EN 17840:2023
(Main)Performance and condition assessment for buildings and civil engineering works - Framework for assessment within physical asset management
Performance and condition assessment for buildings and civil engineering works - Framework for assessment within physical asset management
This document specifies and gives guidance on the performance and condition assessment process of existing physical assets in the utilization stage (from commissioning to the end of life).
This document relates to assessment of physical assets within the building and civil engineering sector; however, it can also be used in other sectors where applicable.
This document specifies a generic framework for assessment, specification of requirements, the observation process and gathering of the required information in order to sustain informed asset management decision making.
This document is an umbrella standard and refers to other standards for detailed methods. It does not replace any other standard, but is an addition to provide a system for the assessment work.
NOTE 1 The references to other standards only relate to building and civil engineering works. There are no references for production machinery and equipment, offshore, electrical and mechanical assets, mobile assets and non-tangible assets.
NOTE 2 In this document the physical assets will be referred to as assets, except in the Clause Terms and definitions.
Leistungs- und Zustandsbewertung für Immobilien und Anlagen - Bewertungsrahmen für das Anlagenmanagement
Dieses Dokument legt den Prozess der Leistungs- und Zustandsbewertung bestehender Sachanlagen während der Nutzungsphase von Liegenschaften (von der Inbetriebnahme bis zum Ende der Lebensdauer) fest und gibt entsprechende Hinweise.
Dieses Dokument bezieht sich auf die Bewertung von Sachanlagen von Immobilien und Anlagen, kann aber, wo zutreffend, auch in anderen Bereichen angewendet werden.
Dieses Dokument legt einen allgemeinen Rahmen für die Bewertung, die Festlegung von Anforderungen, den Beobachtungsprozess und die Erfassung der erforderlichen Informationen fest, um eine fundierte Entscheidungsfindung für das Asset Management zu unterstützen.
Dieses Dokument ist eine Rahmennorm und nimmt hinsichtlich detaillierter Verfahren weitere Normen in Bezug. Es ersetzt keine andere Norm, sondern dient als Ergänzung, um ein System für die Bewertung zu schaffen.
ANMERKUNG 1 Die Verweisungen auf andere Normen beziehen sich ausschließlich auf Immobilien und Anlagen. Es gibt keine Verweisungen auf Produktionsmaschinen und -ausrüstungen, Offshore-Anlagen, elektrische und mechanische Assets, mobile Assets und immaterielle Assets.
ANMERKUNG 2 In diesem Dokument werden Sachanlagen als Assets bezeichnet, mit Ausnahme des Abschnitts Begriffe.
Évaluation de la performance et de l’état des bâtiments et des ouvrages de génie civil - Cadre de l’évaluation dans le cadre de la gestion d’actifs physiques
Le présent document spécifie et donne des recommandations relatives au processus d’évaluation de la performance et de l’état des actifs physiques existants durant la phase d’utilisation (de la mise en service à la fin de vie).
Le présent document porte sur l’évaluation des actifs physiques dans le secteur du bâtiment et du génie civil ; il peut néanmoins être utilisé dans d’autres secteurs, le cas échéant.
Le présent document spécifie un cadre générique pour l’évaluation, la spécification des exigences, le processus d’observation et le rassemblement des informations requises afin d’appuyer une prise de décision éclairée par le gestionnaire de l’actif.
Le présent document est une norme générique qui renvoie à d’autres normes pour les méthodes détaillées. Il ne remplace aucune autre norme ; il vient au contraire en complément, pour offrir un système dédié au travail d’évaluation.
NOTE 1 Les références à d’autres normes ne concernent que les ouvrages de construction et de génie civil. Aucune référence n’est faite aux machines et équipements de production, aux actifs électriques et mécaniques en mer, aux actifs mobiliers et aux actifs immatériels.
NOTE 2 Dans le présent document, les actifs physiques sont appelés actifs, hormis dans l’Article « Termes et définitions ».
Ocena učinkovitosti in uspešnosti ter stanja stavb in nizkih gradenj - Okvir za ocenjevanje pri obvladovanju fizičnega premoženja
Ta dokument določa in podaja smernice za postopek ocenjevanja učinkovitosti in uspešnosti obstoječega fizičnega premoženja v fazi uporabe (od zagona do konca življenjske dobe).
