Professional Documents
Culture Documents
GUIDELINES FOR
PRISON MAINTENANCE
AND SUSTAINABILITY
TABLE OF CONTENTS
Table of Contents
Forward 1
Universal Maintenance
2 Problems and Economics
4
7 Appendices 29
The purpose of these guidelines is to assist countries and their prison agencies in providing safe and secure
prison services following conflict or catastrophic events. The guidelines apply to structured facilities constructed
within the last 40 years that are somewhat operational.
Facilities are often constructed without considerations of maintenance costs and/or the capabilities of the local
prison ministry. Consequently, these guidelines for maintenance and sustainability of prisons were developed to
assist counties to select the right operational and maintenance resources for prisons.
1
SECTION 1
WHAT IS PRISON MAINTENANCE?
Prison Maintenance is preventive, predictive, routine, and reactive activities that keeps the prison in reliable,
safe, and secure condition. This set of guidelines contains practical advice on the facility maintenance aspects
of prison infrastructure which allows prison accommodation and related services and maintenance for the
major equipment contained in the prison. While the guidelines focus on technical detail, the document was
developed with the recognition that full service prison maintenance may not be possible depending on the
external conditions at each individual site. Some extenuating factors can include, but are not limited to:
Availability of basic potable water, sewerage, and electricity (please refer to previous guidelines)
Compliance with United Nations Minimum Rules for the Treatment of Prisoners
The manner which prison facilities are used
The amount of time detainees spend in open air and outside the accommodation area
A tendency by officials to NOT realize that delaying maintenance, repairs and replacements as a “cost
savings” will only make it more costly and complicated in the long-term.
It is critical to understand that maintenance is directly related to safety, security, humane conditions of
confinement and reducing repair costs. This handbook will offer guidance on the administrative and financial
aspects of maintaining a prison so that sufficient resources can be allocated for safe and secure operations.
This guidance is not intended to offer solutions for unsafe prisons that require replacement, only those
facilities that should continue operations. The handbook is intended to fill a gap in the guidance/information
available to ICRC delegates, national authorities, and the international community involved in building and/or
operating prisons.
Definitions of Maintenance
The concept of “maintenance” is defined as performing work tasks to ensure the routine operation and the
preservation of equipment and physical facilities so that they continuously perform as expected.
There are several types of maintenance, the primary categories being:
Preventive Maintenance
Corrective Maintenance, either due to breakage or emergency situations
Predictive Maintenance
Life Cycle Maintenance
Grounds and Housekeeping
Facility maintenance operations, therefore, is the organized, structured and routine application of maintenance
techniques and activities by a trained maintenance staff (including outside contractors as necessary) to
accomplish the operating objectives of a safe and secure prison.
Facility maintenance is a key component to the operations of the prison. Prison equipment and facilities must
constantly perform as designed every hour of every day to ensure the safety and well-being of both inmates
and staff. Therefore, equipment and facilities must be included in a well-designed maintenance operation that:
Allows for inspection and as-needed repair of equipment on a regular and timely basis to ensure
operation as expected
Repairs as soon as possible, in priority order, equipment and facilities that are inoperable due to
breakage, failure, acts of God, or vandalism, and
Tracks maintenance history and costs to guarantee the protection and preservation of facility and
infrastructure assets within predetermined budgets.
Once normal operations are established the maintenance program should be performed and funded to
these basic levels.
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SECTION 1 - WHAT IS PRISON MAINTENANCE?
Some of the objectives in implementing a proper maintenance operations program include:
Provide for the safety and security of staff and inmates through proper functioning of equipment and
facilities, and prompt repair of broken or disabled machinery or systems.
Have tools and critical spare parts available such that maintenance and repair operations can be
accomplished according to schedule and budgets.
Maintain equipment data to fully utilize manufacturer’s warranties while they are in effect, and to
prevent the voiding of warranties due to lack of proof that scheduled maintenance was accomplished.
Track costs for materials, supplies, labor, and outside contractors to compare to pre-established
budgeted expenditures.
Use actual cost data that will be recorded through a facility maintenance program as a basis for future
annual maintenance budgets.
Extend the life of prison equipment and facilities expected usefulness.
In addition, implementation of a well-designed facility maintenance program will have comprehensive benefits
which will be realized both immediately and in future years. These include
Reduction in unscheduled repairs, typically in excess of 50% improvement over benchmarked
operations with no facility maintenance plan
Reduction of facility downtime, due to unplanned equipment failure
Extension of the useful life of equipment, resulting in operational cost savings by postponing capital
equipment replacement expenditures
Maintain energy efficiency and reduce ongoing energy costs through periodic testing, calibration, and
parts replacement
Deferring Maintenance is never less expensive than performing preventive maintenance; corrective maintenance
when needed; or replacing equipment or structures that have reached the end of their useful life cycle.
However, without proper funding it is often the only recourse. It should be understood that when deferring any
maintenance, repairs or renewals, it will be more expensive to repair or renew the building systems at a later
date.
If there is no other choice, deferred maintenance should be confined to non-essential building systems that do
not impact the basic humane conditions of confinement and security. When performing the facility assessment
prioritize the repairs in a manner that supports the recommended conditions of confinement by the United
Nations “Standard Minimum Rules.”
