SM

S·O·S Services Standardization Program

Updated September 2012

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 Table of Contents

Table of Contents..................................................................................................2
I. Introduction ........................................................................................................4
II. Strategy ............................................................................................................5
III. S·O·S Services Standardization Process ........................................................7
Initial Standardization..................................................................................................... 7
Re-Standardization.......................................................................................................... 8
Subsequent/Continuous Evaluations............................................................................... 8
IV. S·O·S Services Standardization Requirements...............................................9
IV.A.I. Test Results - Required Test Offerings ....................................................10
Used Oil Testing ........................................................................................................... 10
Elemental Analysis ................................................................................................... 11
FT-IR Analysis.......................................................................................................... 11
Viscosity ................................................................................................................... 12
Water......................................................................................................................... 12
Glycol........................................................................................................................ 13
Particle Analysis ....................................................................................................... 13
GC Fuel Dilution....................................................................................................... 13
Level 1 Coolant Analysis.............................................................................................. 14
% Glycol ................................................................................................................... 14
pH.............................................................................................................................. 14
Conductivity.............................................................................................................. 14
Nitrite ........................................................................................................................ 15
Coolant Physical Tests.............................................................................................. 15
IV.A.II. Test Results - Data Quality & Monitoring Capabilities.............................15
Introduction................................................................................................................... 15
Definitions..................................................................................................................... 16
Procedures..................................................................................................................... 16
Instrument Calibration .............................................................................................. 19
Elemental Analysis.................................................................................................... 19
FT-IR......................................................................................................................... 19
Quality Control Checks............................................................................................. 20
Process Control ......................................................................................................... 21
IV.B.I. Laboratory Operations - Quality Management System ............................22
Introduction................................................................................................................... 22
What is ISO Certification?............................................................................................ 22
Costs.......................................................................................................................... 23
Initial certification..................................................................................................... 23
Training..................................................................................................................... 23
ISO Certification Process Steps ................................................................................ 24
IV.B.II. Laboratory Operations - Safety ..............................................................25
Chemical Hygiene/Safety Plan ..................................................................................... 25
Introduction............................................................................................................... 25
Purpose and Requirements........................................................................................ 25
Process Control ......................................................................................................... 25

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 Lab Safety ..................................................................................................................... 26
Material Safety Data Sheet ....................................................................................... 26
Employee Safety Training ........................................................................................ 26
Laboratory Safety Devices and Requirements.......................................................... 26
IV.B.III. Laboratory Operations - Staffing and Training Requirements ...............28
Introduction................................................................................................................... 28
Minimum Requirements ............................................................................................... 28
Lab Technicians ........................................................................................................ 29
IV.C.I. Communications - Laboratory Information Management System (LIMS)
Requirements .....................................................................................................29
LIMS Capability ........................................................................................................... 30
Customer and Equipment Information...................................................................... 30
LIMS Interface for Lab Processes ............................................................................ 30
Reporting Options......................................................................................................... 30
Monitoring the Program - Metric Calculation and Reporting ...................................... 31
IV.C.II. Communications – Internal Dealer Training ...........................................31
IV.C.III. Communications – External Customer Training....................................31
IV.D.I. Equipment Coverage Metrics - S·O·S DCAL ..........................................32
Introduction................................................................................................................... 32
Calculation Instructions ................................................................................................ 32
Standard Requirement................................................................................................... 32
Example Calculation..................................................................................................... 33
IV.D.II. Equipment Coverage Metrics - S·O·S Warranty Participation Rate .......33
Introduction................................................................................................................... 33
Calculation Instructions ................................................................................................ 33
Standard Requirement................................................................................................... 34
Example Calculation..................................................................................................... 34
IV.D.III. Equipment Coverage Metrics - S·O·S CSA Participation Rate .............35
Introduction................................................................................................................... 35
Calculation Instructions ................................................................................................ 36
Standard Requirement................................................................................................... 36
Example Calculation..................................................................................................... 36
IV.D.IV. Equipment Coverage Metrics - S·O·S Red Alert Closure Rate.............37
Introduction................................................................................................................... 37
Calculation Instructions ................................................................................................ 38
Standard Requirement................................................................................................... 38

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 I. Introduction

There is a tremendous opportunity for growth in S·O·S Services programs. To

promote and sustain this growth, Cat S·O·S Services has developed a program
to standardize Cat Dealer S·O·S Services programs. The S·O·S Services
Standardization Program will provide the tools necessary for increasing customer
loyalty and attracting new customers to the Cat Dealers.

S·O·S Services is no longer a stand-alone product or an optional program for a

few customers. S·O·S Services is an integral part of effective equipment
management. The Cat Condition Monitoring program utilizes S·O·S Services as
the cornerstone for equipment health information.

Caterpillar and Cat Dealerships have also increased their emphasis on Customer
Support Agreements and rental machines. To provide the highest returns, these
CSA machines and rental machines must be properly maintained. A high quality
S·O·S Services program is needed to manage CSA machines and to keep the
rental fleet operational.

Another area of growth is the large corporate customer. These corporate

customers have equipment that is spread across several Dealer territories.
These customers seek a fluids analysis program with consistent and reputable
results. S·O·S Services Standardization will provide consistent and high quality
results to the corporate customer.

In summary, S·O·S Services Standardization will provide a basis for the future of
the S·O·S Services program and sustained growth. The S·O·S Services
program must be focused on providing high quality information to the customer
and this information will be used to make critical equipment management
decisions. These qualities will separate S·O·S Services from other providers.
Ultimately, the Dealership will see parts and service revenue growth as the
S·O·S Services program is utilized by a larger customer base.

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 II. Strategy

The overall strategy of S·O·S Services Standardization is to improve the quality

and consistency of S·O·S Services offerings worldwide. These improvements
will increase customer value and increase the opportunity for parts and service
sales. These improvements will also lower the cost of CSA’s and lower the
operating cost of rental fleets.

The implementation of this strategy has been divided into four key areas of the
S·O·S Services program.

Test Results
All S·O·S Services laboratories will be required to provide a minimum number of
specific test results. The required test categories include: Elemental Analysis,
FT-IR, Viscosity, Water, Fuel Dilution, Particle Count and Level 1 Coolant. The
exact listing of tests will be covered in a later section. Providing a consistent set
of test results will help to capture the corporate customer. A consistent set of test
results will also help with Condition Monitoring.

Standardized S·O·S Services laboratories will also be required to check the

precision and accuracy of their instruments. Some of these checks will be done
very frequently; others will be done on a quarterly basis.

