EPSOA Calculator

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Engine Product Support Operations Assessment (EPSOA) - Calculator
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n 12/1/04
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DEALER: LOCATION:
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Ad - Possible Scores
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atio
ntin * Indicates a Standard that may be Not Applicable (N/A)
lOrg
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ntro
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Co - Good Acceptable N/R Score
and
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uou
ani
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ntin Indicates a required Standard that has not yet been scored
lOrg
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Section
Co - 01 - Administration and Control - Organization
and
s
zati
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uou
ani
atio
ntin Total Possible
lOrg
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ntro
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Imp -
on
and
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zati
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uou
ani
atio
ntin Job Profiles Identified 1 Obs. 10 0 ###
lOrg
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ntro
rov
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Imp -
on
and
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zati
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uou
ani
ntin Designated Engine Business Manager/Champion 1 Obs. 6 0 ###
Org
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em
ntro
rov
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Imp
on
and
s
zati
uou Designated Engine Product Support Manager/Champion 1 Obs. 10 5 0 ###
ani
ntin
Org
ent
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l-
em
ntro
rov
Co
Imp
on
s Designated Engine PSSR 1 Obs. 10 5 0 ###
zati
uou
ani
-Org
ntin
ent
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l-
em
ntro
rov
Imp
on
s
zati
Str
uou
ani
-Org
ntin Designated Engine Technical Communicator 1 Obs. 10 5 0 ###
ent
l-
em
rov
Imp
on
ate
s
zati
Str
uou
ani Designated Warranty Analyst 1 Obs. 10 5 0 ###
-Org
ent
em
rov
gy/
Imp
on
ate
s
zati Designated Engine Second Level Dealer (SLD) Coordinator 1 Obs. 10 5 0 ###
Str
ani
-em
ent
Bus
rov
gy/
Imp
on
ate Designated Field Dispatcher/Service Manager 1 Obs. 6 3 0 ###
zati
Str
-em
ent
ine
Bus
rov
gy/
on
ate
Str
-em Key Accounts Identified 1 Obs. 10 0 ###
ss
ent
ine
Bus
gy/
ate
Str
Pla
-ss
ent
ine
Bus
Section
gy/
ate 02 - Continuous Improvement - Strategy/Business Planning
nni
Str
Pla
-ss
ine
Bus
gy/
ng
ate
nni
Str
Pla Engine Business Development Plan 2 Obs. 10 0 ###
ss
ine
Co
Bus
gy/
ng
ate
nni Engine Product Support Strategy 2 Obs. 10 0 ###
Pla
ss
ntin
ine
Co
Bus
gy/
ng New Produce Introduction (NPI) Development Plan Obs. 6 0 ###
nni
Pla
uou
ss
ntin
2
ine
Co
Bus
ng
nni
s
Pla
uou Territory Coverage Strategy 2 Obs. 10 5 0 ###
ss
ntin
ine
Co
ng
Imp
nni
s
Pla
uou 6Sigma Embedded 2 Obs. 6 0 ###
ss
ntin
Co
rov
ng
Imp
nni
s Active Development of Engine Business 2 Obs. 10 5 0 ###
Pla
uou
ntin
Co
em
rov
ng
Imp Parts Department Operating Statement Reviewed Obs. 6 0 ###
nni
s
uou
ntin
2
ent
em
rov
ng
Imp
s
uou Service Department Operating Statement Reviewed 2 Obs. 10 0 ###
-ent
em
rov
Imp
s
Trai
-em
ent
Co
Section
rov
Imp
nin 03 - Continuous Improvement - Training
-Trai
ntin
ent
Co
em
rov
g
nin Skill Assessment - Engine Technicians 3 Obs. 10 0 ###
-Trai
uou
ntin
ent
em
g
nin
s
Co Skill Assessment - Management 3 Obs. 10 0 ###
-Trai
uou
ent
Co
g
Imp
ntin
nin
s
Co Contamination Control Training 3 Obs. 10 5 0 ###
-Trai
ntin
rov
uou
g
uou PSSR Training
Imp
ntin
nin
Co
Trai 3 Obs. 10 5 0 ###
em
s
rov
uou
g
ntin Technician Training - History Obs. 10 0 ###
nin
s 3
ent
Imp
em
s
uou
g
Imp Technician Training - Reman Core Inspection 3 Obs. 10 0 ###
-
rov
ent
Imp
s
rov
Per
em
-Imp
rov
em
Section 04 - Continuous Improvement - Personnel
son
ent
Per
em
rov
ent
nel
-son
ent
em Job Description - Employee Access 4 Obs. 6 0 ###
-
Cus
nel
-ent Performance Review Process - Annual 4 Obs. 10 0 ###
Per
Cus
tom PowerNet Access
-Cus 4 Obs. 10 0 ###
son
tom
er
Cus
tom
Cus
nel
er Continuous Product Improvement (CPI) Program 4 Obs. 6 0 ###
sati
tom
er
tom
Sup
sfa
er
sati
er
Section 05 - Continuous Improvement - Customer satisfaction
port
ctio
Sup
sfa
sati
-ctio
n
port Customer Service Satisfaction - Monitored 5 Obs. 10 0 ###
sfa
Cus
-Ho
n
ctio Customer Labor Warranty Statements 5 Obs. 10 0 ###
tom
Cus
urs
Ho
n Customer Maintenance and Operator Training 5 Obs. 10 0 ###
er
tom
of
urs
Sup
er
Op
of
Cus
Section
port
Sup
erat
Op 06 - Customer Support - Hours of Operation
-tom
Cus
port
ion Emergency Service - Contact Number 6 Obs. 10 0 ###
erat
er
tom
Cus
-ion
Sup
er Emergency Service - Technicians "on-call" 6 Obs. 10 5 0 ###
tom
Cus
port
Sup
er
tom
Section
-port
Acc
er 07 - Customer Support - Customer Access
-Cus
ess
Acc Location Published in Caterpillar Dealer Directory 7 Obs. 6 0 ###
tom
Cus
ess
Fac Market Industry Awareness 7 Obs. 6 0 ###
er
tom
ilitie
Fac
Rec
er
Section
s,
ilitie
epti
Fac
Rec 08 - Customer Support - Customer Reception
Too
s,
on
Fac Customer Service Policy
ilitie
epti 8 Obs. 10 0 ###
ls
Too
s,
on
ilitie
Fac Customer Areas - Identified 8 Obs. 6 0 ###
and
ls
Too
s,
ilitie
Fac
Equ
and
ls
Too
Section
s,
ilitie 09 - Facilities, Tools and Equipment
ipm
Equ
and
ls
Too
s,
ent
ipm
Equ Dealer Facility Image 9 Obs. 10 0 ###
and
ls
Too
ent
ipm
Equ Exhaust System Used on Running Engines 9 Obs. 10 5 0 ###
and
ls
ent
ipm
Equ Engine Service Tools - Managed and Available 9 Obs. 10 5 0 ###
and
ent
ipm
Equ "Fuel System" Repair Services - Available 9 Obs. 10 5 0 ###
De
ent Oil Analysis Service - Available 9 Obs. 10 5 0 ###
ipm
aler
De
ent Field Service Vehicles - Equipment 9 Obs. 10 0 ###
Co
aler
De
mm
Co
aler
De
Section 10 - Dealer Commitment
itm
mm
Co
aler
De
ent
itm
mm Written Defect Prevention Standard 10 Obs. 10 0 ###
Co
aler
De
ent
itm
mm Flat Rate Management Process 10 Obs. 10 5 0 ###
Co
aler
ent
itm
mm Firm Competitive Quotes 10 Obs. 6 3 0 ###
Co
Ide
ent
mm Work Order Process Documented
itm 10 Obs. 8 0 ###
ntif
Ide
ent "PIP" Management Process 10 Obs. 10 5 0 ###
itm
y
ntif
Ide
ent Dealer Solutions Network 10 Obs. 8 0 ###
Ser
y
ntif
Ide
vice
Ser
y
ntif
Section 11 - Identify Service Need
Ide
Ne
vice
Ser
y
ntif
ed
Ne
vice Service Requests Procedure 11 Obs. 8 0 ###
Ser
y
ed
Ne
vice Customer and Product Information Received 11 Obs. 10 5 0 ###
Ser
ed
Ne
vice Customer and Product Information Updated 11 Obs. 6 3 0 ###
ed
Ne Start and Promise Dates 11 Obs. 8 4 0 ###
ed Problem Definition 11 Obs. 8 0 ###
Pla
n
Pla
Section
Ser
n 12 - Plan Service
Pla
vice
Ser
n Proper Segmentation 12 Obs. 8 4 0 ###
Pla
vice
Ser
n Parts/Tools and Special Requirements Pre-Ordered 12 Obs. 8 4 0 ###
Pla
vice
Ser
n Pay Candidates defined 12 Obs. 8 4 0 ###
Pla
vice
Ser
n Prototype/Template Work Order Utilization 12 Obs. 10 0 ###
Pla
vice Additional Work Identification at Work Order Open
Ser
n 12 Obs. 8 0 ###
Pla
vice Service Department Quote Process Documented
Ser
n 12 Obs. 8 0 ###
Pla
vice PSSR Quote Process Documented
Ser
n 12 Obs. 8 0 ###
vice Standard Quotes
Ser 12 Obs. 10 5 0 ###
vice Quote Tracking 12 Obs. 6 0 ###
1
Co Engine Product Support Operations Assessment (EPSOA) - Calculator
mm 12/1/04
Co
itCo
mm
itand
DEALER: LOCATION:
mm
Co
Dis
itand * Indicates a Standard that may be Not Applicable (N/A) Possible Scores
mm
Co
pat
Dis Good Acceptable N/R Score
itand Indicates a required Standard that has not yet been scored
mm
ch
pat
Dis
itand
Res
ch
pat
Dis
Section
and
our
Res 13 - Commit and Dispatch Resources
ch
pat
Dis
ces
our
Res Scheduling Tool 13 Obs. 10 5 0 ###
ch
pat
ces
our
Res Field Technician Assignment 13 Obs. 10 0 ###
ch
ces
our
Res Access to Repair History and Technical Information 13 Obs. 10 5 0 ###
Fulf
ces Target Hours 13 Obs. 8 4 0 ###
our
ill
Fulf
ces Machine/Engine/Component Receiving 13 Obs. 6 0 ###
Ser
ill
Fulf
vice
Ser
ill
Fulf
Section 14 - Fulfill Service Need
Ne
vice
Ser
ill
Fulf
ed
vice Parts Ordering Process Documented
Ne 14 Obs. 8 0 ###
Ser
ill
Fulf
ed
vice Access to SIS or other PC Based Tools
Ne 14 Obs. 10 5 0 ###
Ser
ill
Fulf
ed
Ne
vice Computer Terminal Availability 14 Obs. 10 5 0 ###
Ser
ill
Fulf
ed
Ne
vice
Co Additional Work During Repair 14 Obs. 8 0 ###
Ser
ill
Fulf
ed
Ne
mpl
vice
Co Additional Parts Ordering 14 Obs. 8 0 ###
Ser
ill
ed
ete
Ne
mpl
vice
Co Labor Entry 14 Obs. 8 4 0 ###
Ser
Ser
ed
ete
Ne
mpl Labor Reporting Procedure 14 Obs. 10 0 ###
vice
Co
vice
Ser
ed
ete Salvage Parts Delivery Prioritization Process 14 Obs. 6 3 0 ###
Ne
mpl
Co
Doc
vice
Ser
ed
ete
mpl Parts Delivery Prioritization Process 14 Obs. 6 3 0 ###
um
Doc
vice
Ser
ete
ent
um
Doc
vice
Section
Ser 15 - Complete Service Documentation
atio
ent
um
Doc
vice
n
atio
Pro
ent SIMS Information 15 Obs. 8 4 0 ###
um
Doc
n
ces
atio
Pro
ent Part/REMAN Core Return Procedure 15 Obs. 8 4 0 ###
um
s
n
ces
atio
Pro Warranty and REMAN Parts Storage / Purge 15 Obs. 8 0 ###
ent
Inv
s
n
ces Service Reporting Procedure 15 Obs. 8 4 0 ###
atio
Pro
oic
Inv
s
n
ces
Pro Work Order Closing Process 15 Obs. 10 5 0 ###
e
oic
Inv
s
ces
Pro
and
e
oic
Inv
Section 16 - Process Invoice and Claim
s
ces
Clai
and
e
oic
Inv
s
m
Clai
and Customer Provided a Final Invoice. 16 Obs. 10 0 ###
e
oic
Inv
m
Clai
and Work Orders Invoiced in a Timely Manner 16 Obs. 10 5 0 ###
e
oic
m
Clai
and Warranty Claims Submission 16 Obs. 8 4 0 ###
e
m
Clai
and Changes to Work Order after Invoice/Claim 16 Obs. 8 0 ###
m
Clai Warranty Process Documented
Co 16 Obs. 8 0 ###
ntin
m
Co Work Order Expense Targets and Variances 16 Obs. 8 0 ###
uou
ntin
Co
Sys
s
uou
Section
ntin
Co
tem 17 - Systems
Sys
Imp
s
uou
ntin
s
Co
tem SIS Utilization 17 Obs. 10 0 ###
Sys
rov
Imp
s
uou
ntin
s
Co
tem Parts Integration Utilization 17 Obs. 10 0 ###
em
Sys
rov
Imp
s
uou
ntin
s Service Technician Workbench
ent
Co
tem
em
Sys
rov 17 Obs. 6 0 ###
Imp
s
uou
-s
ntin
ent
Co
tem
em Service Planning Tool 17 Obs. 6 0 ###
Sys
rov
Imp
s
Op
uou
-s
ntin
ent
Co Field Laptops 17 Obs. 10 5 0 ###
tem
em
rov
Imp
erat
s
Op
uou
-s
ntin
ent
Co
em
rov PM Business Management 17 Obs. 8 4 0 ###
ing
Imp
erat
s
Op
uou
-em
ntin
ent
Me
rov
ing
Imp
erat
s
-Op
uou
Section 18 - Continuous Improvement - Operating Measures
ent
asu
em
Me
rov
ing
Imp
erat
s
-Op
res
ent
Ad
asu
em WIP Monitored and Managed 18 Obs. 10 5 0 ###
Me
rov
ing
Imp
erat
-Op
min
res
ent
Ad
asu
em Communication Tools 18 Obs. 6 0 ###
Me
rov
ing
erat
-Op
istr
min
res
ent
Ad
asu
em Parts Reuse Review/Management 18 Obs. 6 3 0 ###
Me
ing
erat
atio
-Op
istr
min
res
ent
Ad
asu Second Level Dealer Enrollment - Updated 18 Obs. 6 3 0 ###
Me
ing
n
erat
atio
-Op
istr
min
res
asu Technicians can Meet Demand 18 Obs. 10 5 0 ###
Me
and
ing
n
erat
atio
Op
istr
res Meets TRG Times Obs. 10 5 0 ###
asu
Co
Ad
Me
and
ing
n
18
erat
atio
res
ntro
min
asu
Co
Ad
Me
and Rework Rate 18 Obs. 10 5 0 ###
ing
n
lasu
istr
res
ntro
min
Co
Ad - Emergency Call - Response Time 18 Obs. 10 5 0 ###
Me
and
lPar
atio
istr
res
ntro
min
asu
Co - Emergency Call - Response Rate 18 Obs. 10 5 0 ###
ts
n
Par
atio
lres
istr -
ntro Parts and Service DCAL by Customer 18 Obs. 6 0 ###
Op
and
ts
n
Par
atio
l-
erat
Co
Op
and
ts
n
Par
Section 19 - Administration and Control - Parts Operations
ion
ntro
erat
Co
Op
and
ts
s-
lerat
ion
ntro
Co Parts Order is Electronic 19 Obs. 10 5 0 ###
Op
Bud
s-
lerat
ion
ntro Parts Order - Availability 19 Obs. 10 0 ###
geti
Bud
ls- Parts Order - Expediting Process 19 Obs. 6 0 ###
ion
ng
geti
Bud
s Parts Order - Emergency Parts 19 Obs. 10 5 0 ###
and
ng
geti
Re
and
ng
Section
Pro
port
Re 20 - Administration and Control - Budgeting and Reporting
and
duc
ing
port Engine Product Support - Financial Summary
Pro 20 Obs. 10 0 ###
Re
ting
duc
port Commercial Engine - Parts Sales Tracked
Pro 20 Obs. 10 0 ###
Sup
ting
duc
Pro Power Systems - Parts Sales Tracked 20 Obs. 6 0 ###
port
Sup
t
duc
Mar
port
Sup
tSection 21 - Product Support Marketing
keti
Mar
port
Sup
ng
Mar Customer Data Base - Maintained
keti 21 Obs. 10 5 0 ###
port
ng
keti
Mar Marketing and Promotion Strategy 21 Obs. 10 0 ###
ng
keti Dealer Storefront / eBusiness Channel 21 Obs. 10 0 ###
Ind
ng Develops and Promotes CSA's and ESC's 21 Obs. 10 0 ###
ustr
Ind
ial Market Specific
ustr
Ind
Section 22 - Industrial Engine
Eng
ial
ustr
Ind
ine
Eng
ial Commercial Engine Service Sign 22 Obs. 8 4 0 ###
ustr
ine
Eng Distiction between Commercial Engine Shop and other Areas
ial 22 Obs. 10 5 0 ###
ine
Eng Engine Test Bed - Capacity 22 Obs. 10 5 0 ###
ine Trained Appraisal Engineer - Installation 22 Obs. 6 0 ###
Section 23 - Marine
Certified Marine Engine Analyst 23 Obs. 10 0 ###
Heavy Fuel Experience 23 Obs. 10 0 ###
Failure Analysis Capability 23 Obs. 8 0 ###
Pleasure Craft Customer Policy 23 Obs. 10 0 ###
Section 24 - Electric Power Generation

