BP Publication Backlog Management Rev01

BEST PRACTICE SERIES
Backlog Management
Site Component MARC
Application Maintenance Safety
Management Rebuild Management
Backlog Management ................................................1

1.0 Introduction........................................................2
2.0 Best Practice Description ..................................2
3.0 Implementation Steps......................................13
4.0 Benefits ...........................................................13
5.0 Resources Required........................................14
6.0 Supporting Attachments ..................................14
7.0 Related Best Practices ....................................14
8.0 Acknowledgements .........................................14
August 2006
0806-2.70-1008
300 Hamilton Blvd., Ste. 300, Peoria, IL 61629-3810, U.S.A. catminer.com
CAT GLOBAL MINING BEST PRACTICE SERIES
1.0 Introduction
This Best Practice deals with the creation, management, and reporting of maintenance and repair
Backlogs. Implementing this Best Practice will improve machine availability and reduce operating
costs by the reduction of unplanned, costly repairs. It will also provide a method to identify,
manage and schedule necessary repairs before failure.
This Best Practice addresses the items in Site Assessment Section 2.8.
Backlog is generally understood to be the work that has not been completed by the nominated
required-by-date. Backlogs are also managed as pending workload for the repair centers. Our
approach to Backlog Management is to view it as a powerful tool to proactively prevent failures.
Backlog management is one of the keys to a good equipment maintenance system. If the effort
that goes into condition monitoring does not result in a high percentage of planned and scheduled
repairs, the corresponding results of reliability, costs and availability will be adversely effected.
The planning and scheduling routines will also be disrupted.
2.0 Best Practice Description
2.1 Backlog Management
Backlog management is one of the keys to a good equipment maintenance system. If the effort
that goes into condition monitoring does not result in a high percentage of planned and
scheduled repairs, the corresponding results of reliability, costs and availability will be adversely
effected. The planning and scheduling routines will also be disrupted.
Backlog is generally understood to be the work that has not been completed by the nominated
required-by-date. Backlogs are also managed as pending workload for the repair centers. Our
approach to Backlog Management is to view it as a powerful tool to proactively prevent failures.
It is commonly understood that there are certain types of failures that will occur, with no signs or
measurable warning. Examples are those related to the electronic or electrical control systems.
Fortunately our experience shows that most of the failures that mobile equipment experience that
cause significant downtime are detectable well in advance of failure, allowing the organization to
plan the appropriate corrective actions.
There are two areas that we would like to stress: the early detection of possible failures and their
appropriate corrective planning actions. Early detection of potential problems increases the time
window to plan the necessary repairs.
THE INFORMATION HERON IS THE PROPERTY OF CATERPILLAR INC. AND/OR ITS SUBSIDIARIES. WITHOUT WRITTEN
PERMISSION, ANY COPYING, TRANSMITTAL TO OTHERS, AND ANY USE EXCEPT THAT FOR WHICH IT IS LOANED, IS PROHIBITED.
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Backlog Management 22 AUG 06 0806-2.70-1008
01
Caterpillar Confidential: Yellow Reproduction constitutes an uncontrolled document Page 2 of 14
We would like to use this diagram above to illustrate our approach to Backlog Management.
Backlog Management is the process occurring between the detection of a symptom of a potential
or hidden failure and the occurrence of the actual failure itself.
Condition Monitoring and Backlog Management are so critical to achieving the goal of reliability,
that any maintenance organization must be able to assess and improve the process. Establishing
a logical approach for this planning stage is probably the first step.
We would like to contribute to this effort by presenting a process that was developed in
conjunction with our mining dealers.
2.2 Backlog Management Process
2.2.1 Generating the Repair Request.
The effectiveness of Backlog Management begins with the information that is provided by the
maintenance inspector, the operator, the Fleet Analyst, or whomever inspected the equipment at
the time the repair needs are determined.
As a first step in defining the process we recommend adopting a unique form to communicate the
repair need, designing the form in accordance with the desired end result. This form will be used
primarily by the inspector, field and shop mechanics, supervisors, and should be available to
anyone that needs to enter a repair request. The results of the operators input need to be
filtered, normally done by an inspector, to transform their request into a formal repair request.
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As soon as a repair request is generated, it becomes a Backlog (BL) in our process, triggering
the planning actions. It is also added to the database and is introduced into the general
evaluation process.
Description Purpose (Desire End Result)
Equipment ID Mine internal ID commonly used Tracking and statistical evaluations

