Caterpillar
Customer Contamination Control
Compliance Guide
April 2010
SECTION 1
TRAINING
Training
1.1) Contamination control training program in place
Good = 10
Good – Training in progress. An on-going training
program for all parts and service shop personnel,
(management and labor) must be in place.
• Included in the documented contamination control
training program.
• All parts and service shop personnel, management
with purchasing power, (including Maintenance
and Parts Managers), and labor are trained.
• Training is on a consistent time line, minimum
– yearly.
• Documentation consists of who, when and
description of training content.
4
Training
1.1) Contamination control training program in place
Acceptable = 5
Acceptable – Informal shop training is conducted
and training records are kept.
• Daily, weekly or monthly team meetings that
includes contamination control as a topic.
• All parts and service shop personnel including
management and labor are trained.
• Documentation consists of who, when and
description of training content.
Not Recommended = 0
No Formal “On-going”
Training Program
Not Recommended – There is no formal on-going
training program.
5
SECTION 2
EQUIPMENT WASH
FACILITY
Equipment Wash Facility
2.1) Procedures in place to wash all machines and components before they enter shop
Good = 10
Good – Procedures in place to wash all machines
and components before they enter shop.
• Procedures clearly communicated to all Dealer
and Customer personnel.
• All machines / components have all removable dirt
and debris removed before entering the shop.
Not Recommended = 0
Not Recommended – No procedure in place
to wash all machines and components prior
to entering shop.
• No procedure in place.
• Procedure NOT being followed.
• Machines / components in shop have removable
dirt / debris / grease on them.
8
Equipment Wash Facility
2.2) Medium to high volume wash equipment
Good = 10
Good – Wash facility is equipped with high
volume wash equipment.
• Water delivery: 410 to 550 kPa (60 psi to 80 psi)
with 300 lpm (80 gpm).
• Water cannons are mounted high for a better angle
in washing large machines.
OR
• Permanently mounted cannons should be
supplemented by a large hand held hose for cleaning
as necessary at ground level.
• Cannons may be mounted differently for a wash
facility that is used primarily for medium to small
sized machines.
• System offers a high volume of water to break mud
loose and flush it away.
Note: Due to the large volumes of water used, a water re-circulation system may be desirable depending
upon cost and availability of water.
9
Equipment Wash Facility
2.2) Medium to high volume wash equipment
Acceptable = 5
Acceptable – Machines are washed with a hand
held fire hose(s).
• 275 to 410 kPa (40 to 60 psi) with 190 to 230 lpm
(50 to 60 gpm) water delivery to remove heavy
deposits of dirt and mud in a reasonable amount
of time.
Not Recommended = 0
Not Recommended – Machines are NOT washed
with either high or medium volume wash
equipment prior to entering shop.
10
Equipment Wash Facility
2.3) Hot water and soap / degreaser used with pressure wash equipment
Good = 10
Good – Hot water and soap / degreaser are used
with pressure wash equipment.
• High pressure hot water is used.
• Soap / degreaser injected automatically.
• Clean water rinse required.
Acceptable = 5
Acceptable – Machines or components are being
washed using high pressure wash with manually
applied soap / degreaser solution and clear water
rinse.
• Hot water being used.
• Soap / degreaser applied manually with pressure
sprayer.
• Clean water rinse required.
11
Equipment Wash Facility
2.3) Hot water and soap / degreaser used with pressure wash equipment
Not Recommended = 0
Not Recommended – Machine or components are
being washed with cold water or low pressure.
• Low pressure or cold water being used.
• Soap / degreaser being applied with hand, towel
or low pressure hand held spray bottle.
• Soap / degreaser NOT being used.
• No clean water rinse.
12
Equipment Wash Facility
2.4) Oil and mud separation system
Good = 6
Good – Purpose designed mud settling pit.
• Wash water, mud and debris drains readily to the
settling pit.
• Accumulated mud and oils are removed from the
pit on a scheduled basis.
Not Recommended = 0
Not Recommended – No mud settling pit
or drainage.
• Wash water, mud and debris have no way to escape
so the machines / components must travel through
the mud to the shop.
13
Equipment Wash Facility
2.5) Keep washed equipment clean as it moves from wash pad to the shop
Good = 8
Good – The path from the wash pad to the shop
is constructed of concrete, crushed stone / gravel
or other material, (Claycrete, etc.), that ensures
machine / components / parts arrive in the
shop clean.
• The pathway is kept free of dirt and debris.
• Machine / component arrives in the shop in
a clean state.
Acceptable = 4
Acceptable – Concrete or crushed stone / gravel
or other material, (Claycrete, etc.), between wash
pad and shop exists, but it is NOT totally free
of dirt and debris.
• The pathway NOT free of dirt and debris.
• Machines / components / parts arrive in the shop
in a clean state.
Note: If there is not a clean running surface between the wash bay and shop but there is a documented procedure to wash tires
and undercarriage on the apron at the entrance of the shop this will be considered “Good” for rating this standard.
14
Equipment Wash Facility
2.5) Keep washed equipment clean as it moves from wash pad to the shop
Not Recommended = 0
Not Recommended – There is no concrete
or crushed stone / gravel or other material,
(Claycrete, etc.) path between the wash pad
and the shop.
• Dirt and debris tracked into the shop due
to condition of pathway.
15
Equipment Wash Facility
2.6) Housekeeping … Wash facility is kept clean and orderly
Good = 6
Good – Wash facility is kept clean and orderly.
• Inside and outside of facility kept free of
accumulated dirt / debris and waste.
• Dirt / debris on wash pad does not accumulate
between uses.
• Wash equipment / supplies kept clean & organized.
• Documented facility cleaning procedures are
communicated to wash facility personnel.
Acceptable = 3
Acceptable – Wash facility has an acceptable
amount of dirt.
• Inside and outside of facility kept free of dirt /
debris / waste.
• Wash pad is being cleaned at end of each shift.
16
Equipment Wash Facility
2.6) Housekeeping … Wash facility is kept clean and orderly
Not Recommended = 0
Not Recommended – Wash facility has large
amounts of mud / grease / debris / waste
accumulated.
• Wash pad is NOT being cleaned between uses.
• There is a buildup of dirt / debris / grease / waste.
17
SECTION 3
SHOP
ATTRIBUTES
Shop Attributes
3.1) Concrete apron at shop entrance
Good = 6
Good – There is a concrete apron at the shop
entrance to prevent dirt and mud from being
tracked into the shop.
• Concrete apron sized to accommodate the largest
machine, (length and width) to be serviced.
• PM process in place to clean apron of dirt / debris.
Acceptable = 3
Acceptable – There is a concrete apron at the
entrance to the shop, but there is no PM process
in place for periodically cleaning the apron.
• Concrete apron sized to accommodate the largest
machine, (length and width) to be serviced.
• Current PM process NOT sufficient to keep dirt
and debris from entering shop.
20
Shop Attributes
3.1) Concrete apron at shop entrance
Not Recommended = 0
Not Recommended – There is no concrete apron
at the entrance to the shop.
• No concrete apron.
• Apron NOT sized appropriately for machines
being serviced.
21
Shop Attributes
3.2) Workshop doors recommended
Good = 6
Good – Doors to keep dust levels down and the
shop clean.
• Doors are operational.
• Process in place to close doors during inclement
weather.
OR
Good – High speed doors also earn a good rating.
• Doors are operational.
• Process in place to close doors during inclement
weather.
22
Shop Attributes
3.2) Workshop doors recommended
Not Recommended = 0
Not Recommended – No doors, doors NOT
functioning properly or no process in place
to close doors during inclement weather.
23
Shop Attributes
3.3) Floors are in good condition and sealed
Good = 6
Good – Floors are sealed and free of degradation
to prevent the absorption of oil and other
contaminants.
• Floors are sealed.
• Floors are free of degradation.
Acceptable = 3
Acceptable – Non-sealed floor with a minimal
amount of degradation.
• Floors are non-sealed or incompletely sealed.
• Floors have a minimal amount of degradation.
