January 2009

Backlog
Management

Maintenance and Repair Management

Section 3

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Backlog Management
Contents
3.1 General Information. . . . . . . . . . . . . . . . 2
3.1.1 Backlog Management Overview . . . . . . 4
3.1.1a Red Phase . . . . . . . . . . . . . . . . . . . . 4
3.1.1b Blue Phase . . . . . . . . . . . . . . . . . . . . 5
3.1.1c Green Phase . . . . . . . . . . . . . . . . . . . 5
3.1.2 Generating a Backlog . . . . . . . . . . . . . . 6
3.1.2a Technical Backlog Request. . . . . . . . 8
3.2 The Process . . . . . . . . . . . . . . . . . . . . . 10
3.2.1 Red Phase . . . . . . . . . . . . . . . . . . . . . 10
3.2.2 Blue Phase . . . . . . . . . . . . . . . . . . . . . 14
3.2.2a Parts Staging Area . . . . . . . . . . . . . 17
3.2.3 Green Phase. . . . . . . . . . . . . . . . . . . . 18
3.3 Summary Information . . . . . . . . . . . . . 20
3.3.1 General . . . . . . . . . . . . . . . . . . . . . . . . 21
3.3.2 Management Process Interactions . . . 22
Condition Monitoring . . . . . . . . . . . . . . 22
Parts Management . . . . . . . . . . . . . . . 22
Human Resources . . . . . . . . . . . . . . . 22
Planning and Scheduling . . . . . . . . . . 23
Preventive Maintenance . . . . . . . . . . . 23
Repair Management . . . . . . . . . . . . . . 23
Component Management . . . . . . . . . . 23
3.3.3 Key Personnel. . . . . . . . . . . . . . . . . . . 24
Fleet Analyst . . . . . . . . . . . . . . . . . . . . 24
Inspectors . . . . . . . . . . . . . . . . . . . . . . 24
Operators . . . . . . . . . . . . . . . . . . . . . . 24
Planner . . . . . . . . . . . . . . . . . . . . . . . . 24
Scheduler . . . . . . . . . . . . . . . . . . . . . . 24
Parts Manager . . . . . . . . . . . . . . . . . . 25
Project Manager . . . . . . . . . . . . . . . . . 25
Data Entry Clerk . . . . . . . . . . . . . . . . . 25
3.3.4 Measuring Performance . . . . . . . . . . . 26
3.3.5 Knowledge Review/Self Test . . . . . . . 28
This symbol indicates information that is
of special importance. Do Not Ignore.
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3.1 General Information
Backlog Management (BL) is a planning
function designed to effectively manage
pending repairs in order to schedule the repairs
before equipment failure. It is the process
which occurs between the detection of a defect
or potential problem, and the repair of the
defect or an actual failure. Backlog
Management is a proactive tool used to
prevent failure.
Condition Monitoring is fundamental to Backlog
Management. It is vital to identify problems
before they cause machines to fail. This is
accomplished through regular examination of
equipment, interviewing operators about
machine performance, and surveying the
environment and conditions the machines are
operating in. Early detection of defects and
taking the appropriate corrective planning
actions are fundamental to the success of a
maintenance and repair program. Early
detection of problems increases the time
available to plan for the necessary repairs.
In Backlog Management, the most critical
logistical resource required is an information
management system. The system for tracking
where a backlog is in the Backlog Management
process can be as simple as a set of color-
coded binders or it can be a more
sophisticated, specialized software program.
The illustration on the following page provides
an overview of the Backlog Management
process described in this section of the
Maintenance and Repair Management
Reference Guide.
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 Red Phase Backlog Enters the Process

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Generate Assign Backlog Request Number Enter Backlog File Paper Copy
Backlog Request And Work Order Number Into Database In Red Binder

Red Binder

Planning Blue Phase Backlog Waiting for Parts and/or Resources

Analyze
-Repair Action Are
Request Parts And/Or Parts No File Paper Copy
-Urgency Order Parts And/Or Resources In Blue Binder

3
Resources Available
-Parts
-Other Resources ?
Yes Follow-Up
Parts Arrival Blue Binder
Red Binder
No Parts Needed Reserve Parts For Backlog