Date Date when Backlog was Evaluate the response time of the system (age
generated of Backlogs)
Reference Number assigned in Planning Tracking
Number
Work Order Optional. Used if Work Order is Enters the BL to the Maintenance Support
Number opened as soon as the BL is Software
generated.
Type of Identifies the generation source Evaluate the contribution of the different
Inspection (Condition Monitoring routines + organization areas
operational areas, such as Field,
PM, Shop, others)
Symptom State the problem Identify the warning signs that were detected
that indicated the need for a specific repair
Repair Action Describe the repair action Identify a precise repair need eliminating
needed further inspections
System Identifies the major systems of Statistical Analysis.
the equipment (Use of SMCS - Actual BLs per system
codes recommended) - BLs per system generated
Priority Identifies the urgency Planning. Treat the BLs accordingly to their
urgency
Estimate of Identifies the Labor hours and Estimate criticality of Backlog and future shop
Repair Times Downtime estimated for the work load
repair
Parts request Identifies the parts needed for Parts must be identified by the generator (man
the repair on the machine)
Tooling, Special Identifies special needs for Efficient Planning.
Equipment, tooling, equipment,
consumables, information, etc.
Consumables
Requested by Identifies the generator. Facilitate possible verification.
Especially important when Recognition & motivation.
operator is involved.
Supervisor Supervisor is responsible for the Efficient Planning.
approval quality of the BL generated
Keypunched OK Identifies when the BL is entered Process control
into the database
Parts estimated For Parts department use. Planning & control.
arrival date
Parts arrival date Identifies the actual parts arrival Triggers the next planning stage, schedule the
date repairs.
Accurate and complete information permits the planning department to perform their functions
effectively and efficiently, avoiding further effort duplication due to reevaluation of repairs needed.
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The following Backlog Record Form is proposed for gathering the list of information required. This
form is currently in use by various operations that operates Caterpillar and other brands
equipment.
BAC KLOG REC ORD FORM
Equip. No: Date Reference No.
W . O rder No.
T ype of Inspection: O perator Field Preventive M aint. Other
Sympto m :
Action :
System :
1000 Engine 3101 T orque C on v. 4300 Steering 7000 B asic M ac h. 9500 V arious
1400 Electric al 4050 Final Drive 5050 H yd raulic 7200 Suspens ions 9600 Factory M odif.
3000 Transm ission 4250 Brakes 5500 Tires 7320 A/C
Priority : Urgent Next PM W hen Possible Monitor
Estimate of Repair Times
Machine Hours Hr. Man Hours Hr.
Parts Request
Item Q uantity Part Num ber Description Page Item O bservations
1
3
4
5
6
7
8
9
10
11
12
13
14
15
O rder Num ber
Tooling, Consum ables and Support Equipm ent

Lift T ruck Liquid N itrogen
Crane Jac k
T ire Equip m ent W ashing
Requested by: Estim ated Arriv al Date

Supervisor Approv al Parts Arriv al Date
Keypunched O K
NOTE: The Type Of Inspection field can be modified to accommodate the condition monitoring
routines that are implemented and the organization areas that may contribute with the Backlog
generation.
Now that we have our entry point defined, we can go into the second stage, the planning
process.
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2.2.2 Backlog Planning Process Stage
As soon as the Backlog Form is completed it enters the planning area. There are three major
phases in the Backlog Management process:
Backlog received and entered to the database. Waiting to be processed.

Backlog planned and waiting for resources, normally parts.
Backlog ready to be executed. Scheduled, waiting to be executed.
To facilitate the identification of these phases and the handling of the quantity of Backlogs
entering the system, we assigned colors to these stages. Red, Blue and Green are the colors
selected respectively.
Lets follow a Backlog through the entire process:

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Red Phase BL enter the Process
Information
Backlog Re fer ence Number

Ge nerates B L a nd BL entere d in to
Request Work Order Number assigned the Da ta Base
Pap er Cop y filed

in Red Binder
Condition Monitoring sta ge
Planning Blue Phase BL waiting for Parts

Check arrival
Analyze BL Check
- Repair Action Parts Requested Order Parts / Resources
Existence
- Urgency
- Parts Paper Copy filed
- Other resources in Blue Binder
Reserve Parts for BL BL Waiting for

No Parts Needed
Parts Parts / Resources
Planning Green Phase Backlogs Ready to Go

