HHBSPS leading to PAS 55 certification (Figure 7).

Figure 7 Locations of Plants under PAS55 Pilot Study.

Based on the experience from Stage 1 study, focus had been placed on frequent communications with stakeholders involved from frontline staff to top manage-ment. These are manifested by different forms and levels of meetings, training courses, briefing sessions and facilitation workshops to sustain the momentum,

10 Michael K.F. YEUNG - Roadmap Leading to Attaining Total Asset Management on Electrical and Mechanical Facilities in Drainage Services Department, the Government of HKSAR

which is a key successful factor in this change management process. Local and overseas training activities were conducted to enhance the competence of the staff involved. Various awareness briefing and visits to local and overseas PAS 55 cer-tified utilities were organized to exchange views and share their experience. This was an effective way to obtain buy-in of the staff concerned.

In January 2014, International Organization for Standardization launched a new AM standard ISO 55001. The Task Force decided to follow the ISO 55001 for the AM journey and rolled out the AM system with the hierarchy shown in Figure 8.

Figure 8 Hierarchy of AM System.

The following AM Policy was established at the initial phase of the Stage 2 study:

DSD’s Sewage Treatment Divisions are committed to providing a cost effec-tive and reliable sewage treatment service for the public in the following aspects-

i. Full compliance with applicable legal requirements. ii. Evaluating the effectiveness of our AM system for continuous improve-

ment and satisfying the needs of our stakeholders. iii. Continuously optimize the cost management, operational performance,

risk management and the total life cycle cost, and improve the efficiency and effectiveness of AM processes. To facilitate such, DSD Sewage Treatment Division will maintain current, relevant & reliable data & re-cords of critical assets; as well as understanding & forecasting asset maintenance & renewal costs.

iv. Regular review of the AM Strategy, Objectives and Plans


To ensure the Stage 2 study to proceed smoothly, a series of structured on-site facilitation workshops (Figure 9) were conducted to selected Nominated Plant Representatives (NPRs) of respective SCP leading to the establishment of various elements in the AM system progressively according to recommendations of AMIP. The facilitation workshops provided a platform for NPRs to have an in-depth understanding and overview of the current AM operation as well as consoli-dating all the useful and valuable knowledge from them. It was an effective way to induce a sense of ownership of the staff concerned.

Figure 9 Structured AM Facilitation Workshops for AM Development.

The outcome of the facilitation workshops were manifested in the following de-liverables:

i. Divisional Generic Documents which comprise of Strategic Asset Man-agement Plan (SAMP) with outline on AM system framework (Figure 10) and Risk Management Plan (RMP) with methodology of physical assets re-lated risk identification and rating

ii. Plant Specific Documents which comprise of Asset Management Plan (AMP) with plan for managing the physical assets related issues at each plant.


Figure 10 Framework of DSD-specific AM System Established in Stage 2 Study

After a 3-month implementation and an external audit to verify the adequacy and effectiveness of the AM system, all the SCPs obtained ISO 55001 certification on 29 May 2014 (Figure 11).

Figure 11 ISO55001 Certification Presentation Ceremony


After 1 year implementation, the IAM assessment tool was used again to evalu-ate the changes after completion of Stage 2 study. It was indicated that the overall maturity rating had been significantly improved (Figure 12). All the AM objec-tives were achieved in the SCPs with recorded annual saving of 3,000 man hours and US$ 130,000.

Figure 12 Comparisons of RADAR Charts for SCPs after Stage 1 and 2 Study

The established AM system should have meaningful representation of the ma-jor types of sewage treatment facilities in E&M Branch and was readily extended to other sewage and stormwater treatment facilities at DSD. A TAM Development Plan (TAMDP) was therefore developed to consolidate the practical experience learnt from the Stage 2 study as well as the possible challenges in Stage 3 study to raise the overall maturity level in compliance with ISO 55001 in the next 5 years [6]. These challenges include:

i. To replicate the similar AM System to all sewage and stormwater treatment facilities in view of resources constraint.

ii. To capture useful AM information from current Computerized Main-tenance Management System (CMMS) to continuously improve the maintenance decisions.

iii. To adopt cost effective maintenance strategies for a paradigm shift from time based preventive maintenance (PM) to predictive/condition-based maintenance.