Ta dokument se navezuje na ocenjevanje fizičnega premoženja v sektorju gradbeništva, vendar se lahko uporablja tudi v drugih sektorjih, kjer je primerno.
Ta dokument določa splošni okvir za ocenjevanje, specifikacijo zahtev, postopek opazovanja in zbiranje potrebnih informacij za informirano odločanje o obvladovanju premoženja.
Ta dokument je krovni standard, ki se za podrobne metode sklicuje na druge standarde. Ne
nadomešča nobenega standarda, vendar je dodatek za zagotavljanje sistema za ocenjevanje.
OPOMBA 1: Sklici na druge standarde se navezujejo samo na stavbe in gradbene inženirske objekte. Ni sklicev za proizvodne stroje in opremo, plavajoče, električno in mehansko premoženje, mobilno premoženje in nematerialno premoženje.
OPOMBA 2: V tem dokumentu se fizično premoženje imenuje premoženje, razen v točki »Izrazi in definicije«.
General Information
Standards Content (Sample)
SLOVENSKI STANDARD
01-november-2023
Ocena učinkovitosti in uspešnosti ter stanja stavb in nizkih gradenj - Okvir za
ocenjevanje pri obvladovanju fizičnega premoženja
Performance and condition assessment for buildings and civil engineering works -
Framework for assessment within physical asset management
Leistungs- und Zustandsbewertung für Immobilien ¿ Bewertungsrahmen für Gebäude
und Anlagentechnik
Évaluation de la performance et de l’état des bâtiments et des ouvrages de génie civil -
Cadre de l’évaluation dans le cadre de la gestion d’actifs physiques
Ta slovenski standard je istoveten z: EN 17840:2023
ICS:
91.010.99 Drugi vidiki Other aspects
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
EN 17840
EUROPEAN STANDARD
NORME EUROPÉENNE
September 2023
EUROPÄISCHE NORM
ICS 91.010.99
English Version
Performance and condition assessment for buildings and
civil engineering works - Framework for assessment
within physical asset management
Évaluation de la performance et de l'état des bâtiments Leistungs- und Zustandsbewertung für Immobilien -
et des ouvrages de génie civil - Cadre de l'évaluation Bewertungsrahmen für das Anlagenmanagement
dans le cadre de la gestion d'actifs physiques
This European Standard was approved by CEN on 9 July 2023.
CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this
European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references
concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN
member.
This European Standard exists in three official versions (English, French, German). A version in any other language made by
translation under the responsibility of a CEN member into its own language and notified to the CEN-CENELEC Management
Centre has the same status as the official versions.
CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway,
Poland, Portugal, Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Türkiye and
United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2023 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 17840:2023 E
worldwide for CEN national Members.
Contents Page
European foreword . 4
Introduction . 5
1 Scope . 6
2 Normative references . 6
3 Terms and definitions . 6
3.1 Asset management . 6
3.2 Assessment . 8
3.3 Maintenance . 9
3.4 Objectives and requirements . 11
3.5 Observation . 13
4 Essential elements of assessment . 14
4.1 Introduction to assessment . 14
4.2 Asset portfolio decisions . 15
4.3 Validating the set requirements and objectives . 15
4.4 Verifying the requirements . 16
4.4.1 Short-term measures: Performance and condition . 16
4.4.2 Short-term measures: Compliance . 18
4.4.3 Long term asset planning . 18
5 Assessment process . 19
5.1 General. 19
5.2 Assessment process steps . 19
5.3 Identifying the requirements . 20
5.3.1 General. 20
5.3.2 Requirements for an asset portfolio . 21
5.3.3 Strategic guidance . 21
5.3.4 Requirements for assets and aggregated assets . 21
5.4 Specifying the assessment strategy . 21
5.4.1 General. 21
5.4.2 Level of assessment . 24
5.4.3 Purpose of the assessment . 24
5.4.4 Maintenance approaches . 24
5.4.5 Results . 24
5.4.6 Classification. 25
5.4.7 Planning . 25
5.4.8 Observation category . 26
5.4.9 Observation techniques . 27
5.5 Gathering additional information. 28
5.6 Assessment . 29
5.6.1 General. 29
5.6.2 Asset portfolio assessment . 29
5.6.3 Aggregated assets assessment . 30
5.6.4 Asset assessment. 31
5.7 Validation . 31
6 The observation process . 32
6.1 General. 32
6.2 Planning . 33
6.2.1 Scope: Specifying the task . 33
6.2.2 Preparation: Determining operational conditions . 34
6.3 Observation . 35
6.3.1 Detection: Acquiring asset status data and reporting . 35
6.3.2 Ranking: Analysing and valuing detection data . 36
6.4 Quality control, evaluation and rectifications . 38
Annex A (informative) References . 39
A.1 References for requirements . 39
A.2 References for guidelines for assessment planning . 41
A.3 References for observation methods and techniques . 41
A.4 References for assessment method . 41
Annex B (informative) Inventory list plans and reports . 42
Bibliography . 47
European foreword
This document (EN 17840:2023) has been prepared by Technical Committee CEN/TC 319
“Maintenance”, the secretariat of which is held by UNI.
