Metrics (KPI's) to Assess Process Performance

Ab ela rd o A. Flores Flores Ja m es W. Mc Ca herty Revision #03 – March 27, 2007 Caterpillar Confidential Yellow Copyright 2007 Caterpillar. Caterpillar. All Rights Reserved. Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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Introduction

Print nc e Dep a rtm en t is The p rima ry go a l a nd resp esCancel p on sib ili ilityDownload of the MAnd a intena is to maintain equipment in optimum condition via problem / failure avo id anc e. One of the key key tools tools of the the Maintena Maintena nc e Dep Dep a rtment is is pe rforma forma nc e mea sureme ureme nt. In ord ord er to be effective, pe rforma forma nc e me a surem urem ents should g ive us not o nly nly an a c c ura ura te p ic ture ture o f how w e a re performing relative to established targets and/or global benchmarks but also also p rovide ovide us with a p red ic tion tion o r projec projec tion tion a s to w hat we c a n expec t in te rms of future future p erformanc erformanc e.

In spite of the fact that it is human nature to want to report good news, the most valuable performance measures assist us in the identification of weak areas, poor practices and other opportunities for improvement. Therefore, herefore, itit b eho ove s us to ta ke a c ritic tic a l loo loo k at our pe rforma forma nc e via a n honest assessment of that performance. Only in this way are we able to c orrec orrec t sma sma ll issues b efo re the y be c om e ma jor p rob lem s. The c ollec ollec tion of performance measures included in this document help us to identify a nd und ersta ersta nd on-si on-site p erforma erforma nc e iss issues relate d to p rojec t he a lth a nd ma intena nc e / rep a ir p roc ess ess p erforma erforma nc e in in sup sup p ort of that p rojec t. In doing so we are also able to gain some insight into related issues such as application severity, operating practices, contract guarantees /  c om mitments mitments,, and c ontrac ontrac t financ financ ial hea lth. “Performance Metric” is a term used to describe the outcome of any p roc ess ess used used to c ollec ollec t, ana lyze, yze, interpr interpret et a nd p resent esent q ua ntita ntita tive tive d a ta . It is a measurement parameter that enables performance against some p re-de fined fined Ta rg et o r Benc hma rk to b e m onitored onitored … a me a surem urem ent used to gauge performance of a function, operation or business relative to p a st res resul ults ts a nd p rojec ted future future b eha vior. vior. “Benchmark” is another term frequently used to describe performance. Benchmark is defined as a world-class performance standard relative to a specific performance metric. A Benchmark represents and quantifies "wo rld -c la ss p erforma erforma nc e or be st p ra c tic tic e" of a n o p eration or of sp sp ec ific fic functions within that operation according to a specified performance metric. A benchmark is determined by and represents actual, documented, sustainable performance over time relative to some pe rforma forma nc e me tri tric .

Caterpillar Confidential Yellow Copyright 2007 Caterpillar. Caterpillar. All Rights Reserved. Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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Introduction

Print nc e Dep a rtm en t is The p rima ry go a l a nd resp esCancel p on sib ili ilityDownload of the MAnd a intena is to maintain equipment in optimum condition via problem / failure avo id anc e. One of the key key tools tools of the the Maintena Maintena nc e Dep Dep a rtment is is pe rforma forma nc e mea sureme ureme nt. In ord ord er to be effective, pe rforma forma nc e me a surem urem ents should g ive us not o nly nly an a c c ura ura te p ic ture ture o f how w e a re performing relative to established targets and/or global benchmarks but also also p rovide ovide us with a p red ic tion tion o r projec projec tion tion a s to w hat we c a n expec t in te rms of future future p erformanc erformanc e.

In spite of the fact that it is human nature to want to report good news, the most valuable performance measures assist us in the identification of weak areas, poor practices and other opportunities for improvement. Therefore, herefore, itit b eho ove s us to ta ke a c ritic tic a l loo loo k at our pe rforma forma nc e via a n honest assessment of that performance. Only in this way are we able to c orrec orrec t sma sma ll issues b efo re the y be c om e ma jor p rob lem s. The c ollec ollec tion of performance measures included in this document help us to identify a nd und ersta ersta nd on-si on-site p erforma erforma nc e iss issues relate d to p rojec t he a lth a nd ma intena nc e / rep a ir p roc ess ess p erforma erforma nc e in in sup sup p ort of that p rojec t. In doing so we are also able to gain some insight into related issues such as application severity, operating practices, contract guarantees /  c om mitments mitments,, and c ontrac ontrac t financ financ ial hea lth. “Performance Metric” is a term used to describe the outcome of any p roc ess ess used used to c ollec ollec t, ana lyze, yze, interpr interpret et a nd p resent esent q ua ntita ntita tive tive d a ta . It is a measurement parameter that enables performance against some p re-de fined fined Ta rg et o r Benc hma rk to b e m onitored onitored … a me a surem urem ent used to gauge performance of a function, operation or business relative to p a st res resul ults ts a nd p rojec ted future future b eha vior. vior. “Benchmark” is another term frequently used to describe performance. Benchmark is defined as a world-class performance standard relative to a specific performance metric. A Benchmark represents and quantifies "wo rld -c la ss p erforma erforma nc e or be st p ra c tic tic e" of a n o p eration or of sp sp ec ific fic functions within that operation according to a specified performance metric. A benchmark is determined by and represents actual, documented, sustainable performance over time relative to some pe rforma forma nc e me tri tric .

Caterpillar Confidential Yellow Copyright 2007 Caterpillar. Caterpillar. All Rights Reserved. Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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Caterpillar has invested a great deal of time, energy and resources first need to download it. identifying and developing several metrics of performance that quantify and trend product and project health. Based on that experience we have been able to document site performance in many of those Cancel actual Download And Print areas and feel very confident representing some of those results as Benchmarks. Unfortunately, the overwhelming majority of that effort has been c on c en tra tra ted on flee ts of large O ff Hi Hig hw a y Truc ks. ks. The refo re, mo st of the Benchmarks used in this document are specific to those fleets. When we have felt comfortable in doing so, we have also cited our best estimates of w ha t those those Benc Benc hma rks might b e for other mini mining ng eq uip uip me nt ifif we ha d access to a significant sample of data for those machines. In situations where we do not have that same level of confidence, we have made tha t c lea r a s we d o no t c a re to misl mislea d the user user b y sp sp ec ula ula ting ting . The m etric etric s c on ta ine d herein will will p rov id e insi insig ht into into t he p erforma erforma nc e o f the individual Maintenance & Repair Processes and their contributions to the en d results esults.. Tho se m e tric tric s a re o rg a nize nize d a s fo llow s:

1. - Fl Flee t Perfor Performa ma nc e Me tri tric s 2. - Ma inte na nc e & Rep a ir Pr Proc ess esses Metric Metric s 2.1 2.1 - Prev ent ive M a inte na nc e 2.2 2.2 - Co nd ition M on ito ring 2.3 2.3 - Ba c klog klog Ma na ge me nt 2.4 2.4 - Plann ing a nd Sc he d uling uling 2.5 2.5 - Pa rts Ma na g em ent 2.6 2.6 - Rep a ir Ma na g em ent 2.7 - Comp onent Mana gem ent 2.8 - Huma Hum a n Re Re so urc e s - Training ra ining 2.9 2.9 - Continuo us Imp rov em ent

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1.1 1. 1 Flee Flee t Pe Pe rforma nc e Me tric tric s

The fo llow ing m e a sures a re “ To p Tier” ier” p e rfo rm a nc e m e tric tric s o r Key Download And management Print Performance Indicators Cancel (KPI’s) that enable to quantify, a ssess ess a nd mo nitor nitor produc t hea lth a nd site p erforma erforma nc e.