6 Stage 3 Study (2014-2019)

The Stage 3 study was aimed to address the challenges addressed in TAMDP and develop the following action plans accordingly.


i. To conduct a prioritization review study to categorize about 320 num-

bers of plants under E&M Branch of DSD into different prioritized as-set groups (PAGs) for progressive implementation of the AM system at the PAGs.

ii. To conduct a data management review study to re-visit the existing CMMS including data input, data analysis, connectivity of capturing useful asset information for performance monitoring and evaluation in AM system.

iii. To conduct predictive maintenance trial studies such as vibration monitoring, trend analysis, computer modelling, etc. for selected high

risk critical asset/asset groups.

Major highlight of various studies and progress achieved thus far are elaborated in the following sub-sections.

6.1 Prioritization Review Study (October 2014 – February 2015)

In order to establish a prioritized action plan to allocate maintenance resources efficiently for critical plants, an in-depth prioritization review study was con-ducted in October 2014 to differentiate the significance and criticality among the plants (Figure 13). The operational data of about 270 numbers of sewage treat-ment facilities and about 50 numbers of stormwater treatment facilities were col-lected for analysis. This included cost related data such as staff strength, mainte-nance cost, PM works order etc. as well as risk related data such as average flow, CM work orders, technical complaints, reportable incidents etc. The similar data analysis methodology applied in Stage 1 study was adopted to understand the data statistically distribution, as well as the ratings allocation of the above-mentioned factors among the plants based on 25% percentile quadrants. The underlying prin-ciple was to identify those plants which were significant in cost and risk for im-plementation more extensive AM system, and vice versa.


Figure 13 Methodology of Prioritization Review Study

The result of the prioritization review study indicated that the top 10% of sew-age and stromwater treatment facilities occupied approximately 80% of the total resources. The next 20% of the facilities occupied about 14%. The remaining 70% of the facilities occupied the last 6% of the total resources (Figure 14). This marked the evolution of the classification of the plants into 3 numbers of PAGs with different content of AM system (Figure 15) for progressive implementation of the AM system in Stage 3 study.

Figure 14 Results of Prioritization Review Study


Figure 15 Classifications of 3 Types of PAG

6.2 Data Management Review Study (May 2015 – April 2016)

A data management study was commenced in May 2015 to holistically review the available maintenance data saved in the existing CMMS. The outcome of this study can support the long term development of AM system and enabling the mi-gration from time-based to risk-based maintenance strategies.

The study comprises of the following tasks: i. To establish methodology to holistically review the database of full

asset portfolio in the existing CMMS and identifying a number of prominent parameters for evaluation.

ii. To applying analytical/statistical tools or other applicable methods to analyze the collected maintenance data of critical equipment, aiming to develop quantitative tools/criteria/guidelines for conducting various assessments such as mean time between failure, mean time to failure, asset condition rating, risk rating, service life estimation, etc.

iii. To establish methodology to categorize various major equipment based on analysis results and their criticalities, aiming to identify suit-able asset/asset groups to adopt reactive, preventive or predictive maintenance strategies accordingly (Figure 16). The results will serve as the basis for selecting suitable equipment for predictive mainte-nance trial studies.

iv. To review the PM schedule of critical equipment based on the assess-ments results, aiming to enhance the PM frequency and reduce unnec-essary maintenance works.


Figure 16 Maintenance Strategies to be developed in Stage 3 Study

Preliminary data analysis has been completed for selected critical equipment with preliminary predominant failure modes identified for further analysis (Figure 17). The study is still on-going and is targeted to complete by April 2016 to fur-nish the following meaningful information to improve the AM system.

i. failure classification by asset class and failure mode ii. typical historical failure trends of different asset groups iii. recommended quantitative tools/criteria/guidelines for risk and asset

condition assessment recommended key parameters for regular condi-tion monitoring

iv. recommended maintenance strategies of different asset classes/groups v. optimal PM schedules of critical asset classes/groups


Figure 17 Sample of Predominant Failure Modes Analysis

6.3 Predictive Maintenance Trial Study (September 2015 - De-cember 2016)

DSD’s E&M Branch is currently adopting traditional time-based PM strategy to maintain the equipment at regular time intervals which is aimed to reduce the frequency and seriousness of unplanned failures for equipment with defined, age-related tear and wear patterns. But in reality, some failures also occur at random with a frequency unrelated to the average failure rate. A paradigm shift from reac-tive/time-based to predictive/condition-based strategies is envisaged in order to achieving better cost effectiveness.