3
SECTION 2
UNIVERSAL MAINTENANCE PROBLEMS AND ECONOMICS
Many challenges hinder rapid development of safe, secure, and efficient prisons in post-conflict or developing
countries, despite universal agreement of the need for assistance implementing prison support programs that
will facilitate peacekeeping initiatives. Some maintenance-related challenges include:
Insufficient staffing levels to carry out tasks mandated by a peace keeping effort
Lack of funding resources for prison maintenance programs and projects in post conflict countries or
following major disasters
Lack of basic operational capabilities for prison security that results in many prison incidents
Inability to adequately feed prison inmates and deliver even a minimal level of health care
Inability to deploy prison maintenance staff rapidly when new peace operations are authorized
Inability to attract, recruit and retain professionally qualified national prison maintenance staff
Need for enhanced engagement from some governments to undertake prison reforms and invest in the
prison maintenance
Lack of proper financial, human and administrative support
Lack of understanding of the maintenance requirements for a prison
Of the maintenance related issues listed above, there are three major universal problems associated with
maintenance of prison facilities:
1. Governments and their agencies do not provide the proper financial, administrative, or labor support
for proper maintenance. Obviously, when the prison is operating in post conflict or post catastrophic
conditions, provision of the proper support is even more challenged.
2. Skilled staff to maintain the prison is difficult to attract and retain.
3. Maintenance is often deferred within a prison because of the previous two issues and the fact that,
most of the time, corrective (or reactive) maintenance takes priority over preventive maintenance.
Newly elected officials naively see the deferral of maintenance as an ‘easy budget saving target,’ which is the
opposite of how deferred maintenance should be viewed.
Providing 100% of recommended and appropriate preventive maintenance saves money and increases facility
reliability. When preventive maintenance is deferred, facility degradation multiplies. When preventive
maintenance is delayed too long, the costs of resolution become far more expensive than necessary. As the
facility continues to deteriorate, the maintenance personnel’s available “wrench time” for preventive
maintenance decreases while the amount and cost of deferred maintenance increases.
Empirical data indicates that without the proper funding to eliminate deferred maintenance, the amount –
and therefore the cost – of deferred maintenance can double every five years. Once a prison's deferred
maintenance reaches a certain stage then the prison may enter into what is called "critical systems failure".
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SECTION 3
WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
Proper Financial, Administrative and Labor Support for Facility Management
From the moment a prison facility is conceived until the facility is abandoned or demolished, an on-going
maintenance and capital investment process is required year after year. Degradation of the infrastructure begins
immediately and continues at an
exponential rate because of the 24 Figure 3.1: Organization Structure of a Typical Ministry of
hour-a-day/7 day-per-week use and Prison Organization
abuse a prison facility endures.
Without finance and support
throughout the life of the prison, the
prison infrastructure cannot provide
the proper environment for detainees
or staff.
Proper financial, administrative and
labor support should exist at the
national, provincial, and facility levels.
The aspect of organization leadership
relative to maintaining safe, secure
and humane conditions at a prison
includes maintaining the physical
environment and programs. Therefore,
the responsibility for infrastructure
maintenance should be represented at
the highest level of any National
Prison Organization.
In a typical Prison Organization,
leadership is provided at the upper
levels of management, indicated in
Figure 3.1 as “Prison Infrastructure
Development Section”.
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
At the facility level, the Facility Manager responsible for facility maintenance should be a part of the management
team reporting to the Warden or the Director of the facility. The Facility Manager should be a part of all
management meetings to communicate accurately concerning the condition of the facility. A typical organization
chart for a large prison could look like the following chart:
Figure 3.2: Typical Maintenance Organization Structure of a Prison
From a macro view point, maintenance operations should be staffed to efficiently execute and manage the
prison infrastructure maintenance. The staff should be technical in nature with experience commensurate with
the size of the system or the facility as measured in square meters. For example, if the HVAC scope is limited to
ventilation, without heating and/or air conditioning, the HVAC technicians would be commensurately limited or
combined under general trades. Ideally, the staff’s maintenance experience should be with remand/detention
centers or prisons. The following charts list the recommended staffing complements at both the facility and the
national or provincial levels:
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
Table 3.1: Technical Maintenance Personnel
Facility Size Minimum Facility Maximum Facility
(square meters) Maintenance Staff Maintenance Staff
10,000 3 5
20,000 6 10
50,000 15 25
75,000 24 40
100,000 30 50
Table 3.2: Management Maintenance Personnel
Prison System Size
Management Staff Technical Support Staff
(square meters)
10,000 to 40,000 1 2
50,000 to 100,000 2 3
100,000 to 200,000 3 6
200,000 to 400,000 5 10
Working in prisons often has a negative societal perception; however, there are tens of thousands of examples
of professionals who have made their entire life’s career in corrections or prisons. If the national leadership
places an emphasis on professional and humane management of prisons, normally staff retention remains at
the highest level.
Accordingly, leadership must appreciate and recognize facility maintenance as a priority for retention of the
best in facility maintenance or management. Finally, our experience shows, those maintenance technicians who
are afforded training opportunities tend to become long term employees.
There are several continuous training opportunities for generic Facility Management with organizations like the
International Facility Management Association (IFMA) and Building Owners Management Association (BOMA).
