SM

S·O·S Services Standardization Program

Updated March 2019

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 Table of Contents
1. Introduction ................................................................................................................. 4
2. Strategy ....................................................................................................................... 5
Test Results ................................................................................................................. 5
Laboratory Operations ................................................................................................. 5
Communication ............................................................................................................ 6
Equipment Coverage Metrics ...................................................................................... 6
3. S·O·S Services Standardization Process .................................................................... 7
Initial Standardization .................................................................................................. 7
Re-Standardization ...................................................................................................... 8
Subsequent/Continuous Evaluations ........................................................................... 8
4. S·O·S Services Standardization Requirements .......................................................... 9
4.1.1 Test Results - Required Test Offerings ................................................................ 10
Used Oil Testing ........................................................................................................ 10
Elemental Analysis ...................................................................................... 11
FT-IR Analysis ............................................................................................. 11
Viscosity ...................................................................................................... 12
Water........................................................................................................... 12
Glycol .......................................................................................................... 12
Particle Analysis .......................................................................................... 12
GC Fuel Dilution .......................................................................................... 13
Level 1 Coolant Analysis ........................................................................................... 14
% Glycol ...................................................................................................... 14
pH................................................................................................................ 15
Conductivity ................................................................................................. 15
Nitrite ........................................................................................................... 15
Coolant Physical Tests ................................................................................ 16
4.1.2 Test Results - Data Quality & Monitoring Capabilities .......................................... 16
Introduction ................................................................................................................ 16
Definitions .................................................................................................................. 16
Procedures ................................................................................................................ 16
Quarterly Verification Standards.................................................................. 16
Acceptance Criteria ..................................................................................... 17
Corrective Actions ....................................................................................... 17
Ordering Information ................................................................................... 18
Instrument Calibration ................................................................................. 18
Quality Control Checks................................................................................ 20
Process Control ........................................................................................... 21
4.2.1 Laboratory Operations - Quality Management System......................................... 21
Introduction ................................................................................................................ 21
What is ISO Certification?.......................................................................................... 22
Registrar ...................................................................................................... 22
Link to sites for ISO Certification ................................................................. 22
Costs ........................................................................................................... 22

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 Initial certification ......................................................................................... 22
Training ....................................................................................................... 23
ISO Certification Process Steps .................................................................. 23
4.2.2 Laboratory Operations - Safety ........................................................................... 24
Chemical Hygiene/Safety Plan .................................................................................. 24
Introduction ................................................................................................. 24
Purpose and Requirements ......................................................................... 24
Process Control ........................................................................................... 24
Laboratory Safety ...................................................................................................... 25
Safety Data Sheet ....................................................................................... 25
Employee Safety Training ........................................................................... 25
Laboratory Safety Devices and Requirements ............................................ 26
4.2.3 Laboratory Operations - Staffing and Training Requirements ............................. 26
Introduction ................................................................................................................ 26
Minimum Requirements ............................................................................................. 26
General ....................................................................................................... 27
Laboratory Manager .................................................................................... 27
Interpreters .................................................................................................. 27
Laboratory Technicians ............................................................................... 27
4.3.1 Communications - Laboratory Information Management System (LIMS)
Requirements ................................................................................................................ 28
LIMS Capability.......................................................................................................... 28
Monitoring the Program - Metric Calculation and Reporting ...................................... 28
4.3.2 Communications – Red Alert Follow Up .............................................................. 28
4.3.3 Communications – Internal Dealer Training ........................................................ 29
4.3.4 Communications – External Customer Training .................................................. 29
4.4.1 Key Performance Indicator - S·O·S DCAL .......................................................... 29
Introduction ................................................................................................................ 29
Calculation Instructions.............................................................................................. 29
Standard Requirement............................................................................................... 30
Example Calculation .................................................................................................. 30
4.4.2 Key Performance Indicator – S·O·S CSA Participation Rate .............................. 30
Introduction ................................................................................................................ 30
Calculation Instructions.............................................................................................. 31
Standard Requirement............................................................................................... 31
Example Calculation .................................................................................................. 31

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 1. Introduction
Since 1968, Cat® S·O·SSM Services has been providing a leading fluid analysis program
for customers. The S·O·S Services program is no longer just a stand-alone service or
an optional program for some customers, it is an integral part of effective equipment
management.