• There is no accumulation of contaminants
in degraded areas.
24
Shop Attributes
3.3) Floors are in good condition and sealed
Not Recommended = 0
Not Recommended – Poorly maintained floor.
• Floors have a large amount of degradation.
• There is an accumulation of contaminants
in degraded areas.
25
Shop Attributes
3.4) Walkways / safety and storage areas marked and kept free of obstacles, (inside and outside)
Good = 6
Good – Walkways / safety and storage areas are
properly marked and are kept free of obstacles,
(inside and outside).
• Areas are properly marked with demarcation
materials in good condition.
• Stored items are kept in orderly fashion within
demarcated areas.
• Walkways are free of obstacles.
Acceptable = 3
Acceptable – Designated areas are properly
marked but NOT kept totally free of obstacles.
• Areas are properly marked with demarcation
materials in good condition.
26
Shop Attributes
3.4) Walkways / safety and storage areas marked and kept free of obstacles, (inside and outside)
Not Recommended = 0
Not Recommended – Designated areas are NOT
properly marked or markings are worn off.
• Demarcation lines have an excessive amount
of wear or chipping.
• Items NOT stored in an orderly fashion within
demarcated areas.
• Areas blocked by an excessive amount of obstacles.
27
Shop Attributes
3.5) Dedicated purpose built support stands used to support frequently worked-on major components
Good = 6
Good – Dedicated / purpose built support stands
are used to keep components off the floor.
• Stands are made of metal or a durable material.
• Stands are maintained and clean.
Not Recommended = 0
Not Recommended – Components stored on
the floor.
• Stands are NOT maintained and clean.
28
Shop Attributes
3.6) Clean wooden / plastic materials are used to support large components or parts
Good = 6
Good – Clean wooden / plastic materials are used
to support large components or parts.
• Materials are clean and in good condition.
• Robust enough to support the component /
part placed on it.
Not Recommended = 0
Not Recommended – Large components stored
on floor.
• Components stored on floor.
Note: Large components on the floor are allowed if placing them on support structures creates a safety concern.
29
Shop Attributes
3.7) Designated assembly / disassembly benches are covered with protective surfaces
Good = 6
Good – Designated assembly / disassembly
benches are covered with a durable material to
protect sensitive parts and are maintained clean.
• Material used does not absorb oil, provides
protection for sensitive parts.
• Proper temporary clean coverings may be used.
• Work bench cleaned daily, including all shelves
and around vises attached to work bench.
Acceptable = 3
Acceptable – Metal work benches that are
cleaned daily.
• Smooth metal work benches.
• Benches cleaned daily, including all shelves
and even around vises attached to work bench.
30
Shop Attributes
3.7) Designated assembly / disassembly benches are covered with protective surfaces
Not Recommended = 0
Not Recommended – Work bench without any
protective covering, no daily maintenance for
cleaning or has painted work surface.
• Benches are NOT maintained clean or are painted.
31
Shop Attributes
3.8) Air supply lines provide clean and dry air
Good = 6
Good – Air supply with filter and water separator.
• A filter and water separator located at each
dispensing point, including hose cleaning stations.
• Preventative maintenance program in place
with documentation.
• Airlines for air powered tools only, are labeled.
• Airlines not utilized are blocked off.
OR
Good – Air supply system with central water
separator and filters at dispensing points.
• A central air drier on the compressor outlet,
upstream of the shop’s main air supply line.
• A filter at each dispensing point.
• Documented preventative maintenance program
in place.
• Hose cleaning station is required to have a water
separator and filter at dispensing point.
32
Shop Attributes
3.8) Air supply lines provide clean and dry air
Not Recommended = 0
Not Recommended – No water separator or filter
on air supply or no preventative maintenance
program.
• No filters at dispensing point.
• No water separator at dispensing points
or central dryer.
• No documented preventative maintenance program.
• No water separator or filter at dispensing point
for hose cleaning station.
33
Shop Attributes
3.9) Solvent stands filtered to meet ISO -/16/13
Good = 10
Good – Solvent stands meet ISO -/16/13.
• 4 micron final filter being used.
• 15 or 25 micron bag filter on drain.
• Diatomaceous earth media filter.
• Solvent maintained at ISO -/16/13.
• Documentation to show ISO -/16/13 maintained.
Not Recommended = 0
Not Recommended – Solvent stand using water
percolator filtration, mat filters in basin, or
without any means of filtering.
• Solvent is NOT maintained at ISO -/16/13.
• No filtration while in use.
• Distillation processes do NOT maintain clean
solvent.
• Percolation stands that allow particles to be
suspended while in use.
Note: It is possible for a facility to achieve a good rating if unfiltered solvent stands are used for rough cleaning
only and labeled in that manner.
34
Shop Attributes
3.10) Oil supply lines meet ISO -/16/13
Good = 10
Good – Oil supply lines in shop equipped with
final filter and delivered oil meets ISO -/16/13
target for cleanliness.
• Filter at dispensing point.
• ISO -/16/13 cleanliness at dispensing point.
• Documentation of conformance and maintenance
of ISO -/16/13.
Not Recommended = 0
Not Recommended – Oil does NOT meet ISO /16/13.
• No filter or incorrect filter at dispensing point.
• ISO -/16/13 cleanliness NOT being met at
dispensing point.
• Incomplete documentation of conformance
and maintenance of ISO -/16/13.
Note: If the delivered oil does not meet ISO -/16/13 the final filter may not be adequate. In this instance, a final filter with
lower micron rating / higher beta ratio may need to be installed. Also, it is imperative that the filter installation has
the capability to live with the pressure inherent to the system.
35
Shop Attributes
3.11) No debris generating activities near assembly areas
Good = 6
Not Recommended = 0
Good – Continuous debris generating activities
are performed in a separate shop / area.
Intermittent debris generating activities adjacent
to assembly areas have debris extracted so that
the assembly environment is protected from
contaminants.
• Continuous defined as a constant recurrence
or production.
• Intermittent debris generating activities in an
assembly are completely isolated from the assembly
environment.
• Once work is complete there are no contaminants
found in assembly areas.
Not Recommended – Debris generating activities
performed without proper protective materials.
• Not properly protecting assembly materials
and components in assembly areas of shop.
• Contaminants found in assembly areas.
36
Shop Attributes
3.12) Manual or automatic parts washing
Good = 6
Good – Cleaning of larger parts and regular
parts are cleaned in a medium-high pressure
cabinet washer.
• Cabinet washer equipped with rinse and rust
inhibitor.
• Baskets / racks / pallets staged are available and
used.
• Solvent washing limited to tasks with a few small /
sensitive parts.
Acceptable = 3
Acceptable – Parts are washed with a highpressure / hot / soap washer with a hand held
wand.
• Low flow / low pressure rinse.
• Rust inhibitor application.
• Wash basket / rack / pallet is utilized.
• Solvent washing limited to tasks with a few small /
sensitive parts.
37
Shop Attributes
3.12) Manual or automatic parts washing
Not Recommended = 0
Not Recommended – Cabinet washer or pressure
washer is NOT available, no baskets / racks /
pallets used, or all parts washed in solvent
or parts NOT washed.
38
SECTION 4
SHOP
PRACTICES
Shop Practices
4.1) Supply of clean caps, plugs and plastic wrap available
Good = 8
Good – Caps, plugs and plastic wrap identified,
stored and protected from the environment and
readily available for shop and parts personnel.
• Stored in easily accessible area protected from
contamination.
• Interior of storage container does NOT contain
dirt / debris.
• Reused caps and plugs are cleaned prior to storage.
Not Recommended = 0
Not Recommended – Caps, plugs and plastic wrap
NOT protected from the environment or readily
accessible for shop and parts personnel.
• Interior of storage container contains dirt / debris.
• Storage location outside of immediate working area
or in a tool / parts crib.
41
Shop Practices
4.2) Proper clean caps and plugs used for hoses and tubes
Good = 10
Good – Clean plastic or metal plugs and caps
are used. All hose / tube ends and related ports
are appropriately capped or plugged.
• All hose / tube ends and related ports are
capped / plugged.