Laboratory Operations
This is a very large topic that begins with the operation and calibration of the test
equipment. ISO9001:2008 will be used to ensure high quality test results. Each
S·O·S Services lab will be required to work with ISO to establish their individual
ISO certification.

Laboratory safety and chemical hygiene are also included under Laboratory
Operations. The Occupational Safety and Health Administration (OSHA in the
United States) has developed a set of guidelines for laboratory safety. These
guidelines will be used in the S·O·S Services Standardization program.

Another aspect of Laboratory Operations is education and training. Education

and training requirements have been established for: Lab Manager, the data
Interpreters, and Lab Technicians.

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Communication
A standardized S·O·S Services program must have the capability to test
samples, interpret the results, and inform the customer in a very timely manner.
These operations will require a modern Laboratory Information Management
System (LIMS). The LIMS must have the capability to electronically transfer
reports and have those reports available on the web. The LIMS must also be
capable of data retrieval from the various test instruments and it must provide a
data interpretation interface.

Equipment Coverage Metrics

This aspect of S·O·S Services Standardization covers the equipment that is
enrolled and active in the S·O·S Services program. Dealers will be measured in
four key areas: S·O·S DCAL, S·O·S Warranty Participation, S·O·S Red Alert
Closure and S·O·S CSA Participation. The Standardization program has set
guidelines in all four areas.

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 III. S·O·S Services Standardization Process

Initial Standardization
A detailed questionnaire, a checklist, and other support materials are available
from S·O·S Services. It is suggested that you make extra copies of the checklist.
Once you are satisfied that your analysis is complete and any needed changes to
meet the stated standards and measurements have been implemented, contact
your district Service Operations Representative (SOR). Your corresponding
Caterpillar Distribution Services Division (DSD) S·O·S Consultant will schedule
an audit of the program to confirm that all criteria have been met for recognition
as a Cat S·O·S Services Standardized Program.

Distribution Services Div. S·O·S Consultant E-Mail

Americas North Karen M. Marek Marek_Karen_M@cat.com
Tiffany N. Cotner Cotner_Tiffany@cat.com
Americas South Olbin R. Hernandez Hernandez_Olbin_R@cat.com
EAME, CIS Francis Van Eycken Van_Eycken_Francis@cat.com
APM, China, India & Japan Ethan K. Lightle Lightle_Ethan_K@cat.com

Once the DSD S·O·S Consultant's audit is completed, you will learn immediately
of your status. If the Program complies with all the requirements, the Dealership
will receive Standardization recognition. If all requirements are not met, we will
explain what improvements are needed. It should be pointed out that the
questionnaire requires a positive response on 100% of the questions in order to
receive Standardization.

Once deficiencies are corrected, the Dealer should notify the district, in writing, of
what was done to correct the deficiencies. A second audit by the DSD S·O·S
Consultant will be necessary.

One plaque, recognizing the Dealer’s Standardization achievement, will be

provided. In addition, individual program personnel will receive a monogrammed
jacket honoring their contribution to the program.

It is our intent to acknowledge this S·O·S program achievement in advertising

and promotional materials. Additional S·O·S Program plaques, jackets, and other
promotional items can be purchased to promote branch customer awareness that
the Dealer's S·O·S program has received special recognition from Caterpillar.

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 Re-Standardization
DSD S•O•S Consultants will schedule re-Standardization reviews every three
years. Re-Standardization reviews may be conducted more often if program
criteria changes or if there are significant changes at the Dealer level. Re-
Standardization will be recognized by a letter of appreciation from the Marketing
Organization and renewal date plates for plaques.

Subsequent/Continuous Evaluations
The goal of this process is to provide motivation and means for every Dealer to
assess where they stand today, versus where they need to be, in providing a
level of customer service that clearly separates the Cat Dealer S·O·S Program
from competitors in the "oil lab" business. The process requires continuous
improvement. Program enhancements will be added periodically as Caterpillar
develops value added program enhancements, and customer expectations
increase. The process is not a one-time event through which a program receives
a permanent rating. A STANDARDIZED program, in apparent good standing,
must be reviewed every three years. Such things as changes to Standardization
requirements, customer complaints, key personnel changes, frequent poor
performance in performance testing programs, etc. could be reason to re-
evaluate a program's Standardization.

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 IV. S·O·S Services Standardization Requirements

The Standardization requirements are listed below and details regarding each
requirement are including in the following sections:

A. Test Results
I. Required Test Offerings
II. Data Quality & Monitoring Capabilities

B. Laboratory Operations
I. Quality Management System
II. Safety
III. Staffing and Training Requirements

C. Communication
I. Laboratory Information Management System Requirements
II. Dealer Training Events
III. Customer Training Events

D. Key Performance Indicators

I. S·O·S DCAL
II. S·O·S Warranty Participation Rate
III. S·O·S CSA Participation Rate
IV. S·O·S Red Alert Closure Rate

For Dealers who utilize Caterpillar or another Cat Dealer laboratory for their fluid
analysis services, it should be noted that the laboratory being utilized must meet
all of the requirements for test results and laboratory operations included in the
S·O·S Services Standardization Program.

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 IV.A.I. Test Results - Required Test Offerings

Used Oil Testing

Accurate interpretations require a complete set of test results. These test results
are used individually and in classic combinations to accurately identify the
condition of the oil sample. In many cases, these test results can also be used to
help identify the root cause of problems in lubricated compartments. The
following chart provides a minimum listing of test results for new and used oil
samples.

Caterpillar S·O·S Services Oil Analysis Test

Diesel Gas Powershift Hydraulic Differential & Other
Compartment
Engine Engine Transmission System Final Drive Geared
Test Result units
Al ppm X X X X X X
Ca ppm X X X X X X
Cr ppm X X X X X X
Cu ppm X X X X X X
Fe ppm X X X X X X
K ppm X X X X X X
Mg ppm X X X X X X
Mo ppm X X X X X X
Na ppm X X X X X X
Ni ppm X X X X X X
P ppm X X X X X X
Pb ppm X X X X X X
Si ppm X X X X X X
Sn ppm X X X X X X
Zn ppm X X X X X X
Oxidation UFM X X X X X X
Nitration UFM X
Sulfation UFM X
Soot UFM X
Viscosity cSt X X X X X X
Water % vol X X X X X X
Particle Analysis ISO code, etc X X X X
GC Fuel Dilution % vol X

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Elemental Analysis
Elemental analysis is used to determine the weight percent of the listed elements
in the used oil sample. Elemental analysis must be reported for all samples and
the results must be posted as parts per million (ppm). The required instrument
for measuring the elemental concentration is an Inductively Coupled Plasma
Optical Emission Spectrometer (ICP-OES). This type of instrument has proven
accuracy, repeatability, and durability in the measurement of used oil samples.
The ICP must be capable of producing an accuracy of +/- 10% for concentrations
of 20 ppm or higher. For concentrations lower than 20 ppm, the ICP must have
an accuracy of +/- 2 ppm. The method currently recommended is based on
processes ASTM D5185.

