1. 2013 NPMA Fall Conference Value Through Professional Asset Management How to Use ASTM Standard E2608, Standard Practice for Equipment Control Matrix Jim Dieter. MIAM, CPPM CF November 14, 2013

2. 2013 NPMA Fall Conference Value Through Professional Asset Management 2 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

3. 2013 NPMA Fall Conference Value Through Professional Asset Management 3 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

4. 2013 NPMA Fall Conference Value Through Professional Asset Management 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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6. 2013 NPMA Fall Conference Value Through Professional Asset Management 6 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

7. 2013 NPMA Fall Conference Value Through Professional Asset Management 7 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.

8. 2013 NPMA Fall Conference Value Through Professional Asset Management 8 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”

9. 2013 NPMA Fall Conference Value Through Professional Asset Management 9 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.

10. 2013 NPMA Fall Conference Value Through Professional Asset Management 10 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, …

11. 2013 NPMA Fall Conference Value Through Professional Asset Management 11 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.

12. 2013 NPMA Fall Conference Value Through Professional Asset Management 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

13. 2013 NPMA Fall Conference Value Through Professional Asset Management 13 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”

14. 2013 NPMA Fall Conference Value Through Professional Asset Management 14 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.

15. 2013 NPMA Fall Conference Value Through Professional Asset Management 15 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, …

16. 2013 NPMA Fall Conference Value Through Professional Asset Management 16 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.

17. 2013 NPMA Fall Conference Value Through Professional Asset Management 17 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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19. 2013 NPMA Fall Conference Value Through Professional Asset Management 19 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.

20. 2013 NPMA Fall Conference Value Through Professional Asset Management 20 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.

21. 2013 NPMA Fall Conference Value Through Professional Asset Management 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.

22. 2013 NPMA Fall Conference Value Through Professional Asset Management 22 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.

23. 2013 NPMA Fall Conference Value Through Professional Asset Management 23 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.

24. 2013 NPMA Fall Conference Value Through Professional Asset Management 24 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?

25. 2013 NPMA Fall Conference Value Through Professional Asset Management The End Thanks ! Jim Dieter Sunflower Systems