Planning Green Phase Backlogs Ready to Go

Move Backlog To
The Green Phase Forward Repair
Provide Information For Data To Planning
Choosing Best Opportunity
File Paper Copy To Make Repair Complete
In Green Binder Repair Update
Database

Green Binder Schedule

Repair

Blue Binder

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3.1.1 Backlog Management
Overview
The Backlog Management system is divided
into three phases. The first is the Red Phase,
when a backlog enters the process. Next is
the Blue Phase, where the backlog is waiting
for parts and/or resources. The third is the
Green Phase, where all parts and resources
are available and the backlog is in ready to
go status.
3.1.1a Red Phase
In the Red phase, a problem with a machine
has been identified and a Technical Backlog
Request has been completed and submitted to
Planning. The backlog information is assessed
and processed by Planning and Scheduling.
Once an actual repair plan is established and
parts and/or resources are ordered, the
backlog moves to the Blue Phase.
If the resources or parts required are all
currently available, the backlog moves directly
from the Red Phase to the Green Phase.

Red Phase Backlog Enters the Process

Generate Assign Backlog Request Number Enter Backlog File Paper Copy
Backlog Request And Work Order Number Into Database In Red Binder

Red Binder

Planning
Analyze
-Repair Action
-Urgency To Blue Phase
-Parts
-Other Resources

Red Binder No Parts Needed

To Green Phase

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Backlog Management Overview
(continued)
3.1.1b Blue Phase
In the Blue phase, the backlog has been
processed by Planning and Scheduling. Parts
and resource availability have been checked
and orders have been placed. Parts are
reserved as they become available.

Blue Phase Backlog Waiting for Parts and/or Resources

Are
Request Parts And/Or Parts No File Paper Copy
From Red Phase Order Parts And/Or Resources In Blue Binder
Resources Available
?
Yes Follow-Up
Parts Arrival

Reserve Parts For Backlog

Blue Binder

From Red Phase

Planning
Move Backlog To
The Green Phase

To Green Phase

Blue Binder

3.1.1c Green Phase

In the Green phase, all resources and parts
needed to complete the backlog repair are
available, and the backlog is moved to the
Green Phase. The backlog is now ready to be
scheduled and completed during the next
available window of opportunity.

Green Phase Backlogs Ready to Go

Forward Repair
Data To Planning
Provide Information For
Choosing Best Opportunity
File Paper Copy To Make Repair Complete
From Blue Phase Update
In Green Binder Repair Database

Green Binder Schedule

Repair

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3.1.2 Generating A Backlog

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 Early detection of potential problems
through Condition Monitoring, and
creating an appropriate action plan to
correct those problems, is the first step
to an effective Backlog Management
Once the data from these sources is
analyzed, interpreted, and an action
plan defined, the results are forwarded
to the appropriate areas for their
attention, when required.
NOTE: Technical Backlog Requests
can be opened by anyone who detects
a problem (Fleet Analyst, Project
Manager, etc.), and submitted to
Planning and Scheduling.

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process.
Continuous Improvement -
Condition Monitoring is an ongoing Develop and define future
process with the goal of early detection solutions.
of potential failures and/or abnormal
Production Department -
conditions. There are many sources
Make corrections or improvements
and situations that provide
in the application or operation.
opportunities for early detection, such
as: Planning -
Apply results, as necessary, to the
Operator inspections
Short-Term Plan, normally
Field and pre-PM inspections handled in the form of the Hot
Sheet, or to the Medium/Long-
PM inspections
Generating A Backlog (continued)

Term Plans.
Post-PM inspections
Repair Department -

7
Pre-PCR inspections Immediate action must be taken
by stopping a specific machine
Fluid analysis
and correcting the problem.
Performance tests
Backlog Management -
On-board monitoring Corrective action for a specific
machine has been identified, but
Application analysis
the repair can be deferred to a
Failure and wear analysis more convenient, future window of
opportunity. Repair requests that
do not require immediate attention
still require an action plan.
Backlog Management is a function
of Planning and Scheduling, so a
Technical Backlog Request is
opened and directed to Planning
and Scheduling.