• Caps and plugs are visibly clean.
• Proper caps and plugs are used.
• Screw on caps and plugs used with threaded
hose / tubes.
• Push on caps and plugs used with unthreaded
hose / tube.
• Cover plates used with split flange hoses.
• Correct size used.
Note: This standard applies to hoses, tubes and ports on and off machines / components.
42
Shop Practices
4.2) Proper clean caps and plugs used for hoses and tubes
Acceptable = 5
Acceptable – Plastic secured over hose / tube ends
or related ports.
• Hose / tube ends and related ports are secured
with plastic.
• Clean plastic being used.
• Contaminants not allowed to enter.
Not Recommended = 0
Not Recommended – Proper caps and plugs NOT
used, rags used in hoses, tubes or ports. Tape used
to close open hoses, tubes or ports.
• Hoses / tubes or port openings NOT properly
capped / plugged or secured with clean plastic.
• Openings covered only with tape.
43
Shop Practices
4.3) Protective covers used on stored / staged critical components
Good = 10
Good – Critical components rust proofed
and protected with plastic wrap.
• Stored / staged for more than 2 days.
• Contamination sensitive parts such as valves,
injectors, turbochargers, etc. are individually
protected from damage.
• The proper amount of rust proofing applied
(no evidence of corrosion).
Acceptable = 5
Acceptable – Critical components covered with
loose plastic covers and rust proofed if applicable.
• Stored / staged for more than 2 days.
• Contamination sensitive parts such as valves,
injectors, turbochargers, etc. are individually
protected from damage.
• The proper amount of rust proofing applied.
44
Shop Practices
4.3) Protective covers used on stored / staged critical components
Not Recommended = 0
Not Recommended – Critical components NOT
covered and / or NOT rust proofed.
• Components are NOT completely covered.
• Corrosion / rust is noticeable on component /
subassembly / part.
45
Shop Practices
4.4) Components waiting for assembly covered with plastic and protected against rust
Good = 10
Good – Components and parts are covered or
wrapped in plastic during Work In Process (WIP).
• WIP is considered work that is 2 days or less.
• Components / parts wrapped in plastic, covered
with a clean drop / blue cloth or equivalent
protection.
Not Recommended = 0
Not Recommended – No protective covering or
wrapping on WIP stored parts.
• Components and parts left unprotected during
extended periods of inactivity (without direct part
contact), such as but not limited to:
• During break periods.
• Overnight.
• Between shifts.
46
Shop Practices
4.5) New parts / components are kept in original packaging until ready for assembly
Good = 10
Good – Parts / components stored in original
packaging.
• Parts / components delivered and stored in original
undamaged packaging.
• Parts that have been inspected for part identification
or damage concerns have been repackaged to prevent
contaminant ingression.
Not Recommended = 0
Not Recommended – No protective covering
or packaging on parts / components waiting
for assembly.
• Parts / components NOT delivered in their original
packaging or stored in a manner that allows
for contaminant ingression.
47
Shop Practices
4.6) Approved methods of storing and filtering oil that is to be reused
Good = 10
Good – Tank with kidney loop filtration capability
is used to filter oil, that is to be reused, prior to
being dispensed into the machine.
• Filtration equipment with multi-pass capability.
• Oil filtered to fill oil specification of ISO -/16/13.
• Oil filtered prior to being dispensed into machine.
Not Recommended = 0
Not Recommended – Using buckets, barrels or
tanks without filters to store oil for reuse.
• Oil NOT being filtered to ISO -/16/13 prior to being
dispensed into machine.
Note: This Standard will be rated “NA” (Not Applicable) when the facility does not reuse any oil type.
48
Shop Practices
4.7) Approved methods of transporting, storing and disposing of waste oil
Good = 6
Good – Waste oil removed from shop with vacuum
pump system or vacuum vessel.
• Vacuum equipment is connected directly to the
machine / component reservoir or is used to remove
oil directly from a drain pan.
• Oil is transferred to waste reservoir without spilling
any oil with a fluid tight, sealed, vessel.
Acceptable = 3
Acceptable – Waste oil removed from shop with
drain carts.
• Open wheeled carts, with or without covers, are
used to transport oil.
• Oil is transferred to waste reservoir without spilling
any oil.
49
Shop Practices
4.7) Approved methods of transporting, storing and disposing of waste oil
Not Recommended = 0
Not Recommended – Waste oil removed from
shop with buckets, barrels, or other open
containers.
• Open containers used to transport oil.
• Evidence of oil spillage during transport.
50
Shop Practices
4.8) No open assembly aids containers (lubricant or grease)
Good = 8
Acceptable = 4
Good – Assembly aids and lubricant containers
that are supplied to shop personnel are
maintained clean and cleaned at time of refill.
• Documented refill procedure that is being followed.
• Application containers cleaned at time of refill,
maintained clean, and stored in a clean, closed
environment with a secure cap or lid.
• Fill oil meets ISO -/16/13 with documentation.
• Dedicated application containers are clearly
labeled.
Acceptable – Assembly aids containers are clean
and covered.
• Application containers cleaned at time of refill,
maintained clean, and stored in a clean, closed
environment with a secure cap or lid.
• Fill oil meets ISO -/16/13 with documentation.
• Dedicated application containers are clearly
labeled.
51
Shop Practices
4.8) No open assembly aids containers (lubricant or grease)
Not Recommended = 0
Not Recommended – Open assembly aids
containers.
52
Shop Practices
4.9) Removed hoses and tubes cleaned and capped prior to reinstallation
Good = 10
Good – All hoses and tubes that are removed
during the repair process must be cleaned prior
to reinstallation.
• Approved hose / tube cleaning procedure,
SEBF8485 is posted or available with the tool and is
being followed.
• All hoses and tubes are capped / plugged after
cleaning with appropriate clean cap / plug until
installation.
Not Recommended = 0
Not Recommended – Hoses and tubes are NOT
cleaned or cleaned using any other method than
the proper hose / tube cleaning procedure before
assembly.
53
Shop Practices
4.10) Final delivery of repaired components to technician / customer
Good = 10
Good – Components / engines have all ports
capped / plugged, with shrink wrap or fitted
covers on original shipping stand.
• All ports capped / plugged.
• Securely fastened to the original shipping stand.
Acceptable = 5
Acceptable – Components / engines are covered with
plastic and have been adequately secured
for shipment.
• The component / engine is completely wrapped with clean
plastic.
• The entire component is wrapped in plastic which does
NOT protect the individual openings.
• Component / engine securely fastened to non-original
shipping stand.
The original shipping stand / container is defined as one that has been manufactured specifically for that component,
by Caterpillar, the Dealer or supplier purchased in order to transport the component in a secure and safe manner.
54
Shop Practices
4.10) Final delivery of repaired components to technician / customer
Not Recommended = 0
Not Recommended – Components / engines that
are NOT on original shipping stand or container,
are NOT adequately secured and / or are NOT
protected by plastic wrap or shrink wrap.
55
Shop Practices
4.11) Timeliness of cleaning up lubricant and coolant spills
Good = 8
Good – Lubricant and coolant spills are cleaned
up immediately.
Acceptable = 4
Acceptable – Lubricant and coolant spills are
cleaned up within 1 hour after they occur.
• Spills are cleaned up within 1 hour.
56
Shop Practices
4.11) Timeliness of cleaning up lubricant and coolant spills
Not Recommended = 0
Not Recommended – Lubricant or coolant spills
are NOT cleaned up within 1 hour.
57
Shop Practices
4.12) Floor cleaning methods
Good = 6
Good – Floors are cleaned mechanically or with
manual labor, (daily or more frequently if
needed).
• Floor scrubbers with water, soap and vacuum.
• Performed daily at a minimum, more if needed.
OR
Good – Manual labor to sweep and mop
floors daily.
• Manual labor utilizing a mop and bucket
or equivalent.
• Performed daily at a minimum, more if needed.
• Clean mop water containing a degreaser is used.
• There is no residue left after cleaning process.
