BEST PRACTICE SERIES
Backlog Management
Application Maintenance
Site
Component
Management
Rebuild
Safety
MARC
Management
Backlog Management ................................................1
1.0 Introduction........................................................2
2.0 Best Practice Description ..................................2
3.0 Implementation Steps......................................13
4.0 Benefits ...........................................................13
5.0 Resources Required........................................14
6.0 Supporting Attachments ..................................14
7.0 Related Best Practices ....................................14
8.0 Acknowledgements .........................................14
August 2006
0806-2.70-1008
300 Hamilton Blvd., Ste. 300, Peoria, IL 61629-3810, U.S.A.
catminer.com
CAT GLOBAL MINING
BEST PRACTICE SERIES
1.0 Introduction
This Best Practice deals with the creation, management, and reporting of maintenance and repair
Backlogs. Implementing this Best Practice will improve machine availability and reduce operating
costs by the reduction of unplanned, costly repairs. It will also provide a method to identify,
manage and schedule necessary repairs before failure.
This Best Practice addresses the items in Site Assessment Section 2.8.
Backlog is generally understood to be the work that has not been completed by the nominated
“required-by-date”. Backlogs are also managed as pending workload for the repair centers. Our
approach to Backlog Management is to view it as a powerful tool to proactively prevent failures.
Backlog management is one of the keys to a good equipment maintenance system. If the effort
that goes into condition monitoring does not result in a high percentage of planned and scheduled
repairs, the corresponding results of reliability, costs and availability will be adversely effected.
The planning and scheduling routines will also be disrupted.
2.0 Best Practice Description
2.1
Backlog Management
Backlog management is one of the keys to a good equipment maintenance system. If the effort
that goes into condition monitoring does not result in a high percentage of planned and
scheduled repairs, the corresponding results of reliability, costs and availability will be adversely
effected. The planning and scheduling routines will also be disrupted.
Backlog is generally understood to be the work that has not been completed by the nominated
“required-by-date”. Backlogs are also managed as pending workload for the repair centers. Our
approach to Backlog Management is to view it as a powerful tool to proactively prevent failures.
It is commonly understood that there are certain types of failures that will occur, with no signs or
measurable warning. Examples are those related to the electronic or electrical control systems.
Fortunately our experience shows that most of the failures that mobile equipment experience that
cause significant downtime are detectable well in advance of failure, allowing the organization to
plan the appropriate corrective actions.
There are two areas that we would like to stress: the early detection of possible failures and their
appropriate corrective planning actions. Early detection of potential problems increases the time
window to plan the necessary repairs.
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We would like to use this diagram above to illustrate our approach to Backlog Management.
Backlog Management is the process occurring between the detection of a symptom of a potential
or hidden failure and the occurrence of the actual failure itself.
Condition Monitoring and Backlog Management are so critical to achieving the goal of reliability,
that any maintenance organization must be able to assess and improve the process. Establishing
a logical approach for this planning stage is probably the first step.
We would like to contribute to this effort by presenting a process that was developed in
conjunction with our mining dealers.
2.2
Backlog Management Process
2.2.1 Generating the Repair Request.
The effectiveness of Backlog Management begins with the information that is provided by the
maintenance inspector, the operator, the Fleet Analyst, or whomever inspected the equipment at
the time the repair needs are determined.
As a first step in defining the process we recommend adopting a unique form to communicate the
repair need, designing the form in accordance with the desired end result. This form will be used
primarily by the inspector, field and shop mechanics, supervisors, and should be available to
anyone that needs to enter a repair request. The results of the operators’ input need to be
filtered, normally done by an inspector, to transform their request into a formal repair request.
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As soon as a repair request is generated, it becomes a Backlog (BL) in our process, triggering
the planning actions. It is also added to the database and is introduced into the general
evaluation process.
Equipment ID
Date
Reference
Number
Work Order
Number
Type of
Inspection
Symptom
Description
Purpose (Desire End Result)
Mine internal ID commonly used
Date when Backlog was
generated
Number assigned in Planning
Tracking and statistical evaluations
Evaluate the response time of the system (age
of Backlogs)
Tracking
Optional. Used if Work Order is
opened as soon as the BL is
generated.
