1、Designation: E 2452 05e1Standard Practice forEquipment Management Process Maturity (EMPM) Model1This standard is issued under the fixed designation E 2452; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revision.
2、A number in parentheses indicates the year of last reapproval. Asuperscript epsilon (e) indicates an editorial change since the last revision or reapproval.e1NOTEEditorial changes were made throughout the text in December 2005.INTRODUCTIONLife-cycle equipment management has a great impact on busines
3、s operations of almost all entities.In fact, the success or failure on an entity may hinge on how effectively and efficiently an entityperforms in the equipment management life-cycle. Entities that sustain high maturity levels willgenerally be more effective or competitive or both than entities with
4、 lower maturity levels in that theseentities will more efficiently and effectively acquire what is needed, use and control equipment better,and dispose of equipment when no longer sufficiently suitable for operations.1. Scope1.1 This practice covers a process for the assessment andreporting of an en
5、titys overall equipment management processmaturity (EMPM).1.2 The highest value is placed on continuous improvementas reflected in measured increases in maturity over time.1.3 The EMPM model is designed to be applicable andappropriate for all equipment-holding entities, however, theEMPM may not be t
6、he only acceptable assessment modelavailable.1.4 It includes all aspects of equipment management.1.5 In addition to applicability to equipment and equipmentmanagement as defined in this practice, this practice may inwhole or in part be effectively applied to intangible property,real property, and ma
7、terial.1.6 There is great variation across organizations regardingthe internal departments that accomplish the various aspects ofequipment management. Thus, all criteria are not applicable toall entities.1.7 This standard does not purport to address all of thesafety concerns, if any, associated with
8、 its use. It is theresponsibility of the user of this standard to establish appro-priate safety and health practices and determine the applica-bility of regulatory limitations prior to use.2. Referenced Documents2.1 ASTM Standards:2E 2131 Practice for Assessing Loss, Damage, or Destruc-tion of Prope
9、rtyE 2132 Practice for Physical Inventory of Durable, Move-able PropertyE 2135 Terminology for Property and Asset ManagementE 2219 Practice for Valuation and Management of Move-able, Durable PropertyE 2220 Practice for Establishing the Full Valuation of theLoss/Overage Population Identified During t
10、he Inventoryof Moveable, Durable PropertyE 2221 Practice for Administrative Control of PropertyE 2279 Practice for Establishing the Guiding Principles ofProperty Management3. Terminology3.1 Definitions:3.1.1 entity, nagency, company, organization, or institu-tion.3.1.2 equipment, nnon-expendable, ta
11、ngible, moveableproperty needed for the performance of a task or useful ineffecting an obligation. E 21351This practice is under the jurisdiction of ASTM Committee E53 on PropertyManagement Systems and is the direct responsibility of Subcommittee E53.05 onProperty Management Maturity.Current edition
12、 approved July 1, 2005. Published July 2005.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.1Copyright ASTM I
13、nternational, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.3.1.3 equipment management, nsystematic planning andcontrol of equipment to optimize its service delivery potentialand the management of associated risks and costs throughoutits life-cycle in support of
14、 organizational objectives. Thisincludes the process management and operations of acquisitionor construction of the equipment; its operation, maintenance,and modification while in use; and its disposal when no longerrequired.3.1.4 operations, nexercise of the tasks that constituteequipment managemen
15、t.3.1.5 practice, na definitive set of instructions for per-forming one or more specific operations that does not producea test result.33.1.5.1 DiscussionOf the several types of standards listedin the ASTM Style Guide, this standard is of the typedesignated as a practice.3.1.6 process management, np
16、lanning and administeringthe activities necessary to achieve a high level of performancein a process and identifying opportunities for improvingquality, operational performance, and ultimately, customersatisfaction. It involves design, control, and improvement ofkey business processes.43.2 Acronyms:
17、3.2.1 CIPconstruction in progress3.2.2 EMPMequipment management process maturity4. Summary of Practice4.1 The EMPM model provides insight into the effective-ness of an entity as it acquires, uses, and disposes of theequipment necessary to the functioning of the entity. It enablesa holistic approach