This European Standard shall be given the status of a national standard, either by publication of an
identical text or by endorsement, at the latest by March 2024, and conflicting national standards shall be
withdrawn at the latest by March 2024.
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CEN shall not be held responsible for identifying any or all such patent rights.
Any feedback and questions on this document should be directed to the users’ national standards body.
A complete listing of these bodies can be found on the CEN website.
According to the CEN-CENELEC Internal Regulations, the national standards organisations of the
following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Croatia,
Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland,
Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of North
Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Türkiye and the United
Kingdom.
Introduction
There are various standards available about monitoring, inspection and assessment of physical assets.
All these standards have their own purpose and place in the field of assessment. This document for
performance and condition assessment is an umbrella standard for physical assets and refers to other
standards for detailed methods.
The scope of this document is buildings and civil engineering works. The intended audience for this
document is asset owners (small and large, public and private), asset managers, facility managers,
property managers, observers and consultants.
This document consists of two parts:
— the assessment process: The steps that are needed to perform an assessment;
— the observation process: The steps that are needed for acquiring and analysing the asset status data
to give recommendations as part of the assessment process.
In both cases, the purpose is to enhance the quality of the assessment and to provide information for the
asset owner/manager to support the decision making process.
The document assists asset and facility managers in selecting the appropriate technique and determining
the quality of the work that has been done.
1 Scope
This document specifies and gives guidance on the performance and condition assessment process of
existing physical assets in the utilization stage (from commissioning to the end of life).
This document relates to assessment of physical assets within the building and civil engineering sector;
however, it can also be used in other sectors where applicable.
This document specifies a generic framework for assessment, specification of requirements, the
observation process and gathering of the required information in order to sustain informed asset
management decision making.
This document is an umbrella standard and refers to other standards for detailed methods. It does not
replace any other standard, but is an addition to provide a system for the assessment work.
NOTE 1 The references to other standards only relate to building and civil engineering works. There are no
references for production machinery and equipment, offshore, electrical and mechanical assets, mobile assets and
non-tangible assets.
NOTE 2 In this document the physical assets will be referred to as assets, except in the Clause Terms and
definitions.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
NOTE Several terms have multiple definitions in different standards, depending on the context. All definitions
in this document are fitted for performance and condition assessment.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— IEC Electropedia: available at https://www.electropedia.org/
— ISO Online browsing platform: available at https://www.iso.org/obp
3.1 Asset management
3.1.1
aggregated assets
set of assets that interact or are interrelated
Note 1 to entry: A sewage system, tunnel, building, bridge, network of motorways are typical examples of
aggregated assets.
Note 2 to entry: Aggregated assets can also be referred to as an asset system.
3.1.2
asset management
coordinated activity of an organization to realize value from assets
Note 1 to entry: Realization of value will normally involve a balancing of costs, risks, opportunities and
performance benefits.
Note 2 to entry: Activity can also refer to the application of the elements of the asset management system.
Note 3 to entry: The term “activity” has a broad meaning and can include, for example, the approach, the planning,
the plans and their implementation.