For training specific to prison, staff should look at opportunities within the International Corrections and
Prisons Association (ICPA), American Correctional Association (ACA) and the American Jail Association (AJA).
Specific training by trade should be available at trade school or technical school levels, or even in a collegiate
environment.
Financial support of prison maintenance is crucial to provide safe and secure environments. In the case of
facility maintenance, the right spend rate is the most important factor. For example, if the spend rate for
maintenance is $0, the implication is that no maintenance is being accomplished; therefore, the facility is in
poor condition. Spending too much on maintenance usually means there are technical or managerial problems
at the institution that need rectification. Therefore, monitoring the spend rate against benchmarks is important.
Further into this report, we will discuss specific benchmarks in further detail. Briefly, an efficient cost for both
utilities and facility maintenance that includes a small fund for major repairs is $60 USD per square meter per
year. This cost does not include the management staff at the national level. However, a country or province
may be required to spend as much as $120 USD per square meter per year for up to two years to resolve
deferred maintenance issues before the system can return to an efficient spend rate.
In order to determine the right spend rate, the first order of business is to perform a Facility Conditions
Assessment. For the purpose of this report, refer to the ICRC Guide for low technology, low cost water supply
and wastewater systems for prisons. The Facility Conditions Assessment and Facility Maintenance benchmarks
described in this guide will mostly focus on the building infrastructure.
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
When developing new facilities, planners and architects should be cognizant of the maintenance capabilities at
the proposed locations. Once a facility program is adopted, there are three fundamental decisions concerning
basic building systems that will dramatically impact the building’s operating cost efficiencies.
The first decision concerns ventilation. Deciding to utilize natural ventilation or tempered air to meet humane
comfort zones (average of 29.4 degrees Centigrade) makes a major impact on both construction and operating
cost. At a minimum providing tempered air is 30% more expensive in construction and building operating cost.
However, in some cases, tempered air is mandatory from an inmate management perspective in order to meet
the recommended comfort zone.
The second major decision is the type of facility. The facility can be:
Open without physical confinement barriers
Strictly dependent on the combination of facility design and a perimeter confinement fence for security
Totally closed
For the purpose of this report, it is assumed that provisions for clean water, adequate treatment of waste and
electricity is provided according to ICRC guidelines.
Building Structure
Figure 3.3: Campus Radial Site Development Concept versus Cluster Site Development Concept
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
Table 3.3: Overview and relative ranking of typical structures used to construct prisons
If single or multiple occupancy room/cells are to be used to house inmates within the prison structure, the
following room/cell construction methods have been ranked as the overall building structures above:
Water
The ICRC the United Nations, UNICEF, and others, have extensive guidelines and handbooks concerning the
establishment of safe and reliable emergency waters systems. These publications should be employed for the
prison. Because a prison is like a small community or city, these guidelines directly apply to the prison. If
possible, the water source, storage and delivery system should be easy to maintain. For example, a gravity feed
system should be employed to the extent possible. Isolation valves should be located strategically so that
repairs can be made without shutting down the entire water system or even an entire housing unit.
Wastewater
The ICRC, the United Nations, UNICEF, and others, have extensive guidelines and handbooks concerning the
establishment of safe and reliable emergency sanitary waste systems. These publications should be employed
for the prison. Because a prison is like a small community or city, these guidelines directly apply to the prison
similarly as to a community. If possible, the sanitary waste or wastewater collection and treatment system
should be easy to maintain. For example, a gravity feed system should be employed to the extent possible. The
sanitary waste system should utilize the following enhancements to accommodate conditions found in prisons:
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
Table 3.5: Site Planning for Water and Wastewater
Piping layout Above normal # of clean outs to allow ease of removing blockage
Piping Piping over 20.32 centimeters within the secure perimeter should utilize bar
grates with clear opening no larger than 12.7 centimeters where the piping
transitions from the smaller pipe diameter to the larger pipe diameter.
Treatment Facilities Treatment facilities should be located outside the secure perimeter to allow
for ease of maintenance from outside contractors.
Electrical
Prime electrical service should reflect the requirement s of the Power Generating Service requirements. Electrical
transformers should provide power to the facility at the most common voltage found in the location
surrounding the prison. Accordingly, equipment should be provided at the same voltage. Prime switchgear
should be basic switchgear that requires basic maintenance. Simple transfer switches should be provided to the
emergency generator(s) to facilitate ease of use and maintenance.
Emergency generator should be simple diesel fueled generator rated at a capacity to power the entire prison
facility. The generator should be located outside the secure perimeter if possible. If not, it should be in a secure
location and protected from the elements.
Plumbing
The plumbing system within the prison should be constructed so that access to piping, valves and other
appurtenances are not accessible by inmates but are accessible by maintenance staff.
Table 3.6: Desired prison plumbing system attributes relative to maintenance
Standpipe Poor
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
If possible, temperature mixing valves for showers and faucets should be avoided because the mixing valves
require very high water quality.
Medical
A separate medical area for medical care, recuperation and to isolate inmates with contagious illnesses is
recommended. The medical area should provide secure housing constructed with materials that offer the
highest ability to clean and maintain clinical conditions.