S·O·S Services programs must be focused on providing high quality information and
recommendations by leveraging a large fluid analysis database, support of Caterpillar
scientists and engineers, and a strong global service support network. Having a
dedicated follow-up process to deliver the results and recommendations in a timely
manner enables the customer to make critical equipment management decisions. The
combination of these qualities is what sets Cat S·O·S Services programs apart from the
competition.

There is a tremendous opportunity for growth in S·O·S Services programs. To align with
Caterpillar’s brand, promote and sustain growth, provide globally consistent and quality
results and recommendations, Cat S·O·S Services has developed a program to
standardize Cat Dealer S·O·S Services programs worldwide. The S·O·S Services
Standardization program will provide the tools necessary for an exceptional and
consistent customer experience, regardless if the customer operates in one dealer
territory or multiple, resulting in increased dealer parts and service business.

The S·O·S Standardization Program was added to the Consistency of Delivery section
of the Process Orientation attribute of the Service Excellence Program (SEP) in
2019. S·O·S Services programs are a service offered by the dealers globally and the
Standardization program provides program consistency to help ensure a common
customer experience from dealer to dealer.

Caterpillar and Cat Dealers have increased their emphasis on rental units and
Customer Support Agreements (CSA). To provide the highest returns, CSAs and rental
units must be properly maintained. A high-quality S·O·S Services program continues to
be essential for managing and lowering owning and operating costs for CSA and rental
fleets.

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 2. Strategy
The overall strategy of S·O·S Services Standardization is to improve the quality and
consistency of S·O·S Services programs worldwide, resulting in increased customer
value and increased opportunity for parts and service sales. These improvements lead
to lower CSA costs and lower operating costs of rental fleets.

The implementation of this strategy has been divided into four key areas of the S·O·S
Services program.

Test Results
All S·O·S Services laboratories will be required to provide a minimum number of
specific fluid tests and results. The required test categories include: Elemental Analysis,
FT-IR, Viscosity, Water Contamination, Fuel Dilution, Particle Count and Level 1
Coolant. The exact listing of tests will be covered in a later section. In addition,
providing a consistent set of test results will help large customers and Condition
Monitoring.

Standardized S·O·S Services laboratories will also be required to check the precision
and accuracy of their instruments based off of ASTM methods, instrument vendor
recommendations, or expected variance from instrument vetting and experience. Some
of these checks will be done very frequently; others will be done on a quarterly basis.

Laboratory Operations
This is a very large topic that begins with the operation and calibration of the test
equipment. While ISO9001 will be used to ensure high quality test results, each S·O·S
Services laboratory will be required to work with ISO to establish their individual ISO
certification, whether ISO 9001 or ISO 17025.

Laboratory safety and chemical hygiene are also included under Laboratory Operations.
Occupational safety and health organizations such as OSHA in the United States,
INSHT in Europe, COSHA in China, and JISHA in Japan, have developed guidelines for
laboratory safety that will be used in the S·O·S Services Standardization program.

Another aspect of Laboratory Operations is education and training. Education and

training requirements have been established for: Laboratory Manager, Laboratory
Technicians, and the data Interpreters.

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 Communication
A standardized S·O·S Services program must have the capability to test samples,
interpret the results, and inform the customer in a very timely manner. These
operations require a Laboratory Information Management System (LIMS). There should
be a S·O·S Red Alert Follow Up process that enables communication between the
dealer and customer regarding action required samples. Dealers should have the
capability to provide training to dealers and customers.

Equipment Coverage Metrics

This aspect of S·O·S Services Standardization covers the equipment that is enrolled
and active in the S·O·S Services program. Dealers will be measured to set
requirements in two key areas: S·O·S DCAL and S·O·S CSA Participation.

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 3. S·O·S Services Standardization Process
Initial Standardization
A detailed checklist was developed to provide an initial review of the specific dealer
S∙O∙S Services program. The checklist and other support materials are available on the
Dealer.cat.com page for S·O·S Services. Once the dealer completed any needed
changes to fulfill the initial review requirements, the Cat District Service Operations
Representative (SOR) should be notified. The corresponding Caterpillar Distribution
Services Division (DSD) S·O·S Consultant will schedule an on-site audit of the dealer
program to confirm that all criteria have been met for recognition as a Cat S·O·S
Services Standardized program.