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3.1.2a Technical Backlog Request

BACKLOG RECORD FORM

a Equip. No: b Date Reference No.
W. Order No.

c Type of Inspection: Operator Field Preventive Maint. Other

d Symptom :

e Action :

f System :

1000 Engine 3101 Torque Conv. 4300 Steering 7000 Basic Mach. 9500 Various
1400 Electrical 4050 Final Drive 5050 Hydraulic 7200 Suspensions 9600 Factory Modif.
3000 Transmission 4250 Brakes 5500 Tires 7320 A/C

g Priority : Urgent Next PM When Possible Monitor

Estimate of Repair Times

h Machine Hours Hr. i Man Hours Hr.

j Parts Request
Item Quantity Part Number Description Page Item Observations
1
3
4
5
6
7
8
9
10
11
12
13
14
15
Order Number

k Tooling, Consumables and Support Equipment

Lift Truck Liquid Nitrogen
Crane Jack
Tire Equipment W ashing

l Requested by: Estimated Arrival Date

m Supervisor Approval Parts Arrival Date

Keypunched OK

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Technical Backlog Request (continued) g. Priority
Condition Monitoring data defines the
The Backlog Management process is only as urgency of the repair.
good as the information submitted to Planning.
Planning defines the plans and actions to h. Estimated Hours to Repair1
execute backlog repairs based on the Total downtime to repair, critical to
information provided in the Technical Backlog Planning and Scheduling.
Request. i. Estimated Labor Hours to Repair1
The Technical Backlog Request form is used Total labor hours required, critical to
mainly by the Inspectors, Field and Shop Planning and Scheduling.
Technicians, and Supervisors, but must be j. Parts Request
available for anyone needing to submit a repair Identify parts needed to make the
request. All personnel must use the same repair.
form, and it must be filled out completely and
accurately. k. Tooling, Special Equipment,
Consumables
In situations where the person making the Identify special needs required to make
request does not have the technical knowledge the repair.
to completely fill out the form (action required,
parts needed, etc.), someone with technical l. Requested By
expertise (usually an Inspector) must interpret Tracks who is initiating backlogs in
the symptoms and other information provided, order to acknowledge and encourage
and complete the form with all the required continued reporting of problems
information. (inspectors, operators, etc.).
Accurate and complete information allows m. Supervisor Approval
Planning to perform effectively and efficiently, The supervisor is responsible for the
and avoids unnecessary reevaluation of quality of the generated backlog.
needed repairs. The following fields must be 1 If estimated hours to repair is 12 hours with two
complete with specific information before the people, the estimated labor hours to repair would be
Technical Backlog Request can be submitted to 24 hours. The time required to make the repair needs
Planning. to be estimated in order to identify the proper window of
opportunity for scheduling the backlog.
a. Equipment Number
Links the backlog to the machine. As soon as a repair request is generated, it
becomes a backlog.
b. Date Initiated
Reference point to evaluate backlog
age and backlog management
response time.
c. Type of Inspection
Identifies the type of Condition
Monitoring routine or other
organizational area/source initiating the
request (Operator Inspection, Field
Inspection, PM Inspection, SOS, etc.)
d. Symptom
Information must be as detailed as
possible to identify the problem.
e. Repair Action
Action required to repair defect(s).
f. System Code Number
Major SCMS codes to identify machine
system (engine, electrical, etc.).

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3.2 The Process 3.2.1 Red Phase

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 1. Open a Technical Backlog Request.
NOTE: A Technical Backlog Request
can be opened by anyone who
identifies a potential problem or defect
requiring corrective action. If the
4. Is the Technical Backlog Request a
duplicate of a backlog already in the
database?
a. Yes - Return Technical Backlog
Request to the originator with
5. Assign a Reference Number or
Work Order Number to the Technical
Backlog Request.
6. Enter the backlog into the Backlog

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originator of the request does not have
the technical expertise to complete the
Technical Backlog Request, someone
with that expertise, usually the Fleet
Analyst or an Inspector, will be needed
to complete the form properly.
database in the Red Phase.
instructions to avoid duplication
7. File the backlog paper copy in the
of Technical Backlog Requests.
Red binder.
The Backlog database must
always be checked for possible
duplication before opening a
Technical Backlog Request.
Red Phase (continued)

b. No - Proceed to the next step.