Examples:
Stainless steel fixtures or paintable surfaces
Separate ventilation system if possible
Painted or tiled flooring
Secure walls painted
Closed ceiling with paintable, cleanable surface
Isolation rooms for highly contagious diseases
Utilities should be isolated through the use of isolation valves from main prison
Food Service
If on-site food preparation is utilized, the maintenance staff must be aware that failure to provide food service
because of equipment failure can lead to unsafe, inhumane and even riotous conditions. Therefore, kitchen
and/or food service equipment should have a very high priority for its durability, reliability and maintainability.
The equipment should be simple to operate and easy to clean. The food service area should have above normal
ventilation and cleanable surfaces in order to maintain sanitary conditions. The area should include secure
storage for cutlery. If skilled maintenance staff cannot be recruited then a contractor should be utilized for
both preventive and corrective maintenance with a contract that features emergency service. Equipment should
be serviceable and/or supported from a manufacturer. .
Laundry
Maintainable laundry service starts with utilizing serviceable equipment that is supported technically within the
country or province. Like kitchen equipment, a contract should be established for preventive and emergency
service if skilled labor is not available. Secured chemical storage is mandatory so that the chemicals cannot be
used as contraband.
Security
Security Systems should utilize proven and simplistic technology. The table below summarizes maintainable,
safe security technology:
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
Table 3.7: Prison Component Rankings
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
Maintenance staffing in North American where prisons are relatively complex compared to those in developing
nations is normally in the range of 3 to 4 staff per 10,000 square meters. However, the staffing varies widely
due to staff productivity and the specific building concept. Normally, it takes a building that is at least 28,000
square meters to justify 6 full time maintenance staff positions. However, this assumes that both corrective and
preventive maintenance requirements are being met and the building or buildings are heated and air
conditioned and use integrated security electronics for communication and locking control.
The utilities (water, sanitary waste, electricity, etc) may be provided from a source off-site or on-site. If the
utilities are provided on-site, then there will be a need for one or more staff just to operate and maintain the
utilities depending on how big the prison is.
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
Assuming 80% utilization of staff and a focus on preventive maintenance, the following provides a guide for
staffing for various general building concepts:
Table 3.8: Prison Staffing Concepts
Facility Manager 1 1 1
Utility Maintenance 1
Technician
HVAC Technician 0 1
Locksmith 1 1 1
Plumbing Technician 1 1 1
General Trades 1 1 2
Electronics Technician 0 1 1
Total 1 4 5 7
* - for 28,000 square meter prison
** - On site water and wastewater treatment; electrical generation
1 - Natural Ventilation, Manual Locking
2 - Natural Ventilation, Remote Locking Capability
3 - Heated and Air Conditioned, Remote Locking Capability
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
Building Operations and Maintenance Money Verses Building Concepts
The basic components and cost of a 28,000 square meter prison maintenance budget in North America in
2012, not including janitorial using Building Configuration C are as follows:
Table 3.9: Component Cost for 2012 North America Prison Maintenance, Building Configuration C
Obviously it will be almost impossible to predict the cost in every geographic region in world, however, by
using the percentages of the total listed above; this table can be used to anticipate the cost of a full but frugal
maintenance program by applying the percentage of the total monies available. The important fact is that if
money is not being spent on maintenance the infrastructure will quickly deteriorate with the continuous use of
the building without maintenance.
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
The anticipated cost by building configuration and relative percentage of the total available monies as
described above follows:
Table 3.10: Component Cost for 2012 North American Prison Maintenance, Building Configuration A
Table 3.11: Component Cost for 2012 North American Prison Maintenance, Building Configuration B
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SECTION 3 - WHAT CAN WE AFFORD TO BUILD, BUY AND MAINTAIN?
Available Parts and Supplies versus Building Concepts
In a disaster or post conflict condition available parts for any configuration are hard to source. However, this
must be balanced with humane conditions of confinement and the climates encountered. Obviously, natural
ventilation in extreme climates will be difficult to maintain even basic temperate conditions. Therefore, it may
be necessary to employ heated and/or conditioned air. In any case, the less electronic or complex controls for
either the security or the ventilations aspect of the prison the less complex and the easier to find parts and
supplies.
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SECTION 4
ORGANIZING AND STAFFING FOR MAINTENANCE
Skill Sets Needed
In order to maintain high productivity levels and to maintain coverage during periods where staff must take
leave, all maintenance staff must be cross trained on the prison systems and in the basic trades. The basic trade
cross training includes but is not limited to the following:
Welding
Electrical
Plumbing
General Carpentry
Pipefitting
Locksmith
Painting
Once the facility assessment is
complete or the new or
renovated building
configuration is determined
each system will be known.
Either staff must be
experienced in these specific
systems or training must be
provided. In cases where the
overall facility is under 28,000
square meters, staff will carry
multiple responsibilities relative to basic trades and system experience and responsibility. For example, the
locksmith may also be the person primarily responsible for electrical and welding. There should always be an
on-staff person that is responsible as the Facility Manager. This person may also be responsible for a trade but
there is a requirement for one central leader for the maintenance profession. Where prison organizations
recognize that the facility maintenance must be professionalized, the prison normally is in better operating
condition and has less turnover in the maintenance compliment.