1.1.1 - M e a n Tim Tim e Be tw twe e e n Shut Shutd d o w ns (M TBS) Definition: The a vera vera ge op erating erating time time be twee n ma c hine hine stop stop pa ge s … a function function of the average frequency of equipment downtime events, expressed in hours. Ca lc ula ula tion tion Method ology:

M TBS =

Op erating erating Hours Numb er of Shutd Shutd ow ns

(hours)

Description: MTB MTBS is a me a sure ure tha t c om b ine s the effe c ts of inherent m a c hine reliability and the effectiveness of the equipment management orga niza niza tion in in its its a b ility to influe influe nc e results results throug h p rob lem a vo id a nc e. Da ta So urce (s): (s): Op erating erating hours hours ob ta ined from from ma c hine hine servi servic c e mete r rea d ing . Note, hours obtained from dispatch systems frequently do not agree with ma c hine hine SMU SMU d ue to c od ing of p rod uc tion tion d elays elays,, etc . Note that hours hours ta ken from from ma c hine hine SMU will will be highe highe r tha n tho se ta ken from from d isp a tc h, oftentimes b y a s muc h a s 10 p erce nt. Note: Production delay hours may not be tracked and accounted for sep a ra tely a nd a re the refore inc inc lud ed in the to ta l op erating hours. hours. Sites that use dispatch systems may track and code production delay hours separate from operating hours hence they must be acquired from dispatch. Shutd ow n co unt ob ta ined from from ma c hine hine wo rkord kord er his history a nd d isp a tc h system ystem . Dis Disp a tc h infor informa ma tion tion must must be used used to a c c ount for shutd ow n events that a re not ac c om pa nied nied by a w ork orkord ord er. er. Caterpillar Confidential Yellow Copyright 2007 Caterpillar. Caterpillar. All Rights Reserved. Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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Ben c hm a rks & Ta rg et s:

MTBS b en c hm a rks va ry sig nific a ntly b y ma c hine m o d el, the ir rela tive size , a g e a nd d esig n “ ma turity” a nd c om p lexity. MTBS for la rge Off Hig hwa y Cancel Download And Print Truc ks in the 785 – 793 size c la ss is ve ry w e ll d o c um en te d . The b e nc hm a rk for a flee t of ne w truc ks is 80 hours; that o f a “ ma ture” flee t (one tha t ha s und ergo ne its first round of ma jor co mp one nt reb uild s) is 60 hours. Sinc e b y d efinition these b enc hma rks rep resent d oc ume nted , be st-inclass performance sustainable over time, we are frequently asked to a ssess p erforma nc e throug h a rang e o f results. The fo llow ing ta b le rep resent s ou r be st jud g me nt in this a rea .

MTBS 50 to 60 hours 40 to 50 hours 30 to 40 hours 20 to 30 hours < 20 hours

Assessm ent / Cha rac teristic s Exce llent; high % of sche duled dow ntime; Equipm ent Mg mt. orga nization is highly proactive. Acc epta ble; ma jority of do wntime is sche duled ; substantial em phasis on Equipm ent Mgm t. Marginal; ap prox. half of all d owntime is sche duled; Equipm ent Mg mt. disciplines not fully functional. Fair; < 40% downtime is scheduled; minimal effort on Equipment Mgmt. Poor; only PM’s are sch ed uled ; Equip me nt Mg mt. orga nization is purely reac tive.

Ta b le 1: Site p erforma nc e t hrough ra ng e o f MTBS 

Benchmarks for trucks smaller than the 785 and the 797 are less well kno w n a ltho ug h it is b e lieve d tha t M TBS fo r truc ks in the 769 – 777 size c lass will be significantly higher (as much 30 to 40%) while that of the 797 will be p e rha p s 10% lo w er. Simila rly, b enc hm a rks for othe r la rg e m ining eq uipm en t a re no t w ell d oc ume nted . How eve r, ind ic a tions a re tha t onc e MTBS d a ta is c ollec ted , a na lyzed a nd va lida te d , the results will fa ll into the follow ing ra ng es: Mac hine / Mod el

MTBS

D10 / D11 TTT’s

55 to 75 ho urs

992 / 994 WL’s

55 to 75 ho urs

16 MG

95 to 105 hours

24 MG

55 to 75 hours

5000 HEX

55 to 75 ho urs

Ta b le 2: MTBS g uid elines for mining m a c hines  Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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1.1.2 - Mea n Tim e first To need Reptoadownload ir (MTTit.R) Definition:

Cancel Download The a verag e d ow ntime for ma c hine stop paAnd ge Print s … the a verag e d ura tion of e q uipm ent d ow ntime e ven ts, exp ressed in hou rs.

Ca lc ulation Method ology:

MTTR =

To ta l Dow ntime Hours

(hours)

Numb er of Shutd ow ns

Description: Me a n Time To Rep a ir (MTTR) is a p e rfo rm a nc e m ea sure tha t q ua ntifies repair turnaround time, i.e. how quickly (or slowly) a machine is returned to servic e o nc e a d ow ntime inc id ent o c c urs. MTTR c om b ines the e ffec ts of inherent machine maintainability / serviceability and the efficiency of the equipment management organization in delivering rapid remedial a c tion in the exec ution o f need ed rep a irs.

Da ta So urce (s): Downtime hours obtained from machine workorder history and dispatch system . Disp a tc h informa tion must be used to a c c ount for d ow ntime tha t is not a c c om p a nied b y a w orkorde r. It is essential to no te tha t rep a ir d elay time should b e inc lud ed in the do wntime history c a lc ula tion. If d elay times a re know n, MTTR should b e c a lc ula ted b oth with a nd without delays. Shutd ow n co unt ob ta ined from m ac hine wo rkord er history a nd d isp at c h system . Onc e again, dispatch information must be used to a c c ount for shutdo wn e vents that

are not ac c omp anied by a workorde r. Ben c hm a rks & Ta rg et s: MTTR b enc hm a rks va ry som ew ha t b y m a c hine m od el, their rela tive size a nd d esig n c om p lexity b ut to a mu c h lesser extent tha n MTBS; ma c hine a g e is the p rima ry d river o f MTTR. MTTR fo r la rg e Off Hig hw a y Truc ks in the 785 – 793 size c lass is ve ry we ll d o c um e nte d . The b e nc hm a rk fo r a flee t of truc ks in th e 785 – 793 size c lass is 3 to 6 ho urs. MTTR fo r new truc ks sho uld Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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be close to the low end of the range while that of a “mature” fleet (one first need to download it. that has undergone its first round of major component rebuilds) should be c loser to t he hig h end o f the ra ng e . This is a result o f the re la tive c om p lexity of the rep a irs see n o n ne w versusAnd “ ma ture” ma c hines. Cancel Download Print Benchmarks for trucks smaller than the 785 and the 797 are less well kno w n a ltho ug h it is b elieve d tha t M TTR fo r truc ks in the 769 – 777 size c lass will be slightly lower (10 to 20%) while that of the 797 will be perhaps 10% higher. Simila rly, b enc hm a rks for othe r la rg e m ining eq uipm en t a re no t w ell d oc ume nted . How eve r, ind ic a tions a re tha t onc e MTTR d a ta is c ollec ted , analyzed and validated, the results will fall into much the same range as larg e O HT flee ts w ith large r m a c hine s, e.g . 24H MG a nd 5000 se ries HEX, b eing a s mu c h a s 30 to 40% highe r.

1.1.3 - Perc enta g e Sc hed uled Dow ntime Definition: The p erce nta g e of tota l d ow ntime ho urs p erformed in a g iven p eriod tha t have be en planned and sc heduled . Ca lc ulation Method ology:

% Sc hed uled Dow ntim e =

Sc hed uled Dow ntime Hours To ta l Dow ntime Hours

X 100

(%)

Description: A high percentage of unscheduled downtime incidents results in very inefficient use of resources and excessive costs since personnel are frequently shuffled from job to job and facilities and manpower req uireme nts need to b e suffic iently large to a c c om mo da te hug e swings in the numb er of ma c hines d ow n for rep a irs. Data c ollec ted from m ine studies has shown that the average downtime for unplanned /  unscheduled work is up to eight times greater than the downtime for planned / sc hed uled a c tivity.