2. Forward the complete Technical
Backlog Request to Planning.
3. Review the Technical Backlog
Request to make sure all the
necessary fields are complete.

11
Is the information complete?
a. Yes - Proceed to the next step.
b. No - Return the Technical
Backlog Request to the
originator to correct or complete.

Always check the Backlog database.

A backlog will not be generated if it
is a duplicate of a backlog already
in the system.

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Red Phase (continued)

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 8. Analyze the Technical Backlog
Request.
The Planner and the Fleet Analyst
analyze Technical Backlog Requests to
determine which requests require parts
11. If the backlog is approved, forward
the backlog to responsible areas
(Parts Management, Repair
Management, Human Resources,
etc.) for their attention.

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and/or special resources. Special
resources would include additional or
specially trained personnel, and
specialized tooling or equipment.
NOTE: If the Planner and the Fleet
NOTE: The Technical Backlog
Request to Parts Management must
include the part number and
description, quantity needed, and
estimated arrival date.
Red Phase (continued)

Analyst decide the problem should be

monitored rather than scheduled for
12. If the backlog is not approved, the
repair, the Technical Backlog Request
backlog will be held in the Red
is removed from the system and
Phase labeled Not Approved for
monitoring instructions are given to the
future reference and analysis.
appropriate personnel (Inspectors,
Operators, etc.). 13. Update the request status in the
database to the Blue Phase.

13
14. File the backlog paper copy in the
9. Are parts or special resources
Blue binder.
required?
a. Yes - Proceed to next step.
b. No - If no parts or special
resources are required, the
backlog is updated to the
Green Phase at this time.
10. If the backlog requires approval,
the Planner and/or the Fleet
Analyst submit a quote to the
customer requesting approval.

Refer to the MARC contract

to determine when customer
approval is required.

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3.2.2 Blue Phase

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 In this phase, the Technical Backlog
Request has been reviewed and
approved by the Planner and Fleet
Analyst and is waiting for parts and/or
resources.
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15. Parts Manager reviews Backlog
Requests to determine parts
needed and urgency of the repair.
Sources of information for
reviewing backlog needs are the
Backlogs Waiting for Parts Report,
the original Technical Backlog
Request (paper copy), or the
electronic backlog request (Data
Entry Screen for a specific
backlog).
16. Are parts available in the
warehouse or in Receiving?
15
a. Yes - Reserve parts for specific
backlog/equipment in staging
area.
b. No - Proceed to the next step.
A well-organized staging area, sectioned
by machine, will reduce or eliminate
delays caused by looking for and/or
waiting for parts.
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17. Have the parts been ordered?
a. Yes - Follow up on daily parts
shipment arrivals until received.
When parts are available,
reserve the parts in staging area
and notify Planning.
b. No - Order the parts. Follow up
on parts daily. When parts are
available, reserve in staging
area.
NOTE: Follow up of special resources
and parts availability, as well as
notifications to Planning and
Scheduling regarding the arrival of
items necessary for repairs, must be
done on a daily basis. The longer a
backlog waits for service, the higher the
risk of machine failure.
Follow up on Parts orders and
arrivals must be done daily.
18. Communicate parts availability/
arrival to Planning. This must be
done promptly.
NOTE: An on-line backlog monitoring
system allows all departments involved
in the process to enter new or updated
data immediately. These updates allow
all personnel access to the most
current backlog information available.
Blue Phase (continued)
It is vital that all information regarding
parts and resources for a backlog be
entered in the database in a timely
manner. The current status of the
backlog must be available to all
personnel who access the database.
Planning and Scheduling need
up-to-date backlog information in
order to prioritize all maintenance
and repairs.
Parts Management uses the
database to estimate future
inventory needs and organize
in-stock parts based on priority.
Notification of parts/resource availability
must be done immediately. The longer
a backlog waits for service, the higher
the risk of machine failure, resulting in
an unscheduled stop and an increased
unavailability rate.
Blue Phase (continued)

This is an example used to illustrate the information needed for a typical data entry screen. The fields (entries) shown on
this screen match the fields on the Technical Backlog Request form.