EPG Certified Engine Rebuild Program - EPG Customers 24 Obs. 6 0 ###
2
12/1/04
DEALER: LOCATION:
* Indicates a Standard that may be Not Applicable (N/A) Possible Scores
Indicates a required Standard that has not yet been scored Good Acceptable N/R Score
EPG Dealer Repairs Gen-Sets Components - non-engine Related 24 Obs. 10 0 ###
EPG Dealer Repairs Radiators 24 Obs. 10 0 ###
EPG Dealer Engine Inventory Maintenance 24 Obs. 10 0 ###
EPG Designated Emissions Contact Person 24 Obs. 10 0 ###
EPG Trained Appraisal Technician - Installation 24 Obs. 6 0 ###
EPG Electric Power Specific Tooling 24 Obs. 10 0 ###
Dealer has Conducted Technical Workforce Capability and Opportunity Assessment 24 Obs. 10 0 ###
Dealer Score on Technical Workforce Capability and Opportunity Assessment 24 Obs. 10 5 0 ###
EPG Load Bank Testing Capability 24 Obs. 10 5 0 ###
Section 25 - Petroleum
Petroleum Specific Tooling 25 Obs. 8 4 0 ###
Petroleum Application - Service Technician Training 25 Obs. 10 0 ###
Off-Shore Rig Operations - Marine Certification Training 25 Obs. 10 5 0 ###
Territory Coverage Strategy - Petroleum 25 Obs. 10 5 0 ###
Certified Engine Rebuild Program - Petroleum Customers 25 Obs. 6 0 ###
Load Bank Testing Capability 25 Obs. 10 5 0 ###
Engine Test Bed Capability 25 Obs. 10 5 0 ###
On
Hig
On
Section
hw
Hig 26 - On Highway
On
ay
hw
Hig Truck Engine Service Sign 26 Obs. 10 5 0 ###
On
ay
hw
Hig PAR Chassis Dynamometer - Availability 26 Obs. 6 0 ###
On
ay
hw
Hig Customer "Waiting Area" 26 Obs. 8 0 ###
On
ay
hw
Hig Customer Assistance - Over Night 26 Obs. 6 0 ###
On
ay
hw
Hig Distinction between Truck Service Shop & other Areas 26 Obs. 10 0 ###
On
ay
hw
Hig Trailer Parking - "On Site" 26 Obs. 6 3 0 ###
On
ay
hw
Hig On Highway Truck - Access 26 Obs. 8 0 ###
On
ay
hw
Hig On Highway Truck - Shop Height 26 Obs. 10 5 0 ###
On
ay
hw
Hig Process to Monitor TEPS Dealers 26 Obs. 10 5 0 ###
ay
hw TEPs Dealer - Training 26 Obs. 10 5 0 ###
ay Truck Engine Literature - Available 26 Obs. 10 0 ###
Technical
Make All Q's N/A (Y or N)?
n
3
12/1/04
DEALER: LOCATION:
* Indicates a Standard that may be Not Applicable (N/A) Possible Scores
Indicates a required Standard that has not yet been scored Good Acceptable N/R Score
General Star Rating Overall Market Star Rating General

###
Best Possible Score 0 Best Possible Score 0
Actual Score 0 Actual Score 0
Percent Compliance Percent Compliance General
Not Done
NO STAR RATING POSSIBLE NO STAR RATING POSSIBLE

114 Incomplete standard(s) (required). 36 Incomplete standard(s) (required).
114 Incomplete
4
Standard:
Communicator
Manager/Champion
Job Profiles Identified
Designated Engine PSSR

Designated Engine Product
Support Manager/Champion
Designated Engine Business
Designated Engine Technical

Return to Calculator Return to Calculator Return to Calculator Return to Calculator Return to Calculator
Return To Report Return To Report Return To Report Return To Report Return To Report
Picture:
**Note: Picture Must fit within cell**
Engine Product Support Operations Assessment (EPSOA)
Observations:
Recommeded Goal (SeeRecommeded

Good) Goal (SeeRecommeded
Good) Goal (See Good)
Plan
Designated Field
Key Accounts Identified

Designated Engine Second
Dispatcher/Service Manager
Designated Warranty Analyst
Engine Business Development

Level Dealer (SLD) Coordinator

Strategy
Business
Development Plan
6Sigma Embedded
Engine Product Support
Territory Coverage Strategy
Active Development of Engine

New Produce Introduction (NPI)

Technicians
Management
Skill Assessment -
Statement Reviewed
Statement Reviewed
Skill Assessment - Engine

Parts Department Operating
Service Department Operating
Contamination Control Training


Access
Annual
PSSR Training
Core Inspection
Job Description - Employee

Technician Training - Reman
Technician Training - History
Performance Review Process -


Statements
- Monitored
PowerNet Access
Operator Training
Continuous Product
Customer Labor Warranty

Improvement (CPI) Program
Customer Maintenance and

Customer Service Satisfaction

Number
Technicians
Emergency Service -
Location Published in
Customer Service Policy

Market Industry Awareness
Emergency Service - Contact
"Caterpillar Dealer Directory"


- Available
Running Engines
Dealer Facility Image
Engine Service Tools -

Managed and Available
Exhaust System Used on
Customer Areas - Identified
"Fuel System" Repair Services


Standard
Equipment
Field Service Vehicles -
Firm Competitive Quotes

Written Defect Prevention
Oil Analysis Service - Available
Flat Rate Management Process


Documented
Work Order Process
Information Received
Customer and Product
Dealer Solutions Network
"PIP" Management Process
Service Requests Procedure


Problem Definition
Information Updated
Proper Segmentation
Customer and Product
Parts/Tools and Special

Start and Promise Dates
Requirements Pre-Ordered

Utilization
Documented
at Work Order Open
PSSR Quote Process

Process Documented
Pay candidates defined
Service Department Quote

Additional Work Identification
Prototype/Template Work Order

Quote Tracking
Scheduling Tool
Standard Quotes
Technical Information
Field Technician Assignment
Access to Repair History and


Receiving
Based Tools
Documented
Target Hours
Parts Ordering Process
Access to SIS or other PC

Machine/Engine/Component
Computer Terminal Availability


Labor Entry
Prioritization Process
Salvage Parts Delivery
Additional Parts Ordering
Labor Reporting Procedure

Additional Work During Repair

process
Procedure
Storage / Purge
SIMS Information
Part/REMAN Core Return

Parts Delivery Prioritization
Warranty and REMAN Parts
Service Reporting Procedure


Invoice.
Invoice/Claim
Timely Manner
Work Orders Invoiced in a
Customer Provided a Final
Work Order Closing Process
Changes to Work Order after

Warranty Claims Submission

SIS Utilization
and Variances
Parts Integration Utilization

Work Order Expense Targets
Service Technician Workbench

Warranty Process Documented

Field Laptops
Service Planning Tool
Communication Tools
PM Business Management
WIP Monitored and Managed


Rework Rate
Parts Reuse
Meets TRG Times

Second Level Dealer
Review/Management
Enrollment - Updated
Technicians can Meet Demand


Rate
Time
Customer
Parts Order - Availability

Parts Order is Electronic
Parts and Service DCAL by
Emergency Call - Response
Emergency Call - Response

Tracked
Process
Sales Tracked
Financial Summary
Parts Order - Expediting
Engine Product Support -
Commercial Engine - Parts
Power Systems - Parts Sales

Parts Order - Emergency Parts

Sign
Channel
Strategy
and ESC's
Maintained
Customer Data Base -
Marketing and Promotion
Commercial Engine Service

Dealer Storefront / eBusiness
Develops and Promotes CSA's


Installation
Heavy Fuel Experience

Engine Test Bed - Capacity
Trained Appraisal Engineer -

Engine Shop and other Areas
Distiction between Commercial
Certified Marine Engine Analyst


Related
Certified Engine Rebuild
Dealer Repairs Gen-Sets
Dealer Repairs Radiators

Components - non-engine
Program - EPG Customers
Failure Analysis Capability
Pleasure Craft Customer Policy


Person
Installation
Maintenance
Dealer has conducted

Dealer Engine Inventory
and Opportunity Assessment

Trained Appraisal Technician -
Designated Emissions Contact
Electric Power Specific Tooling
Technical Workforce Capability

Recommeded Goal
(See Good)
Technician Training
Opportunity Assessment
Workforce Capability and
Dealer Score on Technical
Off-Shore Rig Operations -

Petroleum Specific Tooling
Marine Certification Training

Load Bank Testing Capability
Petroleum Application - Service

Recommeded Goal
(See Good)
Petroleum
Customers
Program - Petroleum
Certified Engine Rebuild
Truck Engine Service Sign

Engine Test Bed Capability
Territory Coverage Strategy -


Night
Customer "Waiting Area"
Trailer Parking - "On Site"

Distinction between Truck
PAR Chassis Dynamometer
Service Shop & other Areas

Customer Assistance - Over

Height
Dealers
Available
TEPs Dealer - Training
Truck Engine Literature -

Process to Monitor TEPS
On Highway Truck - Shop
On Highway Truck - Access

1/25/06
Specific Target Goal:

Engine Product Support Operations Assessment (EPSOA) PB
Gd
Acc
Total Current Points

Section #: Standard Name: Standard: Cost/Pain:
Points Rating to gain
Engine Product Support Operations Assessment (EPSOA)
ASSESSMENT GUIDELINE NARRATIVE
Jan-06
Section 1
Administration and Control - Organization
Job Profiles Identified

Goal/Background – The dealership has job profiles and position descriptions for all position with a clear
identification of the skills required.
Target Environment:
o The job profiles/position descriptions are available with clear descriptions of the skills
required to perform the job.
o The job profiles/position descriptions are reviewed annually and updated to reflect new skill
requirements for each position.
Good –Yes, 10 points
Not Recommended – No, 0 points
Designated Engine Business Manager/Champion

Goal/Background – The dealership has a key person maintaining commitment to Engine Business
Operations and Process Improvement while sponsoring and guiding the implementation process.
Target Environment:
o The Manager/Champion is a member of dealer management and has an in depth knowledge
of the complete dealer operation.
o The Manager/Champion is able to integrate Engine Business Opportunities/efforts with the
dealer strategic vision and make resources available.
o The Manager/Champion is able to gain political support for Engine Business Process
Improvement throughout the dealership.
Good - Yes, 6 points
Not Recommended - No, 0 points
Designated Engine Product Support Manager/Champion