Backlog is moved
to the Green Phase Feedback to
Planning
Repair
Scheduled
Repair Update
Execution Data Base
Information provided
to use of windows of
opportunities
The starting point of the planning process begins in the Red stage where the Backlog request is
entered into the database. At this point the request could stay waiting to be planned or could
pass to the next stage if the planning actions are taken immediately. As soon as the planning
actions are taken, analyzed, the actual repair required is established, and the resources needed
(parts and others) are ordered, the Backlog is passed to the next stage, the Blue stage. All
Backlogs in this blue stage are waiting for some resources, most frequently parts. The next
stage, the Green stage, contains all Backlogs that are ready to go, with all the necessary
resources allocated. The arrival or physical availability of parts and other special resources is the
condition to move the Backlog to this last stage. At this point the Backlog is ready to be
scheduled for execution or to be performed in the earliest window of opportunity.
The use of distinctive areas of functionality and responsibility helps with possible improvements
determined by the continuous evaluation of your maintenance operation.
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2.2.3 Evaluating the Process
As we stated at the beginning of this section, the ultimate goal is to achieve the targets for
percentage of scheduled work and equipment reliability. Keeping this final goal in mind the
Backlog Management process can be evaluated, for each of the defined functional areas and
assess the contribution of them in the achievement of the desired end results.
Backlog Management Performance Indicators
Indicator Description Purpose
Quantity of Backlogs The number of Backlogs in Evaluates the work load and risk for failures
the process. Repair need
identified, not executed.
Quantity of Backlogs Number of Backlogs entered Evaluates the condition monitoring ability to detect
generated into the system potential problems.
Estimated Time to Sum of all repair estimated Evaluates the severity of the Backlog work load
Repair time determined at the time and potential loss of availability
the Backlog was generated
Percentage of Backlogs Measured from the date the Evaluates the quality of the response of the system
over 30 days backlog was generated to react proactively to eliminate potential problems.
Quantity of Backlogs in The number of Backlogs Identifies the weak area, where the process is
the different process identified that are waiting for being delayed.
planning, waiting for parts
phases (Red-Blue- and waiting for being
Green) executed
Backlogs per type of Backlogs generated by the Identifies the areas that are contributing in the
Inspection operators, inspectors, PM & failure detection.
others.
Backlogs per system Backlogs sorted by machine Permit the comparison between the current and the
systems. potential problems.
Backlogs generated per Backlogs generated sorted Evaluates the ability of the condition
system by machine systems. monitoring routines to detect the critical
problems.
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We recommend starting by visualizing the balance between Backlog Generation, Execution and
Total pending. It is also important to include the goal / target for total pending backlogs, to set up
a clear management guide.
Backlog Management - Generated / Executed / Pending

OHT Fleet
450
400
350
300
Number of Blogs
250
200
150
100
50
0 Goal for pending Blogs

January February March April May June July August September
BL Generated BL Executed BL Pending Goal (pending)
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2.2.4 Estimating Time to Repair and Labor Hours
Estimated Time to Repair in Downtime (Machine estimated hours) and labor (man power
required to execute the Backlog) is a good management metric for severity of the pending
Backlogs. The Goal shown in this graph is the line for 10 % of the available labor hours. It is
important to maintain the hours estimated for Backlogs below 10% of the available hours on the
shop floor.
Backlog Management - Estimated Time To Repair (Machine & Labor Hours)

OHT Fleet
500
400
300
hours
200 Goal= 10% of available labor h
100
0
January February March April May June July August September
ETTR Est Labor hours Goal
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2.2.5 Assessing Response Time
Backlogs > 30 days is a good indication for assessing the response time of your organization. 30
days is a Benchmark. We have to try eliminating the Backlog generated within 30 days.
Remember that Backlogs are potential failures.
Backlog Management - Backlogs > 30 days

OHT Fleet
100
90
80
Blogs > 30 days (%)
70
60
50
40
30
20
10
0
January February M arch A pril M ay June July A ugust September
B L > 30 Go al
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2.2.6 Backlog Management Backlog Status
This report allows you to identify the areas of responsibility on the pending Backlogs. From all
pending Backlogs, what percentage is in process in the planning area (Red), what percentage is
waiting for parts / resources (Blue) and what percentage is ready to go (Green)? The managers
can now concentrate on improving the appropriate area of opportunity.
Backlog Management - Backlogs Status

OHT Fleet
100
90
% Blogs in Red - Blue - Green
80
70
60
50
40
30
20
10
0
January February M arch A pril M ay June July A ugust September
B L in Red B L in B lue B L in Green
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Sample Backlog Management Report
This is an example of a Backlog Management Report used in a 793B coal operation
Backlogs Q uantity Blogs > 30 Days (% of Total)

Estim ated Tim e to Repair 240 Ton Truck Fleet
240 Ton Truck Fleet
400
240 Ton Truck Fleet 100
Q uantity 1000
E xecuted 90
300 800
80
Downtime (hrs)
Quantity of BL
Percentage %
600 70
200
60
400
100 50
200
40
0
A pril June August O ctuber December 0 30
April June August O ctober Decem ber
May July Septem ber Noviem ber April June August O ctober December
M ay July Septem ber Novem ber
May July September November
Backlog Status Backlogs per System