Identifies the generation source
(Condition Monitoring routines +
operational areas, such as Field,
PM, Shop, others)
State the problem
Enters the BL to the Maintenance Support
Software
Describe the repair action
needed
Identifies the major systems of
the equipment (Use of SMCS
codes recommended)
Identifies the urgency
Repair Action
System
Priority
Estimate of
Repair Times
Parts request
Tooling, Special
Equipment,
Consumables
Requested by
Supervisor
approval
Keypunched OK
Parts estimated
arrival date
Parts arrival date
Identifies the Labor hours and
Downtime estimated for the
repair
Identifies the parts needed for
the repair
Identifies special needs for
tooling, equipment,
consumables, information, etc.
Evaluate the contribution of the different
organization areas
Identify the warning signs that were detected
that indicated the need for a specific repair
Identify a precise repair need eliminating
further inspections
Statistical Analysis.
- Actual BLs per system
- BLs per system generated
Planning. Treat the BLs accordingly to their
urgency
Estimate criticality of Backlog and future shop
work load
Parts must be identified by the generator (man
on the machine)
Efficient Planning.
Identifies the generator.
Especially important when
operator is involved.
Supervisor is responsible for the
quality of the BL generated
Facilitate possible verification.
Recognition & motivation.
Identifies when the BL is entered
into the database
For Parts department use.
Process control
Planning & control.
Identifies the actual parts arrival
date
Triggers the next planning stage, schedule the
repairs.
Efficient Planning.
Accurate and complete information permits the planning department to perform their functions
effectively and efficiently, avoiding further effort duplication due to reevaluation of repairs needed.
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The following Backlog Record Form is proposed for gathering the list of information required. This
form is currently in use by various operations that operates Caterpillar and other brands
equipment.
BAC KLOG REC ORD FORM
Equip. No:
Date
T ype of Inspection:
O perator
Reference No.
W . O rder No.
Field
Preventive M aint.
Other
Sympto m :
Action :
System :
1000 Engine
3101 T orque C on v.
4300 Steering
7000 B asic M ac h.
9500 V arious
1400 Electric al
4050 Final Drive
5050 H yd raulic
7200 Suspens ions
9600 Factory M odif.
3000 Transm ission
4250 Brakes
5500 Tires
7320 A/C
Urgent
Priority :
Next PM
W hen Possible
Monitor
Estimate of Repair Times
Machine Hours
Hr.
Man Hours
Hr.
Parts Request
Item
Q uantity
Part Num ber
Description
Page Item
O bservations
1
3
4
5
6
7
8
9
10
11
12
13
14
15
O rder Num ber
Tooling, Consum ables and Support Equipm ent
Lift T ruck
Liquid N itrogen
Crane
Jac k
T ire Equip m ent
W ashing
Requested by:
Estim ated Arriv al Date
Supervisor Approv al
Parts Arriv al Date
Keypunched O K
NOTE: The “Type Of Inspection” field can be modified to accommodate the condition monitoring
routines that are implemented and the organization areas that may contribute with the Backlog
generation.
Now that we have our entry point defined, we can go into the second stage, the planning
process.
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2.2.2 Backlog Planning Process Stage
As soon as the Backlog Form is completed it enters the planning area. There are three major
phases in the Backlog Management process:
•
•
•
Backlog received and entered to the database. Waiting to be processed.
Backlog planned and waiting for resources, normally parts.
Backlog ready to be executed. Scheduled, waiting to be executed.
To facilitate the identification of these phases and the handling of the quantity of Backlogs
entering the system, we assigned colors to these stages. Red, Blue and Green are the colors
selected respectively.