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Downtime hours obtained from machine workorder history and dispatch system . Disp a tc h informa tion must be used to a c c ount for d ow ntime tha t Download And Print is not a c c om p a nied b y Cancel a w orkorde r. It is essential to no te tha t rep a ir d elay time should b e include d in the d ow ntime history c a lc ula tion. Ind ivid ua l wo rkord ers should b e c od ed a s “ sc hed uled ” or “unsc hed uled in order to tra c k the num b er of d ow ntime hours tha t are sc hed uled . Ben c hm a rks & Ta rg et s: % Sc he d uled Dow ntime Ho urs fo r la rg e Off Hig hw a y Truc ks in the 785 – 793 size class is very well documented. Mines with highly effective equipment management processes in place are able to execute 80% of its ma intena nc e and rep a ir d ow ntime a c tivity on a sc hed uled b a sis. We believe that this criterion holds true for other mining equipment as well however requirements for less utilized, non-production equipment may be so m e w ha t less.

1.1.4 - Co ntra c tual Ava ilab ility Definition: The ra tio o f time tha t a m a c hine is c a p a b le o f func tioning in the intend ed operation (available hours) to total hours in the period under consideration (typically either based on calendar or scheduled hours), exp ressed a s a p erc en ta g e. The c a lc ula tion of a va ila b le hours is no t a p ure c a lc ula tion sinc e the result is a me nd ed b y d ow ntime hours tha t a re sp ec ific a lly exclude d or limited b y the te rms of the c ontrac t. Ca lc ulation Method ology:

Tota l Ho urs * - MARC Dow ntime Ho urs Contractual Availability = To ta l Hours *

X 100

*NOTE: “ Tot a l Hours” a re typ ic a lly eithe r b a sed on c a lend a r or sc hed uled hours depending upon the calculation methodology defined in the a g ree me nt or c ustom er expe c ta tions. Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

(%)

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Contracts are written largely to ensure that production equipment is a va ila b le for op eration a suffic ient num b er of hours to e na b le the mine to Cancel Download And Print me et its p rod uc tion g oa ls a t a rea sona b le, p red ete rmined o p erating c ost. The sp ec ific p rov isions of a c on tra c tua l a va ila b ility g ua ra nte e va ry significantly from site to site, i.e. time that the contractor will be given credit for (available hours), time that the contractor will be held accountable for (contractual downtime), as well as specific exclusions, e.g. tires, dump b od ies, we ld ing , etc . a re d efined in d eta il in the c ontrac t. Furthermore, contracts frequently specify caps or limits on downtime that apply to things such as delays waiting on facilities, repair equipment and or other support infrastructure that the contractor is not expected to p rov id e an d ha s little c on trol ov er. Bec a use these exc lusions a nd limitations vary so widely from one site to the next, it is not possible to link p erforma nc e in this a rea to a ny kind of Benc hma rk nor d oe s it ma ke a ny sense to a ttem p t to ma ke c om p a risons from one site to the next. Ta rg et p erforma nc e should b e c om p lia nc e w ith the p rovisions d efined within the c ontra c t or, in the a bsenc e of a c ontra c t, with c ustome r expec tations. Da ta So urce (s): Tota l c a lend a r hours is eq ua l to the tota l time in the p eriod to b e analyzed, e.g. 8760 hours / year, 720 hours / 30 day month, 168 hours /  wee k, etc. If the available hours calculation involves the combination of operating hours, stand-by hours, production delay hours and operational delay hours (as it does in many instances), that information can be obtained from the machine service meter reading and information coded within the d isp a tc h syste m. MARC d ow ntime hours a re o b ta ined from the m a c hine w orkorder history a s we ll a s the d isp a tc h system . Disp a tc h informa tion must be used to ac c ount for d ow ntime tha t is not ac c om pa nied b y a w orkord er. It is essential that the machine repair history contain detail sufficient to determine if individual downtime events are excluded from the MARC downtime calculation. Ben c hm a rks & Ta rg et s: There is no Ben c hm a rk tha t is a p p lica b le to the C on tra c tua l Ava ila b ility pe rforma nc e me tric . Ta rge t pe rforma nc e should b e c om plia nc e with th e Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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provisions defined within the contract or, in the absence of a contract, first need to download it. with c ustom er exp ec ta tions. Cancel

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1.1.5 - Ava ilab ility Inde x Definition: The ra tio o f MTBS (a ve ra g e shutd o w n freq ue nc y) to the sum o f MTBS a nd MTTR (a ve ra g e shutd ow n d ura tion), exp ressed a s a p erc ent a g e.

Ca lc ulation Method ology:

Ava ila b ility Ind ex =

MTBS X 100

(%)

MTBS + MTTR Description: Ava ila bility is the result of the freq uenc y a nd d ura tion of d ow ntime eve nts (shutd ow ns). Bec a use o f the m a the ma tica l relat ionship b et we en M TBS, MTTR a nd Ava ila b ility Ind ex, the result show s wh ich of the ot he r two fa c to rs ha d the g rea te st influe nc e up on th a t result. This a llow s ma na g em en t to react appropriately to changes in the Availability Index and by focusing its effo rt a nd re so urc e s o n t he fre q ue nc y (M TBS) o r du ra tion (MTTR) o f do wntime events. Da ta So urce (s): Sinc e Ava ila b ility Ind e x is d erive d fro m MTBS a nd MTTR, the d a ta so urc es for those two me tric s a re a p p lic a b le here a s we ll. Ben c hm a rks & Ta rg et s: Availability Index benchmarks vary significantly by machine model, their relative size, ag e a nd d esign “ ma turity” a nd c om p lexity. Ava ila b ility Ind ex fo r la rg e Off Hig hw a y Truc ks in th e 785 – 793 size c lass is ve ry we ll d oc ume nted . The b enc hma rk for a flee t of new truc ks 92%; tha t of a “ ma ture” flee t (one tha t has und ergone its first round of ma jor c om p one nt reb uild s) is 88%. Benchmarks for truck smaller than the 785 and the 797 are less well known a ltho ug h it is b elieve d tha t the Ava ila b ility Ind ex for truc ks in the 769 – 777 Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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size class will be somewhat higher (possibly 2 to 3%) while that of the 797 first need to download it. will be p erha p s 1 to 2% low er. Simila rly, b enc hm a rks for othe r la rg e m ining eq uipm en t a re no t w ell Cancel Download And Print do c umented . How ever, indica tions are that onc e the da ta is c ollec ted , analyzed and validated, the results will fall into much the same range as larg e O HT flee ts w ith large r m a c hine s, e.g . 24H MG a nd 5000 se ries HEX, being as much as 3 to 4% lower and smaller machines, e.g. 16H, being 1 o r 2% hig he r.

1.1.6 - Ma intenanc e Ra tio Definition: Maintenance Ratio is a dimensionless ratio of maintenance and repair ma n-hours to ma c hine o p erating hours. Ca lc ulation Method ology:

Ma intena nc e & Rep a ir Ma n-Hours

Ma intena nc e Ra tio

c ha r e d

=

Op erating Hours

Description: Maintenance Ratio is an indication of the amount of effort required to keep equipment in service as well as the efficiency with which labor is d ep loye d a nd the effec tivene ss of the wo rkforce in c a rrying out its d uties. Maintenanc e Ratio c an b e c alculated as either “ c harge d” or “ direc t”. “Charged” Maintenance Ratio considers only workorder man-hours (direc t la b or). Rep a ir sho p , e.g . Co mp on en t Reb uild C en ter, la b or is no t inc lud ed in the ca lc ula tion. “ Ove ra ll” Ma intena nc e Ra tio inc lud es a ll the eleme nts of “ c ha rg ed ” Ma intena nc e Ra tio p lus sta ff, sup ervision a nd id le time. Da ta So urce (s): Maintenance and repair man-hours are obtained from the work order histo ry. The result sho uld inc lude a c tua l time sp e nt w o rking o n a ll fo rm s o f ma inte na nc e, rep a irs a nd mo d ific a tion s a s we ll a s ineffic ienc ies tha t result from inspection and diagnostic time or any delay or wait time for bay space, parts, tooling, literature, repair support equipment, decision ma king, etc. Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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Operating hours are obtained from machine service meter reading and first need to download it. onc e a g a in should inc lud e p rod uc tion d elay hours. Note, hours ob ta ined from d isp a tc h system s freq uently do not a g ree with ma c hine SMR d ue to c od ing o f prod uc tion d elays, Canceletc . Download And Print Ben c hm a rks & Ta rg et s: Maintenance Ratio benchmarks vary significantly by machine model, their relative size, age and design “maturity” and complexity. Ma inten a nc e Ra tio fo r large Off Hig hw a y Truc ks in the 785 – 793 size c lass is ve ry we ll d oc um ent ed . The b enc hm a rk for a flee t of ne w truc ks is 0.20 man-hours/ operating hour; that of a “mature” fleet (one that has und ergo ne its first round of ma jor c om p on ent reb uild s) is 0.30 ma n- ho urs/  operating hour. Sinc e b y d efinition these b enc hma rks rep resent d oc ume nted , be st-inclass performance sustainable over time, we are frequently asked to a ssess p erforma nc e throug h a ran g e o f results. The fo llow ing (ta b le 3) rep resent s ou r be st jud g me nt in this a rea . MR

Assessm ent / Cha rac teristic s

0.30 to 0.35

Exce llent; high % of sche duled downtime ; Equipm ent Mg mt. orga nization is highly proactive.