18、and vision for achieving cost-effective,responsive equipment acquisition, use, and disposition. Itclarifies and illuminates functional responsibilities and associ-ated functional areas.4.2 The functional responsibilities chart in Table 1 presentsthe distribution of duties as a hypothetical entity em
19、barking onan EMPM assessment.4.3 The equipment life-cycle as addressed in this practiceencompasses three fundamental life-cycle phases: acquisition,use, and disposition.4.4 This practice addresses two fundamental levels ofequipment management activity within the entity: processmanagement and operati
20、ons.4.5 This practice recognizes five maturity levels (see Table2).5. Significance and Use5.1 InternalThe EMPM provides assessment results thatare easy to understand and communicate. Areas requiringadditional resources become apparent, and thus, can be more3From the ASTM Form and Style Guide, Availa
21、ble from ASTM InternationalHeadquarters, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA19428-2959.4Evans, James and Lindsay, William, The Management and Control of Quality,1999, pg 340.TABLE 1 Functional ResponsibilitiesEquipment Management Process Maturity (EMPM) ModelResponsibilities (O
22、 = Operations, M = Process management)InternalResponsibilitiesin the SubjectOrganization(Example)AssetMan-age-mentFunc-tionalOrg-ani-zationPro-cure-mentLogis-ticsCon-tractsImport/ExportSen-iorMan-age-mentRe-ceiv-ingWare-houseQual-ityFi-nanceMate-rialMan-age-mentCon-fig-ura-tionMan-age-mentPro-gramCo
23、n-trolITAssetMan-age-mentCali-bra-tionTool-ingMan-age-mentTBD1.0 Acquisition criteria1.1 Process management1.2 Operations2.0 Use criteria2.1 Process management2.2 Operations3.0 Disposition criteria3.1 Process management3.2 OperationsTABLE 2 Five Maturity LevelsEquipment Management Process Maturity (
24、EMPM) ModelMaturity Levels1.0 Basic Processes are generally ad hoc and chaotic; success depends primarily on heroics.2.0 Managed Projects of the organization ensure requirements are managed and processes are planned, performed, measured,and controlled.3.0 Defined Processes are understood at the orga
25、nizational level; standard organizational processes, standards, tools, andmethods exist that are tailored for use on the projects.4.0 Quantitative and Predictive Sub processes are selected that significantly contribute to overall process performance and they are controlledusing quantitative techniqu
26、es; quantitative objectives for quality and process performance are established;special causes of variation are detected and corrected as appropriate.5.0 Continuous improvement The organization focuses on continually improving process performance through both incremental andtechnological improvement
27、s.E245205e12readily addressed. Improvement can be tracked in meaningfulways. Assessment detail allows attention to be drawn toprocesses of exceptional maturity and areas in which changesor additional resources, or both, are required to achieve processimprovements.5.2 ExternalMeaningful comparisons t
28、o external require-ments are enabled. Comparisons of equipment managementbetween entities in different operational or business environ-ments become meaningful and provide insight previouslyunavailable.6. Applicability6.1 This practice may be applied to the entirety of the legalentity or a clearly de
29、fined, designated constituent part.6.2 An entitys equipment holdings may encompass equip-ment acquired by all legal means:6.2.1 Company owned equipment,6.2.2 Leased equipment,6.2.3 Licenses,6.2.4 Customer-provided equipment,6.2.5 Seized equipment,6.2.6 Bailed equipment,6.2.7 Borrowed equipment, and6
30、.2.8 Loaned equipment.6.3 This practice may be applied to the entirety of theentitys equipment holdings or a clearly identified subset. Thisdesignation constitutes the assessment universe for the desig-nated entity.6.4 To the extent this practice is applied to a limitedequipment universe or is limit
31、ed to a portion of the entity, theselimitations should be prominently noted when presentingresults of the assessment.6.5 This practice should be applied to the designated equip-ment universe regardless of the internal organization acquiring,using, or disposing the equipment.7. Levels of Equipment Ma
32、nagement Activity7.1 There are two fundamental levels of equipment man-agement activity within the entity: process management andoperations.7.2 Process management encompasses criteria for thepeople, processes, and systems involved in equipment manage-ment for each life-cycle phase.7.2.1 Leadership:7
33、.2.1.1 Outcome/Process OrientationManagement andcontrol systems are based on specific desired outcomes orprocess-oriented metrics that encourage improved performanceand effective management. (See Practice E 2279.)7.2.1.2 Best Value ProductsManagement systems are de-signed to deliver on a timely basi
34、s the “best value” product tothe organization and its customers, while preserving theconfidence of internal and external stakeholders. (See PracticeE 2279.)7.2.1.3 Personal InitiativePractitioners exercise personalinitiative and sound business judgment in providing the “bestvalue” services to meet t