Where a facility is 28,000 square meters or larger, it is often advantageous to have split shifts. Instead of one
8:00 AM to 5:00 PM maintenance shift, the first maintenance shift should overlap the correctional officer shift
change from the late shift to the early shift. Then the second maintenance shift should overlap the early and
the late shift. This will allow the maintenance staff to repair anything found in the shift change inspections and
not require a call-back of maintenance staff after they have physically left the facility.
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SECTION 4 - ORGANIZING AND STAFFING FOR MAINTENANCE
Training Needs
The most efficient maintenance program includes permanently assigned on-site staff in each trade. Technical
training for the equipment to be maintained is crucial to success. However, the maintenance staff must work
“hand in glove” or in collaboration with the prison staff. Therefore, maintenance staff should undergo similar
training as correctional officers to provide the staff with the required protocols relative to working within a
secure environment. The following is a partial list of training in addition to the technical training:
Inmate interaction protocol
Communication protocol
Tool control
Contraband control
Emergency response protocol
Key control protocol
The nucleus of an ideal, modern, comprehensive maintenance program is the CMMS because it automatically
provides:
Preventive & Non-Emergency Corrective Work Order Scheduling
Equipment Preventive and Corrective Maintenance Histories
Documentation of Completed Maintenance Tasks
Warranty Follow-up Documentation
Vandalism Reporting
Maintenance Cost Reporting by Building, by Room, and by Piece of Equipment
Security and Incident Reporting
On-demand Reporting
The CMMS can be integrated with
inmate labor programs to track
inmate work hours and tasks for
inmate records and for financial
reporting. The CMMS can provide
documentation of vandalism
without creating extensive paper
trails. Using the system, can also
provide bar code tracking of
activities and stores, and can
integrate these capabilities into the
handheld computers (PDA”s)
The CMMS also assists in inventory
control by tracking supply use. The CMMS produces reports notifying staff of replenishment requirements so
supplies are always available in the facility while not being overstocked. This system allows more immediate
response to issues while conserving critical storage space.
However, the CMMS is only as good as the information put in its databases and the people administering and
maintaining the system. The facility leadership should require all maintenance program employees to be
experienced in the use of the CMMS as appropriate to their work function. Staff is trained to be able to orient
other CMMS users on data entry and the work order request entry process, as well as how to generate system
reports.
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SECTION 4 - ORGANIZING AND STAFFING FOR MAINTENANCE
The staff should use the built-in functions of the CMMS as a comprehensive maintenance work management
solution for preventive, corrective, and predictive maintenance, schedule management, resource optimization,
inventory planning, asset management, monitoring, and costing, report creation and management, warranty
tracking and achievement of key performance indicators.
Maintenance staffing in the North American is normally in the range of three to four staff per 10,000 square
meters. However, the staffing varies widely due to staff productivity and the specific building concept.
Normally, a building that is at least 28,000 square meters is required to justify six full-time maintenance
positions. However, this assumes that both corrective and preventive maintenance requirements are being met,
the building or buildings have conditioned air, and that the buildings use integrated security electronics for
communication and locking control.
The utilities (water, sanitary waste, electricity, etc) may be provided from a source off-site or on-site. If the
utilities are provided on-site, then there will be a need for one or more staff just to operate and maintain the
utilities depending on how big the prison is.
In a post conflict condition available parts for any configuration are hard to source. However, this must be
balanced with humane conditions of confinement and the climates encountered. Therefore, immediately
following the Facility Conditions Assessment critical parts, spare parts, tools and preventive maintenance
supplies should be sourced and contracts established to continue supplying the basic requirements for
maintenance.
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SECTION 5
IMPLEMENTING AND OPERATING PRISON MAINTENANCE
Transitioning to a Preventive/Corrective Maintenance Model
The basic objective for maintaining a prison is to keep the facility safe, secure and reliable at all times. In order
to achieve this objective, the maintenance program must be proactive. This means there are preventive and
corrective maintenance programs for the facility. The preventive maintenance tasks are scheduled throughout
the year and there should be incentives for not deferring those tasks to perform corrective work. In other
words, the staff and any outside contractors must be responsive to corrective maintenance tasks and the
preventive maintenance work orders must be achieved as close to on schedule as possible.
It is impossible to perform preventive maintenance on equipment that is in disrepair or non-functioning. So
before preventive maintenance can be accomplished, the equipment must first be operational. During the
transition to a comprehensive maintenance program, corrective maintenance work orders will proportionally
outweigh preventive maintenance work orders. This imbalance will persist until all the equipment is operational.
A wellrun facility should operate with a ratio of 7080% preventive maintenance work orders to 20 30%
corrective maintenance work orders.
The following graphs illustrate the improvements in a North American state corrections system that transitioned
from reactive maintenance to proactive maintenance:
Figure 5.1: Systematic Improvements in Maintenance at the Georgia Department of Juvenile Justice
The dynamic shown in the two graphs in Figure 6.1 illustrate that, as equipment becomes functional and
preventive maintenance is performed on all functioning equipment, there is a dramatic drop in corrective
maintenance. This is the transition from reactive maintenance to proactive maintenance, resulting in a 30%
decrease in corrective work orders and a 70% increase in preventive work orders.