This is an example of a Backlogs Waiting for Parts/Resources Report and the type of information that should be included in
the report.

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3.2.2a Parts Staging Area A well-organized staging area, sectioned
One important function of Parts Management is by machine, will reduce or eliminate
the maintenance of a specified area in the
delays caused by looking for and/or
waiting for parts.
Parts Department to hold backlog parts for
machines with repairs pending.
The staging area should be accessible, with NOTE: Refer to Parts Management (Section 5)
items separated by specific machine. Open of the Maintenance and Repair Management
shelves, sectioned by machine, allow Reference Guide for more information
personnel to easily view and determine what regarding the Parts Management process.
parts are available. A few days in advance of a
scheduled repair, backlog parts are gathered
from the staging area and organized for
delivery to the service bay in the repair shop.

Example of a well-organized staging area.

Once all the parts are available for a backlog, they are pulled from the shelving to be organized and boxed for shipment to
the Repair Shop.

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3.2.3 Green Phase

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 19. Update backlog status to the
Green Phase.
20. File backlog paper copy in the
Green binder.
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In this phase, all parts and resources
are available and the backlog is ready
to be scheduled. Accurate and
complete information in the backlog
database allows the Planner,
Scheduler, and Fleet Analyst to better
manage machine availability.
21. Two things must be done by
Planning and Scheduling in order
to determine the best opportunities
for backlog repairs.
a. Review the weekly repair
schedule. Review the short,
medium, and long-term plans.
19
Most backlogs will be completed during
a Preventive Maintenance stop or a
scheduled repair. Some backlog
repairs can be completed when a
machine is removed from service due
to an unscheduled repair.
This is an example of a Backlogs Ready to Execute (Ready-To-Go) report and the type of information that should be
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included in the report.
Preventive Maintenance (PM) stops are
the most common opportunities for
backlog repairs. The backlog repair
must not extend or hinder the
scheduled PM time.
Scheduled repairs are the next most
common opportunities for backlog
repair. A backlog can be scheduled as
a regular repair or be done in parallel
with another, already scheduled repair.
Component Replacement is also an
opportunity for backlog repairs. One
hundred percent (100%) of all backlogs
for a specific machine must be
completed during component
replacement.
Notification of parts/resource availability
must be done immediately. The longer
a backlog waits for service, the higher
the risk of machine failure, resulting in
an unscheduled stop and an increased
unavailability rate.
NOTE: Refer to Planning and
Scheduling (Section 4) of the
Maintenance and Repair Management
Reference Guide for more information
regarding the Planning and Scheduling
process.
b. Issue the Backlog Ready-To-Go
Report to all maintenance and
repair areas. This will promote
the use of all available windows
of opportunity to complete
Green Phase (continued)
backlog repairs.
22. Based on this analysis, schedule
the backlog where it makes the
most sense. If the maintenance
and repair program provides the
best opportunity to make the
backlog repair, include the backlog
in the weekly repair schedule.
When determining the best "Window of
Opportunity" to schedule a backlog, pay
special attention to priority, estimated time
to repair, and estimated labor to repair.
This information will help determine if the
backlog should be included in the short,
medium, or long-term maintenance plan.
3.3 Summary Information

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 Backlog Map 6 provides a basic
overview of the steps required to
complete backlog repairs included in
the maintenance and repair weekly
program (scheduled), and backlog

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repairs that are done using a window of
3.3.1 General

opportunity (unscheduled).
Scheduled backlogs -
Steps 25a through 25g.
Unscheduled backlogs -
Steps 26a through 26d.
Scheduled and Unscheduled backlogs
(repair complete) -
Steps 27a through 27e.