Laboratories are required to report a minimum of 15 elements including: Fe, Cr,

Al, Pb, Mo, Cu, Sn, Si, Na, K, P, Ca, Mg, Zn, and Ni. Elements such as Fe, Cr,
Al, Pb, Cu, Sn, Si, Na, K and Ni are commonly seen within most oil-lubricated
compartments. Most of these elements help to identify wear in the compartment,
while the others are indicators of contaminants such as antifreeze or dirt.
Elements Mo, P, Ca, Mg and Zn are oil additive elements and are used to help
identify the type of oil.

The use of an internal standard is required for elemental analysis. An internal

standard is used to assist in identifying a sample dilution problem and for
stabilizing the results of the high-concentration additive elements. Internal
standards must be applied to all samples.

FT-IR Analysis
Fourier Transform Infrared Spectroscopy (FT-IR) must be used for the
measurement of oxidation, nitration, sulfation, and soot. The FT-IR must be
configured to produce results in accordance with the ASTM E2412-04 Direct
Trending procedure. S·O·S Services uses the term Un-subtracted FT-IR Method
(UFM) to identify this procedure. Additional information on the UFM can be
found on the S·O·S Services Knowledge Network site url
https://kn.cat.com/know.cfm?id=200084

Though we frequently associate oxidation with cooled compartments, oil

oxidation can take place in all oil-lubricated compartments due to the presence of
oxygen. Oxidation must be measured and reported for all samples.

In natural gas/gaseous fuels engines, the nitration measurement helps to identify

if the air to fuel ratio is too lean or too rich. Nitration must be measured and
reported for all gaseous fuel engine samples.

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Sulfation measures the presence of sulfur-containing compounds in the oil.
Sulfation must be measured on all diesel engines because these compounds are
generated as a by-product of combustion with higher sulfur diesel fuels.

Soot is a contaminant generated by incomplete diesel fuel combustion. Soot

contamination must be quantified for all diesel engine samples.

Viscosity
While viscosity values at both 100oC and 40oC are acceptable for
standardization, Kinematic Viscosity at 100oC is the most useful viscosity
measurement for new and used oil analysis. Viscosity results must be posted in
centistokes (cSt). A capillary tube type viscometer must be used for this
measurement and the viscometer must be capable of measuring viscosity within
+/- 0.5 cSt according to ASTM D445.

The kinematic viscosity of an oil is essential for identifying if the correct oil is
being used in a compartment. Viscosity analysis also is an indicator of
contamination within an oil compartment. Viscosity results must be reported for
all samples.

Water
Water is a contaminant that can be present in all oil-lubricated compartments.
Water interferes with the ability of the oil to prevent wear and protect the metal
surfaces from corrosion. A simple hot plate test is sufficient for the measurement
of water in used oil samples. The hot plate test can accurately detect levels of
water in excess of 0.1%. Additional information on performing the water test can
be found on the S·O·S Services Knowledge Network site URL
https://kn.cat.com/msgget.cfm?ID=2746&type=Guides

The reporting of Water on the S·O·S Services report must follow the guidelines
listed in the chart below.

S•O•S Report
Water Result % Water Water Result Definition
E Excessive (milky appearance)
P 0.5% to 1.0% Positive (no visual indication of water)
T 0.1% to 0.4% Trace
N <0.1% Negative

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Glycol
A glycol test is optional.
I
Particle Analysis
Particle analysis may be performed using multiple different methods. The optical
particle counter, PQ Analyzer, visual inspection, Laser Net Fines, filter patch
analysis, and ferrography are all acceptable methods for particle analysis.

Particle analysis is required for all non-engine samples.

Particle Count measurements using an optical particle counter must be done in

accordance with the ISO 11171 1999 calibration procedure. The results must be
posted in accordance with ISO 4406 1999. The S·O·S Services standard only
requires the reporting of the ISO code values for the 6 micron and 14 micron
channels. However, labs may choose to also report the ISO code value for the 4-
micron channel. For additional information on particle counting and reporting
particle count results refer to media number PEGJ0045 - Reporting Particle
Count by ISO Code.

GC Fuel Dilution
Gas Chromatography (GC) must be used for the measurement of fuel dilution.
The GC test can be done by ASTM D3524 or by the Perkin Elmer modified
method on the PE Clarus 500 with PreVent ModeTM. The PE method has been
submitted for approval to ASTM, and is a much quicker alternative to the
standard ASTM method. For more information on the method recommended,
copy and paste the following URL in your browser
https://kn.cat.com/know.cfm?id=152263.
To understand why Caterpillar Inc.’s S·O·S Services is now recommending this
technology, please visit this URL https://kn.cat.com/know.cfm?id=160042
.
A fuel analysis result, positive or negative, must be reported for all diesel engine
samples. Samples with a positive result must also include the % volume value
reported from the GC analysis.

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 Level 1 Coolant Analysis
Accurate coolant analysis also requires a complete set of test results. The chart
below provides a minimum listing of test results for Level 1 coolant samples.

Caterpillar Level 1 Coolant

Analysis Test Requirements
Cooling
Compartment
System
Test Result units
Glycol % volume X
pH number X
Conductivity µS/cm X
Nitrite ppm X
Magnetic Solids describe X
Odor describe X
Color describe X
Appearance describe X
Precipitate describe X
Oil or Fuel describe X
Foam describe X

% Glycol
Glycol measurements must be done with a refractometer that has been
calibrated for ethylene glycol and propylene glycol. Common refractometers
provide freeze or boiling point results. Results must be reported in percent (%). It
is recommended that a refractometer with a percent concentration scale be used.
However, freeze and boiling point results can be converted to percent if
necessary. Additional information on using a refractometer can be found at this
S·O·S Services Knowledge Network site URL
https://kn.cat.com/know.cfm?id=200058

pH
pH measurements must be done with a pH meter. The pH meter used must be
capable of a linear calibration between the pH values of 4.0 and 10.0. The meter
must be capable of producing accurate results within +/- 0.1. Additional
information on pH meters can be found on the S·O·S Services Knowledge
Network site URL https://kn.cat.com/know.cfm?id=200057

Conductivity
Conductivity is measured with a conductivity meter. The conductivity meter used
must be capable of a linear calibration range of 2000-10000. The results are
reported in μS/cm. The meter must be capable of producing accurate results

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within +/- 5%. Additional information on conductivity meters can be found on the
S·O·S Services Knowledge Network site URL
https://kn.cat.com/know.cfm?id=200055
.

