ISSN: 1402-1544 ISBN 978-91-7583-XXX-X Se i listan och fyll i siffror där kryssen är DOCTORAL T H E SIS Christer of Rail Infrastructure Stenström Operation and Maintenance Performance Department of Civil, Environmental and Natural Resources Engineering Division of Operation, Maintenance and Acoustics ISSN 1402-1544 Operation and Maintenance Performance ISBN 978-91-7583-027-8 (print) ISBN 978-91-7583-028-5 (pdf) of Rail Infrastructure Luleå University of Technology 2014 Model and Methods Christer Stenström Model and Methods Operation and Maintenance Performance of Rail Infrastructure Model and Methods Christer Stenstr¨om Operation and Maintenance Engineering Lule˚a University of Technology, Sweden Printed by Luleå University of Technology, Graphic Production 2014 ISSN 1402-1544 ISBN 978-91-7583-027-8 (print) ISBN 978-91-7583-028-5 (pdf) Luleå 2014 www.ltu.se Abstract Congestion of roads and sky, increasing energy costs and a demand to reduce emissions, have created a need to shift transportation from road and air to rail. Consequently, rail utilisation is increasing, adding stress to the rail infrastructure and time constraints to maintenance. At the same time, the performance and capacity of rail infrastructure are expected to be preserved or even improved. Railway performance and capacity can be enhanced by: expanding infrastructure; introducing better technology; and improving the efficiency and effectiveness of operation and maintenance. Performance measurement has shown to improve the efficiency and effectiveness of organisations, but the development and integration of performance measurements are essential. A key issue in performance measurement is the process of collecting, storing and converting data into information and knowledge, i.e. data analysis and presentation. Organisations use various systems and methods to collect and analyse data, but the analysis of the collected data to extract relevant information is often a challenge. With improved data analysis and performance measurement, rail transportation can meet the requirements of performance and capacity. Specifically, maintenance planning and optimisation of preventive maintenance can be made more effective, which can decrease interruptions of train operation, reduce costs and ensure safety. In this thesis, a model for monitoring and analysis of operation and maintenance performance of rail infrastructure is developed. The model includes various methods for analysis of operation and maintenance data. The work aims to facilitate improvements and optimisation of decision-making in railways. The thesis consists of two parts. The first part gives an introductory summary of the subject and research, followed by a discussion of the appended papers, an extension of the research and conclusions. The second part consist of five appended papers. The first paper concerns the development of a model for improving performance measurement of rail infrastructure. The second paper is a study of indicators related to rail infrastructure performance. The three subsequent papers are development of data analysis methods for: operational availability of rail infrastructure, composite indicators and maintenance costs. Keywords: operation and maintenance, indicators, performance measurement, mainte- nance cost, rail infrastructure, linear assets, preventive maintenance, corrective mainte- nance, aggregation, composite indicators, cost-benefit analysis, decision support iii iv List of appended papers Paper A Stenstr¨om, C., Parida, A., Galar, D. and Kumar, U. (2013) Link and effect model for performance improvement of railway infrastructure. Institution of Mechanical Engineers, Part F: Journal of Rail and Rapid Transit, vol. 227, no. 4, pp. 392-402. Paper B Stenstr¨om, C., Parida, A. and Galar, D. (2012) Performance indicators of railway infras- tructure. International Journal of Railway Technology, vol. 1, no. 3, pp. 1-18. Paper C Stenstr¨om, C., Parida, A. and Kumar, U., Measuring and monitoring operational avail- ability of rail infrastructure. Accepted for publication in: Institution of Mechanical Engineers, Part F: Journal of Rail and Rapid Transit. Paper D Stenstr¨om, C., Parida, A., Lundberg, J. and Kumar, U., Development of an integrity index for monitoring rail infrastructure. Submitted for publication in: International Journal of Rail Transportation (under review). Paper E Stenstr¨om, C., Parida, A., and Kumar, U., Preventive and corrective maintenance: Cost comparison and cost-benefit analysis. Submitted for publication in: Structure and In- frastructure Engineering (under review). v vi List of related papers Journal publications Stenstr¨om, C., Parida, A., Kumar, U. and Galar. D. (2013) Performance indicators and terminology for value driven maintenance. Journal of Quality