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SECTION 5 - IMPLEMENTING AND OPERATING PRISON MAINTENANCE
Facility Condition Assessment
The first order of business in creating a maintenance program is to perform a facility condition assessment. The
facility assessment form in Appendix A provides guidelines for collecting the data necessary to provide the
condition assessment. The information gathered during the facility assessment should be used to input
information into the CMMS as well. For non-functioning or equipment in disrepair, the information should be
used to develop corrective work orders and related scopes of work. As the building is assessed, critical spare
parts should be identified for future procurement. Further, the deficiencies should be described and used to
provide a multiyear budget with the goal of returning the facility to good condition.
To begin the proper maintenance program, it is imperative to conduct a thorough conditions assessment of
both the structure and more importantly from a maintenance standpoint, all equipment to be maintained.
The results of this assessment will be to establish a benchmark or baseline starting point for the maintenance
program, by documenting:
The operating condition of the equipment
The remaining useful life of equipment (if not newly installed)
The level of maintenance required
If equipment is operating according to the design parameters.
For equipment which has been recently installed, the conditions assessment also provides an opportunity to
test the equipment under full load or expected operating conditions.
Therefore, for each piece of equipment, the following should be documented.
Current condition of the equipment; is it working as designed.
Any parts which are missing, such as guards, shrouds, protective covers, belts, or security measures.
If it is not operational or missing parts, what is needed to repair the equipment and what are the
priorities.
If the equipment is not new, has the maintenance performed previously been adequate? If not, what
additional steps are needed to bring the equipment up to expected operational standards?
Gather the information needed to populate a CMMS data base or as a minimum a prescription of
required preventive and corrective maintenance.
Determine parts and supplies needs.
Determine the frequency of preventive maintenance required if different than manufacturer’s
recommendations.
If not working as designed and still under warranty, contact should be made with the contractor or
vendor for repair or replacement.
Other end products of the facility condition assessment will include a maintenance booklet for each mechanical
room, including equipment photos, and equipment energy usage documentation for establishment of the
facility energy plans. Appendix A is a Facility Conditions Assessment Template from which data can be
collected.
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SECTION 5 - IMPLEMENTING AND OPERATING PRISON MAINTENANCE
Exterior Electrical
Grounds, entrance, signage Electrical rooms
Lawn, trees, shrubs Panels labeled
Fencing, gates Unauthorized storage
Guard towers and security stations Lighting
Lighting Electrical outlets
Parking areas
Life Safety and Security
Maintenance Shop
Fire extinguishers serviced
Cleanliness Fire protection system inspected/certified
Files secure Locks and locking mechanisms
Computer and CMMS in working order and CCTV operation, security camera operation
secure Intercom system fully functional
Policies and procedures available Telephone system functional
Maintenance manuals available DVD recorders functional
As-built drawings available Control panels, control rooms
Critical spare parts on hand Emergency generator readiness
Load bank test completed or scheduled
Tool Room/Area
Fuel levels checked and documented
Tools properly labeled and inventoried
Kitchen
Tool control procedures in place and area
secured Status of kitchen equipment
Freezer
HVAC
Walk in cooler
Units in working order Condensers, evaporator coils
Ductwork All gauges operational, correct temperatures
Filters maintained
Exhaust fans
Plumbing
Range hoods inspected and certified
Pipe chases: leaks, corrosion Drains and plumbing
Boilers and water heaters
Laundry
Chemicals
Sinks Status of laundry equipment
Showers Cleanliness and security
Water fountains
Roof
Toilets
Sprinklers General condition
Drains Leaks
Waste water treatment equipment Walkways
Roof top units and motors
Exhaust units and motors
As part of the facility condition assessment, data should be collected specific to the equipment which will need
to be maintained and which will be entered into the Computerized Maintenance Management System (CMMS)
or a manual hard copy system.
A data collection form is attached as Appendix A to this document. This form contains the following data
elements:
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SECTION 5 - IMPLEMENTING AND OPERATING PRISON MAINTENANCE
Facility name
Date of assessment
Person or persons conducting the assessment
Building number or name
Room number or name
Equipment description
Type of equipment (HVAC, electrical, plumbing, life safety, interior, or exterior)
Number of a corresponding photo taken of the equipment and included as part of the mechanical
room book
The asset identification number (to be designated and applied if not already available)
Manufacturer name
Model number
Serial number
Working condition, a subjective judgment of either N (new or recently acquired), G (good, with only
minor problems if any), F (fair, meaning operational but needing repair due to age or upkeep) or P
(poor, indicating major problems, some needing urgent attention, or not operational)
Notes or comments to be included in the CMMS records or hard copy schedule of maintenance tasks.
Copies of this evaluation and data collection sheet should be kept on file in the maintenance office as well as
in a book to be maintained in mechanical rooms for all equipment within that room if applicable.
The performance of facility maintenance is collaboration between the technical performance of maintenance
and the accommodation within the operation of the prison or management of the detained that allows the act
of maintaining. Therefore, all key stakeholders should be involved in reviewing and approving plans and the
related policies and procedures. All plans, policies and procedures should recognize that maintaining activities
are in support of the management of prisoners and the prison. As a minimum, the following plans and guiding
documents should be provided:
Maintenance Plan
Policy and Procedures (Example provided in Appendix _)
Maintenance Budget (Example provided in Appendix _)
As described earlier, the CMMS guides and documents the work effort for all maintenance. As soon as practical,
a CMMS system should be implemented. The most expeditious method to implement the system is to first
select a vendor and then have the vendor implement the system simultaneously with the Facility Conditions
Assessment work. An example specification and evaluation criteria is provided in Appendix H and I.