35、he organizations needs. (See PracticeE 2279.)7.2.1.4 Lines of Authority/AccountabilityManagementand control systems have clear, direct lines of authority andorganizational accountability for performance and custodialcare. (See Practice E 2279.)7.2.1.5 Best-in-Class ManagementBest-in-class manage-men
36、t practices and integrated management systems are recog-nized, identified, and adopted. (See Practice E 2279.)7.2.1.6 External InterfaceEffective partnerships with ex-ternal customers are established, and effective service isprovided.7.2.2 Planning:7.2.2.1 Strategic PlanEntity has developed and impl
37、e-mented an ongoing equipment management strategic planningprocess leading to a strategic plan with clear goals, objectives,and programs that is consistent with entity plans and objec-tives.7.2.2.2 MetricsStandard and entity specific measureshave been identified and implemented. Examples of metricst
38、hat may be used include: (1) average time taken to tag andinsert data into a property database upon receipt, (2) averagetime taken for a property custodian to recognize data accuracyand physical control upon initial receipt, (3) average annualcost of an inventory per item, (4) inventory accuracy per
39、Practice E 2132, and (5) average time taken to dispose of anitem once it is declared excess.7.2.2.3 Financial PlanThe entities need for equipmentresources is viewed holistically, and financially planned.7.2.3 Policy, Procedures, and Internal Controls:7.2.3.1 Exercise of ResponsibilityEquipment manag
40、e-ment officials may assume that if a specific strategy, practice,policy, or procedure is in the best interest of the agency,company, institution, and stakeholders and is not addressed inoperating policies or a consensus standard nor prohibited bylaw, executive order, or other regulation, that actio
41、n, inaccordance with the strategy, practice, policy, or procedure, isan acceptable exercise of responsibility and authority. (SeePractice E 2279.)7.2.3.2 Sound PoliciesEntities have established policiesand management systems for the acquisition of equipment.7.2.3.3 ReutilizationEntity has programs t
42、o encourage thereutilization of equipment and facilitate the reassignment ofequipment among organizational elements when such equip-ment is determined to be no longer needed for the currentpurpose. (See Practice E 2279.)7.2.3.4 Consensus StandardsEquipment management isperformed in accordance with e
43、xisting applicable consensusstandards.7.2.3.5 Available, Implemented, and EnforcedEntity hasdevised and maintains a system of internal managementcontrols sufficient to provide reasonable assurances that: trans-actions are executed in accordance with managements generalor specific authorization; tran
44、sactions are recorded as necessaryin conformity with generally accepted accounting principles;access is limited; and the recorded accountability for equip-ment is compared with existing equipment at reasonableintervals and appropriate action is taken with respect to anydifferences. (See Practice E 2
45、279.)7.2.4 Personnel and Staffng:7.2.4.1 Adequate StaffngEquipment management processmanagement and operations roles are adequately staffed toE245205e13achieve the entitys equipment management goals and complywith applicable external standards, laws, regulations, andapplicable agreements and contrac
46、tual obligations.7.2.4.2 Requisite SkillsEquipment management processmanagement and operations staffs have the requisite skills tocomplete their jobs effectively. (See Practice E 2279.)7.2.4.3 Trained StaffEquipment management processmanagement and operations staffs are adequately trained andhave th
47、e opportunity for continuing education and advance-ment.7.2.5 Financial Management:7.2.5.1 Funding Mechanism Information ProvidedForpurposes of financial accounting, all equipment purchasedshould be identified as a capital expenditure, held for futureuse, or as an operating expense. (See Practice E
48、2279.)7.2.5.2 Financial AccuracyEquipment management andaccounting books and records shall be kept in reasonable detailthat affords reasonable assurance that the system accuratelyreflects the transactions and dispositions of the equipment ofthe owner. (See Practice E 2279.)7.2.5.3 Balances Costs and
49、 RisksThe degree to whichequipment is controlled and the costs of control is commensu-rate with the practical consequences of a shortage (non-availability of inventory) and the critical nature of an itemsloss, all in accordance with Practice E 2221. (See PracticeE 2279.)7.2.5.4 Best ValueEntity seeks the best value in the longterm in the use and maintenance of equipment. (See PracticeE 2279.)7.2.5.5 Loss/Overage ControlsAdministrative controlshave been established based on inventory results, and theequipment subject to such controls should be