[SOURCE: ISO 55000:2014, 3.3.1]
3.1.3
asset portfolio
assets that are within the scope of the asset management system
Note 1 to entry: A portfolio is typically established and assigned for managerial control purposes. Portfolios for
physical hardware might be defined by category (e.g. properties, civil infrastructure, road network, plant,
equipment, tools, land). Software portfolios might be defined by software publisher, or by platform (e.g. PC, server,
mainframe).
Note 2 to entry: An asset management system can encompass multiple asset portfolios. Where multiple asset
portfolios and asset management systems are employed, asset management activities should be coordinated
between the portfolios and systems.
[SOURCE: ISO 55000:2014, 3.2.4, modified – Note 1 to entry: examples of physical asset portfolios have
been added]
3.1.4
asset
item, thing or entity that has potential or actual value to an organization
Note 1 to entry: Value can be tangible or intangible, financial or non-financial, and includes consideration
of risks and liabilities. It can be positive or negative at different stages of the asset life.
Note 2 to entry: Physical assets usually refer to facilities, civil engineering works, street furniture, technical
installations, equipment, inventory and properties owned by the organization. Physical assets are the opposite of
intangible assets, which are non-physical assets such as leases, brands, digital assets, use rights, licences, intellectual
property rights, reputation or agreements.
Note 3 to entry: A grouping of assets referred to as aggregated assets (3.1.1) could also be considered as an asset.
Note 4 to entry: In this document the term ‘asset’ means physical asset (3.1.7).
[SOURCE: ISO 55000:2014, 3.2.1, modified – Note 2 to entry: examples of physical assets have been
added; Note 4 to entry has been added]
3.1.5
interoperability
ability of systems to provide services to and accept services from other systems and to use these services
to enable them to operate effectively together
[SOURCE: ISO 37153:2017, 3.8, modified – Notes 1 and 2 to entry have been deleted]
3.1.6
item
part, component, device, subsystem, functional unit, equipment or system that can be individually
described and considered
Note 1 to entry: A number of items e.g. a population of items, or a sample, may itself be considered as an item.
Note 2 to entry: An item may consist of hardware, software or both.
Note 3 to entry: Software consists of programs, procedures, rules, documentation and data of an information
processing system.
[SOURCE: EN 13306:2017, 3.1]
3.1.7
physical asset
item that has potential or actual value to an organization
Note 1 to entry: Examples of physical assets are components, machines, plants, buildings, infrastructures etc.
[SOURCE: EN 13306:2017, 3.2]
3.1.8
physical asset management
coordinated activities of an organization to realize value from physical assets
Note 1 to entry: Realization of value will normally involve a balancing of costs, risks, opportunities and benefits.
Note 2 to entry: In the life cycle context, physical asset management is the optimal life cycle management of
physical assets to sustainably achieve the stated business objectives.
[SOURCE: EN 16646:2014, 3.1.13]
3.2 Assessment
3.2.1
assessment
systematic process of collecting and analysing data to determine the current status of a product, a
process, a system, a person or an organization
[SOURCE: ISO 10795:2019, 3.24]
3.2.2
assessment strategy
outline plan that includes a coordinated set of activities and the allocation of resources necessary to
perform the assessment
3.2.3
condition
physical state of an asset or item at a particular time compared to state at the time of commissioning
Note 1 to entry: That assumes that the asset condition is sound at the commissioning.
[SOURCE: CEN/TS 17385:2019, 3.4, modified – Note 1 to entry has been added]
3.2.4
condition assessment
objective method for determining the physical condition of a constructed asset or a part of it
[SOURCE: CEN/TS 17385:2019, 3.5, modified – Note 1 to entry has been deleted]
3.2.5
function
intended effect of a system, subsystem, product or part
[SOURCE: ISO 21351:2005, 3.1.5, modified – Notes to entry have been deleted]
3.2.6
performance
ability to fulfil required functions under intended use conditions or behaviour when in use
Note 1 to entry: Derived from the definition of performance in ISO 6707-1.
Note 2 to entry: The required functions address both the functionality requirements as well as the design
requirements.
EXAMPLES Flood protection, conservation of nature, to provide shelter, to provide security, to provide a healthy
environment, group accommodation, to provide residence or work environment, lifting.