During the Implementation Process, gather all equipment information necessary to manage equipment
maintenance, validate warranties, track maintenance history and set preventive maintenance schedules. CGL will
enter equipment data along with warranty information, tool control information, staff schedules, preventive
maintenance schedules and other information necessary to guarantee an effective maintenance.
Activities include:
Develop a complete list of equipment and tours for inclusion into CMMS
Verify list of equipment and nomenclature
Tag and verify preventive maintenance requirements between equipment manuals and CMMS’s
preventive maintenance library
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SECTION 5 - IMPLEMENTING AND OPERATING PRISON MAINTENANCE
Enter or assist in entering all preventive maintenance requirements
Assist in testing CMMS work orders versus maintenance requirements
Work schedule should be made to overlap shift changes of the correctional staff when possible. Otherwise and
for the most part the work schedules should occur during active hours so that the most staff available can be
on-site to perform the work and to escort contractors if necessary. The CMMS will provide the daily preventive
maintenance work schedule and repairs or corrective maintenance is scheduled according to priority and
funding.
Staffing Plan
The staffing plan should begin with identification of the key staff or trades. For naturally ventilated facilities
the key trades are:
Plumbing
Electrical Figure 5.2: Contract Maintenance Organization
Security should include welding
capability
General Trades, carpentry, etc.
For facilities with tempered air, a mechanical or
heating/ventilation trade should be added. All
staff should be cross trained to provide proper
coverage and efficiency.
Once the key trades are identified then
supervisory staff should be included. If there
are multiple facilities involved a labor mix chart
should be developed to insure that each facility
has the proper trade coverage. Figure 6.2
depicts a typical organization chart.
In addition to the staff, in some cases,
contractors will be needed for specialty work.
Manpower Balancing
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SECTION 5 - IMPLEMENTING AND OPERATING PRISON MAINTENANCE
Establishing Budgets
As quickly as possible, an annual budget should be established for the facility. An example is provided in
Appendix D. Please refer to 3.1.11 of this report for budget guidelines.
Spare Parts
An analysis of availability versus critical spare parts should be conducted in order to source parts necessary to
maintain reliable operations. The analysis should include a dependency analysis of critical systems versus time
to procure
Obtaining, storing, and tracking the use of repair parts is a critical function of efficient facility maintenance
and motor pool program operation. The CMMS identifies stock levels and re-order points to ensure high use
items are available when needed. The CMMS also helps ensure infrequently used repair parts are not stocked at
uneconomical levels.
Staff should perform a spare parts and materials list review as one of their first tasks to ensure inventory items
stocked as necessary. Staff should also recommend purchasing list of spare parts, including appropriate stock
levels, to maintain critical system operation for both the building and motor pool.
A secure area to store tools, supplies, materials and spare parts should be established. These areas should not
be accessible by inmates or the public. Tool and contraband control procedures described in the example policy
and procedure manual or similar should be instituted. Keys and key blanks should be stored in a very secure
Central Control area and not in the maintenance shops. Key making machines can be stored in the shop area as
long as the storage area is very secure. Within the secure Shop or Work Area, areas for the different trades
should be designated and secured as well.
The following list is an example of where inmates have been used for maintenance activities in the past:
Grounds Maintenance and Work
Clearing routine plumbing blockage
Cleaning smoke detectors
Small engine repair
Sheetrock damage
Painting
Custodial
Vehicle cleaning
Filter replacement
Lamp replacement
Inmates that qualify from a security standpoint should be interviewed for inclusion in the work program to
most appropriately use their abilities and to help them build skills. These skills and the inmate work can reduce
the overall cost of maintenance. The prison management staff should provide supervision during work
activities.
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SECTION 6
MONITORING AND ACCOUNTABILITY
The reporting system focuses prison reliability. It is critical to be aware of the facility’s maintenance history as
well as maintenance trends. As the building recovers from Post Conflict or Post Catastrophic events the
reporting system addresses those systems most critical to the operation and the services required to do so.
Figure 8 on the following page describes the types of reports, the feedback required and the reporting issues.
Figure 6.1: Standard Maintenance Work Order Flow
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SECTION 6 - MONITORING AND ACCOUNTABILITY
Table 6.1: System Reports
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APPENDIX A
FACILITY ASSESSMENT FORMS
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30
31
32
APPENDIX B
STATISTICAL AND FINANCIAL BENCHMARKS
Statistical and Financial Benchmarks
Maintenance staff shall establish benchmarks on and measure the following as a minimum:
a. Monthly utility cost per 10,000 square meters. This includes all electrical, water, gas, sewer, and
telephone costs.
b. Maintenance cost per 10,000 square meters. Total maintenance costs for labor, tools, equipment
and supplies, and outside contractors. Can be further broken down into preventive and corrective
maintenance costs per 10,000 square meters.
c. Equipment replacement cost, actual versus budget.
d. Monthly open or incomplete work orders
e. Monthly and annual deferred maintenance (repairs or equipment upgrade or equipment
replacement that has been deferred).