Distribution Services Division S·O·S Consultant E-Mail address

ADSM (Americas North and Americas South) Tiffany Thompson [email protected]
APD (Asia Pacific) Beth A. Sebright [email protected]
EAME (Europe, Africa, and Middle East) Olbin Hernandez [email protected]

The dealer is informed of the program status upon completion of the DSD S·O·S
Consultant's audit, and Standardization recognition is received with successful program
requirement compliance. If all requirements are not met, the consultant will provide
needed improvement steps. Dealer programs only receive Standardization recognition
with 100% compliance of the assessment.

Once deficiencies are corrected, the Dealer should notify the district, in writing, of what
was done to correct the deficiencies. Subsequent audits may be required by the DSD
S·O·S Consultant to validate the corrections and Standardization recognition is awarded
accordingly. One plaque is provided to recognize the Dealer’s Standardization
achievement.

It is the intent to acknowledge the S·O·S program achievement in advertising and

promotional materials. Additional S·O·S Standardization recognition plaques, jackets,
and other promotional items can be purchased to promote awareness that the Dealer's
S·O·S program has received special recognition from Caterpillar.

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 Standardization Recertification
DSD S·O·S Consultants will schedule Standardization recertification reviews every
three years. Recertification reviews may be conducted more often if the program criteria
changes or if there are significant changes at the dealer level. Standardization
recertification will be recognized by a letter of appreciation from the Cat S·O·S Services
team and renewal date plates for their Standardization plaque.

Subsequent/Continuous Evaluations
The goal of Standardization and recertification is to provide motivation and means for
dealers to assess their current program versus where they need to be in providing
customer service that clearly separates the Cat Dealer S·O·S program from competitors
in the fluid analysis business. The process requires continuous improvement, and
updates to the Standardization program will be made with customer expectation
increases or with developed value-added program enhancements. The Standardization
certification process is not a one-time event through which a program receives a
permanent certification. A Standardized program, in apparent good standing, must be
reviewed every three years. Changes to Standardization requirements, customer
complaints, key personnel changes, frequent poor performance in performance testing
programs, etc. could be reason for a program's Standardization reevaluation.

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 4. S·O·S Services Standardization Requirements
The Standardization requirements structure is listed below and details regarding each
requirement are included in the following sections:

4.1. Test Results

4.1.1 Required Test Offerings
4.1.2 Data Quality & Monitoring Capabilities

4.2. Laboratory Operations

4.2.1 Quality Management System
4.2.2 Safety
4.2.3 Staffing and Training Requirements

4.3. Communication
4.3.1. Laboratory Information Management System Requirements
4.3.2 Dealer Training Events
4.3.3 Customer Training Events

4.4. Key Performance Indicators

4.4.1 S·O·S DCAL
4.4.2 S·O·S CSA Participation Rate

For Dealers who utilize Caterpillar or another Cat Dealer laboratory for their fluid
analysis services, it should be noted that the laboratory being utilized must meet all the
requirements for test results and laboratory operations included in the S·O·S Services
Standardization Program.

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 4.1.1 Test Results - Required Test Offerings
Used Oil Testing
Accurate interpretations require a complete set of test results. The test results are used
individually and in classic combinations to accurately identify the condition of the oil
sample. In many cases, the test results can also be used to help identify the problem
root causes in lubricated compartments. The following chart provides a minimum listing
of test results for new and used oil samples.

Caterpillar S·O·S Services Oil Analysis Test

Diesel Gas Powershift Hydraulic Differential & Other
Compartment
Engine Engine Transmission System Final Drive Geared
Test Result units
Al ppm X X X X X X
Ca ppm X X X X X X
Cr ppm X X X X X X
Cu ppm X X X X X X
Fe ppm X X X X X X
K ppm X X X X X X
Mg ppm X X X X X X
Mo ppm X X X X X X
Na ppm X X X X X X
Ni ppm X X X X X X
P ppm X X X X X X
Pb ppm X X X X X X
Si ppm X X X X X X
Sn ppm X X X X X X
Zn ppm X X X X X X
Oxidation UFM X X X X X X
Nitration UFM X
Sulfation UFM X
Soot UFM X
Viscosity cSt X X X X X X
Water % vol X X X X X X
Particle Analysis ISO code, etc X X X X
GC Fuel Dilution % vol X