Goal/Background – The dealership has a key person maintaining commitment to Engine Business
Operations and Process Improvement while sponsoring and guiding the implementation process.
Target Environment:
o The Manager/Champion is a member of dealer management and has an in depth knowledge
of the complete dealer operation.
o The Manager/Champion is able to integrate Product Support Operations Process
Improvement efforts with the dealer strategic vision and make resources available.
o The Manager/Champion is able to gain political support for Product Support Operations
Process Improvement throughout the dealership.
Acceptable – Shared, 5 points
Designated Engine PSSR (Parts Sales & Service Representative)

Goal/Background – The dealership has a key person assigned as the Part Sales & Service Representative
who is committed to the Engine Business Operations and responsible for providing parts, sales & service
support to the engine customers.
Target Environment:
o The PSSR is a member of dealer management and has an in depth knowledge of the
complete dealer operation.
o The PSSR is able to integrate Part Sales & Service operations process improvement efforts
with the dealer strategic vision.
o The PSSR is a dedicated position with a well defined roles & responsibilities for improving
Parts Sales & Service.
o A key member of dealer management performing PSSR functions less than 100% of the time
is Acceptable only.
Good - Yes, dedicated 10 points
Not Recommended - None, 0 points
Designated Engine Technical Communicator

Goal/Background –The dealership has allocated a key person who is knowledgeable in the workings of
Engines and is dedicated to Engine communications. Technical communicator is responsible for assisting
technicians in resolving product issues. TC’s should be co-located with engine repair/rebuild centers to
provide timely assistance. As the single point of contact for engine product information he is responsible
for informing technicians of product problems and training needs.
Target Environment:
o The Technical Communicator devotes 100% of his time to Engine communications.
o Provides assistance to technicians and customers to resolve engine product issues.
o Is the Single Point Contact for engine product problems/issues resolution requiring
assistance from Caterpillar.
o Advises the organization on future engine product training needs.
Good - Dedicated, 10 points
Designated Engine Warranty Analyst

Goal/Background – The dealership has a person assigned who is responsible for submitting engine
warranty claims and verifying that they are reimbursed to the dealer.
Target Environment:
o The Engine warranty analyst reports to the engine service manager.
o Responsible for submitting, validating, and tracking warranty claims.
Designated Engine Second Level Dealer (SLD) Coordinator

Goal/Background – The dealership has a person assigned whose is responsible for all activities related to
SLD’s (Second Level Dealer). Coordinates support issues within the organization to ensure that the
second level dealer meets all established requirements for a SLD designation.
Target Environment:
o The SLD coordinator reports to the engine business manager
o Serves as the single point of contact for SLD product support issues
o Coordinates and assists in establishing SLD training needs
Designated Engine Field Dispatcher/Service Manager

Goal/Background – The dealership/branch has a person responsible for scheduling and organizing field
service activities.
Target Environment:
o The engine field service dispatcher/manager reports to the service manager
o Is responsible for equipping and verifying readiness of field service vehicles
Key Accounts Identified

Goal/Background – The dealership identifies key business accounts to ensure they are effectively
managed and supported. The dealership has a key person assigned to improving the Engine Business
Operations and Process Improvements for Key Accounts.
Target Environment:
o The Account Manager is a member of dealer management and has an in depth knowledge of
the complete dealer operation.
o The Account Manager is able to integrate Engine Business Opportunities/efforts with the
dealer strategic vision and make resources available.
o The Account Manager is able to gain political support for Engine Business Process
Improvement at/with the customer management team.
Section 2
Continuous Improvement – Strategy Business Planning
Engine Business Development

Goal/Background Plan
– The dealership has a business plan that is aimed at directing engine business
development
Target Environment:
o The dealership has a published business plan that addresses engine business development.
o The business plan has been updated within 12 months.
Engine Product Support Strategy

Goal/Background – The dealership has a product support strategy that reinforces the long-term engine
business development strategy
Target Environment:
o The dealership has a product support strategy to addresses engine business development.
o The engine product support strategy has been documented and communicated to the dealer’s
engine division employees.
o The strategy has been reviewed and updated within the last 12 months
NPI Plan Development

Goal/Background – The dealership creates a NPI (New Product Introduction) plan prior to new products
entering the territory
Target Environment:
o Product support personnel training plan is developed and conducted prior to all new product
entering the territory
o Product support plans that address unique parts availability and new service tool availability
is developed and conducted prior to all New Product Introductions into the territory.
Good – Written NPI plan developed which covers product support personnel and
technician training, unique parts stocking and service tool availability, 6 Points
Not Recommended - No NPI plan developed for new products, 0 points

Territory Coverage Strategy
Goal/Background – The dealership has a current Territory Coverage Strategy that is based on providing
product support to transient and resident engine population
Target Environment:
o The dealership’s coverage strategy has been implemented and reviewed/updated within the
last 12 months and implemented to support engine customers.
o The coverage strategy includes dealer branch stores, ASSC’s and service vehicles for
providing product support services to transient and resident engine customers.
o The coverage strategy has been discussed and agreed to with the CAT Engine District Staff.
o The coverage strategy has been developed, but NOT agreed to with the CAT Engine District
Staff is Acceptable only
Good - Coverage strategy developed and agreed to by District and being

implemented, 10 points
Acceptable - Coverage strategy developed, not agreed to with District, 5 points
Not Recommended – No coverage plan, 0 points
6 Sigma Embedded
Goal/Background – The dealership uses 6 Sigma discipline within the engine organization to conduct
analysis and identify process changes/opportunities in the engine business.
Target Environment:
o 6 Sigma discipline and analysis is used for identifying process changes/opportunities in the
engine
o Thebusiness organization.
dealership has an identified Black Belt and conducted a project to support the engine
business.
o The dealership has in process at least one engine division 6 Sigma project in process to
improve the engine business.
Active Development of Engine Business

Goal/Background – The dealership shows active involvement in development of the engine business
within the territory by encouraging relationships with engine customers.
Target Environment:
o The dealership is actively involved in industry trade shows and events and participates in
cost associated with the events.
o A dealer who participates in the events, but NOT the cost is Acceptable only.
Good - Participates with events and costs, 10 points
Acceptable - Participates in events but not costs, 5 points
Not Recommended - Does not participate in events or with costs, 0 points
Parts Dept. Operating Statement Reviewed

Goal/Background – The dealership’s Parts Manager should review the Parts Department’s operating
statement to identify areas for improvement.
Target Environment:
o The dealership’s parts department operating statement provides sufficient detail (such as
gross profit) to allow for identifying areas of improvement.
o Parts manager receives and reviews the operating statement monthly to identify trends and
areas for improvement.
Service Dept. Operating Statement Reviewed

Goal/Background – The dealership’s Service Manager should review the Service Department’s operating
statement to identify areas for improvement.
Target Environment:
o The dealership’s service department’s operating statement provides sufficient detail (such as
service sales, cost of sales, gross profit) to allow for identifying areas of improvement.
o Service manager receives and reviews the operating statement monthly to identify trends and
areas for improvement.
Section 3
Continuous Improvement – Training
Skill Assessment –- All
Goal/Background Engine Technicians
engine technicians’ skills are assessed annually to identify training needs for the
future.
Target Environment:
o All engine technician skills are assessed annually and a copy of the report is kept on file.
o The skill assessment results are used to determine training needs for that year.
o The skill assessment results are used to develop a documented training plan and that plan is
implemented.
Skill Assessment - Management

Goal – All managers have their management skills assessed annually to identify management-training
needs for the future.
Target Environment:
o All managers have their management skills assessed annually and a copy of the report is kept
on file.
o The management skill assessment results are used to determine training needs for that year.
o The skill assessment results are used to develop a documented training plan and that plan is
implemented.
Contamination Control Training
Goal/Background – There is an on-going training program for all shop and parts personnel (management
and labor) in place. The program should include all components of a comprehensive contamination
control program. Classroom and on the job training are required to ensure participants are thoroughly
familiar with all of the processes and procedures of a successful contamination control program.
Contamination Control training should be an integral part of the technician’s training. That training
should be continuous, so as employees are promoted, change positions, new employees are hired or new
procedures are put in place the contamination control standards are maintained. In order for a
contamination control program to be successful, a formal on-going training program must be in place.
Target Environment:
o The dealership has an on-going, comprehensive contamination control program.
o The program includes both classroom and on the job training to ensure a successful
contamination control program.
o A training program that is based on informal training with NO formal training for both
management & labor is Acceptable only
Good - Training in progress. An on-going training program for all shop personnel
(management and labor) must be in place, 10 points
Acceptable – Informal training, 5 points
PSSR (Part Sales & Service Representative) - Training

Goal/Background – There is an on-going training program for all PSSR’s. The program should include
all components of a comprehensive product support programs. Classroom and on the job training are
required to ensure participants are thoroughly familiar with all of the processes and procedures of a
successful support program.
Target Environment:
o The dealer should maintain a formal record of all engine training received by each PSSR.
o The dealership has an on-going, comprehensive program that includes both classroom and
on the
o job training
A training to ensure
program that isa successful PSSR program.
based on informal training with NO formal training is Acceptable
only
Good - Training in progress. An on-going training program for all PSSR’s must be
in place, 10 points
Acceptable – Informal training, 5 points
Technician Training – History

Goal/Background – The dealership maintains a training record of all engine training performed by each
technician.
Target Environment:
o The dealer should maintain a formal record of all engine training received by each
technician.
o The training history records identify the course, course description, and the year completed.
o The training record along with skill assessment is used to identify organizational &
individual training needs by technicians.
Technician Training - REMAN Core Inspection
Goal/Background – The dealership’s parts store has a key individual trained in REMAN Core Inspection
to ensure “core criteria” is meet prior to returning, thus ensuring the dealer receives the appropriate core
charge credit. All technicians conduct initial inspection and are responsible for initial packaging and
preparing the core for return. The parts store is responsible for monitoring technician’s decisions &
ensuring compliance with core criteria prior to shipment.
Target Environment:
o The dealership has an on-going, comprehensive REMAN Core Criteria inspection training
for technicians and applicable parts department personnel.
o The technicians’ and applicable parts department personnel training includes both classroom
and on the job training to ensure core’s meet the “REMAN core criteria” prior to packaging and
preparing the cores for return.
o At least one person in the parts store has received REMAN core inspection training and
monitors core returns for core criteria compliance.
o At least 50 percent of parts store personnel have received REMAN core inspection training
and monitors core returns for core criteria compliance.
Good - At least one person at each dealer parts store has received REMAN core
inspection training, 10 points
Not Recommended - No one at the branch has received REMAN core inspection
training, 0 points
Section 4
Continuous Improvement – Personnel
Job Description – Employee Access

Goal/Background - Employee job descriptions define responsibilities and accountabilities. Job
descriptions are also easy to access and comprehend.
Target Environment:
o Job descriptions are readily available and easy to locate.

Performance Review Process – Annual

Goal/Background - There is an on-going performance review process for all product support personnel
(management and labor) in place. The program should include all components of a comprehensive
performance review program. Dealer has established a performance review process to be completed
annually.
Target Environment:
o Dealer has established a performance review process to be completed annually.
o The evaluation is used to identify performance problems and identify training deficiencies.
PowerNet Access
Goal/Background - All commercial engine business employees have access to PowerNet for engine
specific information.
Target Environment:
o Engine business management, sales and service support personel.
o Service technicians, parts counter and parts sales personnel.
Continuous Product Improvement Program

Goal/Background - The dealer has an engine business CPI (Continuous Product Improvement) Champion
and process that coordinates CPI activities between the sales, parts, and services departments. The
process includes monthly departmental meetings, DSN (Dealer Solutions Network) interaction by TC,
coordination with district representation, and action plan development, implementation, and follow-up.
Target Environment:
o The dealership has an engine business CPI champion and process.
o Process includes sales, parts, and services departments monthly CPI meetings, applicable
DSN interaction, district CPI coordination, and customer/product driven product problem
management implementation plan and follow-up. Target Environment:
o Submission of recommendations is easy for employees to access.
o Employees should have the option to submit ideas without revealing their own identity.
Section 5
Continuous Improvement – Customer Satisfaction
Customer Service Satisfaction – Monitored

Goal/Background - Dealership offers a customer satisfaction system designed to monitor customer
satisfaction and drive continuous improvement.
Target Environment:
o Customer is notified of system at point of service.
o System is quick yet allows customer to comment.
o A process for reviewing customer surveys is in place.
Customer Labor Warranty Statements

Goal/Background - Dealer has a written labor warranty statement and copies are available for delivery to
customers. These are attached to each dealer rebuild/repair along with installation instructions and SOS
bottle/information.
Target Environment:
o Labor warranty statements are easy to access in order to provide them to customers.
Customer Maintenance and Operator Training

Goal/Background – Dealer provides new customers with training on the operation & maintenance of
their Caterpillar engines. These ensure that customers are familiar with daily operation and preventative
maintenance of equipment.
Target Environment:
§ Dealer offers to provide operation and maintenance training course for customer personnel
as part of the sale of any new commercial engine.
Section 6
Customer Support – Hours Of Operation
Emergency Service - Contact Number

Goal/Background – Dealership staffs a phone number to handle after hours customer emergency parts
and service requirements 24/7
Target Environment:
o Toll free number staffed 24/7 by someone who is authorized to arrange for parts to be
picked, invoiced, and delivered and to send field service technicians to customer locations
Emergency Service – Technician “on-call”

Goal/Background – Dealership has service technician(s) on call 24/7 to handle after hours customer
emergency service requirements
Target Environment:
o Dealership develops roster of primary and backup mechanics to be on call to handle
customer’s after hours emergency service needs
Acceptable - 1st and 2nd shifts, 5 points
Section 7
Customer Support – Customer Access
Location in Caterpillar Dealer Directory
Goal/Background – Customers can find the dealers location at the Cat.com website
Target Environment:
o Dealers address and phone number is accurately displayed on the Cat.com website.
Market Industry Awareness

Goal/Background – Dealer adheres to a written plan to keep customers aware that they are in the engine
business
Target Environment:
o Dealer maintains industry awareness via some means adequate to the engine business
Section 8
Customer Support – Customer Reception
Customer Service Policy

Goal/Background - Incoming phone calls are promptly answered, and all customers are promptly greeted
upon arrival.
Target Environment:
o A written customer services plan exists that helps ensure that customer inquiries are handled
promptly
Customer Areas Identified

Goal – Upon arrival at the facility, customers are able to locate their destination quickly and easily.
Target Environment:
o There are clear instructions inside the facility that direct the customer for assistance and
identify locations of the service writer/dispatcher, parts counter, rest rooms, waiting area, lounge,
etc.
Section 9
Facilities, Tools and Equipment
Dealer Facilityfacility presents a positive image of Caterpillar and the Cat dealer’s product support
Goal – Dealer
capabilities
Target Environment:
o Dealer facility is adequate for the business and projects a positive image of Caterpillar and
the dealership.
o Warehouse, parts counter and customer areas are neat and clean
o Shop areas show display dealers commitment to contamination control
Exhaust System Used On Running Engines S-13

Goal/background – Minimize engine exhaust-related contamination to shop environment.
Engine testing adds soot and other contaminates to shop walls, ceilings, and pollutes the shop. The
pollutants quickly coat all light-reflecting surfaces of a shop. Foul air, reduced lighting, and increased
shop housekeeping result. Facility exhaust extraction systems greatly reduce these shop environment
effects, as well as the noise level of running engines. The shop reflects a more professional working
environment year-round. Connection inlets must be available, and cover every running engine/vehicle
and be consistently used/effective. System use must be enforced, even with normally opened shop doors,
to maintain acceptable shop environment.
Target Environment:
o Facility exhaust extraction systems are available, and effectively cover each repair bay in the
shop.
o Consistent exhaust extraction system use should be enforced to keep shop clean. System use
only during closed-door operations is acceptable.
o Operating engine(s) with closed or single door ventilation is not acceptable.