Nitrite
Nitrite concentration is measured using a titration method. Common
instrumentation and supplies for performance of the titration may include: buret
(or metered titrant delivery device), magnetic stirrer, stir plate, ceramic casserole
dish or beaker, and water. A description of a test procedure and appropriate test
results is available on the S·O·S Services Knowledge Network site URL
https://kn.cat.com/know.cfm?id=200051

Coolant Physical Tests

Coolant Physical tests include magnetic solids, odor, color, appearance,
precipitate, oil, fuel, and foam. S·O·S Services considers this group of tests as
sensory tests. The laboratory technician carries out these tests. Descriptions of
these test procedures and appropriate test results are available on the S·O·S
Services Knowledge Network site URL https://kn.cat.com/know.cfm?id=199791
.

IV.A.II. Test Results - Data Quality & Monitoring

Capabilities

Introduction
A laboratory’s prime function is to produce data. As in any production
environment, the product that is built with the highest quality standards will likely
be the most successful. With lab data in particular, data quality is not only a
competitive differentiator, but also a critical success factor in itself. In other
words, even without competition, a lab producing poor quality data will not be
successful. Laboratories need to produce accurate and precise data in order to
satisfy key customer requirements.

This section will discuss specific minimum quality activities a lab needs to
practice in order to demonstrate accurate and precise results are being produced
and delivered to the customer. These activities will consist of daily measuring
and monitoring activities as well as quarterly verification by a third party
verification standard. Some or all of these elements of quality assurance should
be integrated in your ISO process. This section intends to specify, with
exactness, the measures and goals that should be met by your lab.

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 Definitions
Precision: the extent to which the results from a given set of measurements on
the same sample agree with their mean

Accuracy: the extent to which a given measurement agrees with the standard
value for that measurement

Procedures

Quarterly Verification Standards

Verification of instrument accuracy must be performed each quarter on each
Metals Analysis and viscometer instrument. It is also recommended that third
party standard verification is performed each time non-routine maintenance or
repairs are completed on the Metals Analysis instrument. An example of third
party verification standard for metals analysis is: VHG Labs Performance
Testing Program. VHG’s PTP has standards for elemental analysis, viscosity,
and particle counting analysis. Quarterly verification standards are optional for
the Particle Count instruments. In contrast to many similar programs, VHG offers
a web tool so results can be analyzed for accuracy instantaneously. Corrections
can then be taken immediately afterwards.

Acceptance Criteria
Percent differences of the analytical results from the certified value are
automatically calculated if you are using VHG’s PTP service. If another vendor is
chosen, percent differences from the certified value will need to be calculated
using the following formula:

%Diff. = │(Actual results – certified results)│ ⁄ certified value X 100

To represent the degree of tolerances permitted for percent differences, the

common scheme of red, yellow and green will be utilized. The table below
delineates how percent differences are interpreted into the color-coding
schemes.

Test Green Yellow Red

Elements with Within 10.01%
< 10.00% > 15.01%
values > 20 ppm and 15.00%

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 Elements with
≤ ±2 ppm ≤ ±3 ppm > 3 ppm
values < 20 ppm
Within 10.01%
Viscosity < 10.00% > 15.01%
and 15.00%
UFM Soot < 15% 15% to 20% > 20%

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Corrective Actions
Inevitably labs will encounter instances when analytical results will disagree with
the certified values. When this occurs, a root cause analysis of the result
discrepancy must be done. Depending on the root cause analysis, appropriate
remediation efforts should be taken. In all situations, documentation of the
corrective procedure as well as a final re-test of the PTP sample.

Instruments with red results should be taken out of service and not be used to
produce S·O·S results. Once the instrument has been analyzed and corrected,
and green or yellow results are obtained, the instrument can be returned to
service.

Although yellow results allow the instrument to be utilized, the lab personnel
should make reasonable efforts to have all results within green parameters.

Ordering Information
Information for contacting VHG Labs and ordering PTP samples follows:
Website: www.vhglabs.com
Email address: custsvc@vhglabs.com

(+1) 888 622 7660 Toll free in the USA

(+1) 603 622 7660 Outside the USA
(+1) 603 622 5180 (fax)

VHG Labs
276 Abby Road
Manchester, New Hampshire, 03103, USA

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 Name Description Part No.

Elemental Analysis Elements included are: Ag, Al, VPTPMO-25G

B, Ba, Ca, Cd, Cr, Cu, Fe, K, Mg,
Mn, Mo, Na, Ni, P, Pb, Sb, Si, Sn,
V, and Zn. 25 grams

Viscosity Analysis Viscosity Test Standard: 40° C VPTPVISC-50

and 100° C, 50 mL

Particle Count Analysis Particle Count Standard: 4µm,

(OPTIONAL) 6µm, 8µm, 14µm, 21µm, 38µm,
VPTPPC-125
50µm, and 70µm ranges. 125 mL
size.

Complete Set Includes VPTPMO-25G, VPTSET1

VPTPVISC-50, and VPTPPC-125

*IMPORTANT INFORMATION: The table above contains information from

VHG Labs that was current at time of authoring this article. This table is for
informational purposes only; part numbers need to be verified with VHG Labs at
time of ordering.

Instrument Calibration

Elemental Analysis
For elemental analysis, the calibration range must span the area of interest for
each element. The recommended calibration range for Fe, Cr, Al, Pb, Mo, Cu,
Sn, Si, Na, K, Mg, Ni is 0 – 500 ppm. The recommended calibration range for Ca
is 0 – 5000 ppm. The recommended calibration range for Zn and P is 0 – 1600
ppm.

FT-IR
FT-IR instruments are calibrated at the manufacturer. However, most
manufacturers recommend system checks to be run to verify the validity of the
instrument. For the Perkin Elmer Spectrum 100, the manufacturer recommends
that the contamination, throughput, noise and abscissa checks are run daily.
Laboratories should follow the manufacturer recommendations for their specific
instrument to ensure FT-IR calibration is maintained.

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Viscosity Analysis
Viscometers should be calibrated to span at least 5-30 cSt @ 100 Celsius.

Particle Count
Optical particle count instruments have sensors that should be calibrated
externally in accordance with ISO 11171:1999 on an annual basis. For other
types of particle analysis, refer to the manufacturer’s recommendations for
calibration.

Gas Chromatograph
Gas Chromatographs should be calibrated to include a minimum of 0-10% fuel
dilution.

pH Meter
pH meters should be calibrated to include pH values of at least 4-10.