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 Elemental Analysis

Elemental analysis is used to determine the weight percent of the listed elements in the
used oil sample. Elemental analysis must be reported for all samples and the results
must be posted as parts per million (ppm). The required instrument for measuring the
elemental concentration is an Inductively Coupled Plasma Optical Emission
Spectrometer (ICP-OES). This type of instrument has proven accuracy, repeatability,
and durability in the measurement of used oil samples. The ICP must be capable of
producing an accuracy of +/- 10% for concentrations of 20 ppm or higher. For
concentrations lower than 20 ppm, the ICP must have an accuracy of +/- 2 ppm. The
method currently recommended is based on processes ASTM D5185.

Laboratories are required to report a minimum of 15 elements including: Fe, Cr, Al, Pb,
Mo, Cu, Sn, Si, Na, K, P, Ca, Mg, Zn, and Ni. Elements such as Fe, Cr, Al, Pb, Cu, Sn,
Si, Na, K and Ni are commonly seen within most oil-lubricated compartments. Most of
these elements help to identify wear in the compartment, while the others are indicators
of contaminants such as antifreeze or dirt. Elements Mo, P, Ca, Mg and Zn are oil
additive elements and are used to help identify the type of oil.

The use of an internal standard is required for elemental analysis. An internal standard
is used to assist in identifying a sample dilution problem and for stabilizing the results of
the high-concentration additive elements. Internal standards must be applied to all
samples.

FT-IR Analysis

Fourier Transform Infrared Spectroscopy (FT-IR) must be used for the measurement of
oxidation, nitration, sulfation, and soot. The FT-IR must be configured to produce
results in accordance with the ASTM E2412-04 Direct Trending procedure. S·O·S
Services uses the term Un-subtracted FT-IR Method (UFM) to identify this procedure.
Additional information on the UFM can be found on the Dealer.cat.com page for S·O·S
Services.

Oil oxidation can take place in all oil-lubricated compartments due to the presence of
oxygen resulting in premature oil degradation and wear. Oxidation must be measured
and reported for all samples.

In natural gas/gaseous fuels engines, the nitration measurement helps identify if the air
to fuel ratio is too lean or too rich. Nitration must be measured and reported for all
gaseous fuel engine samples.

Sulfation measures the presence of sulfur-containing compounds in the oil. Sulfation

must be measured on all diesel engines because these compounds are generated as a
by-product of combustion with higher sulfur diesel fuels.

Soot is a contaminant generated by incomplete diesel fuel combustion. Soot

contamination must be quantified for all diesel engine samples.

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 Viscosity

While viscosity values at both 100oC and 40oC are acceptable for standardization,
Kinematic Viscosity at 100oC is the most useful viscosity measurement for new and
used oil analysis. Viscosity results must be posted in centistokes (cSt). A capillary tube
type viscometer must be used for this measurement and the viscometer must be
capable of measuring viscosity within +/- 0.5 cSt according to ASTM D445.

The kinematic viscosity of an oil is essential for identifying if the correct oil is being used
in a compartment. Viscosity analysis also is an indicator of contamination within an oil
compartment. Viscosity results must be reported for all samples.

Water

Water is a contaminant that can be present in all oil-lubricated compartments. Water

interferes with the ability of the oil to prevent wear and protect the metal surfaces from
corrosion. A simple hot plate test is sufficient for the measurement of water in used oil
samples. The hot plate test can accurately detect levels of water in excess of 0.1%.
There are additional optional methods for detecting water. Additional information on
performing the water test can be found on the Dealer.cat.com page for S·O·S Services.

The reporting of Water on the S·O·S Services report must follow the guidelines listed in
the chart below.

S·O·S
Report Water
Result % Water Water Result Definition

E Excessive (milky appearance)

P 0.5% to 1.0% Positive (no visual indication of water)

T 0.1% to 0.4% Trace

N <0.1% Negative

Glycol

Glycol testing is currently optional.

Particle Analysis

Particle analysis may be performed using multiple different methods. The optical particle
counter, PQ Analyzer, visual inspection, Laser Net Fines, filter patch analysis, and
ferrography are all acceptable methods for particle analysis.