0.35 to 0.40

Ac ce ptab le; ma jority of dow ntime is sched uled; substantial em phasis on Equipm ent Mgm t.

0.40 to 0.50

Marginal; ap prox. half of all d owntime is sche duled; Equipm ent Mg mt. disciplines not fully functional.

0.50 to 0.60

Fair; < 40% do wntime is sch ed uled ; minim al effort on Equip me nt Mg mt.

> 0.60

Poor; only PM’s are sche dule d; Equip me nt Mg mt. orga nization is purely reac tive.

Tab le 3: Site performa nc e through rang e of Ma intena nc e Ratios 

Benchmarks for trucks smaller than the 785 and the 797 are less well known although it is believed that Maintenance Ratio for trucks in the 769  – 777 size c la ss w ill be sligh tly low e r w hile th a t o f th e 797 w ill be som ew ha t higher. Simila rly, b enc hm a rks for othe r la rg e m ining eq uipm en t a re no t w ell do c umented . How ever, indica tions are that onc e Ma intenanc e Ratio data is collected, analyzed and validated, the results will fall into the ra nge s show n in the tab le b elow. It is imp ortant to note he re tha t ma c hine a p p lica tion w ill p la y a role in Ma inte na nc e Ra tio. This is p a rticula rly true in the c a se o f la rg e Tra c k-typ e Tra c to rs tha t c a n b e d ep loyed a s either p rod uc tion or sup p ort eq uip me nt. (Refer to ta b le 4 below). Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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0.40 to 0.50

992 / 994 WL’s

0.35 to 0.45

Cancel 16 MG

Download And Print 0.10 to 0.15

24 MG

0.15 to 0.20

5000 HEX

0.50 to 0.60

Tab le 4: Ma intena nc e Rat io guidelines for mining m a c hines 

1.1.7 - Top Prob lems Sum m a ry Definition: The d istribution o f p rob lem s a ffec ting a flee t o f eq uip me nt ra nked in te rms o f MTBS, MTTR, im p a c t o n A va ila b ility a nd Co sts. Ca lc ulation Method ology:

MTBS (b y syste m) =

MTTR (b y syste m ) =

Imp a c t on Ava ila b ility

(by system)

Op erating Hours

(hours)

Numb er of Shutd ow ns (b y syste m)

Downtime Hours (b y syste m)

(hours)

Numb er of Shutd ow ns (by syste m)

= ( 1 – Ava ila b ility

(total mac hine)

Cost

Co st p er Hour (b y syste m) =

)

Downtime Hours (by system) X

(%) To ta l Dow ntime Ho urs (machine)

(b y syste m)

(US & / ho ur)

Op erating Hours

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All m ining sup p o rt op era tions ha ve lim ited reso urc es. The m o st suc c e ssful operations are those that have a clear understanding of the problems Cancel Download And Print and issues facing them and are thus in a position to establish priorities in order to focus their efforts and allocate the appropriate resources on rem ed ia l or c on ta inmen t stra teg ies throug h c on tinuo us imp rov em en t. The identification and quantification of top problems by component (e.g. engine, transmission, …), system (e.g. hydraulics, electrical, …) or even process (e.g. PM) facilitates the understanding of the extent that each area is having an influence on various criteria that comprise the success of a mining sup p ort op eration , i.e. shutd ow n freq ue nc y (MTBS), shutd ow n d urat ion (MTTR), imp a c t on Ava ila b ility a nd C o sts. With this kno w led g e the Projec t Ma na g er is a b le to “ d rill d ow n” to the key issues fa c ing his site and apply the necessary resources in the most efficient manner to imp ro ve his situa tion. Da ta So urce (s): Operating hours are obtained from machine service meter reading. Note, hours ob ta ined from d isp a tc h system s freq uently do not a g ree with ma c hine SMR due to c od ing of p rod uction d elays, etc. Shutd ow n c ount is ob ta ined from ma c hine w orkorder history and d isp a tc h system . Disp a tc h informa tion must be used to a c c ount for shutd ow n eve nts tha t are not a c c ounte d for b y a w orkorde r. Shutd ow n co unt must b e d ete rmined ind ivid ua lly for ea c h a rea of the m a c hine a s we ll a s for the machine as a whole in order to assess not only the contribution of each a rea b ut a lso to c a lc ula te Ava ila bility Ind ex. Downtime hours obtained from machine workorder history and dispatch system . Disp a tc h informa tion must be used to a c c ount for d ow ntime tha t is not a c c om p a nied b y a w orkorde r. It is essential to no te tha t rep a ir d elay time s should b e include d in the d ow ntime history c a lc ula tion. If d elay times a re know n, MTTR should b e c a lc ula ted b oth with a nd without d ela ys. As is the c a se with shutd ow n c ou nt, d ow ntime must b e determined individually for each area of the machine as well as the ma c hine a s a who le in order to a ssess the c ontribution o f ea c h a rea . Tota l c ost to sup p ort and ma inta in ea c h of the system s a nd c om p one nts on the m a c hine. At a m inimum it is vita l to know the b rea kdo wn for c osts of rep a irs a nd reb uild s of ea c h major c om p one nt on the ma c hine. Mo st recordskeeping systems we have studied do a fairly poor job of Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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documenting costs but if Project Management is to have any opportunity first need to download it. to m a na g e c ontrac t p rofitab ility, c osts must be known. Ben c hm a rks & Ta rg et s:

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There is no set of Benc hma rks tha t is a p p lica b le t o t his me tric . How ev er, ove r the c ourse of investiga tion d uring EMR’ s we d eve lop ed a c ollec tion of g ene ric referenc e g uid eline s for la rg e Off Hig hw a y Truc ks in the 785 –  793 size c la ss tha t c a n b e use d a s a g a ug e to ev a lua te MTBS, MTTR a nd imp a c t on Ava ila bility. This referenc e d efines wha t we b elieve to b e a reasonable level of acceptability for frequency of downtime events (MTBS), d urat ion o f do w ntime ev en ts (MTTR) an d im p a c t on A va ila b ility for ea c h of the major areas on the ma c hine. The d a ta is rep resent a tive o f a site o p erating a t a n Ava ila b ility Ind ex of a p p roxima te ly 90% a nd is, of c ou rse, g en eric sinc e a c tua l results a c hieved at any given mine are site-specific because results of this kind are a function of not only application severity but also of the operating environment, the maintenance the equipment receives and product design shortcomings that are particular to machines either by model or within a g ive n ra ng e o f seria l num b ers. The “ Ge neric Pa ret o Refe ren c e – La rg e Off Hig hw a y Truc ks” inc lud ed in the Appendix can be used as a baseline until Project Management has sufficient individual site-specific experience and history to determine how this referenc e c a n be mo d ified to fit the a p p lic a tion in question. Sinc e there are ma ny fac tors other tha n eq uipm ent ma nag eme nt that influence costs (labor rates, transportation costs, import duties, taxes, etc .), it is imp ossib le to d efine Ben c hm a rks tha t a re universa lly a p p lic a b le to a ny given ma c hine mo d el. This be ing the c ase, we rec om mend that bud ge tary c ost and c om p onent life projec tions be used to d efine ta rge t c ost pe r hour figures and that a c tual cost pe rforma nc e b e c om pa red to those targets in order to determine if any particular area is out of line with expectations.