Let’s follow a Backlog through the entire process:
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BL enter the Process
Red Phase
Information
Ge nerates B L
Request
Backlog Re fer ence Number
a nd
Work Order Number assigned
BL entere d in to
the Da ta Base
Pap er Cop y filed
in Red Binder
Condition Monitoring sta ge
Planning
Blue Phase
BL waiting for Parts
Check arrival
Analyze BL
- Repair Action
- Urgency
- Parts
- Other resources
Parts Requested
Check
Existence
Order Parts / Resources
Paper Copy filed
in Blue Binder
Reserve Parts for BL
No Parts Needed
Planning
BL Waiting for
Parts / Resources
Parts
Green Phase
Backlogs Ready to Go
Backlog is moved
to the Green Phase
Feedback to
Planning
Repair
Scheduled
Repair
Execution
Update
Data Base
Information provided
to use of “windows of
opportunities”
The starting point of the planning process begins in the “Red stage” where the Backlog request is
entered into the database. At this point the request could stay “waiting to be planned” or could
pass to the next stage if the planning actions are taken immediately. As soon as the planning
actions are taken, analyzed, the actual repair required is established, and the resources needed
(parts and others) are ordered, the Backlog is passed to the next stage, the “Blue stage”. All
Backlogs in this blue stage are waiting for some resources, most frequently parts. The next
stage, the “Green stage”, contains all Backlogs that are “ready to go”, with all the necessary
resources allocated. The arrival or physical availability of parts and other special resources is the
condition to move the Backlog to this last stage. At this point the Backlog is ready to be
scheduled for execution or to be performed in the earliest window of opportunity.
The use of distinctive areas of functionality and responsibility helps with possible improvements
determined by the continuous evaluation of your maintenance operation.
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2.2.3 Evaluating the Process
As we stated at the beginning of this section, the ultimate goal is to achieve the targets for
percentage of scheduled work and equipment reliability. Keeping this final goal in mind the
Backlog Management process can be evaluated, for each of the defined functional areas and
assess the contribution of them in the achievement of the desired end results.
Backlog Management Performance Indicators
Indicator
Description
Purpose
Quantity of Backlogs
The number of Backlogs in
the process. Repair need
identified, not executed.
Number of Backlogs entered
into the system
Evaluates the work load and risk for failures
Sum of all repair estimated
time determined at the time
the Backlog was generated
Measured from the date the
backlog was generated
Evaluates the severity of the Backlog work load
and potential loss of availability
The number of Backlogs
identified that are waiting for
planning, waiting for parts
and waiting for being
executed
Backlogs generated by the
operators, inspectors, PM &
others.
Backlogs sorted by machine
systems.
Backlogs generated sorted
by machine systems.
Identifies the weak area, where the process is
being delayed.
Quantity of Backlogs
generated
Estimated Time to
Repair
Percentage of Backlogs
over 30 days
Quantity of Backlogs in
the different process
phases (Red-BlueGreen)
Backlogs per type of
Inspection
Backlogs per system
Backlogs generated per
system
Evaluates the condition monitoring ability to detect
potential problems.
Evaluates the quality of the response of the system
to react proactively to eliminate potential problems.
Identifies the areas that are contributing in the
failure detection.
Permit the comparison between the current and the
potential problems.
Evaluates the ability of the condition
monitoring routines to detect the critical
problems.
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We recommend starting by visualizing the balance between Backlog Generation, Execution and
Total pending. It is also important to include the goal / target for total pending backlogs, to set up
a clear management guide.
Backlog Management - Generated / Executed / Pending
OHT Fleet
450
400
Number of Blogs
350
300
250
200
150
100
50
0
Goal for pending Blogs
January
February
March
BL Generated
April
BL Executed
May
BL Pending
June
July
August
September
Goal (pending)
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2.2.4 Estimating Time to Repair and Labor Hours
Estimated Time to Repair in Downtime (Machine estimated hours) and labor (man power
required to execute the Backlog) is a good management metric for severity of the pending
Backlogs. The Goal shown in this graph is the line for 10 % of the available labor hours. It is
important to maintain the hours estimated for Backlogs below 10% of the available hours on the
shop floor.
Backlog Management - Estimated Time To Repair (Machine & Labor Hours)
OHT Fleet
500
hours
400
300
200
Goal= 10% of available labor h
100
0
January
February
March
April
ETTR
May
Est Labor hours
June
July
August
September
Goal
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2.2.5 Assessing Response Time
Backlogs > 30 days is a good indication for assessing the response time of your organization. 30
days is a Benchmark. We have to try eliminating the Backlog generated within 30 days.
Remember that Backlogs are potential failures.