240 Ton Truck Fleet
100
3.24
80
0.590.77 Engine
2.4 1.47 Electrical
Transm ission
Hydraulics
Percentage %
60 0.93 2.44 Steering

Air Sys.
PM
Tires
40 Differential
Final Drives
3.04 1.35 Brakes
20
Suspensions
1.03 F.W heels
Fire S up.
Accidents
0 4.11 3.04 Air/Cond
April June August O ctober Decem ber 0.65
M ay July Septem ber N ov ember
Situation Analysis
- The Benchm arks or Targets for Quantity, ETTR will be established. It is noticeable the increase of Backlogs and estimated tim e to repair them (ETTR).
This is very dangerous; we have to im prove our reaction (clean BL List). The Nbr. of BL executed is low and constant. The quantity of Backlogs waiting for
being process is affected by the location of the warehouse. The BL waiting for parts are affecting directly on the age of them , BL (>30)
Corrective Actions
- Considering the am ount of BL "ready to go" (G reen) we will start scheduling m ore BL within the planned activities and instructing the supervisors to
increase the use of the window of opportunities of the unscheduled repairs.
- W e are working in the relocation of the warehouse.
- W e will increase the scheduling of BL and the shop will be instructed to executed 100 % of the planned jobs.
3.0 Implementation Steps
1. Use the results on condition monitoring inspections to create Backlogs.

2. A sample Backlog form is attached.
3. Implement the 3-phase (Red, Blue, Green) method for categorizing and tracking Backlogs.
4. Use the attached evaluation process to determine the performance of your Backlog system.
5. Refer to Backlog Process Map (page 7).
4.0 Benefits
Fewer high cost unscheduled repairs.

Higher reliability and machine availability.
More efficient use of shop facility and labor force.
Lower cost per hour and cost per ton.
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5.0 Resources Required

Backlog Record Form (attached)
Thorough machine inspection resulting in Backlogs entered into the process.
Three binders: (Red, Blue, Green) for tracking the Backlogs, or a computer system to
duplicate this functionality.
Individual in the Planning & Scheduling Department responsible for entering Backlogs, tracking
their progress, and producing the process performance evaluation reports.
6.0 Supporting Attachments

No Supporting Attachments are included with this document.
7.0 Related Best Practices

0806-2.70-1007 -Condition Monitoring Field Inspections
8.0 Acknowledgements
This Backlog Management Best Practice was authored by:
Abelardo Flores
Equipment Management Consultant-Site Management
Caterpillar Global Mining
+56-9 3097135
Flores_Abelardo@cat.com
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BEST PRACTICE SERIES

Backlog Management ................................................1

2.0 Best Practice Description

2.1 Backlog Management

2.2 Backlog Management Process

2.2.1 Generating the Repair Request.

Description Purpose (Desire End Result)

Equipment ID Mine internal ID commonly used Tracking and statistical evaluations

T ype of Inspection: O perator Field Preventive M aint. Other

Priority : Urgent Next PM W hen Possible Monitor

Estimate of Repair Times

Machine Hours Hr. Man Hours Hr.

Tooling, Consum ables and Support Equipm ent

Requested by: Estim ated Arriv al Date

2.2.2 Backlog Planning Process Stage

Backlog received and entered to the database. Waiting to be processed.

Lets follow a Backlog through the entire process:

Red Phase BL enter the Process

Backlog Re fer ence Number

Pap er Cop y filed

Condition Monitoring sta ge

Planning Blue Phase BL waiting for Parts

Reserve Parts for BL BL Waiting for

Planning Green Phase Backlogs Ready to Go

2.2.3 Evaluating the Process

Backlog Management Performance Indicators

Indicator Description Purpose

Backlog Management - Generated / Executed / Pending

0 Goal for pending Blogs

BL Generated BL Executed BL Pending Goal (pending)

2.2.4 Estimating Time to Repair and Labor Hours

Backlog Management - Estimated Time To Repair (Machine & Labor Hours)

200 Goal= 10% of available labor h

ETTR Est Labor hours Goal

2.2.5 Assessing Response Time

Backlog Management - Backlogs > 30 days

2.2.6 Backlog Management Backlog Status

Backlog Management - Backlogs Status

B L in Red B L in B lue B L in Green

Sample Backlog Management Report

This is an example of a Backlog Management Report used in a 793B coal operation

Backlogs Q uantity Blogs > 30 Days (% of Total)

Backlog Status Backlogs per System

60 0.93 2.44 Steering

3.0 Implementation Steps

1. Use the results on condition monitoring inspections to create Backlogs.

Fewer high cost unscheduled repairs.

5.0 Resources Required

6.0 Supporting Attachments

7.0 Related Best Practices

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