1.1.8 - Asset Utilization Definition: The p rop ortion o f time tha t a ma c hine is op erating (op erating hours) divided by the total calendar time in the period, expressed as a percentage. Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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Ca lc ulation Method ology:

Op erating Hours

Asset Utilization = Cancel

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X 100

(%)

Tot a l Ca len d a r Ho urs

Description: How effectively the Operations Department schedules equipment and efficiently it utilizes that equipment has significant implications for Ma inte na nc e. If ma c hines a re sc he d uled for use 24 ho urs a d a y, 7 d a ys a week, Maintenance must respond by working with Operations to find windows of opportunity in which maintenance and repairs can be p erforme d without increa sing do wn time. These op p ortunities typ ic a lly occur during scheduled shutdowns but they may also come at shift c ha ng e, lunc h b rea ks or during o p erationa l d ela ys suc h a s d uring b la sting or fueling of equipment. In all circumstances, Operations and Maintenance need to recognize that they are working together toward common goals … high availability, good machine reliability and the low est p ossib le c ost p er unit of p rod uc tion. Da ta So urce (s): Operating hours are obtained from machine service meter reading and should inc lud e prod uc tion de la y hours. Note, hours ob ta ined from d isp a tc h system s freq uently do not a gree with ma c hine SMU d ue to c od ing of prod uc tion de la ys, etc . Note that hours ta ken from m a c hine SMU will b e hig her tha n tho se ta ken from d isp a tc h, often time s b y a s mu c h a s 10 p erce nt. Tota l c a lend a r hours is eq ua l to the tota l time in the p eriod to b e analyzed, e.g. 8760 hours / year, 720 hours / 30 day month, 168 hours /  we ek, etc . Ben c hm a rks & Ta rg et s: Asse t Utiliza tio n fo r large Off Hig hw a y Truc ks in the 785 – 793 size c lass is very well documented. Mines with highly effective equipment management processes in place are able to achieve Asset Utilization of 90%, ove r 7800 op erating ho urs p er yea r. We b eliev e th a t this Ben c hm a rk is valid for other production mining equipment however the Benchmark for less utilized, non-production equipment, although unknown, may be signific a nt ly less. Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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1.1.9 - PIP / PSP Cofirst mp letio n Ra te need to download it. Definition:

Cancel Download Print A tracking tool used to monitor the status And of implementation of factory programs.

Ca lc ulation Method ology: Fa c tory p rog ra m c om p letion sta tus is c a lc ula ted a s the ratio o f prog ra ms completed on a machine-by-machine basis relative to the number of program s that a re a c tive a nd a p plic a ble at the time unde r c onside ra tion. This ra tio sho uld b e exp ressed a s a p erc en ta g e. Prog ra ms tha t are d efined a s "a fter fa ilure" should no t b e inc lud ed in the c a lc ula tion. Da ta So urce (s): Fa c tory prog ra ms a re rec eived on site via the d ea ler Tec hnic a l Communications staff and include all of the information necessary to d ete rmine a p p lic a b ility a nd mo nitor their co mp letion sta tus, i.e. p rog ra m identification number, dates of issue and termination, and program type. Machine serial number and hourmeter information obtained from the ma c hine history at the site . Ben c hm a rks & Ta rg et s: Sinc e fa c tors suc h a s p a rts a va ila b ility c a n imp a c t on m a na g em ent's ab ility to c om p lete a program and in some c a ses p rog ra m e xec ution c a n be delayed to coincide with other related work (which may be a valid decision on the part of management), there is no Benchmark that is a p p lic a b le to this me tric. How ev er, c om p lia nc e with this d isc ip line is viewed as critical to the success of a project and common sense would dicta te that a highe r pe rc entag e of co mp letion of outstand ing p rog ra ms is d esira b le. Clea rly, no p rog ra m sho uld b e p ermitted to run b eyo nd its termination date without being addressed unless it is an after failure only program.

2.1 Preventive Ma intena nc e The fo llow ing me tric s a re indica tors of the p erforma nc e a nd / or contributions of the Preventive Maintenance process to the end results of the p rojec t, i.e. eq uip me nt relia bility a nd a va ila b ility. Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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2.1.1 - MTBS a fter PM first need to download it.

MTBS after PM

Cancel Download And Print Tota l Op era ting Hours to First Sto p

=

(hours)

Numb er of PM Servic es

The a ve ra g e op erat ing ho urs to the first sto p a fter ea c h PM servic e is a va lid ind ic a tion o f PM q ua lity an d e ffec tivene ss. The Ben c hm a rk (b est in c lass) fo r large Off Hig hw a y Truc ks is 105 ho urs; a re a listic ta rge t is 2 to 3 time s the o ve ra ll MTBS. Tra c king a nd trend ing th is m e tric m o nth ly offe rs a rea son a b le rep resent a tion o f PM q ua lity an d e ffec tive ness.

2.1.2 - Una va ilab ility PM

Unavailability

PM

=

(1 - Ava ila b ility) X

PM Dow ntime Ho urs Tota l Dow ntime Ho urs

X 100

Una va ila bility d ue to Preve ntive M a intena nc e q ua ntifies the imp a c t of PM on a va ila b ility. There is no Ben c hm a rk a ssoc ia ted with this me tric b ut a reasonably valid target is in the range of 2.75 to 3.25% for large Off Hig hw a y Truc ks in the 785 – 793 size c lass. The re sult of t his m ea sure sho uld b e t a ken in c o nte xt with M TBS after PM . If una va ila b ility d ue t o PM is b elow the ran g e a nd MTBS after PM is low, it is a safe assumption that insufficient time and effort is being placed on PM. Co nve rsely, if una va ila b ility d ue t o PM is a b ov e t he ran g e a nd MTBS aft er PM is high, one can assume that the site is placing substantial emphasis on the va lue o f PM.

2.1.3 - MTTR PM

MTTR PM =

Tota l PM Dow ntime Hours

(hours)

Numb er of PM Servic es

The a verag e d ow ntime hours d ed ic a ted to PM is a n ind ic a tion o f PM efficienc y. There is no Ben c hm a rk a ssoc ia ted with this me a sure b ut a reasonable target is in the 7.75 to 8.5 hour range for large Off Highway Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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Truc ks tha t are on a 250 ho ur PM se rvic e interva l. The ta rg et fo r first need to download it. equipment that is on a 500 hour PM service interval is higher, i.e. double tha t of the 250 hour interva l. Onc e a ga in, if ave ra ge PM d ow ntime is the ra ng e, it ma y ind ic a te a nd MTBS after is a safe assumption that Cancel Download And itPrint PM is low, insufficient time and effort is being placed on PM. Conversely, if average PM d ow ntime is a b ove the rang e a nd MTBSaft er PM is high, one c a n a ssum e that the site is placing substantial emphasis on the value of PM. Ad d itiona lly, one should c onsid er the imp a c t of e ffic ienc y fac tors suc h a s facilities, tooling, training, planning & scheduling, etc. when assessing MTTR PM.

2.1.4 - Service Accuracy A measurement of Preventive Maintenance execution timeliness based on a statistical calculation that predicts the probability that the next PM service will occur within the recommended range (+/- 25 hours of target interval). The c a lc ula tion is b a sed up on p a st p erforma nc e a nd a ssume s tha t PM interva ls a re no rma lly d istribute d a b ou t the me a n. The Benc hm a rk fo r S.A. is 95% b ut a n a g g ressive ta rg et th a t w ill yield exc ellent results is 90%.

2.1.5 - Ba c klo g s exec uted d uring PM Backlogs executed during Preventive Maintenance is a good indication of how well the organization is using the “window of opportunity” presented by PM to maintain the equipment at a standard that will enh a nc e p rod uc t relia b ly. There is no Ben c hm a rk or ta rg et fo r this measure.