NOTE: Refer to Repair Management

(Section 6) of the Maintenance and

21
Repair Management Reference Guide
for more information regarding the
Repair Management process.

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3.3.2 Management Process
Interactions
This section outlines how some of the other
processes in the Maintenance and Repair
Management System contribute to effective
Backlog Management. The information
provided is an overview of key points.
NOTE: Not all processes are included here.
Refer to the specific process section in the
Maintenance and Repair Management
Reference Guide for more information about a
particular process.
Condition Monitoring
Condition Monitoring drives Backlog
Management by being the primary source for
generating backlogs. Backlog Management
guides Condition Monitoring by comparing
current defect detection with historical data to
determine gaps in identifying needed repairs.
Tips
Input repair actions and parts needed in
addition to symptoms.
Make sure the input information is complete
and accurate.
Avoid duplication by checking the Backlog
database before opening a Technical
Backlog Request.
Identify resources.
Prioritize.
Use backlog reports to monitor the key
machine systems. If the only backlogs being
generated concern electrical repairs, then
other systems (hydraulics, etc.) may not be
monitored properly.
Evaluate Condition Monitoring effectiveness
and Backlog database information. Are
machine problems being found during
Condition Monitoring? Is enough information
being entered into the Backlog database for
efficient backlog repair completion?
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Parts Management
Parts Management must have the parts
available to do a backlog repair when it is
scheduled. Do not rely completely on historical
data. Parts must be received in a timely
manner so the backlog can be completed on
time. The older the backlog, the higher the risk
of machine failure.
Tips
Maintain continuous communication with
Planning and Scheduling.
Manage the backlog parts staging area by
reserving parts for specific backlogs by
specific machine.
Assign clear accountability for processing
parts orders from the time the order is
placed until it is delivered to the repair shop.
Maintain an efficient parts return process
since backlog part requests are based on
possible parts needs, not actual needs.
Human Resources
Backlog Management helps define the work
load by identifying future labor resource
demands. In order to maintain a proper
balance between labor available and labor
required for the completion of backlogs, keep
Estimated Labor To Repair less than or equal
to 10% of the total available labor hours. This
will assure the appropriate response to repair
needs.
Tips
Identify and analyze labor requirements for
each backlog.
Determine if special instructions or training
are required. The labor force must be
trained and qualified.
Keep a balance between the work load for
backlogs and the labor available.
Communicate backlog goals and objectives
to the entire organization.
Refer to Best Practices (BP1107-2.0-1108),
Human Resources for more information.
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Planning and Scheduling
Backlog Management functions as part of
Planning and Scheduling and extensively uses
the Planning and Scheduling information
available. The majority of backlogs are
included in the Maintenance and Repair
schedule.
Tips
Clearly define and include Backlog
Management functions in the Planning and
Scheduling process.
Define Backlog Management goals and
objectives.
Keep all contributing areas aware of the
defined goals and objectives for backlog
generation and completion.
Use all opportunities to schedule backlogs.
Adopt Key Performance Indicators (KPIs)
and keep updated results.
Preventive Maintenance
The most common time to perform a backlog
repair is when a machine undergoes
Preventive Maintenance (PM). Time and
resources are key to completing a backlog
repair during a PM. Backlogs must not extend
the PM stop time or interfere with the how the
PM work is done. The most effective way to
accomplish this is to have a crew dedicated to
backlog repair that will work with the PM crew.
This crew (Backlog) can also move to where
the machines are located, when feasible.
Tips
Allocate the needed time and resources for
completing backlogs during the PM process.
Use the PM opportunity when possible to
complete backlog repairs.
Use a combination of scheduled and
unscheduled backlog repairs. If a problem is