58
Shop Practices
4.12) Floor cleaning methods
Not Recommended = 0
Not Recommended – Floors are NOT cleaned
as needed.
• Floors are NOT cleaned properly on a daily basis
or more if needed.
• Granular material, (Dri-rite or kitty litter) used.
59
Shop Practices
4.13) Approved waste containers for paper, wood, metal, etc.
Good = 4
Good – Neat and labeled waste containers.
• Containers are not damaged or overflowing.
• Containers are labeled or designated signage
is posted.
• Containers designated for a specific type of waste
only contains that type.
• If painted then they are clean and present a
professional image.
Acceptable = 2
Acceptable – Neat barrels or dumpsters that are
not labeled.
• Containers not damaged or overflowing.
• If painted then they are clean and present a
professional image.
60
Shop Practices
4.13) Approved waste containers for paper, wood, metal, etc.
Not Recommended = 0
Not Recommended – Used parts shipping boxes
or damaged barrels and unmarked containers.
• Overflowing containers.
• Containers that do NOT present a positive
and professional image.
61
Shop Practices
4.14) Cover / protect all exposed cavities
Good = 10
Good – During the disassembly of the component,
all machine’s exposed cavities are covered with
plugs, metal or plastic covers, plastic wrap with
tape, or guards.
Not Recommended = 0
Not Recommended – Machine cavities are
protected with inappropriate materials such as
shop towels, cardboard or NOT protected.
62
Shop Practices
4.15) Material handlers are maintained clean
Good = 6
Good – Forklifts and other material handlers
used to transfer parts / components are clean
and maintained clean as part of a PM program.
Not Recommended = 0
Not Recommended – Forklifts and other material
handlers are NOT maintained clean and a formal
cleaning process is NOT in place.
63
Shop Practices
4.16) Approved methods of storing and filtering used coolant
Good = 8
Good – Clean dedicated container with filtered
inlet and outlet to filter used coolant prior to
reuse.
• Coolant meets Level I compliance for reuse.
• Level 1 results may indicate the need for Level 2
Analysis.
• Container is appropriately labeled and dispensing
nozzles are protected / sealed.
Not Recommended = 0
Not Recommended – Using tanks without filters,
buckets, or barrels, to store / dispense used
coolant.
• Unsealed or unfiltered delivery systems.
• Dispensing nozzles NOT protected / sealed.
• Coolant does NOT meet Level 1 sample
specifications and noncompliance with Level 2
if Level 1 results are negative.
64
Shop Practices
4.17) Grease distribution / protection
Good = 8
Good – Grease delivered / stored using purposebuilt bulk containers (bulk system, totes, barrels)
and fill and dispensing nozzles are clean and
protected.
• Containers are equipped with 4 micron breather
with the ability to remove water if the grease contacts
air as the container empties during use.
Not Recommended = 0
Not Recommended – Unsealed or unprotected
storage / delivery systems.
• Fill and Dispensing nozzles are NOT clean and
NOT protected.
• Loose grease bucket covers or grease scoops.
• Containers with follower plates / seals that allow
air to contact grease.
65
Shop Practices
4.18) Housekeeping … Shop is clean and orderly
Good = 6
Good – The shop is clean and orderly.
Floors, walls, ceilings and equipment are clean
and maintained clean on a regular basis.
• Storage cabinets and areas are orderly and free
of visible dirt and spills.
• No buildup of dirt and debris in corners and
around column posts and benches.
• Test equipment and tooling used in shop
maintained clean.
Not Recommended = 0
Not Recommended – The shop is NOT clean
and organized.
This is a requirement for a 3 star or greater rating.
66
SECTION 5
PARTS STORAGE
Parts Storage
5.1) Parts remain in original packaging until used
Good = 8
Good – Parts stored in original packaging
until used.
• Stored in original packaging.
• Not damaged.
Acceptable = 4
Acceptable – Parts previously opened are
rewrapped and protected.
• Parts are repackaged in material other than
their original packaging.
• Repackaged in a manner that prevents
contaminants ingression.
Note: When a part is opened to inspect for damage concerns or part verification, it has to been repackaged
in its original packaging in a manner that prevents contaminants ingression.
69
Parts Storage
5.1) Parts remain in original packaging until used
Not Recommended = 0
Not Recommended – Parts unprotected in parts
storage area.
70
Parts Storage
5.2) Filter boxes remain unopened
Good = 8
Good – Filter boxes are clean and unopened.
Filters that are shrink wrapped should remain
in the shrink wrap until installed.
• Filter boxes remain glued shut or shrink wrapped.
• Shrink wrap is not damaged when it is the
packaging that needs to be maintained.
Acceptable = 4
Acceptable – Previously opened filter box or
shrink wrapped filter that is taped shut.
• Taped in a manner that does not allow contaminants
to enter filter.
• No evidence of filter damage.
Note: When a part is opened to inspect for damage concerns or part verification, it has to be repackaged
in its original packaging in a manner that prevents contaminants ingression.
71
Parts Storage
5.2) Filter boxes remain unopened
Not Recommended = 0
Not Recommended – Filters open, filters removed
from boxes or damaged packaging.
72
Parts Storage
5.3) O-rings kept protected and clean
Good = 6
Good – O-rings stored in plastic bags in an
enclosed cabinet (includes plastic assorted
O-ring kit).
• Two clean levels of protection.
73
Parts Storage
5.3) O-rings kept protected and clean
Acceptable = 3
Acceptable – O-rings stored in plastic bags
in open bins.
• One clean level of protection.
Not Recommended = 0
Not Recommended – O-rings stored in open bins
or drawers without plastic bags for protection.
74
Parts Storage
5.4) New fluid-carrying hoses stored with end caps in place
Good = 10
Good – All new fluid-carrying hoses stored with
end caps in place.
• Proper type and size of cap is used.
Not Recommended = 0
Not Recommended – New fluid-carrying hoses
stored without end caps.
75
Parts Storage
5.5) All parts (will call parts area) kept clean and delivered to customer in that manner
Good = 10
Good – Parts are clean and properly protected.
• Will call areas (customer, dealer, technician)
are free of contamination and maintained
in an orderly manner.
• Backlog areas.
Not Recommended = 0
Not Recommended – Will call areas NOT clean
and organized, parts dirty or parts packaging
damaged.
76
Parts Storage
5.6) Housekeeping … Parts storage bins are clean and well organized
Good = 6
Good – Parts warehouse is clean and orderly.
• Parts warehouse, storage areas and storage shelves /
bins / racks are free of visible dirt.
• Storage cabinets and areas are orderly and free
of visible dirt and spills.
• No buildup of dirt and debris in corners and around
column posts and benches.
This is a requirement for a 3 star or greater rating.
77
Parts Storage
5.6) Housekeeping … Parts storage bins are clean and well organized
Not Recommended = 0
Not Recommended – The parts warehouse is NOT
clean or organized.
This is a requirement for a 3 star or greater rating.
78
SECTION 6
HYDRAULIC HOSE
REBUILDING
Hydraulic Hose Rebuilding
6.1) Hoses stored neatly with proper clean caps / plugs
Good = 10
Good – Hoses stored with proper end caps.
• Hoses are capped or plugged with the appropriate
sized clean cap or plug in each opening.
Acceptable = 5
Acceptable – Hose ends wrapped with
secured plastic.
• Hose ends are covered with clean plastic that
is secured.
81
Hydraulic Hose Rebuilding
6.1) Hoses stored neatly with proper clean caps / plugs
Not Recommended = 0
Not Recommended – Hose ends open
to atmosphere.
• Hose ends are open to the atmosphere.
• Caps, plugs being used to cover ends are NOT
appropriate size or clean, plastic being used
is NOT clean.
82
Hydraulic Hose Rebuilding
6.2) Hose cutoff saw exhausted
Good = 6
Good – Hose saw exhausted to an operational,
filtered dust collector (preferably outside
of building) and minimal evidence of hose
cutting debris.
• Exhaust is ducted to an operational filtered
dust collector.
Acceptable = 3
Acceptable – Hose saw exhausted to outside
of building without a dust collector.