2.1.6 - Bac klog s ge nerated during PM The num b er of de fec ts id entified a nd ente red into the Ba c klog Management system during the execution of Preventive Maintenance. Sinc e this me a sure is a d irec t func tion of the num b er of ma c hines b eing monitored as well as their condition, no Benchmarks or targets are applicable. Backlogs generated during PM quantifies the use of the “window of opportunity” presented during the PM shutdown for defect de tec tion (an e leme nt of Cond ition Monitoring).

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2.2 Co nd ition Monitoring

The fo llow ing me tric s a re indica tors of the p erforma nc e a nd / or Cancel Download And Print contributions of the Condition Monitoring process to the end results of the project.

2.2.1 - Me a n Tim e Between Fa ilure s (MTBF)

MTBF (Me a n Time Be tw e en Fa ilures)

=

Operating Hours

(hours)

Numb er of Fa ilures

The a verag e o p erating time b etw ee n eq uip me nt failures; the inverse o f failure frequency, expressed in hours. Failures may be the result of technical product issues, i.e. equipment unreliability, or due to maintenance / repair neglect, i.e. equipment management ineffec tivene ss in the a rea of p rob lem av oida nc e. We ha ve not esta b lished a Benc hm a rk for MTBF a nd d o no t ha ve suffic ient c on fid en c e at this time to provide a reasonable target. (Please see the Glossary for our d efinition of e q uip me nt Fa ilure.)

2.2.2 - Una va ilab ility

Unavailability

U/S

=

(1

Unscheduled

Availability) X

Unsc hed uled Dow ntime Tot a l Dow ntime

Unavailability due to unscheduled downtime quantifies the impact of unsc hed uled ev en ts on a va ila b ility. There is no Ben c hm a rk assoc ia ted with this me tric b ut a rea son a b ly va lid ta rg et is < 2% for la rg e O ff Hig hw a y Truc ks in the 785 – 793 size c lass. If una va ila b ility d ue to unsc he d uled downtime is significantly higher than 2%, it is reasonable to assume that gaps exist in the detect-plan-execute cycle therefore improvements to the Co nd ition Mo nitoring , Pla nning & Sc hed uling a nd / or rep a ir exec ution areas will be necessary. Increasing unavailability due to unscheduled downtime is a valid predictor of pending problems and may very well p red ic t future shortag es of m a np ow er and fac ilities.

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Fa ilure Red uc tion (FR)

=

Unsc hed uled hours _ Unsc hed uled hou rs (6 m o nth s RA) And Print (last month) Cancel Download Unsc hed uled ho urs (6 month rolling a vera ge )

X 100 (%)

Failure Reduction is a means of quantifying the impact of Condition Mo nitoring in its effo rts to wa rd fa ilure / p rob lem a vo id a nc e. Since unscheduled events are inherently more difficult and inefficient to deal with in terms of the time required to make unscheduled (unplanned) repairs, Failure Reduction should be the primary focus of Condition Monitoring activities. Because the opportunity to improve in this area is highly dependent upon the amount of unscheduled downtime taking p la c e a t the site, the re is no Benc hm a rk or targe t for Fa ilure Red uc tion. In any event, the result should be positive indicating a decline in the percentag e of unsc heduled do wntime.

2.2.4 - Co nd ition Mo nitoring Tota l Sa ving s

CM Total Sa vin s =

CM Cost Sa vin

C M Pro ra m C o st

Co nd ition Mo nitoring Tot a l Sa vings d efines the “ Va lue Prop osition ” for Condition Monitoring. In other words, the total savings generated by Condition Monitoring (cost of after-failure repairs – cost of preventive, before-failure repairs) must be greater than the cost of implementation a nd exec ution of the C ond ition M onito ring p rog ra m. There is no Benchmark for this metric but the target should be a positive value (net savings as a result of Condition Monitoring).

2.2.5 - Tota l Ba c klo g s Ge nerated

Ba c klog s Ge nerate d = To ta l Ba c klo g s Ge ne ra te d in th e Perio d (To ta l) The num b er of de fec ts id entified a nd ente red into the Ba c klog Ma na ge me nt system d uring a sp ec ified p eriod (typica lly one mo nth). This metric assesses the Condition Monitoring effort in and ability to suc c essfully d ete c t p ot en tial prob lem s b efo re fa ilure. Sinc e th is me a sure is Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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a d irec t function o f the numb er of ma c hines b eing m onitored , there is no first need to download it. Benc hma rk or ta rg et.

2.2.6 - Working on Ta rgeCancel t

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Working o n Ta rg et = % Ba c klo g s o n Prob lem List The p erce nta ge of Ba c klog s g ene ra ted whic h a d d ress issues tha t a p p ea r o n th e “ To p 10” histo ric a l prob lem list. The result yie ld s the % o f Co nd itio n Mo nitoring a c tions tha t a re “ On Ta rg et” relat ive t o the key issues a ffec ting site p erforma nc e. There is no Ben c hm a rk or targe t fo r this me tric ho w ev er, if all issues on the problem list are not producing Backlogs, the Condition Mo nitoring effort ma y be misd irec ted .

2.2.7 - Ba c klog s Gene ra ted b y Origin

Ba c klog s Ge nerate d

=

Ba c klog s Ge nerate d in the Period b y a rea of o rig in

(b y O rig in) Backlogs Generated by Origin identifies which areas that are or are not c on trib uting to effo rts b y Co nd ition M onito ring in fa ilure d et ec tion. There is no Benc hma rk for Ba c klog s Ge nerated b y Origin, how eve r, if the q ua ntity of Backlogs generated by operators, inspectors, the PM crew, the shop crew, etc is low, additional emphasis should be placed on the offending party(s) to encourage their participation in the defect detection process. Conversely, if the percentage of “shop-found” defects is d isp rop ortiona tely high, the o ther area s must b e e nc ourag ed to inc rea se their involvement since “shop found” defects are typically far less effic iently exec uted d ue to the inab ility to p la n the w orkloa d . There are no Benc hm a rks or ta rg et s relat ed to this me tric.

2.2.8 - Dete c tion Level

Potential Failure Detec tion (PFD)

Rec orde d Ba c klog s =

X 100 (%)

Tot a l d efe c ts p end ing

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This me tric is b a sed on a c om p a rison b etw ee n the numb er of Ba c klog s first need to download it. recorded in the system and the defects that can be detected in an insp ec tion of a ra nd om ly selec ted sa mp le o f ma c hines (10% of to ta l flee t a t minimu m). Althoug h Cancel insp ec tions a re limited to visua l insp ec tion, the Download And Print Potential Failure Detection level can be used to assess the level of detection of Condition Monitoring.

2.3 Ba c klog Ma nag em ent The fo llow ing me tric s a re used to e va lua te the a b ility of the Ba c klog Management process to prioritize, control and manage problems identified through Condition Monitoring such that they do not result in unnec essa ry d ow ntime .

2.3.1 - Tota l Ba c klog s Pend ing The to ta l numb er of de fec ts id entified b y Cond ition M onitoring a nd pending in the Backlog Management process. An indication of the p end ing wo rkloa d a nd risk for fa ilure. Sinc e t his num b er is d ep end ent upon the size of the fleet being managed, there is no Benchmark or ta rg et for this me tric.

2.3.2 - Ba c klo g s Pend ing b y Ma c hine The to ta l numb er of d efec ts p er ma c hine identified b y Cond ition Mo nitoring a nd p end ing in the Ba c klog Ma na ge me nt p roc ess. There is no Benchmark for this metric, however a reasonable target is that there should b e no mo re tha n five p end ing Ba c klog rep a irs p er ma c hine.