Acceptable - System use only during closed-door operations, 5 points
Engine Service Tools – Managed and Available
Goal/Background - Service tools are ready and available for use when needed. Frequently used service
tools are maintained in the service bay to improve efficiency of the technicians. A Tool/Equipment
Management program, with procedures in place, is known and being utilized by all service personnel.
Maintain tools and bay equipment consistently to provide high equipment reliability, performance, and
long life. Single individuals are named responsible for equipment maintenance and the related
preventative maintenance (PM) and repair logs. PM and repair history are maintained up-to-date and are
easily accessible in central shop files. Disorganized and unplanned equipment maintenance results in
high equipment costs, low reliability, and poor performance/quality
Target Environment:
o Tool management software is being utilized by the dealership.
o Planned/written equipment maintenance schedules.
o Up-to-date and organized equipment maintenance/service records.
o Up-to-date maintenance logs on each significant piece of equipment.
o Equipment logs include; equipment/cart identification number, park area/location, dates of
past and next PM’s, dates of maintenance, and maintenance summaries.
o Daily-maintained equipment logs are located with equipment and are completed with daily
results (example: cabinet washer solution tests, adjustments, temperatures, etc.).
Good – Service tools are available; tool management software to manages tool
calibration, availability and quality. Equipment preventive maintenance is
scheduled and managed, 10 points
Acceptable – Service tools are available usually; Service personnel use a manual
tool management process to manage tool calibration, availability and quality.
Equipment preventive maintenance is performed on an “as needed” basis, 5 points
Not recommended – A tool management process is not being utilized at the facility.
Preventive maintenance is NOT performed on equipment, 0 points
“Fuel System” Repair Services – Available

Goal/Background - The dealership has fuel system component repair/rebuild/test facilities within the
territory capable of meeting internal and external customer requirements for repair options and turn-
around time. All fuel systems testing should be performed in an enclosed fuel room that prevents
contamination and meets the latest CC guidelines. Repairing and testing should not be performed in an
open area environment.
Target Environment:
o Within the dealership territory adequate number of fuel system component repair/rebuild/test
facilities.
o Meets customer requirements for repair options and turn around time.
o Perform all Testing and repairs in an enclosed fuel room.
o Fuel system repairs are sent to a facility/location with an enclosed fuel room.
o No fuel system repairs performed in an open bay environment.
Acceptable – Fuel systems sent to other facility/location, 5 points
Oil Analysis Services – Available

Goal/Background - Caterpillar Oil Analysis Services is available and promoted to customers. The
dealership has a CAT certified Oil Analysis Lab within the territory to ensure results are available in a
timely manner. Dealer should have a process in place to track the results and inform customers of the
results. A web based customer (internal & external) system is preferable.
Target Environment:
o Dealership uses a CAT Certified Oil Analysis program to conduct all oil analysis.
o On-site Oil Analysis Laboratory testing to provide the results in a timely manner
o A process in place that ensures all engines rebuilds and repairs are sampled prior to delivery
to customers.
o Customers are informed of the results in a timely manner
Good – Yes, 10 points
Acceptable – No Laboratory within the territory, but dealer has access to Cat
Certified testing, 5 points
Field Service Vehicles – Equipment

Goal/Background - Field service vehicles are ready and available when customers request service.
Target Environment:
o Dealer has sufficient field service vehicles equipped with ET, parts and tools necessary to
perform service work on the engines being serviced.
Section 10
Dealer Commitment
Written Defect Prevention Standard
Goal/Background - Service personnel are aware of the dealerships commitment to defect prevention.
Target Environment:
o There is a written defect prevention standard that ensures high quality repairs are completed
promptly and meet or exceed customer expectations.
Flat Rate Management Process

Goal/Background – Flat rates, based on standard jobs, are used whenever possible to save time in
planning, preparing, and documenting the job. Flat rates are a low-risk option for the customer and
provide the dealer with and incentive to do the job in less time to increase profit.
Target Environment:
o The
o dealership
Service uses flat rates tocheck
Planners/Coordinators provide customers
to see with up-front
if any standard pricing.
flat rates match work to be
performed.
o Flat rate variance is tracked for market analysis and flat rate maintenance.
Acceptable – Utilize flat rates with no tracking process, 5 points
Firm Competitive Quotes

Goal/Background - Dealership offers firm, competitive quotes for basic services
Target Environment:
o Dealership has established fixed prices for basic services such as regular maintenance,
failure diagnosis and Removal and Installation of engines and components
o Prices are compared to competitive offerings and adjusted accordingly on a market driven
basis.
Good - Yes, firm prices are offered and periodically (at least annually) compared to
local competition, 6 points
Acceptable - Firm prices are offered but not compared to competition, 3 points
Not Recommended – No firm prices offered, 0 points
Work Order Process Documented

Goal/Background – Analyze and understand the current work order process at a level that will identify
potential improvements.
Target Environment:
o Process mapping, ISO9001 or other quality improvement tools are used in documenting the
current work order flow.
o The current work order flow is documented from the time a customer calls for service until
an invoice/claim is processed.
o The documentation provides an understandable view of the process that highlights
opportunities for process improvement/redesign. This level of documentation explicitly shows
process
o The roles
workand activities,
order decisions,
documentation choices, points
is analyzed of process integration,
for improvements and time sequence.
and recommendations are
made.
o Documentation is validated and new process implementation begins as detailed
improvements are identified.
o Smaller sub-processes such as quotes, parts ordering, and warranty are documented if
inefficiencies are suspected in those areas.
"PIP" Management Process

Goal/Background – Complete 90% of PIPs within 12 months of their release and all safety PIPs within
12 months of their release, (percentage is measured on a rolling 12 month basis, excluding on-highway
truck engines and marine)
Target Environment:
o PIP coordinator in Place
o PIPs monitored and processes in place for efficient and timely completion
Good – All Safety PIPs and >90% completed within 12 months, 10 points
Acceptable - >90% completed within 12 months, 5 points
Not Recommended - <90% completed within 12 months, 0 points
Dealer Solutions Network

Goal/Background –Technical Communicator (TC) use Dealer Solutions Network (DSN) to provide
timely response to internal and external customers requests.
Target Environment:
o Dealer has adequate staff of TCs to handle customer and technician technical problems
o TCs adequately search available information prior to DSN Contact
o TC input to DSN is timely and contains clear, concise information and questions
o TCs provide appropriate timely feedback to the DSN.
Not Recommended - DSN is not used for assistance, with Cat “product down”
status in the field. TC’s regularly request assistance for information already
available in Cat publications, 0 points
Section 11
Identify Service Need
Service Request Procedure

Goal/Background – Eliminate information transfers between dealer personnel by directing the customer
to the proper department to fulfill their service need.
Target Environment:
o One individual is clearly responsible for and dedicated to providing a particular service to a
customer.
o The customer is knowledgeable of how to contact the proper personnel to meet their service
request needs.
o Customers are directed to the proper department based on their needs.
o Documentation exists which allows requests to be filtered between all service groups.
o The customer perceives that a person capable of providing the proper service to meet his
needs will handle his service request at the dealership.
Good - Yes, Customer service requests are routed directly to proper service
personnel, 8 points
Not Recommended - No, There are multiple transfers in order to get customer
service requests to the proper service personnel, 0 points
Customer & Product

Goal/Background Information
– Standardize Received
the process of collecting customer information so that all required
information for planning the job is obtained in a complete and efficient manner for every request for
service.
Target Environment:
o Complete customer and product information is collected and documented during the service
request such as customer contact information, product and SMU numbers, and a complete
description of the problem.
o The customer and product information is validated for accuracy during the receipt of the
customer service request
o All information is collected during initial customer contact.
o The complete customer information is received from the customer the same way, every time.
Good – Yes, Complete customer and product information is received and validated
during every service request, 10 points
Acceptable – Complete customer and product information is received during every

service request. Validation of the information is not being done until after initial
customer contact, 5 points
Not recommended – Complete customer or product information is not being

received or being validated, 0 points
Customer & Product Information Updated

Goal/Background – A documented procedure is utilized that allows customer and product information to
be kept up-to-date in the work order system.
Target Environment:
o Accurate customer and product information that is contained in the work order system can
be used to effectively plan the job.
o Dealership has an accessible documented procedure, that is being followed, that allows this
information to be updated.
o Customer’s credit status is reviewed and if needed, the credit dept. discusses with the
customer and notifies service department of outcome.
Good - Yes, An accessible documented procedure is being utilized that allows the
customer and product information to be kept up-to-date, 6 points
Acceptable – Customer and product information is kept up-to-date with the

existing process, 3 points
Not recommended – Customer and product information is not being kept up-to-
date, 0 points
Start and Promise Dates

Goal/Background – Service Planners/Coordinators document initial start and promise dates for repair
based on the customer interview.
Target Environment:
o Service Planners/Coordinators should set initial start date, which is the date that a technician
will begin the repair. The initial start date should be set based on the availability of; a qualified
service technician, a suitable service truck and/or service bay and all necessary tooling. The
customer should agree that the date is acceptable and it should be documented that the customer
agreed.
o Service Planners/Coordinators should also set an initial promise date, which is the date that
the repair will be complete and the customer will have access to the repaired machine. The
initial promise date should be set based on the problem description given by the customer on the
phone and the experience of the Service Planner/Coordinator. The customer should agree that
the date is acceptable and it should be documented that the customer agreed.
o Both the initial start date and initial promise date should be tracked. The initial start date and
initial promise date should be compared to the first and last labor dates of the repair to analyze
the service department’s ability to meet its customer commitments.
Good – Documented start and promise dates are agreed upon with customer.
These are retained and readily accessible by everyone involved, 8 points
Acceptable – Start and promise dates are agreed upon with customer, 4 points
Not recommended – Start and promise dates are not discussed with customer, 0
points
Problem Definition
Goal/Background – A complete and accurate problem description is collected during the customer
interview. This information is documented on a pre-work order form or directly into the work order
system.
Target Environment:
o A pre-work order/ customer interview form is used for every request for service.
o Sufficient information is collected during the interview so that a work order can be properly
segmented.
Good – Yes, The problem is clearly and accurately defined (symptoms and failure)
during the customer request and recorded on a pre-work order form or in the work
order system, 8 points
Not recommended – Problem is not clearly and accurately (symptoms and failure)
defined during the customer request, 0 points
Section 12
Plan Service
Proper Segmentation
Goal/Background – Work order segmentation must accurately and consistently describe the tasks of the
repair and the specific component to be serviced.
Target Environment:
o Proper SMCS codes that accurately describe the tasks of the repair and the component to be
serviced.
o No generic SMCS codes are used on work order segment to describe service work to be
performed: moretodetail
o The service is required.
be performed is properly segmented in a manner that enables management to
maintain the work order and organize the invoice so that the customer can easily understand the
repair
Good – The service to be performed is segmented for every task to be completed
with appropriate SMCS codes applied to allow for minimal segment modification,
8 points
Acceptable – The Service to be performed is being properly segmented using
SMCS codes, but SMCS code changes and segment modification remain necessary,
4 points
Not recommended – The Service to be performed is not being properly segmented,

0 points
Parts/Tools and Special Requirements Pre-Ordered

Goal/Background – Required parts, tools, and special requirements must be identified and
ordered/reserved before resource need.
Target Environment:
o Service Planners/Coordinators reviews SIS, DBS, and other sources to look for parts, tools,
and technical information to add to the work order.
o Service Planners/Coordinators identify all known parts, tools, and technical information
required to complete the work order before the resource is needed.
o Parts, tools and technical information are identified and ordered/reserved before the resource
is needed.
o Technician is able to remain in bay working while parts/tools/special requirements are
delivered.
Good – Parts, tools, and special requirements are identified and ordered before the
resource is needed. Parts availability is communicated to the Service Department
and tools/ special requirements are reserved for job planning, 8 points
Acceptable – Parts are ordered, tools and special requirements are identified before
the resource is needed, 4 points
Not recommended – No attempt to identify and order parts, tools, or special

requirements before the resource is needed, 0 points
Pay Candidates Defined

Goal/Background – During the planning of the service request, an initial determination of how the work
will be paid for has been made.
Target Environment:
o An initial determination of how the work will be paid for will be made in the planning phase
of the service request.
o CSA
o and warranty
Resources information
are available is reviewed
to the planner and
so that availableand
dealership at work order opening.
the customer can easily
understand what is included under warranty, customer service agreements, policy, and
customer’s costs.
o This initial decision may be changed upon machine inspection, but the dealership and the
customer must know how the service will be paid for to eliminate any conflicts after the service
has been performed.
o Written agreement with description of work to be performed, estimated price to be paid by
customer and work to be covered by other sources is presented to and signed by customer.
Good – Pay candidates are defined prior to work beginning >90% of the time.
CSA and warranty information is reviewed and available at work order opening.
Written agreement with description of work to be performed, estimated price to be
paid by customer and work to be covered by other sources is presented to and
signed by customer, 8 points
Acceptable – Pay candidates are defined prior to work beginning >50% and
< 90% of the time, 4 points
Not recommended – Pay candidates defined < 50% of the time prior to work
beginning, 0 points
Prototype/Template Work Order Utilization