• Saw is exhausted outside but NOT to a
dust collector.
83
Hydraulic Hose Rebuilding
6.2) Hose cutoff saw exhausted
Not Recommended = 0
Not Recommended – Hose saw exhaust is inside
building or is NOT exhausted.
84
Hydraulic Hose Rebuilding
6.3) Hoses cleaned after cutoff
Good = 10
Good – Hoses cleaned with approved process
using hose / tube cleaner.
• Approved hose cleaning procedure used.
• Caterpillar guidelines, SEBF8485 are posted
for the technician to follow.
Not Recommended = 0
Not Recommended – Hoses NOT cleaned after
cutoff or cleaned using any other method than
the proper hose cleaning procedure.
85
Hydraulic Hose Rebuilding
6.4) Couplings stored in clean, dust free area
Good = 8
Good – Couplings stored with both ends covered
or stored in a clean enclosed cabinet.
• O-ring face of couplings are protected with
proper cover.
• Both ends of couplings are individually covered.
OR
• Couplings stored in clean, closed cabinet,
containing no visible debris.
Acceptable = 4
Acceptable – Couplings stored in a covered bin.
• O-ring face of couplings are protected with
proper cover.
• Couplings stored in clean bin with a covering.
86
Hydraulic Hose Rebuilding
6.4) Couplings stored in clean, dust free area
Not Recommended = 0
Not Recommended – Couplings stored in open
atmosphere with no protection.
87
Hydraulic Hose Rebuilding
6.5) Assembled hoses cleaned and capped
Good = 10
Good – Hose assemblies cleaned with hose / tube
cleaner using approved process with ends capped
or plugged, (using the proper cap / plug).
• Approved hose cleaning procedure used.
• Caterpillar guidelines, SEBF8485 are posted
for the technician to follow.
Not Recommended = 0
No Hose Cleaning
Procedures in Place
Not Recommended – Hoses NOT cleaned after
assembly or cleaned using any other method than
the proper hose cleaning procedure.
OR
Correct Procedures
NOT Followed.
Note: The Cat® Certified Clean Hose Decal part number is NEEG2828-00.
88
Hydraulic Hose Rebuilding
6.6) Housekeeping … Hose building / rebuilding area is clean and orderly
Good = 6
Good – The hose building / rebuilding area is
clean and orderly. Floors, walls, ceilings and
equipment should be clean and maintained clean.
• Storage cabinets and areas are orderly and free
of visible dirt and spills.
• No buildup of dirt and debris in corners and around
column posts and benches.
Not Recommended = 0
Not Recommended – The hose building /
rebuilding area is NOT clean and organized.
89
SECTION 7
CRC or REMAN
PARTS RETURN
Core Return Packaging Tips
For All Remanufactured Products
• Heavy soil and grease buildup should be removed from cores
being returned for remanufacture.
• Drain all fluids, such as, oil and anti-freeze from cores, remove
all oil filters to facilitate complete drainage, plug or tape all
openings.
• The most acceptable way to return cores is in the original
packaging with rust inhibitor applied to the core.
92
Core Return Packaging Tips
For All Remanufactured Products
• If the original packaging isn’t available, package in sturdy /
durable cartons, crates, boxes, etc. with rust inhibitor applied
to the core.
• Shrink wrapping is preferred when shipping large
components such as transmissions, engines, torque converters,
spindles, etc. and they should be shipped on the original metal
stands. If the original stands aren’t available, secure using a
wood frame for example.
• Shrink wrapping is not necessary or desirable for small
to mid-size cores.
93
CRC or Reman Parts Return
7.1) Core is drained of fluids, and openings are capped or otherwise properly protected
Good = 4
Good – Components such as hydraulic
cylinders, pumps or turbochargers have all
ports capped / plugged.
• All cores are drained of fluid.
• All ports are capped / plugged.
Acceptable = 2
Acceptable – Component is wrapped
in plastic and adequately protected.
• All cores are drained of fluid.
• Cores are wrapped in plastic in a manner that
covers all ports.
Note: For specific information about returning cores, consult your Cat® Dealer.
94
CRC or Reman Parts Return
7.1) Core is drained of fluids, and openings are capped or otherwise properly protected
Not Recommended = 0
Not Recommended – Components do NOT have
ports plugged, fluids are NOT drained or there
is no protective wrapping.
Note: For specific information about returning cores, consult your Cat® Dealer.
95
CRC or Reman Parts Return
7.2) Components such as cranks, cylinder heads, hydraulic pumps, etc., are returned in original
shipping boxes
Good = 4
Good – Return core packed in original shipping
box and protected with rust inhibitor.
• Original shipping container used.
• Adequate amount of rust inhibitor applied
when applicable.
Acceptable = 2
Acceptable – Return core shipped in other than
original shipping box that is substantial enough
to endure return with proper packing materials.
Packing material and rust inhibitor used
as required.
• A substitute shipping box that provides adequate
protection is used.
• There is adequate amount of rust inhibitor used
when applicable.
Note: For specific information about returning cores, consult your Cat® Dealer.
96
CRC or Reman Parts Return
7.2) Components such as cranks, cylinder heads, hydraulic pumps, etc., are returned in original
shipping boxes
Not Recommended = 0
Not Recommended – Cores being returned in an
unauthorized or unacceptable container without
packing material or rust proofing.
Note: For specific information about returning cores, consult your Cat® Dealer.
97
CRC or Reman Parts Return
7.3) Large components are covered with plastic or shrink wrap and shipped secured on original
shipping stand
Good = 6
Good – Large core being shipped secured
on its dedicated shipping stand and protected
with shrink wrap.
• Shipped on original shipping stand.
• Wrapped in plastic or shrink wrapped.
Acceptable = 3
Acceptable – Large core covered with plastic
that has been adequately secured for shipment
on other than its dedicated shipping stand.
• Shipped on substitute shipping stand that is durable
and substantial enough to protect component.
• Wrapped in plastic.
Note: For specific information about returning cores, consult your Cat® Dealer.
98
CRC or Reman Parts Return
7.3) Large components are covered with plastic or shrink wrap and shipped secured on original
shipping stand
Not Recommended = 0
Not Recommended – Large core NOT protected
with shrink wrap or plastic.
Note: For specific information about returning cores, consult your Cat® Dealer.
99
SECTION 8
BULK FLUID
STORAGE
Bulk Fluid Storage
8.1) Bulk fluids filtered entering storage tanks
Good = 10
Good – Large capacity filter(s) used to filter fluids
entering storage tank(s).
• Filter prior to entering bulk storage tank(s).
Not Recommended = 0
Not Recommended – No filters.
• No filters entering the bulk storage tank(s).
Reference: “Best Practices in Bulk Lubricant Storage and Handling” for additional information.
102
Bulk Fluid Storage
8.2) Proper 4 micron breather filter with ability to remove water on bulk storage tank(s)
Good = 8
Good – Proper 4 micron breather filter
with moisture removal capability on bulk
storage tank(s).
• 4 micron breather filter with desiccant,
or equivalent, which provides moisture
removal capability.
• Documented PM procedures.
Acceptable = 4
Acceptable – 4 micron breather without ability
to remove moisture.
• 4 micron breather filter without desiccant.
• Documented PM procedures.
Reference: “Best Practices in Bulk Lubricant Storage and Handling” for additional information.
103
Bulk Fluid Storage
8.2) Proper 4 micron breather filter with ability to remove water on bulk storage tank(s)
Not Recommended = 0
Not Recommended – Breather with greater than
4 micron filtration or no breather.
Note: You may want to contact one of the companies listed below for a
recommendation for suitable breathers for your installations:
Des-Case Corp
www.des-case.com
Schroeder Ind.
www.schroeder-ind.com
Air Sentry
www.airsentrybreathers.com
Reference: “Best Practices in Bulk Lubricant Storage and Handling” for additional information.
104
Bulk Fluid Storage
8.3) PM program in place
Good = 8
Good – A PM log that shows previous PM history
with ISO particle counts recorded.
• PM documentation.