As pumps are the major equipment under the asset portfolio, a trial study will be conducted in one of the selected pumping station, namely, Ha Tsuen Sewage Pumping Station which is a typical vertical centrifugal pumps used in DSD and has a significant scale with total pumping capacity of 21,240 m3/hr. The study comprises of 3 main parts:

i. To upgrade the instrumentation/control system required for conduct-ing vibration monitoring in existing centrifugal sewage pumps and motors (Figure 18).

ii. To measure the vibration level and frequency of the pumps regularly so as to identify conditions that can lead to various failure modes.


iii. To compile analysis reports on the findings on various failure patterns and recommend the applicable predictive maintenance strategies to enhance the existing maintenance practice and PM interval.

Figure 18 Instrumentation System for Trial Predictive Maintenance Study

With the sufficient pre-failure information collected in the study, the associated failure modes of various types of equipment can be determined. The results would form the basis to judge when is the optimal period to perform the maintenance tasks before the equipment fails. It is envisaged that the results of the study will provide practical experience in the use of condition-based technology and pave the way to implement predictive maintenance in DSD’s E&M Branch.

7 Conclusions

ISO 55001 AM system can provide a holistic and effective framework, which would guide and enable leading public utilities in many parts of world, including those in Hong Kong, to manage their assets and asset systems in a well-balanced (i.e. cost, risk and performance) and self-managed (Plan-Do-Check-Act) settings in order to optimise the whole life cycle cost. The insight on asset management as conceived above was based on the lesson learnt and experience gained from Stage 1 and 2 studies by DSD’s E&M Branch.


As a government department, DSD is striving to establish an AM system to optimize the long term operation and maintenance of its sewage and stromwater treatment facilities. In line with the departmental goal and sharing on the insight mentioned above, a strategic asset management roadmap for sewage treatment fa-cilities in DSD has been developed through series of studies since 2011 till now and beyond. These studies are still on-going till completion of its stage 3 leading to achieving ultimate goal of obtaining ISO 55001 certification for the remaining facilities by 2019.

In the AM journey, our focus has been placed to establish a well structured AM system as well as to develop suitable analytical tools to improve the AM deci-sions and strategies. We envisage a paradigm shift from reactive/time-based to predictive/condition-based maintenance strategies in order to achieving better cost effectiveness in the long run.

8 Listing of References

[1] Drainage Services Department, March 2014, Drainage Services Depart-ment in Brief 2013-14, [Online] Available at: http://www.dsd.gov.hk/EN/Publicity_and_Publications/Publicity/Leaflets__Booklets___Fact_Sheets/index.html

[2] WCEAM 2013 proceedings, Strategic Asset Management Approach for Sewage Treatment Facilities in Drainage Services Department, the Government of Hong Kong Special Administrative Region (HKSAR) [Online] Available at: http://www.springer.com/gp/book/9783319095066

[3] Hong Kong Quality Assurance Agency, February 2012 Drainage Services Department Sewage Pumping Station at Ho Pong Street, Tuen Mun and Hung Hom Bay PAS 55-1 2008 Gap Assessment Report.

[4] Institute of Asset Management, PAS55 Assessment Methodology, [Online] Available at: https://theiam.org/products-and-services/pas55-methodology

[5] Hong Kong Quality Assurance Agency, January 2013 Drainage Services Department Electrical and Mechanical Branch PAS 55-1 2008 Asset Management Improvement Plan Based on Gap Assessment Results

[6] Hong Kong Quality Assurance Agency, July 2014 Drainage Services De-partment Electrical and Mechanical Branch ISO 55001 Total Asset Management Development Plan Based on Stage 2 Studies

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