Goal/Background – Prototype/Template work orders are used when appropriate to standardize and speed
up the work order creation process.
Target Environment:
o Prototype/Template work orders re used to create recurring work orders.
o Prototype/Template work orders are used to create recurring segments on new work orders.
(i.e. travel, troubleshooting)
o Prototype/Template work orders have labor, parts and miscellaneous expenses tied to them
Good – Prototype/Template work orders have been created, published and are
being utilized during the work order open process for recurring segments and
work orders, 10 points
Not recommended – Prototype/Template work orders are not available to be used,

0 points
Additional Work Identification at Work Order Open

Goal/Background – PIP’s, PSP’s, PM’s and dealer history should be reviewed during work order creation
to see if there are any additional services that can be performed while the machine is being repaired.
Target Environment:
o The PIP, PSP indicator in DBS is checked to see if there are any open service letters.
o History is checked during work order creation to see if additional service work was
identified during a previous service call.
o The PM system is reviewed, upcoming PM jobs are identified and customers are contacted
for service.
Good - A process exists to identify additional service work during the work order
open process through a review of PIP’s, PSP’s, PM’s and any work identified
during previous customer visits, 8 points
Not recommended – There is not an attempt to identify additional service work

during the work order open process, 0 points
Service Department Quote Process Documented

Goal/Background – Analyze and understand the current service departments quote process at a level that
will identify potential improvements.
Target Environment:
current service department quote process flow.
process roles and activities, decisions, choices, points of process integration, and time sequence.
o The service department quote process documentation is analyzed for improvements and
recommendations
o Documentationare is made.
validated and implementation begins as detailed improvements are
identified.
Good - The facility has documented the current “As-Is” state of the service
department quote process flow to a level that will highlight opportunities for
process improvement / redesign, 8 points
Not recommended – The facility has not documented the current “As-Is” state of the
service department quote process flow to a level that would highlight opportunities
for process improvement / redesign, 0 points
PSSR Quote Process Documented

Goal/Background – Analyze and understand the current PSSR quote process at a level that will identify
potential improvements.
Target Environment:
current PSSR quote process flow.
o The service department PSSR quote process documentation is analyzed for improvements
and Documentation
o recommendations are made.and implementation begins as detailed improvements are
is validated
identified.
o The PSSR quotes are generated from the same resources as service dept. quotes.
Good - The facility has documented the current “As-Is” state of the service
department’s PSSR quoting process flow to a level that will highlight opportunities
service department PSSR quoting process flow to a level that would highlight
opportunities for process improvement / redesign, 0 points
Standard Quotes
Goal/Background – The facility should have a consistent quote creation process that allows quote data to
be captured and used in market analysis.
Target Environment:
o Rules for preparing quotes are available, known and used by all persons who prepare quotes.
o Consistent quotes are prepared throughout the company by having the quote system linked
to the standard job and flat rate system.
Good – A process exists to provide consistent quotes across all branches and cost
centers (business segment), 10 points
Acceptable - A process exists to provide consistent quotes across all cost centers
(business segment) within the facility, 5 points
Not recommended – Quotes are not consistent across branches or cost centers
(business segment), 0 points
Quote Tracking
Goal/Background – The dealership allows quote data to be captured and used in market analysis.
Target Environment:
o Standard quote form is used.
o The quote system is linked to the standard job and flat rate system.
o Quotes are tied to standard jobs with parts lists.
o Lost quotes are retained.
o There is a clearly defined quote follow up process.
o The reasons for lost quotes can be used to create successful, competitive quotes.
o Quote history is used in market analysis.
Good – Developed quotes that have been presented to customers are retained and
tracked for win/loss in order to be used for market analysis, 6 points
Not recommended – Developed quotes are presented to customers, but quotes are
not tracked for win/loss, 0 points
Section 13
Commit and Dispatch Resources
Scheduling Tool
Goal/Background – The schedule of major resources, (technicians, service trucks, and /or service bays),
is available/visible to all service personnel with 1 week of visibility of future jobs.
Target Environment:
o This scheduling tool will help in service planning, and major resources are available.
o The visibility of planned repairs will help reduce return field trips, which will in turn avoid
tying up needed resources.
o Engine/System location and availability is documented to facilitate the scheduling of
multiple jobs on any given day.
Good - Yes, A shared electronic scheduling tool, which indicates job, assigned
technician, customer commitment, job priority and any unscheduled jobs, is being
utilized, 10 points
Acceptable – A visible scheduling tool which indicates job, assigned technician,
customer commitment, job priority and any unscheduled jobs is being utilized, 5
points
Not recommended – A visible scheduling tool is not being utilized, 0 points
Field Technician Assignment

Goal/Background – A communication process is being utilized for appropriate service personnel to
contact field technicians for the next day’s job assignment.
Target Environment:
o Field technicians are dispatched from home and know their job assignments the night before.
o This communications process, phone or email, helps both the technician and the service
department with job assignment and knowledge of job progress.
o The service department is able to more precisely plan the next day’s job assignments.
Good – Yes, A communications process is being utilized for field technician

communications with appropriate service personnel for the next day’s job
assignment, 10 points
Not recommended – A communications process is not being utilized for field

technician communications with appropriate service personnel for the next day’s
job assignment, 0 points
Access to Repair History and Technical Information
Goal/Background – Technicians have direct access to machine/component repair history and information
on repairs in process. Service planners/Coordinators identify/print out all pertinent technical information
for the technician might need in order to complete job in advance.
Target Environment:
o Service planners/Coordinators review SIS, the work order system and other sources to gather
needed
o technicalhave
Technicians information
access toprior
SIMSto assigning the job. and/or work order system repair
related information
history.
o Technicians have been trained on accessing product repair history for recurring service
problems in order to troubleshoot effectively.
Good - Yes, Information is provided in advance & Technician has direct system
access to SIMS/Repair history documentation during the repair, 10 points
Acceptable – No prior information, but Technician has SIMS/Repair history, paper

documentation readily available during the repair, 5 points
Not recommended –Technician does not have ready access to SIMS/Repair history
documentation during the repair, 0 points
Target Hours
Goal/Background - Standard hours and any other time requirements to complete the repair should be
clearly documented and communicated to the technician before the start of the repair.
Target Environment:
o All standard hours and target hours are entered onto the work order.
o Any significant variance that occurs during the repair is investigated and documented at the
time of occurrence.
o A procedure is implemented to track and report the variance between actual hours, standard
hours, and target hours.
o Standard Job History reports are used to adjust standard hours and target hours.
Good - Yes, Technicians receive documented target hours prior to work being
performed. This is provided in the work order documentation given to the
technician, 8 points
Acceptable – Technicians receive verbal target hours prior to the work being
performed, 4 points
Not recommended – Technicians do not receive target hours prior to the work
being performed, 0 points
Machine/Engine/Component Receiving
Goal/Background – A documented procedure is in place for the arrival of a machine/engine/component,
which will notify the correct service personnel and document any information that was not received
during the initial customer interview. This documentation is accessible to all service personnel.
Target Environment:
o Machine/Engine/Component arrives at the facility and the appropriate service personnel are
notified.
o Pictures are taken looking for previous damage and an initial inspection is done on the
machine/engine/component.
o All customer and product information not previously noted will be taken and documented at
this time.
o Service Supervisor is able to transport machine/engine/component to appropriate service bay
or area without delay.
o This procedure is done on every machine/engine/component that enters the facility.
Good - Yes, A documented procedure is in place that notifies appropriate service

personnel the arrival of the engine/component to the facility. This procedure is
accessible to all service personnel, 6 points
Not recommended – There are no documented procedures accessible or in place for

the receiving of a engine/component to the facility, 0 points
Section 14
Fulfill Service Need
Parts Ordering Process Documented

Goal/Background – Analyze and understand the current service department parts ordering process at a
level that will identify potential improvements.
Target Environment:
current service department parts ordering process flow.
o The service department parts ordering process documentation is analyzed for improvements
and Documentation
o recommendations are made.and implementation begins as detailed improvements are
is validated
identified.
Good - Yes, The facility has documented the current “As-Is” state of the service
department parts ordering process flow to a level that will highlight opportunities
Not recommended – The facility has not documented the current “As-Is” state of
the service department parts ordering process flow to a level that would highlight
Access to SIS or Other PC Based Tools

Goal/Background – Technicians use the most efficient tools for diagnostics and accessing technical
information during the repair.
Target Environment:
o Technicians have access to and actively use SIS, ET, SIMSi, TMI and other needed current
PC based tools during the repair.
o Technicians have received training on the use of current PC based tools in order to
troubleshoot effectively.
o Technicians receive training on system enhancements.
Good - Yes, Technicians have access to and actively use SIS, ET, SIMSi, TMI or
other needed PC based tools during the repair. PC training is offered and
technicians receive regular training on system enhancements, 10 points
Acceptable – Technicians have access to SIS, ET, SIMSi, TMI, but seldom use it or
needed other PC based tools during the repair, 5 points
Not recommended – Technicians do not have access to SIS, ET, SIMSi, TMI or
other PC based tools during the repair, 0 points
Computer Terminal Available

Goal/background – Effective computer availability for parts warehouse and service shop personnel that
keeps personnel in their respective work areas. Parts and service personnel must have minimal wait time
to use a terminal.
Target Environment:
o One terminal for every 4-6 service technicians on the floor.
o One terminal for every 3-5 parts warehouse parts person. Typically each area (receiving,
core processing, shipping etc…) of the parts warehouse has a terminal to maximize efficiencies.
o Printers located with every terminal for fast copies of information (an on-floor, central
network printer is acceptable).
Good – PC’s placed at service bays, in shop aisles. Current technology performance
with each serving < 6 service techs or < 5 parts technicians. Local printers, 10
points
Acceptable - PC’s placed at service bays, next to the shop aisles. Current
technology with each PC serving 5-6 technicians. Network printer in shop, 5 points
Not recommended – PC’s/printers located off shop in office or serving >6 service
technicians or > 5 warehouse technicians, 0 points
Additional Work During Repair

Goal/Background – There is a documented procedure in place that the technicians actively follow when
discovering additional work. When customer agreement is achieved the addition of segments to the work
order in the work order system is completed.
Target Environment:
o The additional work that is found is documented along with the customer’s
agreement/disagreement.
o If unable to perform work at this time, there is a procedure in place, which allows the work
to be scheduled at a later date.
Good – There is a documented procedure being followed if additional work is
found during the repair. This includes the noting of the customer
agreement/disagreement and the addition of segments to the work order in the
work order system, 8 points
Not recommended – There is not a documented procedure being followed if

additional work is found during service repair, 0 points
Additional Parts Ordering

Goal/Background – There is a documented procedure being followed that allows the closing procedure
not to be held up due to moving ordered parts onto the correct segment.
Target Environment:
o Technicians identify any additional parts required to complete the job.
o Parts ordering errors are reduced since the technicians are directly involved in identifying
and ordering of additional parts.
o Technicians order parts in the most efficient manner, thereby reducing the time it takes to
order parts.
o Part orders are placed on the correct segment at the time of parts ordering.
Good – During the repair, there is a documented procedure being followed to order
additional parts on the correct segment, which contains the task involved, 8 points
Not recommended – During the repair, there is not a documented procedure being
followed to order additional parts on the correct segment which contains the task
involved, 0 points
Labor Entry
Goal/Background – Work order closing time is reduced by not having to input labor after work is
completed.
Target Environment:
o An Electronic Labor Time Entry system which can interact with the work order system is
utilized
o Technicians are entering their own time in an Electronic Labor Time Entry system.
o The best way is to start with shop then moving out into field service.
o The technicians labor is recorded daily.
Good - Electronic labor entry is being utilized and all technicians are entering their
own time throughout the facility, 8 points
Acceptable –The majority of the technicians’ use Electronic labor entry (in the area
being assessed), or labor is recorded by the technician’s daily and entered by
administrative personnel by the next business day, 4 points
Not recommended – Labor is not recorded daily or entered by the next business
day, 0 points
Labor Reporting Procedure

Goal/Background – Labor is reported in such a way that management has clear and accurate knowledge
of the service department, enabling efficient and effective decisions.
Target Environment:
o Technicians have been trained, and are currently following the process, to report all Non-
Chargeable Hours.
o The service department personnel realize, that “service labor hours” are the “product” that
the service department sells, and must be accounted for and waste kept to a minimum.
o Labor hours are reported to the correct job and segment so that standard jobs and flat rates
can be developed from job history.
o Labor hours are reported accurately so that all levels of service management are able to trust
and use the labor hour related KPI’s to manage their area of the service department. Those KPI’s
include…
- Hours Worked
- Non-chargeable Hours %
- Allowed Hours %
- Overtime Hours %
- Labor Utilization %
- Expense Hours %
Good - Technicians have been trained and are following the procedure of reporting
accurate and complete labor to the correct accounts, (Training, Lost Time
(meeting, no job, waiting), Allowed Time, etc.), 10 points
Not recommended – Technicians are not reporting accurate and complete labor to
the correct accounts, (Training, Lost Time (meeting, no job, waiting), Allowed
Time, etc.), 0 points
Salvage Parts Delivery Prioritization Process

Goal/Background – Technicians receive salvage parts at the time the resource is needed that will limit the
technicians’ time waiting on salvage parts deliveries. This will reduce task interruptions and provide
better use of the highly skilled technician, reducing rebuild costs, turn-around-time, and redo.
Target Environment:
o A Prioritization process exists that allows the service department to have input on the
urgency of salvage parts deliveries in order to gain maximum repair efficiencies.
o Technicians receive salvage parts at the time the resource is needed.
o In order to document this prioritization the technician is able to perform this from his bay
and at the time of the salvage parts order.
Good – A prioritization process is actively being used in the salvage parts deliveries
to the service department. The service department is directly involved with the
prioritizing of these deliveries, 6 points
Acceptable – A prioritization process is actively being used in the salvage parts

deliveries to the service department, 3 points
Not recommended – An active prioritization process of salvage parts deliveries to

the service department is not being used, 0 points
Parts Delivery Prioritization Process S-5