• History of ISO particle counts.
• Tanks have ability to remove / drain water.
Not Recommended = 0
Not Recommended – No PM log or water drain
pipe for removing water and sediment from
the tank.
• No history of ISO particle counts.
• Tanks do NOT have ability to remove / drain water.
Reference: “Best Practices in Bulk Lubricant Storage and Handling” for additional information.
105
Bulk Fluid Storage
8.4) Covers used on lubricant barrels
Good = 6
Good – Lubricant barrels stored with protective
barrel covers or barrels stored inside.
• Covers used on barrels stored outside.
• Stored inside and no visible debris on barrel top.
• There is no debris under barrel cover regardless
of where stored.
OR
Good – Lubricant barrels stored horizontally with
bungs (openings) orientated at the proper angles
with barrels stored on designated racks.
• The proper angles for the plugs are that they are
located at approximately 3:00 and 9:00 o’clock
position respectively.
106
Bulk Fluid Storage
8.4) Covers used on lubricant barrels
Acceptable = 3
Acceptable – Barrels stored under roof
(but not inside) without barrel covers.
• Stored without covers, under roof and protected
from elements.
• Stored dry and free of debris.
• If covers are used, there is no debris under
barrel cover.
Not Recommended = 0
Not Recommended – Barrels stored outside
without covers.
• Barrels stored with accumulated debris on top.
• Covers being used are ineffective.
107
SECTION 9
FUEL CONSIDERATIONS
Fuel Considerations
9.1) Fast fueling equipment is standard on the fuel island and fuel truck
Good = 8
Good – Fuel island and fuel truck are equipped
with fast fueling equipment.
Not Recommended = 0
Not Recommended – There is no fast fueling
equipment / capability at the fuel island or
fuel truck.
110
Fuel Considerations
9.2) Fuels filtered entering and exiting storage tanks
Good = 8
Good – Fuel is filtered entering and exiting the
bulk fuel storage tank and fuel truck storage tank.
Exit filtration for the bulk tank has the ability
to remove water.
• Dispensed fuel meets Cat® fuel cleanliness
of ISO 18/16/13.
Acceptable = 4
Acceptable – Fuel is filtered exiting the bulk fuel
storage tank and fuel truck storage tank.
• Dispensed fuel meets Cat® fuel cleanliness
of ISO 18/16/13.
Note: If fuel is transferred into the fuel truck from dispensing points that delivers ISO 18/16/13 cleanliness level
or cleaner, a pre-filter is not necessary.
Note: Water content should not exceed 500 ppm.
111
Fuel Considerations
9.2) Fuels filtered entering and exiting storage tanks
Not Recommended = 0
Not Recommended – No exit filtration and fuel
does NOT meet ISO 18/16/13 or cleaner.
112
Fuel Considerations
9.3) Clean fuel filler nozzles
Good = 8
Good – Nozzles are protected by a cover and are
cleaned prior to refueling.
Not Recommended = 0
Not Recommended – Nozzles are NOT protected
and are NOT cleaned before fueling or
transferring.
Note: Filler nozzles are defined as machine refuel nozzles (fast fill and dispensing gun types) as well as hoses etc. used for
off-loading to bulk tanks.
Note: Cat® low lint towels (162-5791 and 265-2256) may be used for cleaning and are available through your Cat® Dealer.
113
Fuel Considerations
9.4) Clean machine fueling ports
Good = 8
Good – Fueling ports are cleaned prior to fueling
and are covered with the standard OEM (Original
Equipment Manufacturers) cover.
Not Recommended = 0
Not Recommended – Fueling ports are NOT
covered with the standard cover and they are
NOT cleaned before fueling.
Note: Cat® low lint towels (162-5791 and 265-2256) may be used for cleaning and are available through your Cat® Dealer.
114
Fuel Considerations
9.5) Clean fuel truck filler hoses and nozzles
Good = 8
Good – Nozzles protected from debris and dirt.
• Contained in a clean closed sealed compartment.
• The compartment should be washed as needed
and as part of the fuel trucks PM program.
Not Recommended = 0
Not Recommended – No protection and nozzles
are dusty and are NOT cleaned before fueling.
• A dirty nozzle can allow contaminants to be
introduced directly into the machines fuel system.
115
Fuel Considerations
9.6) PM on vehicle and compartments
Good = 8
Good – There is a PM program in place
and records are kept.
• PM program in place.
• Documentation indicating maintenance of bulk
fluid tanks, filters and breathers are maintained.
• Documentation of fuel cleanliness ISO 18/16/13.
Not Recommended = 0
NO PM PROGRAM
Note: Water content should not exceed 500 ppm.
Not Recommended – Incomplete PM program
or records are NOT kept.
116
Fuel Considerations
9.7) Both bulk and fuel truck equipped with 4 micron breather with ability to remove water
Good = 8
Good – Proper 4 micron breather filter
with moisture removal capability on bulk
storage tank(s).
• 4 micron breather filter containing desiccant,
or equivalent, which provides moisture
removal capability.
Not Recommended = 0
Acceptable – 4 micron breather without ability
to remove moisture.
117
Fuel Considerations
9.7) Both bulk and fuel truck equipped with 4 micron breather with ability to remove water
Not Recommended = 0
Not Recommended – Breather with greater
than 4 micron filtration and no ability to
remove moisture.
Note: You may want to contact one of the companies listed below for a
recommendation for suitable breathers for your installations:
Des-Case Corp
www.des-case.com
Schroeder Ind.
www.schroeder-ind.com
Air Sentry
www.airsentrybreathers.com
118
SECTION 10
LUBE VEHICLE
Lube Vehicle
10.1) Fluids filtered entering and at the dispensing point of the lube vehicle
Good = 10
Good – Fluids are filtered entering and
at the dispensing point.
• Filter prior to entering bulk storage tank
and at dispensing point.
• Dispensed oil meets ISO -/16/13.
Not Recommended = 0
Not Recommended – Fluids are NOT filtered
entering / or at the dispensing point or does
NOT meet cleanliness target.
• No filters entering the bulk storage tank OR
at the dispensing point.
• Dispensed oil does NOT meet ISO -/16/13.
Note: If oil is transferred into the lube truck from dispensing points that delivers ISO -/16/13 cleanliness level
or cleaner, a pre-filter is not necessary.
120
Lube Vehicle
10.2) Proper 4 micron breather filter with ability to remove water on bulk storage tank(s)
Good = 8
Good – Proper 4 micron breather filter
with moisture removal capability on bulk
storage tank(s).
• 4 micron breather filter containing desiccant,
or equivalent, which provides moisture
removal capability.
Acceptable = 4
Acceptable – 4 micron breather without ability
to remove moisture.
• 4 micron breather filter without desiccant.
• Documented PM procedures.
121
Lube Vehicle
10.2) Proper 4 micron breather filter with ability to remove water on bulk storage tank(s)
Not Recommended = 0
Not Recommended – Breather with greater than
4 micron filtration or no breather.
Note: You may want to contact one of the companies listed below for a
recommendation for suitable breathers for your installations:
Des-Case Corp
www.des-case.com
Schroeder Ind.
www.schroeder-ind.com
Air Sentry
www.airsentrybreathers.com
122
Lube Vehicle
10.3) Clean compartment to transport filters
Good = 6
Good – Enclosed clean compartment.
• Filters are transported in an enclosed, clean
compartment.
• A clean, sealed portable container is used.
• Filter packaging is not opened which would
allow contaminants to enter the new filter.
Not Recommended = 0
Not Recommended – Compartments to transport
filters are NOT clean or filter packaging opened
allowing contaminates to enter new filter.
123
Lube Vehicle
10.4) Clean oil fill nozzles and grease couplers
Good = 8
Good – Nozzles / couplers protected from dust
and dirt.
• Contained in a clean sealed compartment.
• The compartment should be washed as needed
and as part of the fuel trucks PM program.
Acceptable = 4
Acceptable – Nozzles / couplers are cleaned
before use.
• Nozzles / couplers are cleaned before each use.
• Cleaning supplies are readily available for use.