[SOURCE: ISO/TS 21929-2:2015, 3.28, modified – Examples have been added]
3.2.7
performance assessment
objective method for determining the performance of a constructed asset or a part of it
3.3 Maintenance
3.3.1
improvement
combination of all technical, administrative and managerial actions, intended to ameliorate the intrinsic
reliability and/or the maintainability and/or the safety of an item, without changing the original function
Note 1 to entry: An improvement may also be introduced to prevent misuse in operation and to avoid failures.
Note 2 to entry: Improvement may also encompass aesthetics, comfort, health, environment, etc.
[SOURCE: EN 13306:2017, 7.6, modified – Note 2 to entry added]
3.3.2
modernization
modification or improvement of the item, taking into account technological advances, to meet new or
changed requirements
[SOURCE: EN 13306:2017, 7.8]
3.3.3
modification
combination of all technical, administrative and managerial actions intended to change one or more
functions of an item
Note 1 to entry: Modification is not a maintenance action, but has to do with changing the required function of an
item to a new required function. The changes may have an influence on the dependability characteristics.
Note 2 to entry: Modification may involve the maintenance organization.
Note 3 to entry: The change of an item where a different version is replacing the original item without changing the
function or ameliorating the dependability of the item is called a replacement and is not a modification.
[SOURCE: EN 13306:2017, 7.7]
3.3.4
operational mode
configuration in which an item is operated and utilized during a given period characterized by units of
use (hours, loads, number of starts/stops, number of transients, etc.)
Note 1 to entry: Operational mode determines the frequency, load, continuity and performance rate of utilization.
Note 2 to entry: Operational mode may, or may not, comply with the inherent item specifications as defined.
[SOURCE: EN 13306:2017, 4.20]
3.3.5
operating constraints
characteristics of the item, which set limits for the use of the item and may determine requirements for
maintenance activities
Note 1 to entry: These characteristics are the results of design and construction of the item.
[SOURCE: EN 13306:2017, 4.21]
3.3.6
operating conditions
physical loads and environmental conditions experienced by the item during a given period
Note 1 to entry: Operating conditions can vary during the item’s life cycle.
[SOURCE: EN 13306:2017, 4.22]
3.3.7
predetermined maintenance
preventive maintenance carried out in accordance with established intervals of time or number of units
of use but without previous condition investigation
Note 1 to entry: Intervals of times or number of unit of use may be established from knowledge of the failure
mechanisms of the item.
[SOURCE: EN 13306:2017, 7.2]
3.3.8
preventive maintenance
maintenance carried out intended to assess and/or to mitigate degradation and reduce the probability of
failure of an item
[SOURCE: EN 13306:2017, 7.1]
3.3.9
conventional service life
period, based on statistics of the profession, at the end of which the renewal of asset is deemed necessary
3.3.10
utilization stage
life cycle phase at which safe exploitation for the intended use (or uses) of a physical asset is possible,
within specified as-built properties
Note 1 to entry: Derived from ISO 2394: revised.
Note 2 to entry: Stage may include: Operation, modernization, renovation, maintenance and other utilization
support.
3.4 Objectives and requirements
3.4.1
condition requirements
specification of a required physical state of an asset or item
3.4.2
conformity
fulfilment of a requirement
[SOURCE: EN 13306:2017, 4.11]
3.4.3
compliance
meeting all the organization’s compliance obligations
Note 1 to entry: Compliance is made sustained by embedding it in the culture of an organization and in the
behaviour and attitude of people working for it.
[SOURCE: ISO 37301:2021, 3.26, modified – Note 1 to entry has been added]
3.4.4
compliance requirement
requirement that an organization has to comply with
3.4.5
legislation
directives, acts, ordinances, and regulations
[SOURCE: ISO 14385-1:2014, 3.10]
3.4.6
objective
result to be achieved
Note 1 to entry: An objective can be strategic, tactical or operational.
Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and
environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product and
process).
Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an operational
criterion, a physical asset objective or by the use of other words with similar meaning (e.g. aim, goal, or target).
Note 4 to entry: In the context of asset management systems, asset management objectives are set by the
organization, consistent with the organizational objectives and asset management policy, to achieve specific
measurable results.