Goal/Background – Technicians receive parts before the resource is needed, which will limit the
technicians’ time waiting on parts deliveries. This will reduce task interruptions and provide better use of
the highly skilled technician, reducing rebuild costs, turn-around-time, and redo.
Target Environment:
o A Prioritization process exists that allows the service department to have input on the
urgency of parts deliveries in order to gain maximum repair efficiencies.
o Technicians receive parts at the time of the resource need.
o In order to document this prioritization the technician is able to perform this from his bay
and at the time of parts order.
Good – A prioritization process is actively being used in the parts deliveries to the
service department. The service department is directly involved with the
prioritizing of these deliveries, 6 points
Acceptable – A prioritization process is actively being used in the parts deliveries to

the service department, 3 points
Not recommended – An active prioritization process of parts deliveries to the

service department is not being used, 0 points
Section 15
Complete Service Documentation
SIMS Information S-10

Goal/Background – Accurate SIMS reports are completed for all repairs, by the technicians.
Target Environment:
o Technicians are trained/qualified on filling out an accurate SIMS report for all repairs
performed.
o Accurate SIMS reporting on all failure-related repairs (both warranty and non-warranty) is
acceptable, (1% or less of annual entries contain a “0” or “SP” part number in the part number
field)
o Inaccurate and incomplete SIMS reports are returned to the technicians for correction.
o Technicians complete the SIMS reports on or before the last date of labor.
Good – Technicians have been trained on how to determine and document SIMS
information accurately. SIMS are completed on all repairs. 1% or less of annual
entries contain “0” or “SP” part numbers in the part number field”, 8 points
Acceptable – Technicians complete accurate SIMS information for only warranty
repairs. 3 % or less of annual entries contain “0” or “SP” part numbers in the part
number field”, 4 points
Not recommended – Technicians document repair SIMS information in a manner

that is inaccurate and incomplete, 0 points
Part/REMAN Core Return Procedure S-10

Goal/Background – The Part/REMAN core return acknowledgement process is completed less than or
equal to 1 day from the last day of labor.
Target Environment:
o The part and core return process is reviewed and any unnecessary steps are removed.
o Part and core returns are completed on or before the last date of labor.
o The acknowledgement process of parts and cores is completed within 1 day of last labor.
o There is a documented procedure for returning parts and cores.
o Little documentation is required for the returns.
o Hold areas are conveniently located.
Good – Part/REMAN core returns acknowledgement process is completed less than

or equal to 1 day from last labor, 8 points
Acceptable – Part/REMAN core returns acknowledgement process is completed

less than or equal to 2 days from last labor, 4 points
Not recommended – The part/REMAN core returns acknowledgement process

takes greater than 2 days after last labor to complete, 0 points
Warranty and REMAN Parts Storage/Purge S-10

Goal/Background – Warranty and REMAN parts are stored and organized in a manner that allows proper
tracking and purging of these parts.
Target Environment:
o The storage area is conveniently located.
o When Caterpillar issues a “Return Request”, warranty and REMAN parts are easily found
and promptly returned.
o The storage area is purged of parts that have been stored longer than required; this purging is
done on a monthly basis.
Good - Warranty and REMAN parts are stored and organized in a manner that
allows proper tracking and the purging of these parts, 8 points
Service Reporting Procedure S-10

Goal/Background - Eliminate service documentation delays and close work orders less than or equal to 5
days from last date of labor.
Target Environment:
o Technicians complete their labor hours, expenses, SIMS reports and other service
documentation in an efficient manner on or before the last date of labor.
o Technicians are trained on how to complete service documentation that is accurate, clear, and
timely.
o Technicians utilize a service documentation procedure, without handoffs and rewrites, which
can be uploaded to the work order system.
Good - Technicians complete electronic service reporting documentation that is

clear, complete and can be uploaded to the work order system immediately upon
job completion, 8 points
Acceptable – Technicians complete paper service reporting documentation that is

clear, complete and being submitted immediately upon job completion, 4 points
Not recommended – Technicians complete service reporting documentation that is

not clear, complete or submitted immediately upon job completion, 0 points
Work Order Closing Process

Goal/Background – The work order is reviewed and closed in less than or equal to 5 days from the last
date of labor.
Target Environment:
o Service Administration is responsible for closing review the work order and service
documentation.
o Errors that are found in the work order and service documentation are returned to the person
who made the error for correction.
o Once any errors have been corrected, the work order is closed.
Good – All service documentation is completed and the work order is closed in a
time frame of equal to or less than 5 days from last labor, 10 points
Acceptable – All service documentation is completed and work order is closed in a

time frame of equal to or less than 7 days from last labor, 5 points
Not recommended – All service documentation is completed and work order is
closed in a time frame of greater than 7 days from last labor, 0 points
Section 16
Process Invoice and Claim
Customer Provided a Final Invoice

Goal/background: Customer is provided a written description of the repair that was performed, the labor
that was billed (or firm labor quote), a list of parts that were installed, a list of misc. expenses (outside
vendor, environmental charges, and travel time and mileage etc) on a final invoice. The invoice should
include payment terms, dates of work performed, product or equipment identification, etc.
Target Environment:
o The Customer is provided a final invoice that accurately describes the repair/services that
were performed.
o The invoice should be a written description that identifies: payment terms, dates of work
performed, product or equipment identification, labor hours & parts that were installed/replaced.
Work Orders Invoiced in Timely Manner

Goal/Background – Work orders are invoiced less than or equal to 1 day from work order close.
Target Environment:
o Automatic invoicing occursoccurs
batch invoicing once the workfor
nightly order is closed.
all for all of the work orders that were closed
that day.
Good – Work orders are invoiced within a time frame of equal to or less than 1 day
of work order close, 10 points
Acceptable – Work orders are invoiced within a time frame equal to or less than 2
days of work order close, 5 points
Not recommended – Work orders are invoiced more than 2 days after work order
close, 0 points
Warranty Claims Submission

Goal/Background – Claims are submitted less than or equal to 15 days of last date of labor.
Target Environment:
o Only minimal claim story additions are required to submit warranty claims.
o Closed work orders can be claimed without changes or additions.
o Claims are submitted quickly after the date of last labor.
o A quote should equal the work order and the work order should equal the claim,
(quote=work order=claim)
Good – Claims are submitted after last date of labor within a time frame equal to
or less than 15 days, 8 points
Acceptable – Claims are submitted after last date of labor within a time frame
equal to or less than 30 days, 4 points
Not recommended – Claims are submitted after last date of labor greater than 30
days, 0 points
Changes to Work Orders After Invoice/Claim

Goal/Background – A dealer’s invoices/claims are accepted by customers/Caterpillar on first submission.
Target Environment:
o Caterpillar accepts all claims from the dealership on first submission.
o No claims have to be returned to the dealer for rework.
o Facility has a claim recovery rate of 90% to 100%.
Good – Following issuance of claim or invoice, no corrective action is required, 8
points
Not recommended – Claims are resubmitted to Caterpillar and customer invoices

are adjusted after submission on a regular basis, 0 points
Warranty Process Documented

Goal/Background – Analyze and understand the current service warranty process at a level that will
identify potential improvements.
Target Environment:
current warranty process flow.
o The warranty process documentation is analyzed for improvements and recommendations
are made.
o Documentation is validated and implementation begins as detailed improvements are
identified.
Good – The facility has documented the current “As-Is” state of the service
department warranty process flow to a level that will highlight opportunities for
process improvement / redesign, 8 points
service department warranty process flow to a level that would highlight
Work Order Expense

Goal/Background Targets
– Work order and Variances
or segment expenses are checked against targets and variances are
justified.
Target Environment:
o The invoice is reviewed to verify it equals quote.
o Variances are recognized as the job is in process.
o Labor hour variances are resolved at the time of occurrence.
o Parts variances are documented and analyzed when they occur.
Good – All work order expenses are reviewed against targets, quote = invoice,
variances of labor, and are parts and miscellaneous expenses justified at the time of
occurrence to be used in analysis, 8 points
Not recommended – Work order expenses are not reviewed against targets, there is
not an effort to justify variances of labor, parts and miscellaneous expenses at time
of occurrence, 0 points
Section 17
Systems
SIS Utilization
Goal/Background – SIS is installed at the facility and is being utilized by service personnel.
Target Environment:
o Service personnel use SIS to look up technical information and parts ordering.
o The most current version of SIS is available to all service personnel for use.
o Service personnel receive training on SIS and its upgrades.
Good - SIS (Network/Web/DVD) is installed and is currently being utilized at the
facility, 10 points
Not recommended – SIS is not installed or currently being utilized at the facility, 0
points
Parts Integration Utilization

Goal/Background – Save time and reduce confusion during the process of parts ordering.
Target Environment:
o The service personnel who are looking up parts are ordering the parts.
o There are no “handoffs” and less confusion in the process of ordering parts, after the service
personnel who locates needed parts in SIS, orders parts without any other personnel interaction.
o The amount of time for the actual parts ordering is reduced substantially.
o Parts Integrator is an example of what might be used.
Good –An electronic Parts Integration system, which allows a parts list to be
passed from SIS to the dealer’s parts ordering screen, (as Parts Integrator does
with DBS), has been implemented and its functionality is being utilized throughout
the facility, 10 points
Not recommended – The facility is not utilizing an electronic Parts Integration

system, 0 points
Service Technician
Goal/Background Workbench
– Have a single point of contact for all service support software. Service support
software that has a framework for common look and feel and has a common install process for all service
tools.
Target Environment:
o Integration between the service software tools (Diagnostic Advisor, Service Information
System (SIS), Cat Electronic Technician (Cat ET), Engine Performance Estimator (EPE), Data
View, and Flash File Search and Service Report.
o Caterpillar machines and components can be serviced from a single source, which contains
the needed software tools and information.
Good – Service Technician Workbench has been implemented and its functionality
is being utilized throughout the facility, 6 points
Not recommended – Service Technician Workbench is not being utilized at the

facility, 0 points
Service Planning Tool
Goal/Background – The Service Planner will have easy access to customer and product information,
integrated with corporate and DBS legacy applications in order to gather all pertinent information in a
standardized format during the repair planning process. The Service Planner will easily be able to
identify applicable standard jobs, additional service work (PM, PIP/PSP,CSA), necessary parts and
technical information and efficiently develop and deliver a professional quote to the customer, which all
can be passed onto the technician.
Target Environment:
o Integration between the service planning tool and Caterpillar corporate systems including
seamless access to Service Information System (SIS), SIMS history, Corporate Warranty
coverage, Technical Marketing Information (TMI), and Product Information System.
o Easy to use standard job interface.
o Ability to efficiently create and maintain professional service quotes that are converted
directly into work orders.
o Ability to store parts lists, tools, and technical information with prototype work order.
Good – Key personnel are utilizing a service-planning tool for opening of work
orders via the dealers business system such as Service Advisor does with DBS, 6
points
Not recommended – Key personnel are not utilizing a service-planning tool for
opening of work orders via the dealers business system such as Service Advisor
does with DBS, 0 points
Field Laptops
Goal/Background – Field service technicians utilize the most current technology in the diagnostics and
repair of service work.
Target Environment:
o Field technicians have assigned or have access to laptops with current diagnostic and
reporting tools available.
o Field technicians have assigned or have access to a Personal Digital Assistant (PDA) with all
current diagnostic and reporting tools available.
o Field technicians have been trained on the access and use of these diagnostic and reporting
tools in relation to the laptops/PDA’s that they are using.
o Field technicians have printer capability to provide service reports to the customer.
Good – All Field Technicians trained and utilizing, 10 points
Acceptable – greater than 50% are trained and utilizing, 5 points
Not Recommended - less than 50% are trained and utilizing, 0 points
PM Business Management
Goal/Background – The management of the PM business which allows customers to be proactively
contacted while being able to react to economic upturns and downturns in the scheduling of PM’s.
Target Environment:
o The electronic PM scheduling system is integrated with the work order system, such as
Manager, PM Scheduler/ Event Scheduler in DBSi.
o PM service calls can easily be moved in and out of the scheduling system.
o The scheduling system used for PM’s allows the ability to track service calls.
Good – The facility uses a PM scheduling system that is integrated with the work
order system. The system tracks and schedules PM’s in a manner that allows
customers to be proactively contacted and has the ability to move PM jobs in and
out of the schedule, 8 points
Acceptable – The facility uses a PM scheduling system that is not integrated with
the work order system, but provides assistance to the individual responsible for
managing PM service, 4 points
Not recommended – The facility is not using a PM scheduling system, 0 points
Section 18
Continuous Improvement – Operating Measures
WIP Monitored and Managed

Goal/Background – Work in process is monitored and managed within planned limits.
Target Environment:
o All service groups have known work in process targets.
Management
o Service
o at all
groups’ levels
targets areistrended
held accountable for work
and published in all
so that process targets.
service personnel are aware of
them.
Good – There are known work in process targets for all service groups. Service
department management is held accountable for these targets. These trended
targets are published for all levels of the service department to view, 10 points
Acceptable - There are known work in process targets for all service groups.
Service department management is held accountable for these targets, 5 points
Not recommended – There are no known work in process targets for all service
groups, 0 points
Communication Tools
Goal/Background – The dealership is communicating to their entire service organization the current
activity and future plans for service operations development.
Target Environment:
o The dealership has developed a communication tool to periodically share current activities
with their entire service organization. (scheduled meetings, communications boards, monthly
newsletter, etc…)
o Project milestones, involvement recognition and improvement results are examples of the
type of information that should be included.
o These communications tools enable not only updating the organization with the service
operations improvements but also stress involvement by all levels of the service organization.
Good – The facility has internal communication tools established, (scheduled
meetings, communications boards, activity letter/ flyer, etc.), to provide awareness
to the organization the benefits of service operations process improvements, 6
points
Not recommended – The facility does not have internal communication tools
established for service operations process improvements, 0 points
Parts Reuse Review/Management