found during a PM that is not in the Backlog
database, the repair can be done at that
time, if feasible.
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Repair Management
Repair Management represents all other
opportunities (scheduled and unscheduled),
outside of PMs, for completion of backlogs.
Repair Management must actively follow the
Maintenance and Repair schedule and use all
service opportunities to complete additional
backlogs.
Tips
Repair crews must be committed to the
completion of backlog repairs.
Keep a balance between generation and
completion of backlogs.
Work with Planning and Scheduling to
schedule backlogs and follow up on
completion.
Make sure all resources are available to
complete scheduled backlogs.
Allocate/assign resources for backlog repair
crews.
Identify contributions from the various areas
that assist in the completion of backlog
repairs, such as the Parts Department.
Component Management
The opportunity of the Periodic Component
Replacement (PCR) window is normally used
to prepare a machine for a new life cycle.
One hundred percent (100%) of all pending
backlogs for a machine must be completed
during the time a PCR is being done.
Tips
Use the PCR window extensively.
Backlog validation must be done before and
after a PCR.
Make sure the backlog repairs produce
positive improvement in machine
performance.
Refer to Best Practices (BP1007-2.0-1106),
Component Management for more
information.
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3.3.3 Key Personnel
This section provides information regarding
personnel and their involvement in effective
Backlog Management. The information
provided is an overview of key points and is
not intended as a complete job description.
NOTE: Not all personnel are included here.
Refer to the specific process section in the
Maintenance and Repair Management
Reference Guide for more information about a
particular process and the personnel involved.
Fleet Analyst
Role
The Fleet Analyst leads Condition Monitoring
efforts to make sure the data collected is
complete and accurate so backlog repairs can
be done as efficiently as possible.
Responsibility
Make sure goals are being met for backlogs
generated by Condition Monitoring and the
information is entered in the Backlog
Management system.
Assure completeness and accuracy of
backlog information.
Identify the most accurate repair action(s) to
complete the backlog repair(s).
Receive Backlog Management feedback and
make adjustments to the Condition
Monitoring process, if necessary.
Inspectors
Role
Inspect, follow up, and generate backlog repair
requests.
Responsibility
Make sure goals are being met for backlogs
generated during inspections.
Identify potential problems in critical areas
on machines.
Translate Operator feedback into technical
requests.
Provide complete and accurate information
for backlogs so the correct action for repair
is scheduled.
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Operators
Role
Assess the condition of the machines they are
operating and communicate that information to
Inspectors.
Responsibility
Provide feedback to Inspectors about the
general machine condition and the machine
operational performance.
Maintain an up-to-date machine logbook.
Planner
Role
The Planner is the leader of the Backlog
Management process.
Responsibility
Define and implement the Backlog
Management process.
Make sure the process is working.
Set up goals and objectives for Backlog
Management.
Act as the liaison between all involved areas.
Assess results - interpret - communicate -
manage.
Scheduler
Role
Follow and translate the Backlog Management
process into a workable schedule.
Responsibility
Follow Backlog Management process
guidelines.
Schedule backlogs based on backlog
completion goals developed by Planning.
Determine any windows of opportunity to
schedule backlogs.
Follow up the completion of backlogs with
Repair Management.
Assist the Planner in the management of the
Backlog Management process.
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Parts Manager
Role
Support the Backlog Management process by
supplying the parts needed to complete
backlog repairs.
Responsibility
Implement the Backlog Management parts
process in the staging area.
Make sure the parts are on hand when
needed.
Identify and correct deviations from the
process, such as not reserving backlog parts
in the staging area.
Maintain open communication with Planner
and Repair Management.
Assist Planner with parts issues and Backlog
Management.