Conductivity Meter
Conductivity meters should be calibrated to include values of at least 2000-10000
uS/cm .

Quality Control Checks

In addition to the Quarterly Verification process discussed above, a daily routine
must be established to determine if the instrument should be put in service.
Quarterly verifications measure the accuracy of the instrument very well, but it is
daily testing of a sample that points towards instrument precision. By monitoring
precision, we can see when an instrument is drifting and if attention is required to
keep instrument functioning properly. This practice is commonly referred to as
“qualifying” the instrument for use. In some instances, the instrument’s method
performs these checks automatically. ICP’s, for example, should be
programmed to run a check before, during, and after regular sample analysis.
Below is a list of expected process control methods that should be implemented
by the laboratory staff. If these daily quality control checks should fail,
laboratories should perform appropriate maintenance and achieve a passing
check before reporting data from that instrument.

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 Test Type of Process Parameter Minimum Frequency Acceptance Criteria
Control Measured
All elements that are Daily sample data must
reported within 30 - be bracketed by
ICP-OES Check Standard 100 ppm range successful Check <10% deviation
Standard attempts
All the parameters At start and end of
that are reported every shift or 8 hours.
FT-IR Used Oil Check Trend Analysis
Sample data must be
bracketed by successful
Viscosity Check Standard Viscosity at 100C Check Standard <10% deviation
and/or at 40C attempts
6 micron and 14 At start and end of Changes less than 2 ISO
micron counts and every shift or 8 hours. codes from original
Particle Counter Used Oil Check ISO Code level readings.
Sample data must be
bracketed by successful
GC Prepared Check 4% Fuel Check Standard <10% deviation
Standard Standard attempts

Water (hot plate) Prepared Check N (0.0%), T Daily Pass or Fail

Standard (0.1%), and P
(0.5%)

Glycol Prepared Check Clean water Daily Pass or Fail

(Refractometer) Standard measures 0%
pH 7 & pH 10; Sample data must be
plus appropriate bracketed by successful
pH/Conductivity Check Standard Conductivity Check Standard <10% Deviation
Meters Standard attempts
NO2
Concentration
Nitrite Titration Check Standard approx. 1000 ppm Daily <20% Deviation

Process Control
The table above describes which data to track to determine if the instrument, or
process, is under control. These daily checks should be maintained for periodic
review to ensure that processes continue to stay in control. Data can be tracked
in the form of electronic files, i.e. results files, or a MS Excel spreadsheet; or
through the instruments software. Some tests may best be tracked through the
use of a lab notebook.
In some cases, it may require statistical treatment of the data to determine if the
process is in control. It is highly advisable for the data that requires statistical
analysis to use MS Excel files for tracking. Statistical analysis is recommended
for FT-IR, Viscosity, and Gas Chromatography data.

21
 IV.B.I. Laboratory Operations - Quality Management
System

Introduction
A quality management system is important to the S·O·S Program because it
provides quality assurance to clients and customers. This will make a S·O·S
Program more competitive in the market place. Quality Management systems
also require that the enterprise self-examine three principle areas: practices,
product, and customer satisfaction. It requires that you not only document how
these areas are monitored, but that the enterprise actually improves these areas
year after year.

As a part of the S·O·S Standardization Program, certified Cat Dealer programs

will be required to utilize a laboratory that has an appropriate quality
management system. The recommended quality management system is the ISO
9001 program. ISO 17025 is also acceptable. When evaluating a quality
management system, Dealers will be asked to provide documented work
instructions, standard operating procedures, and/or standard work documents for
all analysis processes. In addition, Dealer programs will need to identify how
they measure customer satisfaction and demonstrate continuous improvement.

We have intentionally stipulated that these be Dealer written documentation,

versus ones developed by Caterpillar, in order to allow a degree of flexibility
corresponding to individual Dealer philosophy and organizational structure.
Documentation templates, sample quality log forms, and sample process flow
charts, to help Dealers develop written documentation, are available on the
S·O·S Services Knowledge Network site URL
https://kn.cat.com/cat.cfm?id=5580&gat=1&gfolder=2929#current
.

Dealers that source data from recognized Cat certified labs may use the
documentation templates as needed and combine their written documentation
with documentation from the lab that is supplying analytical data to meet
Caterpillar S·O·S Services Standardization. Marketing Organization S·O·S
Consultant's review of non-lab Dealer's program utilization, interpretation,
communications, and key performance indicators metrics is required.

What is ISO Certification?

ISO is the International Organization for Standardization. The members of the
organization are from national standards institutes with one member per country.

22
ISO drives consensus and solutions that meet business, government and society
needs. An example of current work is creating public information symbols that
will be universally understood. ISO9001 or ISO 17025 certifications are
acceptable.

ISO9001 is a business management standard. This defines business practices

with an emphasis on customer satisfaction, continuous improvement and
meeting defined goals. ISO 17025 has all of the requirements of ISO9001. In
addition, this standard has a focus on calibration and laboratory equipment.

Registrar
ISO certifies Accrediting Bodies in each region of the world. ANAB is the
Accrediting Body for the United States. The Accrediting Bodies then certify
Registrars. Registrars are companies with trained and certified personnel that will
audit for conformity to the chosen ISO standard. The Registrar is itself certified to
the ISO standard defining how to conduct conformance audits.

Link to sites for ISO Certification

Perform an Internet search. For example:
http://www.google.com/search?hl=en&q=iso+9001&btnG=Google+Search

Costs
Annual certification cost is approximately $1500 U.S. Dollars (USD), plus travel
expenses of auditor. Using local auditors will keep travel expenses lower.

Initial certification
Initial certification will take one to two years of training, documentation, and
process changes. If a Dealership has ISO 9001 certification in another area,
certification of the S·O·S Services lab will take less time.

Training
If the Dealership does not have any other areas ISO 9001 certified, a
Management Representative (MR) will be needed. As a minimum, the MR
should complete Lead Auditor training. Lead Auditor training provides the MR
with the information needed to understand what the Certifying Auditor will be
auditing. Lead Auditor training is a 4 to 5 day class. Cost is approximately
$1600 USD, plus travel expenses.

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Internal auditors will also need to be trained. The internal auditor(s) should be
selected from the lab technicians and lab managers. Internal Auditor training is a
2 to 3 day class. Cost is approximately $895 USD per person, plus travel
expenses. There are discounts for paying early and sending more than one
person per training event. Also, some ISO trainers offer frequent customer
programs. Investigate local choices and take advantage of special offers.

There are separate training opportunities for management.