Goal/Background – Effective rebuild parts lists and reuse practices provide high customer value in
component rebuilds. Technicians reuse skills require training, experience, and job performance feedback.
Reviews may consist of a simple statistical analysis every 3-12 months, depending on job
repeatability/volume. This check could reveal a distressed area that needs deeper analysis. More detail
could include a scrap barrel, quality team, CAT, and/or salvage analysis. Periodical parts reuse reviews
reinforce good performance, allowing employees the opportunity to “brush-up” their skills, as well as
expand them to meet ever-changing markets needs. The reviews help service management monitor reuse
and labor variance performance, and provide appropriate performance based training/feedback to
employees.
Target Environment:
o One individual responsible for monitoring standard parts list variance and collecting
replaced parts from rebuild jobs (for future review workshops).
o The responsible individual maintains a parts variance history and feedback reviews. Include
job identification, parts groups reviewed, technicians involved with review, and summary of
result summaries.
o Quarterly parts reuse workshops/reviews in various areas for related technicians.
o Caterpillar reuse and salvage information must be applied in job related training.
Good – Rebuild parts lists are reviewed for accuracy & quality relative to Standard
Jobs. Replaced parts (and/or costs) are reviewed for reuse compliance. Results are
used for process control & training planning, 6 points
Acceptable – Rebuild parts lists are reviewed for accuracy & quality relative to
Standard Jobs. If lists show concerns, parts are reviewed for reuse compliance.
Results are used for process control & technician feedback, & are kept on file, 3
points
Not recommended – Parts lists are not reviewed against rebuild standards, 0 points
Second Level Dealer (SLD) Enrollment - Update

Goal/Background - Dealership has all SLD enrollments current and reported to the dealer data systems.
Target Environment:
o SLD sales and service agreements are updated and signed prior to their expiration dates
o SLD information in the Dealer Data system is current
Good – Process documented and all active SLD enrollments are current, 6 points
Acceptable – No documented process but all active SLD enrollments are current, 3
points
Not Recommended – No documented process and some active SLD enrollments not
current, 0 points
Technicians can meet Demand

Goal/Background - Branch has sufficient technicians to meet the demand for repair work.
Target Environment:
o Recovered hours are monitored
o Recovered hours are routinely between 75% and 85%
Good – Recovered hours 75% to 85%, 10 points
Acceptable – Recovered hours 60-75% or 85-100%, 5 points
Poor – Recovered hours greater than 100% or less than 60%, 0 points
Meet TRG times

Goal – Dealer median invoiced labor hours are within 5% of TRG labor hours.
Target Environment:
o Dealer determines TRG times for all engine repairs and communicates to technician
o Dealers invoiced hours for engine repairs are within 5% of TRG times
o Actual labor hours are within 5% of TRG times
Good – Process in place to measure repair times vs. TRG. Mean labor hours within
5% of TRG, 10 points
Acceptable – Process in place to measure repair times vs. TRG. Mean labor hours
within 5% of TRG, 5 points
Not Recommended – Does not compare actual labor hours to TRG or does not
meet TRG times and not actively trying to improve, 0 points
Rework Rate
Goal/Background - Customers are not inconvenienced by having to bring in repaired units for rework.
Target Environment:
o Dealership monitors rework rate
o If rework rate is routinely above 1% dealer develops plans to bring rework rate below 1%
Good – Less than 1%, 10 points
Acceptable – Greater than 1% but less than 2%, 5 points
Not Recommended – Greater than 2%, 0 points
Emergency Call --Response

Goal/Background Time fromTime
call to 24/7 emergency numbers until dealer contact made is under 5
minutes
Target Environment:
o Dealer measures response time
o If response time is routinely over 5 minutes, plans are developed to bring response time
below 5 minutes
Good – Avg. 5 minutes or less, 10 points
Acceptable – Avg. greater than 5 minutes to 10 minutes, 5 points

Not Recommended – Greater than 10 minutes, 0 points
Emergency Call --Response

Goal/Background Time fromRate
call to 24/7 emergency number to service vehicle dispatched is less than 4
hours
Target Environment:
o Dealer measures response rate and if routinely greater than 4 hours plans are developed to
bring response rate below 4 hours
Good –2 hours or less, 10 points
Acceptable – 2 to 4 hours. 5 point
Not Recommended – More than 4 hours, 0 points
Determine Parts & DCAL by Customer

Goal/Background - Dealer has a method of determining parts and service opportunity by customer
Target Environment:
o Dealer determines parts and service opportunity by customer
o Opportunity is compared to actual sales and DCAL is determined
o DCAL is used to target high opportunity customers for increased sales
Section 19
Administration and Control – Parts Operations
Parts Order is Electronic
Goal/background – Fast, accurate parts selection process with point-and-click method. Up-to-date parts
references are maintained through SIS databases. Technician stays on in work area with terminals in the
service truck or close to their working bay. Electronic parts lists must transfer to parts order personnel.
Eliminate hand-written lists that allow paper parts references, and cause extra labor, mistakes, and
manual delivery.
Target Environment:
o Parts orders created through SIS and DBS Parts Integrator (or a similar parts list transfer
software). A printed parts list delivered by a parts runner is acceptable (technician stays in
working area).
o No Caterpillar paper parts references in working area.
o Non-SIS parts books accessed through Caterpillar CD source. Non-Caterpillar parts books
inventoried in service truck, on-site tool crib, or shop reference center.
Good – Parts list created with SIS is e-mailed to the parts order staff. The
technician normally stays within one bay of their assigned area, 10 points
Acceptable – Parts list created with SIS is printed. Parts runners take the list from
the bay parts drop area to the parts order staff. The tech. normally stays within
one bay of assigned area, 5 points
Not recommended – Tech. normally creates hand-written parts lists from books or
carries, 0 points
Parts Order – Availability

Goal/Background – Dealer provides over the counter parts availability in accordance with local market
customer expectations.
Target Environment:
o Together with the Cat district, the dealer has identified engine parts availability targets for all
branches and develops and implements plans to measure and meet those targets.
Parts Order – Expediting Process

Goal/Background – Parts orders are expedited as necessary as determined by the urgency of the
customer’s situation.
Target Environment:
o There is a documented process for expediting parts orders within the dealership 24 hours a
day, 365 days a year.

Parts Order - Emergency Parts
Goal/Background - Emergency ordered parts are available for customer pickup within 24 hours (working
days) of order receipt.
Target Environment:
o Dealer monitors time from emergency parts order to time the part is ready for customer
pickup
o If routinely less than 24 hours, plans are developed to bring the availability time below 24
hours
Good – 90% of items or more, 10 points.
Acceptable – 70% or more. 5 points
Not Recommended – No written goal or less than 70% of items goal met or
exceeded, 0 points
Section 20
Administration and Control – Budgeting & Reporting
Engine Product Support

Goal/Background - Dealer –management
Financial Summary
is aware of the profitability of the engine product support
business
Target Environment:
o Dealership provides a financial summary of the engine product support business to the
district and dealer management. Gross sales include parts through service shop, over the counter
and service labor sales.
Commercial Engine - Parts Sales Tracked

Goal/Background - Commercial Engine parts sales tracked and reported.
Target Environment:
o Dealer is able to separate commercial engine parts and service sales from captive engine
parts and service sales, preferably by engine business segment

Power Systems - Parts Sales Tracked

Goal/Background - Power systems (non engine) parts are tracked and reported.
Target Environment:
o Dealer is able to separate non-engine related parts from engine parts sold to commercial
engine customers, preferably by engine business segment
Section 21
Administration and Control – Product Support Marketing
Customer Database – Maintained

Goal/Background – Dealer is able to use their customer database for sales, marketing, or promotion
related activities
Target Environment:
o A central customer database containing all relevant customer contact information,
machine/engine serial numbers, competitive equipment, and parts and service sales should be
available and updated regularly.
Good –Database available and updated regularly, 10 points.
Acceptable – Database available. Not updated regularly, 5 points
Not Recommended – No customer database or incomplete customer database, 0

points
Marketing & Promotion Strategy

Goal/Background – Dealer works together with the Cat district to increase parts and service sales within
their territory
Target Environment:
o Dealer has a current (updated within the last 12 months) written product support marketing
and promotion strategy
o Strategy has been discussed with and agreed to with the Cat engine district product support
reps (within the last 12 months)
Dealer Storefront / eBusiness Channel

Goal/background - Dealership along with traditional procurement processes provides customers with a
B2B automated procurement process option through Dealer Store Front. B2B option streamlines
operations and reduces transaction costs. Customers who procure parts and receive electronic invoices
through B2B transactions receive increased efficiency; order accuracy, instant information (parts prices
and availability), automated stock replenishment that results in significant savings to both customer and
dealer.
Target Environment:
o Dealer has operating Store Front.
o B2B parts procurement is offered as an option to traditional parts procurement processes.
Develops and Promotes CSA’s and ESC

Goal/Background Customer Support Agreements and Extended Service Contracts are discussed with
customers purchasing new engines and quotes are issued to those expressing interest.
Target Environment:
o Dealer uses CSA Builder/Calculator to develop CSA quotes
o Dealer develops a salesman incentive program for CSA’s and ESC’s
o Dealer supplies every new engine customer with a brochure explaining CSA’s and ESC’s
Section 22
Segment Specific – Industrial Engine
Commercial Engine Service Sign
Goal/Background: Facility has a well-lighted Caterpillar engine service sign visible from a major
intersection or vehicle route.
Target Environment:
o Facility has a well lighted Cat Engine Service sign visible from a major intersection or
vehicle route
o If located off the highway, dealer has a billboard visible from the highway providing
directions to the facility
Good – Well-lighted sign visible from major vehicle route, 8 points
Acceptable – Well-lighted sign but not visible from a major vehicle route, 4 points
Not Recommended – No lighted truck engine service sign, 0 points
Distinction between Commercial Engine Shop and other Areas

Goal/background - As far as possible, commercial engine service customers are dealt with separately
from other Cat dealer customers (primary distinction between Cat Machine Repair).
Target Environment:
o There is clear distinction between Commercial Engine Services & Cat Machine Repair
Services
o Engine repairs should be performed in an engine bay separate from machine repair bays.
Acceptable – Managed separately but repaired along side of Machine’s, 5 points
Not Recommended – 0 points
Engine Test Bed - Capacity S-10

Goal/background – Dealer has the capability to test an engine that is repaired/rebuilt prior to installation.
Dynamometer testing ensures that repaired engines are capable of performing the appropriate functions
prior to installing the system at a customer’s location. A dealer should have sufficient capacity to test
complete commercial engine range to full rated power prior to installation.
- Small Bore (C.05 –C7) 10 HP – 300HP
- Medium Bore (C9 – C18) 300 HP – 800 HP
- Large Bore (C27 – C175) 650 HP– 2300 HP
Target Environment:
o Dealer has on-site or can demonstrate local access to certified engine test bed facilities with
capacity for full range of commercial engines operating in their territory.
o A dynamometer test systems that is capable of testing 85% of the power systems repaired.
o A process in place that ensures all engines rebuilds and repairs are tested prior to delivery to
customers.
o Customers are informed/provided the test results in a timely manner.
Acceptable – No dynamometer test-bed within the territory, but dealer has access
to Cat Certified testing, 5 points
Trained Appraisal Engineer – Installation

Goal/Background – To provide engineering expertise in the area of engine application & installation as
outlined in the Caterpillar Industrial Engine Application and Installation Guide.
Target Environment
o Dealer has on staff a qualified engineer capable of completing expert application and
installation programs in support of 3rd party OEM business and or assessing applications and
installations completed by others.
o Dealer holds full complement of tools & equipment required to complete full application
audit including vibration analysis.
Section 23
Segment Specific – Marine
Certified Marine Engine Analyst

Goal/Background – Dealership is capable of servicing CAT marine engines with certified technicians.
Target Environment:
o Technicians have completed the CAT Certified Marine Engine Analysis training course.
o The dealer has at least 1 technician that is certified and completed the Marine Analyst
Service Training course.
Good – Yes, 10 Points
Heavy Fuel Experience

Goal/Background – Technicians are experienced with working on engines with heavy fuel systems.
Target Environment:
o Dealer has technicians with experience on working with engines with heavy fuel systems.
o The dealer has at least one Technician that is experience on working with engines with heavy
fuel systems.
Failure Analysis Capabilities

Goal/Background – Technicians are experienced with conducting failure analysis on marine systems.
.
Target Environment:
o Dealer has technicians assigned and experienced in conducting engine analysis to determine
the
o cause of failures.
Technicians performing the analysis have completed Failure Analysis 1 service training
course.
o The dealer has at least one Technician or Technical Communicator that is responsible for
conducting failure analysis.
Pleasure Craft Customer Policy

Goal/Background – Customers who own pleasure crafts have unique needs and requirements that require
unique policies and procedures. Pleasure craft owners have “on-ship” policies and cleanliness standards
that require special handling. Dealers need to have a policy to address those issues to ensure technicians
are aware and can meet the customers needs.
Target Environment:
o The dealership has a published process for complying with pleasure craft owners "on-ship"
policies.
o Technicians are aware of the special handling requirements and the dealer has a process to
ensure technicians meet the customers needs.
Section 24
Segment Specific – Electric Power Generation
Certified Engine Rebuild Program – EPG Customers

Goal/Background – Customers are given the option of having their engines repaired under the Certified
engine rebuild program.
Target Environment:
o Dealer is enrolled in the Certified Engine Rebuild Program
o Customers requiring overhauls are given a quote for a certified engine rebuild and are
provided written information about the program
Dealer Repairs Gen-Set Components - non-engine Related

Goal/Background – Customers can count on the Cat dealer being able to arrange repair of all components
of their Cat powered generator set.
Target Environment:
o Dealer has identified a capable Generator/Motor/Rewind repair shop in their territory and
utilizes their services to diagnose and repair non-engine components of Cat powered generator
sets.
Dealer Repairs Radiators

Goal/Background – Customers can count on the Cat dealer being able to arrange radiator repairs.
Target Environment:
o Dealer has identified a capable radiator repair shop in their territory and utilizes their
services to diagnose and repair radiators used to cool Cat powered generator sets.
Dealer Engine Inventory Maintenance

Goal/Background – Aged inventory is maintained in accordance with Cat recommendations
Target Environment:
o Dealer has a documented process for maintaining aged inventory
o Dealer maintains record of maintenance of engine inventory
Designated Emissions Contact Person

Goal/Background – Dealer has identified a person who will serve as channel and single source for
emission and environmental related inquiries associated with Electric Power Installations.
Target Environment:
o Dealer has a documented process for directing emission related inquiries to the appropriate
individuals.
o Documented process for evaluating and preparing quotes for Electric Power Installations
Trained Appraisal Technician – Installation

Goal/Background – Dealer is capable of providing installation recommendations to designers of Cat
powered generator set installations
Target Environment
o Dealer employs or has access to a professional trained in generator set installation design,
requirements, specifications and appraisal.