Backlog Management - Backlogs > 30 days
OHT Fleet
100
90
Blogs > 30 days (%)
80
70
60
50
40
30
20
10
0
January
February
M arch
A pril
M ay
B L > 30
June
July
A ugust
September
Go al
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2.2.6 Backlog Management – Backlog Status
This report allows you to identify the areas of responsibility on the pending Backlogs. From all
pending Backlogs, what percentage is in process in the planning area (Red), what percentage is
waiting for parts / resources (Blue) and what percentage is ready to go (Green)? The managers
can now concentrate on improving the appropriate area of opportunity.
Backlog Management - Backlogs Status
OHT Fleet
100
% Blogs in Red - Blue - Green
90
80
70
60
50
40
30
20
10
0
January
February
M arch
A pril
M ay
B L in Red
B L in B lue
June
July
A ugust
September
B L in Green
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Sample Backlog Management Report
This is an example of a Backlog Management Report used in a 793B coal operation
Backlogs Q uantity
Blogs > 30 Days (% of Total)
Estim ated Tim e to Repair
240 Ton Truck Fleet
240 Ton Truck Fleet
240 Ton Truck Fleet
400
100
1000
Q uantity
E xecuted
200
100
80
Percentage %
Downtime (hrs)
Quantity of BL
90
800
300
600
400
70
60
50
200
40
0
A pril
June
August
May
July
O ctuber
Septem ber
0
December
Noviem ber
April
June
M ay
July
August
O ctober
Decem ber
Septem ber
Novem ber
Backlog Status
30
April
June
May
August
July
O ctober
September
December
November
Backlogs per System
240 Ton Truck Fleet
100
0.590.77
80
3.24
Percentage %
2.44
0.93
60
Engine
Electrical
Transm ission
Hydraulics
Steering
Air Sys.
PM
Tires
Differential
Final Drives
Brakes
Suspensions
F.W heels
Fire S up.
Accidents
Air/Cond
1.47
2.4
40
1.35
3.04
20
1.03
0
April
June
M ay
August
July
O ctober
Septem ber
Decem ber
N ov ember
4.11
3.04
0.65
Situation Analysis
- The Benchm arks or Targets for Quantity, ETTR will be established. It is noticeable the increase of Backlogs and estimated tim e to repair them (ETTR).
This is very dangerous; we have to im prove our reaction (clean BL List). The Nbr. of BL executed is low and constant. The quantity of Backlogs waiting for
being process is affected by the location of the warehouse. The BL waiting for parts are affecting directly on the age of them , BL (>30)
Corrective Actions
- Considering the am ount of BL "ready to go" (G reen) we will start scheduling m ore BL within the planned activities and instructing the supervisors to
increase the use of the window of opportunities of the unscheduled repairs.
- W e are working in the relocation of the warehouse.
- W e will increase the scheduling of BL and the shop will be instructed to executed 100 % of the planned jobs.
3.0 Implementation Steps
1.
2.
3.
4.
5.
Use the results on condition monitoring inspections to create Backlogs.
A sample Backlog form is attached.
Implement the 3-phase (Red, Blue, Green) method for categorizing and tracking Backlogs.
Use the attached evaluation process to determine the performance of your Backlog system.
Refer to Backlog Process Map (page 7).
4.0 Benefits
•
•
•
•
Fewer high cost unscheduled repairs.
Higher reliability and machine availability.
More efficient use of shop facility and labor force.
Lower cost per hour and cost per ton.
THE INFORMATION HERON IS THE PROPERTY OF CATERPILLAR INC. AND/OR ITS SUBSIDIARIES. WITHOUT WRITTEN
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5.0 Resources Required
• Backlog Record Form (attached)
• Thorough machine inspection resulting in Backlogs entered into the process.
• Three binders: (Red, Blue, Green) for tracking the Backlogs, or a computer system to
duplicate this functionality.
• Individual in the Planning & Scheduling Department responsible for entering Backlogs, tracking
their progress, and producing the process performance evaluation reports.
6.0 Supporting Attachments
No Supporting Attachments are included with this document.
7.0 Related Best Practices
0806-2.70-1007
-Condition Monitoring Field Inspections
8.0 Acknowledgements
This Backlog Management Best Practice was authored by:
Abelardo Flores
Equipment Management Consultant-Site Management
Caterpillar Global Mining
+56-9 3097135
Flores_Abelardo@cat.com
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