[SOURCE: ISO 55000:2014, 3.1.12]
3.4.7
performance requirements
performance demanded or expected to be fulfilled
[SOURCE: ISO 6707-1:2020, 3.7.1.12]
3.4.8
requirement
need or expectation that is stated, generally implied or obligatory
Note 1 to entry: “Generally implied” means that it is custom or common practice for the organization and
stakeholders that the need or expectation under consideration is implied.
Note 2 to entry: A specified requirement is one that is stated, for example in documented information.
[SOURCE: ISO 55000:2014, 3.1.20]
3.4.9
validation
confirmation, through the provision of objective evidence, that the requirements or objectives for a
specific intended use or application have been fulfilled
Note 1 to entry: The objective evidence needed for a validation is the result of a test or other form of determination
such as performing alternative calculations or reviewing documents.
Note 2 to entry: The word “validated” is used to designate the corresponding status.
Note 3 to entry: The use conditions for validation can be real or simulated.
[SOURCE: ISO 9000:2015, 3.8.13, modified – “Objectives” has been added to the definition]
3.4.10
verification
confirmation, through the provision of objective evidence, that specified requirements have been fulfilled
Note 1 to entry: The objective evidence needed for a verification can be the result of an inspection or of other forms
of determination such as performing alternative calculations or reviewing documents.
Note 2 to entry: The activities carried out for verification are sometimes called a qualification process.
Note 3 to entry: The word “verified” is used to designate the corresponding status.
[SOURCE: ISO 9000:2015, 3.8.12]
3.5 Observation
3.5.1
detection
act of perceiving and interpreting findings of the examined asset by a qualified observer
Note 1 to entry: Detection can include gaining apprehension of properties through sensing, measuring, sampling,
surveying, inspecting, testing or otherwise examining an object or subject.
3.5.2
measurement
process to determine a value
Note 1 to entry: In the context of performance and condition assessment, the value is related to performance and
condition measurements.
[SOURCE: ISO 55000:2014, 3.1.10, modified – Note 1 to entry has been added]
3.5.3
observation
quantitative or qualitative determination as a result of a detection and valuing process for properties,
features or aspects under consideration
3.5.4
observation category
group of various observation types with similar desired output
3.5.5
observation technique
technique that is used to execute the observation
3.5.6
observation method
procedure to perform the observation
3.5.7
observer
person who performs the observation
EXAMPLES Inspector, surveyor, property inspector, construction observer, building inspector.
3.5.8
quality
totality of requirements that bear on the ability to satisfy specific needs
[SOURCE: ISO 6707-1:2020, 3.7.1.10, modified – The term ‘characteristics’ has been replaced by
‘requirements’]
3.5.9
ranking
act of attaching importance to findings
Note 1 to entry: The process can include scoring, grading, rating, ranking, weighing, classifying or valuing aspects
through verification of explicit requirements or implicit demands.
Note 2 to entry: Aspects can be classified by defining impact categories.
3.5.10
sample
amount of the material, product, or assembly, to be tested, which is representative of the item as a whole
Note 1 to entry: Compare with the term specimen.
[SOURCE: ISO 13943:2017, 3.334]
3.5.11
sampling
selecting items, or portions of material, to produce samples
[SOURCE: ISO 6707-1:2017, 3.5.1.23]
4 Essential elements of assessment
4.1 Introduction to assessment
Assessments are the ‘check’ in the plan-do-check-act-circle. Assessments can be used:
— as input for asset portfolio investment decisions;
— to validate the set requirements and objectives;
— as input for long term asset planning;
— to verify the performance and condition requirements of assets and aggregated assets.
The different assessments are shown in Figure 1.
Figure 1 — Assessments
4.2 Asset portfolio decisions
A Long Term Investment Plan (LTIP) describes the asset owner’s investment journey subject to the long
term vision and goals. It shows what will be invested in and how investment will occur in order to support
the delivery of asset owner’s strategy. Usually a LTIP covers a minimum period of ten years. The actual
performance and condition of the asset(systems) and residual life time are part of the decision making
parameters at asset portfolio level.
For example:
— The capacity of a bridge needs to be expanded. The residual lifetime of the current bridge is 50 years.
This fact partly substantiates the decision to build a new bridge alongside, instead of replacing it.