ISO Certification Process Steps

1. Determine current Dealer resources for ISO9001 or ISO 17025.
2. If resources are not available, determine if external consultant will be
used. Employ an external consultant as needed.
3. Identify at least one person from the S·O·S Services lab for Internal
Auditor training.
4. Identify the Dealership MR and send this person to Lead Auditor training.
5. The MR and other personnel selected from Dealership will document
current program processes.
6. If needed, implement changes to the processes and document those
changes.
7. Review documented procedures for conformity to the ISO 9001 standard.
As the documentation is completed the consultant may want to review the
processes.
8. Schedule an audit with the Registrar. The Registrar will conduct a
certification audit.
9. Complete any required actions identified by the certification audit.

Note: Consultant fees may be reduced if the MR and the Internal Auditors
create all the process documentation. If this occurs, consultant time can be
minimized to a final check before Registrar audit.

24
 IV.B.II. Laboratory Operations - Safety
Chemical Hygiene/Safety Plan
Introduction
The development, implementation and maintenance of a Chemical Hygiene /
Safety Plan is a common good laboratory practice.

In the United States, the Occupational Safety and Health Administration (OSHA)
has established two programs for employees who work with chemicals. Other
nations have similar governing bodies. Please contact the appropriate national
agency for employee health and safety for details concerning rules and
regulations.

Knowledge is the first step of safety. Reading and following recommended work
practices and procedures presented in Chemical Hygiene / Safety Plan can
greatly minimize the risk of exposure to hazardous chemicals. Following the
policies and procedures set forth in the Chemical Hygiene / Safety Plan becomes
the responsibility of the employee.

The second step of safety is employee engagement. Not only must employees
understand potential hazards of chemicals and how to work safely within a
laboratory, employees and management must communicate. Employees should
be encouraged to communicate safety questions and concerns.

Purpose and Requirements

The purpose of the Chemical Hygiene / Safety Plan is to provide chemical safety
information as well as recommended laboratory practices and procedures for
working with chemicals. The Chemical Hygiene / Safety Plan must protect
employees from health hazards associated with hazardous chemicals in the
laboratory and keep exposures below the limits specified in the standard. The
Chemical Hygiene / Safety Plan should indicate specific measures that the
employer will take to ensure laboratory employee protection. Some areas to
address in the Chemical Hygiene / Safety Plan include, but are not limited to:
• Basic chemical safety practice and procedures
• Chemical procurement, distribution, and storage
• Personal protective equipment

Process Control
The Chemical Hygiene / Safety Plan should be readily accessible to all
employees, employee representatives, and, upon request, to a government

25
safety representative. The employer should review and evaluate the
effectiveness of the Chemical Hygiene / Safety Plan at least annually and update
it as necessary.
Lab Safety

Material Safety Data Sheet

A Material Safety Data Sheet (MSDS) is a document containing chemical hazard
and safe handling information prepared to inform technicians of potential hazards
when working with certain chemicals. The Material Safety Data Sheet (MSDS)
should be consulted before handling of any chemicals. The MSDS for every
chemical in the laboratory should be readily accessible to all employees at all
times.

Employee Safety Training

At the time of initial assignment, employees must receive training and information
regarding hazardous chemicals present in the laboratory. The information shall
include, but is not limited to:
1. The contents of related government safety mandates
2. The location and availability of the Chemical Hygiene / Safety Plan
3. The permissible exposure limits for regulated substances
4. Signs and symptoms associated with exposures to hazardous chemicals
5. The location and availability of Material Safety Data Sheets

The training shall include, but is not limited to:

1. Methods and observations that may be used to detect the presence or
release of a hazardous chemical
2. The physical and health hazards of the chemicals in the work area
3. The measure employees can take to protect themselves from these
hazards

A document signed by an employee acknowledging that he/she is aware of the

Chemical Hygiene / Safety Plan and the policies and procedures contained
therein is recommended, and should be filed with the supervisor.

Laboratory Safety Devices and Requirements

In order to minimize the risk of injury to the employees, it is important that
laboratories comply with the following general laboratory safety requirements.
1. Minimum of 2 fire extinguishers

26
2. Emergency Eye Wash Station
3. Emergency Shower
4. Appropriately labeled secondary containers
5. Proper storage of chemicals
6. Adequate ventilation for equipment (as needed)
7. Appropriate personal protective equipment (PPE)
8. Minimum of 2 outward-opening exits

27
 IV.B.III. Laboratory Operations - Staffing and Training
Requirements

Introduction
The operation of a modern laboratory requires a broad array of skills and
expertise. Educational requirements for laboratory personnel are being explicitly
delineated because it is impossible for any lab guide or work instruction to
consider every possible situation that will arise in a lab. Frequently, events occur
under normal operations of a laboratory that will require action or a decision be
taken that will affect the final product of the lab, in our case, S·O·S data. It is
only through years of experience or formal training that a person can be well
equipped to understand lab processes and make appropriate decisions when a
situation arises that is not covered in a guide or manual. In other words, a
person that is directly responsible for a lab’s operation, should have the training
and education necessary to operate the lab under a variety of conditions and
environments with minimal to no supervision.

Another consideration to appreciate is the pace at which technology evolves.

Skills that are needed to adapt quickly and readily to new technology are only
developed by continuous learning efforts. To this end requirements for
continuous learning have been developed.

Minimum Requirements
This section will discuss the different requirements in education and training
needed according to job type and description.

General
At least one member of the staff should have a Bachelor of Arts or Science in a
scientific discipline or equivalency thereof. Acceptable scientific disciplines
include chemistry, physics, biology, and environmental sciences. Chemistry is
the most desirable.

Lab Managers and Interpreters should have extensive knowledge of machine

systems including engines, transmissions, hydraulics systems, and geared
compartments. Interpreters should also have a good understanding or
experience in service techniques used commonly in diagnosing machinery.

28
Lab Manager
This is the person directly responsible for the day-to-day operation of the lab.
This person may or may not be the overall S·O·S program manager. Minimum
requirements for the Lab Manager role are as follows:
• Yearly augmentation of knowledge by actively participating in at least one
training course per year. The course subject should pertain to lab
processes, instrumentation, oil chemistries, or machinery advances.
• Achieve S·O·S Interpretation I Certification from Caterpillar Inc. For more
information on the training curriculum for S·O·S Interpretation Certification
please visit the S·O·S Services Knowledge Network URL
https://kn.cat.com/msgget.cfm?ID=18933&type=Guides

Interpreters
This is the person that is responsible for interpreting S·O·S data, whom makes
the evaluations and recommendations that are communicated to the customer.
Minimum requirements for the Interpreter role are as follows:
• Achieve S·O·S Interpretation I Certification from Caterpillar Inc. For more
information on the training curriculum for S·O·S Interpretation Certification
please visit the S·O·S Services Knowledge Network URL
https://kn.cat.com/msgget.cfm?ID=18933&type=Guides

• Participate in at least one training program related to machinery, lab

processes, instrumentation, or oil chemistries at least once every two
years.