2.3.3 - Tota l Ba c klo g s Ge nerated

Ba c klog s Ge nerate d = To ta l Ba c klo g s Ge ne ra te d in th e Perio d (To ta l) The num b er of de fec ts id entified a nd ente red into the Ba c klog Ma na ge me nt system d uring a sp ec ified p eriod (typica lly one mo nth). This metric assesses the Condition Monitoring effort in and ability to suc c essfully d ete c t p ot en tial prob lem s b efo re fa ilure. Sinc e th is me a sure is a d irec t function o f the numb er of ma c hines b eing m onitored , there is no Benc hma rk or ta rge t. Ba c klog ge neration should b e viewe d in the c onte xt of % sc hed uled d ow ntime a nd, if the pe rc enta ge of sc hed uled d ow ntime Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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is low , the tota l numbe r of Ba c klog s g ene ra ted should b e c orresp ond ing ly first need to download it. high. Cancel 2.3.4 - Tota l Ba c klo g s Exe c uted Download And Print

Ba c klo g s Exec ute d

= To ta l Ba c klo g s Exec ute d in the Perio d

(To ta l) The num b er of Ba c klog rep a irs p erforme d d uring a sp ec ified p eriod (typica lly one mo nth). This me tric eva lua tes the a b ility of the ma intena nc e organization to react appropriately to correct defects identified through the C ond ition Mo nitoring p roc ess. Sinc e this me a sure is rela te d to th e number of Backlogs in the system, there is no Benchmark or target, however, there should be a balance between the number of Backlogs generated and executed.

2.3.5 - Estim a ted La b or To Rep a ir The to ta l estima ted rep a ir la b or ma n-hours req uired to e xec ute a ll of the p end ing Ba c klog s tha t have be en g ene ra ted . This me tric is a n ind ic a tion of severity of the Backlog workload and the potential availability lost if manpower resources are insufficient to accomplish the task at hand. There is no Ben c hm a rk for this me tric b ut a rea sona b le t a rg et is tha t the total estimated repair labor man-hours required to clean up the Backlog list sho uld b e < 5% of a va ila b le ma n-hours la b or for the m on th.

2.3.6 - Backlog Status Summary The Ba c klog Sta tus Summ a ry d efines the num b er of p end ing Ba c klog s that are waiting for planning (“Red phase”), waiting for parts / resources (“ Blue p ha se” ), a nd wa iting to b e e xec uted (“ Green p ha se” ). There is no Benc hm a rk or ta rg et for the Ba c klog Sta tus Summ a ry ho w ev er this me tric analyzed to identify any weak area(s) in the detect-plan-execute cycle tha t ma y be d elaying the Ba c klog rep a ir exec ution p roc ess.

2.3.7 - Ba c klo g s > 30 Da ys Old Measured from the date the Backlog was generated, this metric assesses the quality and timeliness of the response of the Backlog Management syste m in its a b ility to resp on d p roa c tively to elimina te p ot en tia l p rob lem s. It is important to note that Backlogs are potential failures, thus Backlog Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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a g e is a n ind ica tion o f the risk of fa ilure tha t a site is und e r. The re is no first need to download it. Benchmark for this measure however an aggressive target is that no Ba c klog s a re g rea ter than 30 d a ys old. Download And Print

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2.4 Planning a nd Sc hed uling The follow ing me tric s a re used to eva lua te how we ll the Pla nning a nd Sc he d uling p roc ess is orga nized a nd func tioning to e nsure tha t p la nne d activities can be accomplished both efficiently and effectively and that the y do not result in unne c essa ry do wn time.

2.4.1 - Perc enta g e Sc hed uled Dow ntime

% Sc hed uled Dow ntim e =

Sc hed uled Dow ntime Hours Tota l Dow ntime Ho urs

(%)

X 100

A high percentage of unscheduled downtime incidents results in very inefficient use of resources and excessive costs since personnel are frequently shuffled from job to job and facilities and manpower req uireme nts need to b e suffic iently large to a c c om mo da te hug e swings in the numb er of ma c hines d ow n for rep a irs. Data c ollec ted from m ine studies has shown that the average downtime for unplanned /  unscheduled work is up to eight times greater than the downtime for planned / sc hed uled a c tivity. The Benc hma rk for p erce nta ge of sc hed uled d ow ntime is 80% of maintenance and repair downtime activity is executed on a scheduled b a sis. A rea so na b ly ag g re ssive t a rg et fo r m o st sites is 60%.

2.4.2 - Sc hed ule Com plianc e by Hours

Sc hed ule Co mp lia nc e = (b y ho urs)

Sc he d uled PM & Rep a ir Hours Exec ute d PM & Rep a ir Hours Sc he d uled

X 100 (%)

Sc hed ule C om p lia nc e (b y hours) is the rat io o f sc he d uled Prev ent ive Maintenance and repair downtime hours actually executed to the Preve ntive Ma intena nc e a nd rep a ir dow ntime hours sc hed uled . There is no Benc hma rk for this me tric b ut the ta rg et should b e in the ra ng e o f 90 to Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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100%. If the result is c o nsiste ntly 100%, it ma y b e a n indic a tion t ha t the first need to download it. schedule is too conservative (does not provide sufficient “stretch”. Co nve rsely, if the result is c on sisten tly low , it c ould me a n tha t the sc he d ule is too ambitious, the workforce is inefficient, or that the amount of Cancel Download And Print unscheduled downtime during the period was such that it interfered with wo rk tha t had b ee n previously sc hed uled .

2.4.3 - Sc hed ule Com p lianc e b y Eve nts

Sc hed ule Co mp lia nc e = (by events)

Sc he d uled PM & Rep a ir Eve nts Exec ute d PM & Rep a ir Eve nts Sc he d uled

X 100

(%)

Sc hed ule C om p lia nc e (b y eve nts) is the ratio o f sc hed uled Prev ent ive Maintenance and repair events actually performed to the Preventive Maintenance and repair events scheduled. Once again, there is no Benchmark for this metric but the target should be in the range of 90 to 100%. Just a s w a s the c a se fo r Sc he d ule Co m p lianc e b y ho urs, if the result is consistently 100%, it may be an indication that the schedule is too c on serva tive (d oe s no t p rov id e suffic ient “ stretc h” . Co nve rsely, if the result is consistently low, it could mean that the schedule is too ambitious, the workforce is inefficient, or that the amount of unscheduled downtime during the period was such that it interfered with work that had been p rev iou sly sc hed uled .

2.4.4 - Com po nents Exc hang ed (sc hed uled)

Components Exchanged =

PCR’ s Sc he d uled & Exec ute d PCR’ s Exec uted

X 100

Com po nents Exc hang ed is the ratio of c om po nent rep la c eme nts scheduled and actually replaced to components replacements sc he d uled . The re is no Ben c hm a rk for this me tric b ut the ta rg et sho uld b e 100%.

2.4.5 - Estim a ted Tim e To Rep a ir Pend ing Ba c klog s The tota l estima ted rep a ir d ow ntime hours req uired to exec ute a ll of the pe nding Ba c klog s that ha ve b een ge nera ted . At the time a rep air req uest is e nte re d (Ba c klo g g e ne ra te d ) the Estima te d Time to Re p a ir (ETTR) m ust Caterpillar Confidential Yellow Copyright 2007 Caterpillar. All Rights Reserved. Proprietary Material of Caterpillar Inc. The material contained herein is confidential and is not to be copied or distributed without written permission by owner

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be identified to permit effective planning of required corrective actions. first need to download it. This me tric is a n ind ica tion of extent o f the Ba c klog w orkloa d a nd the p ote ntial a va ila b ility lost if resou rc es a re insuffic ient to a c c om p lish the ta sk a t ha nd . The re is no Be ncCancel hm a rk o rDownload ta rg et foAnd r this me tric ; it se rve s a s a to o l Print for the Planning process to enable it to “manage” availability by sc hed uling w ork in suc h a wa y that the a vailab ility go al c a n b e m et.

2.4.6 - Estima ted Time To Rep lac e Ov erd ue Com p onents The tota l estima ted rep a ir d ow ntime hours req uired to rep la c e a ll overd ue c om p one nts. Sta nd a rd job s for c om p one nt rep la c em ent w ill forec a st the estima ted time to replac e e a c h c om p one nt. This me tric is a n ind ic a tion o f extent of the component replacement workload and the potential availability lost if resources are insufficient to accomplish those tasks. There is no Ben c hm a rk for this me tric b ut a rea sona b le t a rg et is tha t the d ow ntime req uired for c om p one nt rep la c em ent should no t result in mo re tha n 2% una va ila b ility. It is imp orta nt to no te h ere tha t sinc e flee ts ten d to come due for component replacement in “batches”, thus this metric is hig hly va ria b le a nd must b e loo ked a t o ver the long-term … 12-24 mo nths. Just a s w ith t he ETTR fo r Ba c klo g s, this m ea sure serve s a s a to o l for th e Pla nning p roc ess to e na b le it to “ ma na ge ” a va ila b ility by sc hed uling w ork in suc h a w ay tha t the ava ila bility goa l c an b e m et.