— A real estate company decides to sell the buildings that are eligible for renovation.
4.3 Validating the set requirements and objectives
All the set requirements (see 5.3) should be in line with the asset management objectives. A validation is
necessary to confirm whether the set requirements correctly contribute to the objectives. In this
validation the correlation between the performance and condition of the asset (systems) and the
objectives is established. The outcome can result in the following conclusions:
— The set requirements are in line with the objectives.
— The set requirements need to be adjusted in order to be in line with the objectives.
— The objectives are not feasible and should be adjusted. The set requirements should be adjusted
accordingly.
4.4 Verifying the requirements
4.4.1 Short-term measures: Performance and condition
The verification assessment should be used to determine the short term maintenance measures that are
necessary. This can be done for performance and/or condition. Performance and condition are two
independent, mutually exclusive entries (see Figure 2). They co-exist and should be considered as a pair.
For example: when the condition deteriorates over time this will usually affect the performance. But the
entries should not be considered as one and the same.
Figure 2 — Performance and condition are two independent entries
— Performance is ability to fulfil required functions under the intended use conditions, or the intended
behaviour when in operation. Performance is related to the functional requirements of an asset.
— Condition gives information about the physical state of an asset or item at a particular time compared
to state at the time of commissioning.
The measures are determined in relation to the set requirements. There are two different types of
requirements:
— Intervention requirements that indicate that maintenance is necessary, primarily based on
reliability, availability, security, life cycle costing and safety.
— Rejection requirements that indicate when replacement/renovation is necessary, primarily based on
failure, safety, health, economics, environment and sustainability.
Degradation influences the condition and the performance. The minimal requirements can differ for
both. Assets can still perform as required, even if intervention is needed based on the condition. The
condition can still be acceptable, even if the performance needs intervention. This is illustrated in
Figure 3. It shows a typical curve. Different assets have different curves. In these examples the
function and the safety of the assets are no longer guaranteed when the degradation reaches the
point of failure.
Figure 3a and 3b — Relation requirements and status
For example:
— The paint on a building flakes; the painting condition is poor. Yet the performance of the facade
remains acceptable (Figure 3a).
— The asphalt pavement needs maintenance to prevent major maintenance costs later on. Even if the
maintenance is not carried out, the performance of the road remains intact. It stays this way until the
degradation becomes so severe that the performance or safety are compromised (Figure 3a).
— A pump has a reduced capacity due to cloths in the water. The performance is poor. The condition of
the pump is still good (Figure 3b).
Different combinations of condition and performance requirements versus function lead to different
actions in the utilization stage as shown in Figure 4. The modification box is the result of a non-conformity
in the design or an adjustment in the required function.
Figure 4 — Requirements versus function
When the asset does not function as required, it can be modified. It is also possible to retain the original
function and use it differently. For example, when the performance of the bridge does not support heavy
trucks, one can choose to prohibit these trucks from using the bridge.
4.4.2 Short-term measures: Compliance
Compliance can be categorized into two types:
— compliance requirements: following regulations set forth by external legal or regulatory authorities;
— compliance commitment: following standards set by the internal management of a organization.
The compliance requirements generally consist of:
— performance requirements (the ability to perform the required function);
— condition requirements (the physical state of an asset);
— design requirements (e.g. specifications for material, design, service, accessibility and
maintainability).
Thus, compliance requirements may overlap with the performance and condition requirements, where
the physical and/or performance standards are prescribed in legislation (see Figure 5). It may also be
extra requirements on top of the performance and condition requirements. Therefore, all assessments
should include compliance with legal requirements to eliminate assets which perform as required, but
are not compliant to current legislation. For example: a road foundation with a prohibited substance in
the mixture which was allowed at the time of construction.
Figure 5 — Overlapping requirements for performance, condition and compliance
Performance and condition are two independent, mutually exclusive entries (see 4.4.1).
NOTE ISO 37301 gives guidelines for compliance management systems.
4.4.3 Long term asset planning
The results of the performance and condition assessments can be used to determine the residual lifetime
of an asset(system). These outcomes help prepare a long term asset planning for replacement, renovation
and other major maintenance activities.