in Maintenance Engineer- ing, vol. 19, no. 3, pp. 222-232. Stenstr¨om, C. and Parida, A. (2014) Measuring dependability of linear assets considering their spatial extension. Journal of Quality in Maintenance Engineering, vol. 20, no. 3, pp. 276-289. Parida, A., Stenstr¨om, C. and Kumar, U. (2014) Performance measurement for managing railway infrastructure. International Journal of Railway Technology, vol. 2, no. 4, pp. 888-901. Technical reports Stenstr¨om, C. and Parida, A. (2013) Link and effect model for maintenance of railway infrastructure. Lule˚a University of Technology, Sweden, ISBN 978-91-7439-724-6. Stenstr¨om, C. and Parida, A. (2013) Atg¨˚ ards- och effektmodell f¨or effektivare underh˚all av j¨arnv¨agar. Lule˚a University of Technology, Sweden, ISBN 978-91-7439-720-8. Stenstr¨om, C. (2012) Maintenance performance measurement of railway infrastructure with focus on the Swedish network. Lule˚a University of Technology, Sweden, ISBN 978- 91-7439-460-3. vii viii Acknowledgements The research presented in this thesis has been carried out in the subject area of Opera- tion and Maintenance Engineering at Lule˚a Railway Research Centre (J¨arnv¨agstekniskt centrum, JVTC), Lule˚a University of Technology (LTU), Sweden. First of all, I would like to thank Trafikverket (Swedish Transport Administration) for providing data, support and funding. Especially, to Vivianne Karlsson, Per Hurtig and Stefan Jonsson who have supported the research. I would like to express my sincere thanks to my supervisors Assoc. Prof. Aditya Parida and Prof. Uday Kumar for their invaluable support, discussions and contributions. I would like to extend my thanks to Dr. Ulla Juntti at LTU/Performance in Cold, Adjunct Prof. Per-Olof Larsson-Kr˚aik at LTU/Trafikverket, the faculty and my fellow graduate students in the division, for their support and discussions. Finally, I wish to express my sincere gratitude to my daughters and my partner for always being there, supporting and understanding, and to extend my gratitude to my parents, siblings and close relatives for being role models. Christer Stenstr¨om October, 2014 Lule˚a, Sweden ix x Abbreviations and notations The abbreviated version of a term is sometimes more common than the full spelling. Thus, terms that only appear once in the thesis are still presented together with their abbreviations for clarification, but these words are not included in the list below. CI Composite indicator CM Corrective maintenance CMMS Computerised maintenance management system CSF Critical success factor DEA Data envelopment analysis EU European Union GUI Graphical user interface HSE Health, safety and environment IM Infrastructure manager KPI Key performance indicator KRA Key result area LCC Life cycle cost NS Network statement OEE Overall equipment effectiveness PM Preventive maintenance PI Performance indicator RAMS Reliability, availability, maintainability and maintenance supportability RQ Research question S&C Switches and crossing (turnout) TTR Time to restoration TTT Train time table A(t) Point availability AO Operational availability ASA Service affecting availability R2 Coefficient of determination tActive Active repair time tMin Minimum time for maintenance η Efficiency, equals Output/Input xi xii Contents Part I 1 Chapter 1–Introduction 3 1.1Background.................................. 3 1.2Problemstatement.............................. 4 1.3Purposestatement.............................. 5 1.4 Research questions .............................. 5 1.5 Linkage of research questions and appended papers ............ 6 1.6 Scope and limitations ............................. 6 1.7Authorshipofappendedpapers....................... 7 1.8 Outline ..................................... 7 Chapter 2–Basic concepts and definitions 9 2.1Operationandmaintenanceengineering................... 9 2.2Performancemeasurement.......................... 10 2.3 Dependability and RAMS .......................... 10 2.4 Strategic planning ............................... 12 2.5 Thesis purpose related terminology ..................... 12 Chapter 3–Literature review 15 3.1Performancemeasurementofrailtransportation.............. 15 3.2 Data aggregation in rail transportation ................... 21 Chapter 4–Research methodology 27 4.1 Research design ................................ 27 4.2Datacollection................................ 28 4.3Analysisofoperationandmaintenancedata................ 31 Chapter 5–Summary of the appended papers 35 5.1PaperA.................................... 35 5.2PaperB.................................... 37 5.3PaperC.................................... 38 5.4PaperD.................................... 40 5.5PaperE .................................... 42 Chapter 6–Results and discussion 45 6.1 First research question