f. Per cent Completed Preventive Maintenance Work Orders
g. Per cent Completed Corrective Maintenance Work Orders
h. Per cent and cost of Corrective Maintenance Work Orders caused by inmate or staff vandalism
i. Staff Utilization Rate (work order hours divided by total hours paid)
j. Average time to complete work order for each staff
k. Response time for corrective requests
l. Per cent Preventive Maintenance Work Orders of total work orders
m. Per cent Corrective Maintenance Work Orders of total work orders
n. The CGL Corrections Facility Condition Index (Deferred Maintenance divided by the Current
Replacement Value)
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APPENDIX C
SAMPLE ANNUAL MAINTENANCE BUDGET
Annual Maintenance Budget (EXAMPLE)
34
APPENDIX D
POLICY AND PROCEDURE MANUAL
Example: Correctional Facility Maintenance Policy and Procedures
35
SAMPLE PROCEDURE NARRATIVE
Number:
Approval By:
Effective Date:
Replaces: n/a
I. Policy
It is the policy of the Agency to provide quality and reliable preventive maintenance and corrective maintenance
services for the ________________ Facilities in an effective and efficient manner. A maintenance team in
accordance with the following policies and procedures shall provide these services. The services shall be
provided under the supervision of the Agency in accordance with the Georgia's purchasing guidelines. The
services shall be delivered without jeopardizing security or safety.
The maintenance team shall deliver maintenance services in accordance with acceptable industry standards.
The maintenance team’s Facility Maintenance Director shall report to the __________’s Maintenance Director.
The maintenance activities and plant operations shall adhere to the manufacturer's recommendations and all
appropriate Regulations.
The Agency’s staff and the maintenance team's staff shall at all times conduct themselves in a professional
manner relative to delivery of preventive maintenance services.
II. Sources
III. Definitions
B. Plant Operation: The process of carrying out the necessary procedures, including manual
control, attendance, and supervision, to affect the performance and function of a facility or
equipment.
C. Minor Repairs: Defined in scope as restoration of equipment to working order following failure
from vandalism, wear or unknown origin. A minor repair can be finished within four (4) to eight
(8) hours.
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E. ___________: Prison Maintenance
F. Repairs: Consist of identifying what keeps an asset from operating properly, correcting or
replacing defective components to make it operate correctly, and verifying that the asset is
performing properly after the repair.
G. Maintenance Supervisor: Responsible for the technical aspects of the task assignments, quality
control, energy management, building equipment operation, expenditures, and training for a
region of facilities
I. AGENCY Maintenance Director: The Agency staff member shall be responsible for the
preventive maintenance services administration and supervision of the maintenance team’s
performance for both A and B Facilities.
J. Administration: The tasks involved in monitoring, directing, reporting, and supervising the
scope of work and conditions described in these Policies and Procedures between the
maintenance team and the Agency.
K. Design Intent: Operational philosophy and the logic behind the physical layout and construction
of the facilities. Modifications to the layout or equipment performance may change the design
intent.
L. Deficiency Survey: A physical review of the building and the equipment to determine
deficiencies in equipment or service delivery.
S. Contract: The agreement entered into between the Department and contractor for the
delivery of services under the terms of this RFP.
T. Contractor: The firm awarded the Contract to provide services under the terms of this RFP.
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V. Facility: An institution operated by the Country of _________
W. Fiscal Year: Any one year period beginning on July 1 and ending on June 30, which period is
used for budgeting and appropriations purposes by the Department
Y. SOP’s: Standard Operating Procedures, those written procedures published from time to time
by the AGENCY which govern the operation, management, and maintenance of Agency Facilities
and shall be deemed to include any future modifications, amendments, or supplements.
Z. After‐hours: is defined as occurring outside the normal operating business hours of the
Department. Normal business hours for the Department are 8am to 5pm Local Time. These
hours are subject to change as business requirements dictate.
AA. Emergency requests: are defined as repairs/requests of such urgent or important nature that
delaying the request may cause undue harm to individuals or Building Systems, or seriously
impact business operations.
IV. Procedures
A. Administration
a. Prior to initiating the maintenance services the AGENCY Maintenance Director and the
___________ Contract Maintenance Director shall understand and agree on the conditions of
the Policy and Procedures. To the extent possible these two individuals and their staff shall
discuss every potential event as to thoroughly agree on how the Policy and Procedures will be
fulfilled and administered.
b. At each of the Facilities, the Facility Director and the ___________ Maintenance Supervisor shall
designate one or more representative(s) from the Agency staff and from the contract
maintenance team's staff as official representatives after‐hours. If the AGENCY official after
hours site representative is anyone other than the “on‐call administrator”, the designee shall be
stipulated in writing. These representatives shall also familiarize themselves with the conditions
of the Policy and Procedures and these policies and procedures. No other representatives from
the Agency staff or the maintenance team may act in regard to administration except those
identified in writing as a result of paragraphs 1 and 2 of this subsection.
c. During normal hours the official representatives shall be the AGENCY Facility Director and the
contractor’s Maintenance Supervisor.
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APPENDIX E
CORRECTIVE MAINTENANCE WORK ORDER
39
APPENDIX F
PREVENTIVE MAINTENANCE WORK ORDER
40
APPENDIX G
CMMS SPECIFICATION
41
APPENDIX H
CMMS EVALUATION CRITERIA
42
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