Lab Technicians
This is the person that is responsible for analyzing the samples and producing
the S·O·S data. Minimum requirements for the Lab Technician role are as
follows:
• High School diploma or equivalency.
• Minimum skill set using Personal Computer interface such as Microsoft
Windows and Excel.

IV.C.I. Communications - Laboratory Information

Management System (LIMS) Requirements

29
 LIMS Capability
A Standardized S·O·S Services program must have the capability to test
samples, interpret the results, and inform the customer, in a very timely manner.
These operations will require a modern Laboratory Information Management
System (LIMS) that has the ability to manage customer and equipment
information as well as perform the functionality necessary for lab processing.
Customer and Equipment Information
A very important feature of a LIMS is the ability to manage customer and
equipment fleet information. Standardized programs need to store contact
information like but not limited to Customer name, address, e-mail, phone
number, and other pertinent contact information.

In addition to customer contact information, Standardized programs will have a

means to store customer equipment and equipment system (e.g., drive train,
hydraulic system, engine oil, etc.) related information.

The LIMS must contain this critical information: equipment serial numbers, model
designation, equipment system sample information, sample intervals, job site
details, Customer Service Agreements (CSA) or Extended Service Contract,
contract start and end dates, starting and ending Service Meter Units (SMU).
Access to this information can be obtained through an interface with the Dealer
business system.

LIMS Interface for Lab Processes

The Standardized lab must have a LIMS capable of storing data related to
samples acquired from equipment. The LIMS must be able to store information
on the tests that were performed on samples and the results of those tests. The
LIMS is also required to have an interpretation module with the ability to store
historical data by equipment serial number, create data trends based on sample
data and graph the results. The LIMS must also have the ability to load wear
tables as an add-on to interpretation functionality and allow automatic
identification of test interpretation.

Reporting Options
Communicating with the customer is another feature required of the LIMS.
Communications can be in the form of a paper hard copy report that can be
mailed or faxed to the customer. It can also use electronic forms of
communication, such as: e-mailing, direct faxing, or a web interface. This helps
to expedite report handling and allows customers to access their data faster. The
LIMS must have the capability to electronically transfer reports and have those
reports available on the web or other electronic means.

30
 Monitoring the Program - Metric Calculation and Reporting
The Standardized program LIMS will be capable of providing data that can
produce the operational metric reports that are discussed in more detail in
Section IV.D. of this document. A LIMS system able to provide the
data/information to then do the calculations outside the system would be enough
to meet the standards. Key reporting metrics include but are not limited to:

• S·O·S Dealer Customer Acceptance Level

• Warranty participation rate – uses equipment, customer, warranty, CSA
information
• CSA participation rate
• Sample counts for Red alerts to help calculate the S·O·S Red Alert

Every customer should be linked to at least one Dealer person. Dealer sales or
technical personnel such as PSSR’s, TC’s, ISR’s or Condition Monitoring
Specialists should have access to customer data via reports or the web tool.

Additional actions beyond the basic customer report should be performed with
top customers to demonstrate further value of the program. Examples of such
activities include: volume reports, red alerts reports for the last month, late
sample activity reports, etc.

IV.C.II. Communications – Internal Dealer Training

A minimum of one S•O•S Services Training event for the Dealer personnel such
as PSSR’s, TC’s, ISR’s or Condition Monitoring Specialists should be held
annually.

IV.C.III. Communications – External Customer Training

A minimum of one S•O•S Services Training event for the customers should be
held annually. These events can include onsite training, an S•O•S Services
training module in customer PM training, Cat Care Meetings, etc.

31
 IV.D.I. Key Performance Indicator - S·O·S DCAL

Introduction
DCAL (Dealer Customer Acceptance Level) is a percentage of actual Cat
samples processed versus the potential number of Cat samples. This metric
provides a level of acceptance in the market place for S·O·S Services.

S·O·S Services global DCAL currently averages about 14%. As DCAL

increases, the opportunity increases for parts and service revenue at the
Dealership. For example: With an S·O·S DCAL at 14%, S·O·S Services is
responsible for generating at least $529,000,000 worth of parts and service
revenue opportunity for Cat Dealerships worldwide. Increasing S·O·S DCAL to
30% and improving Red Alert Closure rate would provide a significant increase to
parts and service revenue opportunity.

Calculation Instructions
The formula for calculating DCAL is shown below:

The annual number of Cat samples processed from CAT Prime Product
Machines (not engines and not competitive equipment) is provided by the Dealer
LIMS. If the Dealership is using S·O·S Services Manager, this capability is
available in the Cat Prime Product Report.
The source used by Cat S·O·S Services for machine population and estimated
sample volume is Corporate PTOS. The total estimated sample volume for use
in the DCAL calculation is based upon Cat machines identified in PTOS in a
Dealer’s territory, and annual hours generated per each of these machines.
Please contact the respective Distribution Services Division (DSD) Product
Support team for your Dealer’s current total estimated sample volume for use in
this calculation.

Standard Requirement
The DCAL minimum for Standardization is 10%. In benchmarking with other
Dealers globally, a benchmark target for Dealers is 40%. DCAL should be
measured and trended for continuous improvement.

32
 Example Calculation
Suppose that your Dealership processed 23,750 oil samples from Cat machines
in the previous 12-month period. According to Cat PTOS, your total estimated
samples equals 58,356.

To calculate your S·O·S DCAL, divide your actual number of Cat machine
samples by the total estimated number of Cat machine samples, and then
multiply by 100.

23,750 / 58,356 = 0.41 0.41 X 100 = 41%

IV.D.II. Key Performance Indicator - S·O·S Warranty

Participation Rate
Introduction
Warranty Participation Rate is the percentage of samples processed from
Caterpillar Prime Product machines under extended service coverage (also
referred to as extended warranty) versus the potential. Please note; this
measure is only concerned with machines on extended service coverage.
Machines under the standard Caterpillar warranty are not part of this calculation.
This metric provides a measure of the Dealer’s ability to follow-up with customers
on sampling during extended service coverage and for monitoring their rental
store machines.

Most extended service coverage programs are offered for 3 years or 5000 hours.
During this coverage period, it is critical to control maintenance and repair costs.

It would be very beneficial if all extended service coverage machines were

enrolled in the Dealership’s S·O·S Services program. This measure of warranty
participation was developed to emphasize the importance of sampling during
extended service coverage.