Electric Power Specific Tooling

Goal/Background – Dealer has full complement of functional specialized EP service tooling
Target Environment:
○ Dealer has available EP specialized tools such as, Meggar Test Equipment,
alignment/vibration equipment, data recording equipment.
Dealer has Conducted Technical Workforce Capability and Opportunity Assessment

Goal/Background – The Technical Workforce Capability and Opportunity Assessment developed by the
EP group determines parts and service opportunity for Cat powered gen sets and identifies the number of
technicians required to service those gensets. See web info at:
https://engines.cat.com/infocast/content/ep/ps/News06.06.06TechAssessment.pdf
Target Environment:
○ Dealer input the correct information into the tool and has identified the percentage of
mechanics available versus those required
Dealer Score on Technical Workforce Capability and Opportunity Assessment

Goal/Background – Dealer has sufficient technicians to satisfy the needs of the Cat powered generator
sets in his service territory
Target Environment:
○ Dealer has conducted the Technical Workforce Capability and Opportunity Assessment and
has at least 80% of the mechanics required as determined by the assessment tool
Good – greater than 80%, 10 points
Acceptable - 60% to 80%, 5 points
Not Recommended – Less than 60% or has not conducted assessment, 0 points
Goal/Background – Dealer has sufficient load bank capacity for both in house and field generator set
testing. Load Bank tests should be performed on all engines used in power systems applications prior to
shipping, installing or releasing them for use on customer equipment. This ensures that an
engine/generator system is performing properly prior to delivery to customers. The ability to provide test
results to the customer ensures to the customer that the repairs were effective, and allows the
establishment of a base line for future repair history. This arrangement is not only functional; it is
marketable to customers as an example of the dealers’ commitment to service and quality test procedures.
An effectively equipped testing area includes:
- An area/bay with ventilation and sufficient room for a Load Bank test that checks the
power system for proper outputs.
- A portable load bank testing system for testing the system.
Target Environment:
o Identified area/bay for load bank testing in the repair shop.
o A Load Bank test systems that is capable of testing 85% of the power systems repaired.
o A portable load bank testing system for testing the power systems load capacity.
o A second party tester that performs load testing and provided results prior to installation.
Acceptable – No in-house load bank testing systems, but second party testing prior
to installation or portable systems, 5 Points
Section 25
Segment Specific – Petroleum
Petroleum Specific Tooling

Goal/Background – Petroleum specific parts, tools, and special requirements must be identified and
ordered/maintained at the dealership before the resource is needed. A technician should have all the
necessary tooling
Target Environment:
o The dealer should identify/maintain petroleum specific tools that are required to support
petroleum equipment/engines
o Service Planners/Coordinators identify all known parts, tools, special tooling and technical
information required to complete the work order before the resource is needed.
o Parts, tools, special tooling and technical information are identified and ordered/reserved
before the resource is needed to avoid delays during petroleum on-site repairs.
Good – The dealer maintains Petroleum specific tooling. Parts, tools, and special
requirements are identified and ordered before the resource is needed. Parts
availability is communicated to the Service Department and tools/ special
requirements are reserved for job planning, 8 points
Acceptable – Parts, tools, and special requirements are identified and ordered
ONLY when the resource is needed. 4 points
Not recommended – No attempt to identify petroleum specific tooling, and order

parts, tools, or special requirements prior to the resource need, 0 points
Petroleum Application – Service Technician Training

Goal/Background – Dealership is capable of servicing petroleum engines with certified technicians.
Technicians are experienced with working on Oil Rigs and have a functional understanding of the service
variances of gas engine functions/repairs and liquid-fuel systems.
Target Environment:
o Dealer has technicians with experience on working with engines/gen-sets used in petroleum
applications.
o The dealer has at least one Technician that is experience on working with engines with
Liquid fuel systems.
Off–Shore Rig Operations – Marine Certification Training

Goal/Background – Dealership is capable of servicing Off-Shore Rig operations both engines/generators
with marine certified technicians.
Target Environment:
o Technicians have completed the CAT Certified Marine Engine Analysis training course.
o Technicians have completed the Off-shore Rig operations training course.
o The dealer has at least 1 technician that is certified in both the Marine Analyst Service
Training and Off-shore Rig Operations training course.
Good – Technicians trained and certified for servicing Off-Shore Rig operations, 10
Points
Acceptable – Technicians trained in Certified Marine Engine Analysis but NOT

certified for Off-Shore Rig operations, 5 points
Not Recommended – No Off-shore rig operations training for technicians, 0 points
Territory Coverage Strategy - Petroleum

Goal/Background – The dealership has a current Territory Coverage Strategy that is based on providing
product support to petroleum industry.
Target Environment:
o The dealership’s coverage strategy has been implemented and reviewed/updated within the
last 12 months and implemented to support petroleum customers.
o The coverage strategy includes dealer branch stores and service vehicles for providing
product support services to petroleum customers.
o The coverage strategy has been discussed and agreed to with the CAT Engine District Staff.
o The coverage strategy has been developed, but NOT agreed to with the CAT Engine District
Staff is Acceptable only
Good - Coverage strategy developed and agreed to by District and being

implemented, 10 points
Acceptable - Coverage strategy developed, not agreed to with District, 5 points
Not Recommended – No coverage plan, 0 points
Certified Engine Rebuild Program – Petroleum Customers

Goal/Background – Petroleum customers are given the option of having their engines repaired under the
Certified engine rebuild program.
Target Environment:
o Dealer is enrolled in the Certified Engine Rebuild Program
o Customers requiring overhauls are given a quote for a certified engine rebuild and are
provided written information about the program

Goal/Background – Dealer has sufficient load bank capacity for field generator set testing. Load Bank
tests should be performed on all engines used in power systems applications prior to installing or
releasing them for use on customer equipment. This ensures that an engine/generator system is
performing properly prior to delivery to customers. The ability to provide test results to the customer
ensures to the customer that the repairs were effective, and allows the establishment of a base line for
future repair history. This arrangement is not only functional; it is marketable to customers as an example
of the dealers’ commitment to service and quality test procedures.
Target Environment:
o A Load Bank test systems that is capable of testing 85% of the systems repaired.
o A portable load bank testing system for testing the power systems load capacity.
o A second party tester that performs load testing and provided results prior to installation.
Acceptable – No portable load bank testing systems, but second party testing prior
to installation, 5 Points
Engine Test Bed - Capability S-10

Goal/background – Dealer has the capability to test an engine that is repaired/rebuilt prior to installation.
Dynamometer testing ensures that repaired engines are capable of performing the appropriate functions
prior to installing the system at a customer’s location. A dealer should have sufficient capacity to test
complete commercial engine range to full rated power prior to installation.
- Small Bore (C.05 –C7) 10 HP – 300HP
- Medium Bore (C9 – C18) 300 HP – 800 HP
- Large Bore (C27 – C175) 650 HP– 2300 HP
Target Environment:
o Dealer has on-site or can demonstrate local access to certified engine test bed facilities with
capacity for full range of commercial engines operating in their territory.
o A dynamometer test systems that is capable of testing 85% of the power systems repaired.
o A process in place that ensures all engines rebuilds and repairs are tested prior to delivery to
customers.
o Customers are informed/provided the test results in a timely manner.

Acceptable – No dynamometer test-bed within the territory, but dealer has access
to Cat Certified testing, 5 points
Section 26
Segment Specific – On Highway
Truck Engine Service Sign

Goal/Background – Facility has a well-lighted Caterpillar truck engine service sign visible from a major
trucking route.
Target Environment:
o Facility has a well-lighted Cat Truck Engine Service sign visible from a major trucking
route.
o If located off the highway, dealer has a billboard visible from the highway providing
directions to the facility
Acceptable – Engine sign not visible from a major route, 5 points
Not Recommended – No sign, 0 points
PAR Chassis Dynamometer - Availability

Goal/Background – To assist in diagnosis of problems and to verify successful repair Dealer has access
to a fully functional PAR rated chassis dynamometer.
Target Environment:
o Dealer either has a PAR rated chassis dynamometer on site or has access to one within 50
miles of dealer facility.
Customer “Waiting
Goal/Background Area”
– Customers have a comfortable area in which to wait for service work to be
completed.
Target Environment:
o A customer waiting area, outside of the shop, is provided with access to clean rest rooms.
Customer has access to beverages and vending machines.
Customer Assistance – Over Night

Goal/Background - Customer is provided assistance for lodging reservations and transportation to hotel
or restaurant.
Target Environment:
o Dealer either provides transportation or provides contact numbers for local transportation.
o Dealer provides contact numbers for nearby overnight lodging accommodations.
Distinction between Truck Service Shop & other areas

Goal/Background – As far as possible, truck service customers are dealt with separately from other Cat
dealer customers
Target Environment:
o There is a clear distinction between the truck service shop and other functions.
Trailer Parking – “On-Site”

Goal/Background – Truck engine customers are not inconvenienced by having to leave their loads at
remote unsecured locations
Target Environment:
o There is adequate secure parking on site available for types of trailers common to the local
transportation industry (within reason).
Acceptable - Some available but trailers often must be parked off site, 3 points
Not Recommended - No secure on site parking available, 0 points
On-Highway Truck – Access

Goal/Background – Customers of all types of trucks can bring their rigs easily into the dealer’s facility
o Access to the site is suitable for all configurations of on highway trucks common to the local
transportation industry (within reason).
o Entry or Exiting from the site entrance does not take inordinate amount of time or seriously
disrupt local traffic.
Good – Adequate for customer base, 8 points
Not Recommended – Inadequate access, 0 points
On-Highway Truck – Shop Height

Goal/Background – All types of customer on highway rigs can be brought into the dealer shop under roof
Target Environment
o Shop height is suitable for all makes and models of on-highway trucks common to the local
transportation industry.
Good – All makes and models have clear access, 10 points
Acceptable – Some units cannot be fully raised. Truck attachments do not need
removal for access, 5 points
Not Recommended – No internal facilities for trucks or attachments must be

removed for access, 0 points
Process to Monitor TEPS Dealers

Goal/Background: The dealership has a documented process in place to evaluate, monitor and manage
TEPS dealer capabilities and has work plans in place to bring them to fully compliant state.
Target Environment
o The dealership has a documented process in place to evaluate and monitor TEPS dealer
capabilities and has work plans in place to bring them into a fully compliant state.
o TEPS dealers product support capabilities are evaluated at least annually
o TEPS dealers provide a minimum level of support depending on their status (Full Service or
Maintenance Service).
Good – TEPS program mgr. actively involved. Conducts annual evaluations of all
FS TEPS with recommendations for improvement, 10 points
Acceptable – TEPS program mgr. visits each TEPS dealer at least once per year.
No annual evaluations conducted, 5 points
Not Recommended – TEPS dealers not regularly visited or evaluated, 0 points
TEPS Dealer - Training

Goal/Background – TEPS dealer technicians are able to properly diagnose failures and repair Cat
engines. Other Cat product support personnel are aware of marketing programs and parts and service
options, which provide added value to the customers.
Target Environment:
o The cat dealer publishes and distributes (annually at a minimum) a comprehensive service
and parts training plan for TEPS dealers and follows up to ensure training is attended.
Good - Dealer publishes annual training schedule and courses are well attended by
TEPS dealers, 10 points
Acceptable – Dealer publishes annual training schedule but courses are poorly
attended, 5 points
Not recommended – Dealer does not schedule TEPS training courses, 0 points
Truck Engine Literature – Available

Goal/Background – Customers have access to pertinent Caterpillar product support promotional literature
in the parts and service areas of the dealer facility.
Target Environment
o Cat truck engine product support literature is displayed and available at the parts counter,
service receiving areas and the customer lounge.
Good – Literature racks are available and regularly refilled with pertinent engine
product support literature, 10 points
Not Recommended – Literature racks are routinely empty or no product support

literature on display, 0 points
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Section 24 - Electric Power Generation

General Star Rating Overall Market Star Rating General

NO STAR RATING POSSIBLE NO STAR RATING POSSIBLE

Designated Engine PSSR

Designated Engine Technical

Recommeded Goal (SeeRecommeded

Key Accounts Identified

Engine Business Development

Recommeded Goal (SeeRecommeded

Territory Coverage Strategy

Active Development of Engine

Recommeded Goal (SeeRecommeded

Skill Assessment - Engine

Service Department Operating

Contamination Control Training

Recommeded Goal (SeeRecommeded

Job Description - Employee

Performance Review Process -

Recommeded Goal (SeeRecommeded

Customer Labor Warranty

Customer Maintenance and

Recommeded Goal (SeeRecommeded

Customer Service Policy

"Caterpillar Dealer Directory"

Recommeded Goal (SeeRecommeded

Engine Service Tools -

"Fuel System" Repair Services

Recommeded Goal (SeeRecommeded

Firm Competitive Quotes

Flat Rate Management Process

Recommeded Goal (SeeRecommeded

Service Requests Procedure

Recommeded Goal (SeeRecommeded

Parts/Tools and Special

Recommeded Goal (SeeRecommeded

PSSR Quote Process

Service Department Quote

Recommeded Goal (SeeRecommeded

Access to Repair History and

Recommeded Goal (SeeRecommeded

Parts Ordering Process

Access to SIS or other PC

Computer Terminal Availability

Recommeded Goal (SeeRecommeded

Labor Reporting Procedure

Recommeded Goal (SeeRecommeded

Part/REMAN Core Return

Warranty and REMAN Parts

Service Reporting Procedure

Recommeded Goal (SeeRecommeded

Changes to Work Order after

Recommeded Goal (SeeRecommeded

Parts Integration Utilization

Service Technician Workbench

Recommeded Goal (SeeRecommeded

WIP Monitored and Managed

Recommeded Goal (SeeRecommeded

Meets TRG Times

Technicians can Meet Demand

Recommeded Goal (SeeRecommeded

Parts Order - Availability

Recommeded Goal (SeeRecommeded

Engine Product Support -