5 Assessment process
5.1 General
The assessment process is a systematic way of identifying asset management objectives and
requirements, gathering asset data, and reaching a conclusion regarding current and future status
(performance, condition and/or compliance) of assets, aggregated assets and the asset portfolio. The
results are used to ensure informed decision making and validate the asset management objectives.
5.2 Assessment process steps
The assessment process embodies multiple steps, based on the “Plan – Do – Check – Act” approach. They
are as follows and shown in Figure 6:
1. Identify the requirements [Plan].
2. Specify the assessment strategy [Plan].
3. Perform the observation [Do].
4. Assess the results at asset, aggregated assets and/or asset portfolio level [Check - verification].
5. Use the assessment results to validate the requirements and assessment strategy [Check -
validation].
6. In case of non-validation: Adjust the asset management objectives and/or the requirements and/or
the assessment strategy [Act].
Each process step is described in the following clauses as indicated in Figure 6, except for the observation
process, which is described in Clause 6.
Figure 6 — Assessment process
Immediate actions are actions that are needed for safety and/or performance reasons and cannot or
should not wait for an assessment report. For example:
— A burning car damaged the asphalt pavement on a highway. Immediate repair is necessary.
— The façade panels of a building are falling down. The surrounding area shall be secured immediately.
— Small repair work following inspections, for which reporting and planning cost more than immediate
repair, like changing a light bulb, or the lubrication of moving parts.
Actions that are not immediate, are part of the assessment (see 5.6).
5.3 Identifying the requirements
5.3.1 General
The first step in the assessment process is the identification of the requirements, which set the minimum
acceptable level for the condition and/or performance of an asset, aggregated assets or asset portfolio.
These requirements may be set using qualitative and/or quantitative measures.
NOTE An overview of standards with condition and/or performance requirements for buildings and civil
engineering works can be found in Annex A.
5.3.2 Requirements for an asset portfolio
The requirements for an asset portfolio should be derived from the asset management objectives and set
by the asset/facility manager.
5.3.3 Strategic guidance
Strategic guidance applies to asset and aggregated assets and depend on the desired future value or use
of the asset or portfolio. There are generally three strategic approaches:
1. Consolidation: Maintaining the present value of the asset (system) through adequate maintenance.
2. Devaluating: Diminishing the present value by performing minimum maintenance, because the asset
(system) no longer has value for the organization, or is soon to be disposed of.
3. Investing: Increasing the asset’s (system) value through renovation and/or modification.
Each strategy is in line with the asset portfolio requirements and will have its own set of condition and
performance requirements, while still complying with legislation. For example: when a building may be
due to be disposed of in two years’ time and hence the condition requirements are lowered while still
maintaining the structural integrity.
The asset/facility manager should identify the appropriate and set the approach accordingly.
5.3.4 Requirements for assets and aggregated assets
The requirements for the assets and aggregated assets should be derived from:
— legislation (legal compliance);
and can be derived from:
— standards (see Annex A);
— expert/supplier guidelines;
— terms of reference;
— individual experience.
The requirements may differ depending on the asset (systems) context, which include, but are not limited
to:
— being part of different aggregated assets with different system requirements;
— being located in different environments;
— being used differently.
The asset/facility manager should identify the relevant contexts and set the requirements accordingly.
5.4 Specifying the assessment strategy
5.4.1 General
The asset/facility manager should first specify the assessment strategy as shown in Figure 7. Each aspect
is further explained in the next sub-paragraphs. The output is an assessment strategy plan.
Usually, the assessment strategy is compiled by the asset/facility manager. It is recommended that more
roles take part in formulating the strategy, for example the asset/facility manager, the observer, the asset
user and the asset owner.
When a failure of an item has a direct influence on the performance of an asset or aggregated assets, it
should be part of the assessment. This may include intangible subjects like software and human induced
failure.
The costs of the assessments should be evaluated against the benefits derived from the assessment.
NOTE 1 The assessment strategy is generally planned, but can evolve over time as a result of continuous
adjustments.
NOTE 2 An overview of standards with assessment strategies for buildings and civil engineering works can be
found in Annex A.
Figure 7 — Aspects of the assessment strategy
5.4.2 Level of assessment
The performance and condition can be assessed at asset portfolio, aggregated assets and asset level. Each
level has its
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