2.4.7 - Estima ted Time To Exe c ute Fa c tory Prog ram s The to ta l estima ted rep a ir d ow ntime ho urs req uired to p erform a ll ov erdue fa c to ry p ro g ra m s, i.e. PIP & PSP’ s. The p ro g ra m w ill typ ica lly de fine t he estima ted time to e xec ute e a c h p rog ra m. This me tric is a n ind ic a tion o f extent of the program execution workload and the potential availability lost if resourc e s a re insuffic ient to a c c o m p lish tho se ta sks. The re is no Benchmark for this metric but, if one assumes that program execution is relatively current, a reasonable target is that the downtime required for c om p one nt rep la c em ent should no t result in m ore tha n 1% una va ila b ility. It is important to note that since programs are generated to cover fleets of eq uipm ent, those p rog ra ms tend to c om e in “b a tc hes” , thus this me tric is highly variable and must be looked at over the long-term … 6-12 mo nths. Just a s with the ETTR for Ba c klog s a nd c om p on ent rep la c em ent , this measure serves as a tool for the Planning process to enable it to “manage” availability by scheduling work in such a way that the ava ila bility goa l c a n be m et.

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2.5 Pa rts Ma na g em ent

The fo llow ing me tric s a re used to d ete rmine how we ll ma intena nc e And Print activities are supportedCancel by theDownload parts inventory and evaluate the relationship b etw ee n the Pa rts, Pla nning & Sc hed uling a nd Ma intena nc e Dep a rtm ent s in their effo rts to a vo id unne c essa ry pa rts-relat ed d ow ntime.

2.5.1 - Warehouse Service Fill Level (instantaneous)

Servic e Fill Leve l =

Pa rts Ord ers Closed a t 1st Request Tota l Pa rts Orders

(instantaneous)

X 100

(%)

Insta nta ne ou s Servic e Fill Lev el is a p a rts ma na g em ent effic ienc y indic a tor that quantifies the percentage of individual parts requests entered against the on-site parts warehouse for repairs (including Backlog parts req uests) and filled / c losed a t the first c a ll. A reflec tion of the leve l of sa tisfa c tion of o n-site p a rts wa reh ouse p erforma nc e. The Benc hm a rk for Insta nta ne o us Servic e Fill Le ve l is 95%. An a g g re ssive ta rge t is > 90%.

2.5.2 - Servic e Fill Leve l (24 ho urs)

Servic e Fill Leve l =

Pa rts Ord ers Closed in 1st 24 Ho urs Tota l Pa rts Orders

(a fte r 24 ho urs)

X 100

(%)

Servic e Fill Lev el a fter 24 ho urs is a p a rts ma na g em ent efficienc y indic a to r that quantifies the percentage of individual parts requests entered against the on-site parts warehouse for repairs (including Backlog parts re q ue sts) an d filled / c lose d in the first 24 ho urs a fte r the first c a ll. A reflection of the level of satisfaction of on-site parts warehouse pe rforma nc e. We d o no t have suffic ient d ata to d efine a Benc hma rk but a n a g g re ssive ta rg e t is 100%.

2.5.3 - Una va ilab ility Pa rts

Unavailability

PD

=

(1  – Availability) X

Pa rts Dela y Dow ntime Tot a l Dow ntime

X 100 (%)

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Unavailability due to parts delays quantifies the impact of parts delay first need to download it. ev e nts o n a va ila b ility. The re is no Be nc hm a rk asso c iat e d w ith this m e tric but a reasonable target is < .5%. If unavailability (downtime) due to parts d e la ys is signific a ntly hig he r tha n .5%, it m a y And signify p o te ntia l p ro b lem s w ith Cancel Download Print inventory quality / quality and/or a higher than normal percentage of unp la nned d ow ntime , i.e. the ina b ility of the ma intena nc e o rga niza tion to de tec t problems in ad vanc e o f failure a nd p lan & sc hed ule the w ork a nd a ssoc iate d resou rc es a c c ording ly. If p a rts inve nto ry q ua lity / q ua lity is found to be an issue, it may be due either to the fact that the maintenance organization is not doing a good job of defining the parts inventory support requirements to the Parts Department or that the Parts Department is not delivering on its obligation to support the site with the req uired p a rts.

2.5.4 - Em erge nc y Resp onse Tim e Eme rg enc y Resp on se Time q ua ntifies the a ve ra g e resp on se time (in d a ys) to sa tisfy p a rts req ue sts tha t c a nno t b e filled insta nta ne o usly. This parameter works and should be analyzed in conjunction with Insta nta ne o us Service Fill Lev e l. The re is no Ben c hm a rk o r ta rg et fo r this metric.

2.5.5 - Pa rts Inve nto ry Rota tion Parts Inventory Rotation is defined as the annual turnover of parts held in the on -site p a rts w a reho use. No Ben c hm a rk is a va ila b le for this p a ra me ter. Defining a realistic target for this metric is highly dependent upon site logistics of the specific operation including transportation, the capacity and design of the parts warehouse, the remoteness of the site, costs associated with carrying the inventory and the specific requirements of the site in terms of a ny a va ila b ility gua ra ntee s tha t ma y b e in plac e.

2.5.6 - Em erge nc y Orders Emergency Orders quantifies the percentage of parts orders that are placed against the system on an emergency basis, i.e. “panic mode”. The p erce nta ge of Eme rg enc y Orders is a nothe r me thod of a na lyzing the extent to which the maintenance organization is behaving pro-actively a nd c on trol of the flee t. The re is no Ben c hm a rk or ta rg et for this me tric.

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2.5.7 - Inve ntory (item s) first need to download it.

This me tric q ua ntifies the num b er of individ ua l line ite ms ma inta ine d on site in the parts inventory. BecauseDownload this is proportional to the size of the Cancel And Print fleet being supported, there is no Benchmark or target for this metric. Tren d ing invento ry lev els ov er a 6 to 12 mo nth p eriod a nd relat ing the tren d to flee t p e rfo rma nc e results suc h a s MTBS, MTTR a nd % o f sc he d uled wo rk, is one wa y of d ete rmining the imp a c t of p a rts sup p ort on the ove ra ll site p erforma nc e.

2.5.8 - Invento ry (va lue) This me tric q ua ntifies the va lue of the on -site p a rts inve nto ry. Here a g a in, because this is proportional to the size of the fleet being supported, there is no Ben c hm a rk or ta rg et for this me tric . Trend ing inven to ry va lue ov er a 6 to 12 month period and relating the trend to fleet performance results suc h a s MTBS, MTTR a nd % o f sc he d uled w o rk, is o ne w a y o f d e te rmining the imp a c t of p a rts sup p ort on the o verall site p erforma nc e.

2.6 Rep a ir Ma na g em ent The follow ing Rep a ir Ma na ge me nt me tric s a re indica tors of the a d eq ua c y of the maintenance personnel, facilities, tooling and support equipment and how well those resources are organized and managed to perform efficient & effective repairs while contributing to efficiency, cost and availability objectives.

2.6.1 - M TTR (sho p servic e)

MTTR shop =

Tota l Sho p Rep a ir Dow ntime

(hours)

Numb er of Sho p Rep a irs

The a verag e d ow ntime hours (inc luding d elays) req uired to re p a irs. The re is no Ben c hm a rk or ta rg e t a sso c iat ed w ith Actual results will vary significantly based upon the nature whether it is scheduled or unscheduled and the extent to are grouped for op timum effic ienc y.

exec ute shop this m ea sure. of the repair, which repairs

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2.6.2 - MTTR (field) first need to download it.

MTTR field

=

TotaCancel l Field Rep a ir Dow ntime Download And Print

(hours)

Numb er of Field Rep a irs

The a ve ra g e d ow ntime ho urs (inc lud ing d ela ys & resp on se time ) req uired to exec ute field rep a irs. There is no Benc hma rk a ssoc iate d with th is me a sure b ut a rea sona b le t a rge t is