124
Lube Vehicle
10.4) Clean oil fill nozzles and grease couplers
Not Recommended = 0
Not Recommended – No protection and nozzles /
couplers are dusty and are NOT cleaned before
each use.
125
Lube Vehicle
10.5) PM program on vehicle and compartments
Good = 8
Good – There is a PM program in place
and records are kept.
• PM program in place.
• Documentation indicating maintenance of bulk
fluid tanks, filters and breathers is maintained.
• Documentation of oil cleanliness ISO -/16/13.
Not Recommended = 0
NO PM PROGRAM
Not Recommended – Incomplete PM program
or records are NOT kept.
126
Lube Vehicle
10.6) Housekeeping … The lube service vehicle is clean and orderly
Good = 6
Good – The lube service vehicle is clean
and orderly.
• Hose reel / fluid dispensing and recovery area,
storage areas, cab, body, etc. are maintained
clean and orderly.
Not Recommended = 0
Not Recommended – The lube service vehicle
is NOT clean and organized.
This is a requirement for a 3 star or greater rating.
127
SECTION 11
FIELD SERVICE
Field Service
11.1) Caps, plugs, covers available and used to protect components and / or machine compartments
and component transported in original container or shipping stand
Good = 10
Good – Components like hydraulic cylinders,
pumps or turbochargers have all ports plugged
or component is wrapped in plastic, and returned
in original container or stand. Contamination
control supplies are stored on the field service
vehicle and maintained clean until use.
• All ports are capped / plugged with proper cap
or plug.
• Original shipping stands or containers are used.
Note: If caps and pugs are reused, there must be a formal cleaning
process performed prior to storage and maintained clean until use.
Note: The original shipping stand / container is defined as one that has been manufactured specifically for that component,
by Caterpillar, the Dealer or supplier purchased in order to transport it in a secure and safe manner.
130
Field Service
11.1) Caps, plugs, covers available and used to protect components and / or machine compartments
and component transported in original container or shipping stand
Acceptable = 5
Acceptable – Ports are capped / plugged but
without original container or shipping stand.
• All ports are capped / plugged with proper cap
or plug.
• Contamination control supplies are stored on the
field service vehicle and maintained clean until use.
• A substitute shipping container or stand that
provides adequate protection is used.
Not Recommended = 0
Not Recommended – Components NOT having
ports plugged or NOT wrapped in plastic, and
being returned without being put in boxes or
on shipping stands.
131
Field Service
11.2) Filtered cleaning media
Good = 6
Good – Portable parts washer with filter.
• Portable parts washer with a filter being used.
OR
• The use of a non-recoverable aerosol fluid or spray
which evaporates quickly and does not leave a
residue.
Note: Portable parts washer Cat® Part-Number 212-1503 shown
Not Recommended = 0
Not Recommended – Washing parts with
unfiltered solvent or NOT washing parts.
• Using anything less than filtered solvent or nonrecoverable spray which does NOT leave a residue.
132
Field Service
11.3) Particle count capability
Good = 10
Good – Technician has access to particle count
capability.
• Technician has access to a particle counter on the
service vehicle or from tool crib.
• Bottle sample is taken and the analysis is performed
at Dealership or qualified S.O.S.SM lab.
Not Recommended = 0
NO PARTICLE
COUNT CAPABILITY
Not Recommended – No particle counter or bottle
sample taken.
AND
BOTTLE SAMPLES
NOT TAKEN
133
Field Service
11.4) Water separators and filters used on air supply lines
Good = 6
Good – Service vehicle with water separator
and filter on air lines.
• Air lines for air powered tools only have labels
stating so.
• Documented PM program in place.
Not Recommended = 0
Not Recommended – No water separator or filters
on air lines.
134
Field Service
11.5) Waste oil handling and used filter container / storage capability
Good = 6
Good – Having waste oil evacuation pump
and closed containers for transporting waste oil
and used filters.
• Service vehicle has a waste oil pump and enclosed
waste containers.
Acceptable = 3
Acceptable – Closed container for transporting
waste oil and used filters.
• Closed and sealed portable / permanent containers.
• Lube vehicle is used for waste oil handling.
135
Field Service
11.5) Waste oil handling and used filter container / storage capability
Not Recommended = 0
Not Recommended – Using open containers,
barrels or pans to transport waste oil and / or
used filters.
136
Field Service
11.6) Access to kidney loop equipment
Good = 10
Good – Kidney loop cart available on field service
vehicle, or from tool crib.
• Technician has access to kidney loop equipment
on the service vehicle or from tool crib.
• There is a process to ensure “Roll-off” cleanliness
targets are met after a system invasion.
Not Recommended = 0
NO TIMELY ACCESS
TO KIDNEY LOOP
EQUIPMENT
Not Recommended – No timely access to kidney
loop equipment.
• Technician does NOT have access to kidney loop
equipment.
• There is NOT a process to ensure “Roll-off”
cleanliness targets are met after a system invasion.
137
Field Service
11.7) Housekeeping … The field service vehicle is clean and orderly
Good = 6
Good – The service vehicle is clean and orderly.
• Storage areas, cab, body, etc. are maintained clean
and orderly.
Not Recommended = 0
Not Recommended – The service vehicle is
NOT clean and organized.
This is a requirement for a 3 star or greater rating.
138
SECTION 12
FLUID CLEANLINESS
Fluid Cleanliness
12.1 Methods and timeliness of monitoring fluid cleanliness
Good = 10
Not Recommended = 0
Good – All machines are enrolled in an S.O.S.
sampling and particle counting program and
monitored using a consistent schedule.
• Particle counting determines how much
contamination there is in a given sample, while
S.O.S. determines the consist of particles that
are present in the same sample.
• S.O.S. and particle counting are the primary
tools for ensuring fluids meet target cleanliness
specifications.
Not Recommended – There is no ongoing S.O.S.
and particle counting programs that include
monitoring on a consistent schedule.
• It is fundamentally impossible to conduct a
contamination control program without having
proficient S.O.S. and particle counting programs in
place.
141
SECTION 13
REMOVE AND INSTALL
Remove and Install
13.1) Component condition as received
Good = 8
Good – Rebuilt, Reman, or new Components are
booked-in with a checklist process.
• Review for protection / condition and equipment
missing.
• Camera used to document concerns.
• Communicate results to designated service / parts
supervisor / manager.
Acceptable = 4
Acceptable – Components booked-in and recorded
on service report.
• Review for protection / condition and equipment
missing.
• Communicate results to designated service / parts
supervisor / manager.
144
Remove and Install
13.1) Component condition as received
Not Recommended = 0
Not Recommended – Components are bookedin with no review of protection, condition or
equipment missing, prior to the start of the
Remove and Install.
145
Remove and Install
13.2) Remove and Install performed in on-site building or shop
Good = 10
Good – Remove and Install is performed in an onsite building or enclosure, with a clean, smooth
concrete floor.
Acceptable = 5
Acceptable – Remove and Install is performed on
an on-site, clean, smooth concrete pad outside.
146
Remove and Install
13.2) Remove and Install performed in on-site building or shop
Not Recommended = 0
Not Recommended – Remove and Install
is performed on-site on a gravel or dirt
surface outside.
147
Remove and Install
13.3) Shop doors and widows remain closed during Remove and Install process
Good = 8
Good – All shop doors / windows are
normally closed.
• Exception would have door open for transition
of machine, etc. then immediately closed.
Not Recommended = 0
Not Recommended – Shop doors / windows
are open on one or more walls, allowing breezes
to deposit dust on repair work.
• Fans circulate air and dust.
148
Remove and Install
13.4) Cleanout filters – clean and checked
Good = 10
Good – Clean-out / UHE filters are used
and opened (cut) for system review.
• Contamination is reviewed for source and
corrective action is taken and documented.
• Filters inspected after eight hours or one shift.
•Clean-out filters are included in must-do parts kit,
or, are packaged (clean) with rebuilt component.
Acceptable = 5
Acceptable – Clean-out filters / UHE are available
on-site and filters are used and opened (cut) for
system review after eight hours or one shift.