Calculation Instructions
To calculate Warranty Participation Rate, the Dealership LIMS must be able to
provide a report that lists the sample volumes by Cat machine model. The report
must also be able to calculate sample volumes for a specified date range. For
this calculation, the date range is set at the previous twelve-month period. In
S·O·S Services Manager, this information is in the Cat Prime Product report.

33
To calculate the Warranty Participation Rate, determine the top five machine
models, by sample volume, that are under an extended service coverage
program at your Dealership. Calculate the potential number of samples for these
machines. The potential samples are based on: daily usage, number of
compartments, and compartment sampling frequency. The amount of potential
samples is the denominator of the equation. The numerator for the equation is
the actual sample volume produced by these top five extended coverage
machine models by sample volume in a year.

Standard Requirement
The minimum Warranty Participation Rate for Standardization is 60%.

Example Calculation
According to your LIMS, the top five extended coverage machine models by
sample volume are shown in the chart below.

Top 5 machine models by sample volume

model D6R 325C 950G 430D D5M total
total machine count 300 252 208 185 98 1043
extended coverage machines 32 22 19 15 7 95

The following information must be established for each machine.

• Average daily usage
• Hours operated in the previous 12 months
• Potential samples based on number of compartments and recommended
sampling frequency

The chart below shows these calculations for one of the machines.

34
 model D6R
serial number AAX12345
average daily usage 4 hrs
hours in previous 12 months 1460
potential samples per 1000 hours 12
potential samples 13

The average usage for this particular D6R is 4 hours per day, based on a 365-
day year. At 4 hours per day, this machine operated for 1460 hours during the
previous 12 months. This machine has the potential to produce 12 oil samples
every 1000 hours. Therefore, the potential annual number of samples for this
machine is 13.

These calculations must be done for all 95 machines in this analysis. The
potential samples are then summed by model to produce the following chart.

model D6R 325C 950G 430D D5M total

extended coverage machines 32 22 19 15 7 95
potential annual samples 467 255 277 138 85 1222
actual annual samples 295 173 178 95 42 783

Warranty Participation Rate = 783 / 1222 = 64%

IV.D.III. Key Performance Indicator - S·O·S CSA

Participation Rate
Introduction
CSA Participation Rate is the percentage of samples processed from Caterpillar
Prime Product machines under Customer Support Agreements (also referred to
as CSAs) versus the potential. Please note; this measure is only concerned with
machines on CSAs. This metric provides a measure of the Dealer’s ability to
follow-up with customers on sampling during CSAs.

Most CSA programs are offered for 1 year or 2000 hours. During this coverage
period, it is critical to control maintenance and repair costs. It would be very
beneficial if all CSA machines were in the Dealership’s S·O·S Services program.
This measure of CSA participation was therefore developed to emphasize the
importance of sampling during CSAs.

35
 Calculation Instructions
To calculate CSA Participation Rate, the Dealership LIMS must be able to
provide a report that lists the sample volumes by Cat machine model. The report
must also be able to calculate sample volumes for a specified date range. For
this calculation, the date range is set at the previous twelve-month period. In
S·O·S Services Manager, this information is in the Cat Prime Product report.

To calculate the CSA Participation Rate, determine the top five machine models,
by sample volume, that are under CSA programs, at your Dealership. Calculate
the potential number of samples for these machines. The potential samples are
based on: daily usage, number of compartments, and compartment sampling
frequency. The amount of potential samples is the denominator of the equation.
The numerator for the equation is the actual sample volume produced by these
top five CSA machine models in a year.

Standard Requirement
The minimum CSA Participation Rate for Standardization is 60%. The EAME
target for their CSA Participation Rate is 90% on Core machines.

Example Calculation
According to your LIMS, the top five CSA machine models by sample volume are
shown in the chart below.

Top 5 machine models by sample volume

model D6R 325C 950G 430D D5M total
total machine count 300 252 208 185 98 1043
CSA machines 32 22 19 15 7 95

The following information must be established for each machine.

• Average daily usage
• Hours operated in the previous 12 months
• Potential samples based on number of compartments and recommended
sampling frequency

36
The chart below shows these calculations for one of the machines.

model D6R
serial number AAX12345
average daily usage 4 hrs
hours in previous 12 months 1460
potential samples per 1000 hours 12
potential samples 13

The average usage for this particular D6R is 4 hours per day, based on a 365-
day year. At 4 hours per day, this machine operated for 1460 hours during the
previous 12 months. This machine has the potential to produce 12 oil samples
every 1000 hours. Therefore, the potential annual number of samples for this
machine is 13.

These calculations must be done for all 95 machines in this analysis. The
potential samples are then summed by model to produce the following chart.

model D6R 325C 950G 430D D5M total

CSA machines 32 22 19 15 7 95
potential annual samples 467 255 277 138 85 1222
actual annual samples 295 173 178 95 42 783

CSA Participation Rate = 783 / 1222 = 64%

IV.D.IV. Key Performance Indicator - S·O·S Red Alert

Closure Rate
Introduction
The Caterpillar S·O·S Red Alert Closure Rate is the percentage of Red Alert
samples that generate work orders for the Dealership. The work order can be for
service work or repair work done on Cat equipment.
This metric provides a reference to how well the Dealership is using customer-
supplied information, in the form of fluid samples from the customer, to generate
incremental parts and service opportunities. The red alert follow-up process

37
initiated by the Dealer’s S·O·S sample report is a fundamental building block of
Condition Monitoring. Following up with a customer in response to a Red Alert
fluid sample helps to build customer loyalty, and will increase the customer’s
satisfaction with the Dealership. Tracking revenue and ‘saves’ from the red alert
closure process may also help the Dealer, and their customers, build a value
story for S·O·S Services.

Calculation Instructions
The formula for calculating Red Alert Closure Rate is shown below:

S·O·S Red # Work Orders generated by S·O·S Red Alerts Monthly

Alert Closure = X 100
Rate Total # of Red Alerts generated monthly

The numerator for this equation is the number of Work Orders that have been
generated by S·O·S Red Alerts monitored monthly. This number will not usually
be found in the LIMS. The Dealership’s Reliability Engineer, Condition
Monitoring Specialist, or Service Manager may be responsible for providing this
number.

The denominator is the total number of Red Alert samples, produced by the
Dealership, in the same period. This number should be available from the LIMS.

Standard Requirement
The minimum Red Alert Closure Rate for Standardization is 15%. In addition to
meeting this minimum metric, the Dealership will be required to provide a
detailed description of the red alert follow-up process employed to successfully
achieve this metric.

38