Project Manager
Role
The Project Manager is the on-site
maintenance organization leader.
Responsibility
Make sure the Backlog Management
process is implemented.
Make sure everyone in the maintenance
organization understands their role in the
Backlog Management process.
Share the strategy with the customer.
Assist Planning in defining Backlog
Management goals and objectives.
Support and reinforce Planning decisions.

Data Entry Clerk

Role
Input of all data collected from various sources,
including the Backlog Request form, into the
computerized database and/or paper system.
Responsibility
Make sure all data is entered in a timely
manner.
Make sure all data entered is accurate and
complete.

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3.3.4 Measuring Performance
The collection and input of data is important,
not only to keep all personnel and departments
informed, but also as a way to determine if the
Backlog Management process is working
efficiently. If the goals and objectives of the
Backlog Management process are not
monitored and results measured, there is no
way to know how well the process is working
or where improvements might need to be
made. Certain data is critical for measuring the
performance of Backlog Management.
Total backlogs generated (incoming).
Total backlogs pending.
Total backlogs pending per machine.
Total backlogs executed (completed).
Estimated time to repair.
Estimated labor hours to repair.
Backlog status summary.
Backlogs greater than 30 days old.
Total Backlogs Generated (incoming)
Total Backlogs Generated (incoming) is the
number of defects identified and entered into
the Backlog Management system during a set
period of time (usually one month). It is used
to assess Condition Monitoring efforts and the
ability to successfully detect potential problems
before failure. There is no benchmark or
target. Track the percentage of scheduled
downtime and if that number is low, the Total
Backlogs Generated number should be
correspondingly high.
Total Backlogs Pending
Total Backlogs Pending is the total number of
defects identified by condition monitoring and
pending in the Backlog Management process.
This is an indication of the pending workload
and risk for failure. There is no benchmark or
target.
2009 Caterpillar
Total Backlogs Pending per Machine
Total Backlogs Pending per Machine is the total
number of defects per machine identified by
Condition Monitoring and pending in the
Backlog Management process. There is no
benchmark. A reasonable target is no more
than five (5) pending backlog repairs per
machine.
Total Backlogs Executed (completed)
Total Backlogs Executed (completed) is the
number of backlogs completed in a set period
of time. This evaluates the ability of the
maintenance organization to react
appropriately to correct defects identified
through Condition Monitoring. There is no
benchmark or target. There should be a
balance between the number of backlogs
generated and the number of backlogs
executed.
Estimated Time to Repair
Estimated Time to Repair is the sum of all
backlog mean time (total hours) to repair.
Estimated Labor Hours to Repair
Estimated Labor Hours to Repair is the total
estimated labor man hours required to execute
(complete) all pending backlogs that have been
generated. It is an indication of severity of the
backlog workload and the potential availability
lost if manpower resources are insufficient to
make the backlog repairs.
There is no benchmark, but a reasonable
target is that total estimated repair labor
man hours required to make backlog repairs
should be less than 5% of the available
man hours of labor for the month.
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Backlog Status Summary
Backlog Status Summary is the distribution of
backlogs pending in the 3-phase system. This
report shows the number of pending backlogs
waiting for planning (Red Phase), waiting for
parts/resources (Blue Phase), and waiting to
be executed (Green Phase). There is no
benchmark or target. Use this summary to
identify weak areas in the detect-plan-execute
cycle that may be causing delays in the
backlog repair process.

Backlogs Greater Than 30 Days Old

Backlogs Greater Than 30 Days Old is
measured from the date the backlog is
generated. This will assess the quality and
timeliness of the response of the Backlog
Management system in its ability to be
proactive in eliminating potential problems.
Backlogs are potential failures, and backlog
age is an indication of the risk of failure. There
is no benchmark, but an aggressive target is
that no backlog is over 30 days old.

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 3.3.5 Knowledge Review/Self Test

3.1 General Information

What is the main function of the Backlog Management process? Page 2
What are the three phases of Backlog Management? Page 4
What are the functions of the three phases? Pages 4, 5
Who can generate a backlog? Page 7
Who fills out the Technical Backlog Request? Page 9
3.2 The Process
Where is the Technical Backlog Request submitted to once it is filled out completely? Page 11
When does a Technical Backlog Request enter the Red Phase? Page 11
Can a Technical Backlog Request ever move directly from the Red Phase to the
Green Phase? Explain. Page 13
What resource is used to determine if customer approval is required? Page 13
If the customer doesnt approve the request, what phase is the request held in? Page 13
When does the Technical Backlog Request enter the Blue Phase? Page 13
How often should follow up of resource and parts availability be done? Page 15
Where are parts for backlogs stored when they arrive on-site? Page 15, 17
When does a Technical Backlog Request move to the Green Phase? Page 19
What is the most common window of opportunity for making backlog repairs? Page 19
How many backlog repairs should be completed during a component replacement? Page 19
Who should have access to the Backlogs Ready-To-Go report? Page 19
3.3 Summary Information
What process should be the primary source for generating backlogs? Page 22
What department is responsible for maintaining the backlog parts staging area? Page 22
How does Backlog Management affect Human Resources? Page 22
Which area is responsible for day-to-day monitoring of the Backlog Management
process? Page 23
Should a backlog be scheduled during a preventive maintenance stop if the backlog
repair will extend the scheduled preventive maintenance stop time? Page 23
Who is responsible for making sure goals are met for backlog generation through
Condition Monitoring? Page 24
Who usually translates operator feedback into usable technical information? Page 24
Who is responsible for maintaining the machine logbook? Page 24
Who leads the Backlog Management process? Page 24
Who assists the Planner in managing the Backlog Management process? Page 24
What is the maximum amount of time a backlog should be in the Backlog
Management process? Page 27

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Notes

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Notes

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Notes

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