149
Remove and Install
13.4) Cleanout filters – clean and checked
Not Recommended = 0
Not Recommended – Clean-out filters are NOT
removed / opened (cut) and are only available
as an additional off-site parts order.
150
Remove and Install
13.5) Failure analysis assessment
Good = 10
Good – A preliminary failure analysis assessment
is performed before / during the component
removal process using Caterpillar Applied
Failure Analysis principles with all parts
properly protected.
Acceptable = 5
Acceptable – Failure analysis is performed after
the component is delivered to the rebuild center.
All parts are properly protected.
151
Remove and Install
13.5) Failure analysis assessment
Not Recommended = 0
Not Recommended – Parts are NOT properly
protected. Failure analysis is NOT performed
or documentation is NOT recorded.
152
Remove and Install
13.6) Contamination control supplies
Good = 10
Good – Supplies such as clean drop cloths, plastic
wrap and tape, containment mats, oil absorbent
pads, plugs, caps, fitted covers, low lint towels,
etc. are available.
Not Recommended = 0
Not Recommended – Contamination Control
supplies are NOT available.
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Remove and Install
13.7) Process consistency checklist
Good = 8
Good – Components processed with a checklist
that lists critical steps, provides specs., results,
records, and is stored with repair history.
• All returned checklists are validated for
completeness / accuracy.
Not Recommended = 0
Not Recommended – Components are processed
differently per component circumstance or results
recorded (e.g., particle counts), are NOT
consistently documented.
Note: Caterpillar Remove and Install checklists for specific models are available from your Cat® Dealer.
154
Remove and Install
13.8) Shop Remove and Install equipment / tooling maintained
Good = 6
Good – Component remove and install stands,
hoists, bridges, chains, slings and portable
equipment / tooling used to facilitate component
remove and install, are maintained clean as part
of a PM program.
Not Recommended = 0
Not Recommended – Stands, hoists, bridges,
chains, slings and portable equipment / tooling
is NOT maintained clean, and formal cleaning
process is NOT in place.
155
Remove and Install
13.9) Must-do / kit parts order is complete / protected
Good = 8
Good – Must-do parts order including CC
materials is placed / delivered / protected for
automatically-replaced parts before Remove
and Install process begins.
Not Recommended = 0
Not Recommended – Parts orders are placed /
delivered / protected for automatically-replaced
parts after the Remove and Install is in-process
and do NOT contain items listed above.
Note: Kits should include items such as component specific caps and plugs, S·O·S sample bottles and tubing, vacuum
extraction pump, exchange magnetic plug kits, low lint towels, re-sealable plastic bags, latex / rubber gloves, etc.
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Remove and Install
13.10) Machine washed after component removal
Good = 10
Good – Machine component area free of oil,
grease and debris, prior to this area being
inspected, repaired, and painted as needed.
Not Recommended = 0
Not Recommended – Machine component area
with oil, grease, or debris hindering contamination
control efforts, component installation, inspection,
and repairs.
157
Remove and Install
13.11) Off-highway truck axle housing cleanliness managed
Good = 10
Good – Housing washed with high-pressure wand
cleaner and hot, soapy water, with a clear water
rinse. Cleanliness checked with white, low-lint
towel, with quality check signed off by supervisor
or dealer representative.
Acceptable = 5
Acceptable – Rear power train magnetic plug
trends positive, particle count trends not above
ISO -/21/17, and system is kidney looped to ISO /18/15 or cleaner before disassembly.
• Follow the guidelines in “Cleaning Rear Axle
Housing Assemblies of Off-Highway Trucks,
Media SEBF8370 and SEBF8366, if this criteria
is not met.
Reference: Caterpillar Media SEBF8370 (793), and SEBF8366 (789 and 785) Cleaning Rear Axle Housing Assemblies
of Off-Highway Trucks is available from your Cat® Dealer.
158
Remove and Install
13.11) Off-highway truck axle housing cleanliness managed
Not Recommended = 0
Not Recommended – Rear power train cleanliness
NOT managed before installing new / rebuilt /
Reman component or components.
159
Remove and Install
13.12) Intake system integrity verified (793 and 797 OHT)
Good = 10
Good – Perform air induction system test to verify
system integrity before releasing machine.
Acceptable = 5
Acceptable – Inspect all air inductions system
parts / joints, while replacing all air induction
hoses / clamps and seals / gaskets.
Reference: Caterpillar Service Magazine, “Recommended Schedule For Inspection of the Air Induction System”
is available from your Cat® Dealer.
160
Remove and Install
13.12) Intake system integrity verified (793 and 797 OHT)
Not Recommended = 0
Not Recommended – Install air induction system
without new hoses / clamps and or seals / gaskets,
and without inspection.
161
Remove and Install
13.13) Machine washed after Remove and Install, but before releasing to service
Good = 6
Good – Documented process in place to wash all
machines after Remove and Install, but before
unit returns to service.
• Documented procedures in place.
• Machines / components returned to service without
being washed.
Acceptable = 3
Acceptable – No formal process in place, but all
machines are washed after Remove and Install
and before unit returns to service.
162
Remove and Install
13.13) Machine washed after Remove and Install, but before releasing to service
Not Recommended = 0
Not Recommended – No formal process and
machine returns to service NOT washed.
163
Remove and Install
13.14) Housekeeping … Remove and Install area cleaned after job completion
Good = 6
Good – Remove and Install area is cleaned
immediately after repair is completed.
• Debris / parts scrapped or returned and benches
cleared of work in process and cleaned.
• Equipment returned to storage location.
• Floor cleaned.
Not Recommended = 0
Not Recommended – Trash, work in process
materials, and benches NOT maintained.
• Equipment still in work area after job completion.
• Floor NOT clean.
This is a requirement for a 3 star or greater rating.
164
SECTION 14
TOOL STORAGE
Tool Storage
14.1) Tool Cleanliness Management
Good = 8
Good – All tools that contact fluid (liquid or gas)
wetted parts are clean and protected.
• Tools are identified for cleaning and storage.
• Tools stored clean and protected.
Not Recommended = 0
Not Recommended – Tools that contact fluid
(liquid or gas) wetted parts are NOT clean, are
NOT protected or are NOT identified (software
or manually).
167
Tool Storage
14.2) Housekeeping … Tool storage room / area is clean and orderly
Good = 6
Good – Tool storage, including tools, shelves,
drawers, bins, and containers are clean and
organized.
• Storage cabinets and areas are orderly and free
of visible dirt and spills.
• No buildup of dirt and debris in corners and around
column posts and benches.
• Larger tools that are not adaptable to shelves
or drawers are stored off the floor.
Not Recommended = 0
Not Recommended – Dirty tools, shelves, drawers
or bins with no evidence of a cleaning process.
Tools are NOT organized or tools stored on
the floor.
168
Threshold Questions
Machine Cleanliness - New & Repaired
All the following requirements must be met to achieve a 3 star or higher rating
Is machine cleanliness check performed utilizing particle count technology (S.O.S. or Portable):
Answer "yes" or "no"
(If n/a answer yes)
: Prior to new machine delivery, if machine prep involved invasion of system with a roll-off specification?
: Prior to delivery of machine repair involving system with a roll-off specification - Field?
: Prior to delivery of machine repair involving system with a roll-off specification - Shop?
: Prior to delivery of machine after PM involving system with a roll-off specification?
If necessary based on preceding inspection, is oil filtered back to Caterpillar roll-off specification?
After rebuilding components, do the fluids in the components tested on a stand meet ISO -/16/13?; and for components that are not
tested, are particle counts taken on the machines after these components are installed, to ensure machine roll-off specifications are met
before the machine is returned to work? Both answers should to be "Yes", to be able to respond with a "Yes".
Is an oil sample (for particle count) taken before component (non catastrophic / inoperable) is removed from machine system ?
If component removal is because of a failure, is entire component system cleaned?
To achieve a rating above 2 Stars all housekeeping standards 4.18, 5.6, 10.6, 11.7 and 13.14 must be rated "Good".
169
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