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 Particle analysis is required for all non-engine samples.

Particle Count measurements using an optical particle counter must be done in

accordance with the ISO 11171 2016 calibration procedure. The results must be posted
in accordance with ISO 4406 2017. The S·O·S Services standard only requires the
reporting of the ISO code values for the 6 micron and 14 micron channels. However,
laboratories may choose to also report the ISO code value for the 4-micron channel.
For additional information on particle counting and reporting particle count results refer
to media number PEGJ0045 - Reporting Particle Count by ISO Code and the
Dealer.cat.com page for S·O·S Services for recommended instruments.

GC Fuel Dilution

Gas Chromatography (GC) must be used for the measurement of fuel dilution. The GC
test can be done by ASTM D7593 or by the Perkin Elmer modified method on the PE
Clarus 500 with PreVent ModeTM. The PE method has been submitted for approval to
ASTM, and is a much quicker alternative to the standard ASTM method. For more
information please visit the Dealer.cat.com page for S·O·S Services.

A positive or negative fuel dilution analysis result must be reported for all diesel engine
samples. This can be satisfied by the viscosity screen business rule in S·O·S Services
Manager. Samples with a positive result must also include the % volume value reported
from the GC analysis.

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 Level 1 Coolant Analysis
Accurate coolant analysis also requires a complete set of test results. The chart below
provides a minimum listing of test results for Level 1 coolant samples.

Caterpillar Level 1 Coolant Analysis

Test Requirements
Test Result Units
Elemental Analysis % volume
pH Number
Conductivity µS/cm
Nitrite ppm
Magnetic Solids description
Odor description
Color description
Appearance description
Precipitate description
Oil or Fuel description
Foam description

Elemental Analysis

Elemental analysis is used to determine the volume percent of the listed elements in the
used coolant sample. Elemental analysis must be reported for all samples and the
results must be posted as parts per million (ppm). The required instrument for
measuring the elemental concentration is an Inductively Coupled Plasma Optical
Emission Spectrometer (ICP-OES). This type of instrument has proven accuracy,
repeatability, and durability in the measurement of used coolant samples. The ICP
must be capable of producing an accuracy of +/- 10% for concentrations of 20 ppm or
higher. For concentrations lower than 20 ppm, the ICP must have an accuracy of +/- 2
ppm. The method currently recommended is based on processes ASTM D6130.

Laboratories are required to report a minimum of 13 elements including: Al, Fe, Cu, Zn,
Pb, Sn, Mo, K, Na, BO3, PO4, SiO3, MoO4. Elements such as Al, Fe, Cu, Zn, Pb, Sn
help to identify corrosive wear in the cooling system. Other elements are coolant

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 additives such as K, Na, BO3, PO4, SiO3, MoO4 which are used to help identify coolant
type and additive chemistry.

The use of an internal standard is required for elemental analysis. An internal standard
is used to assist in identifying a sample dilution problem and for stabilizing the results of
the high-concentration additive elements. Internal standards must be applied to all
samples.

% Glycol

Glycol measurements must be done with a refractometer that has been calibrated for
ethylene glycol and propylene glycol. Common refractometers provide freeze or boiling
point results. Results must be reported in percent (%). It is recommended that a
refractometer with a percent concentration scale be used. However, freeze and boiling
point results can be converted to percent if necessary. Additional information on using a
refractometer can be found the Dealer.cat.com page for S·O·S Services in the
recommended instrument listing.

pH

pH measurements must be done with a pH meter. The pH meter used must be capable
of a linear calibration between the pH values of 4.0 and 10.0. The meter must be
capable of producing accurate results within +/- 0.1. Additional information on pH
meters can be found on the Dealer.cat.com page for S·O·S Services in the
recommended instrument listing.

Conductivity

Conductivity is measured with a conductivity meter. The conductivity meter used must
be capable of a linear calibration range of 2,000-10,000. The results are reported in
µS/cm. The meter must be capable of producing accurate results within +/- 5%.
Additional information on conductivity meters can be found on the Dealer.cat.com page
for S·O·S Services in the recommended instrument listing.

Nitrite

Nitrite concentration is measured using a titration method. Common instrumentation and

supplies for performance of the titration may include: buret (or a metered titrant delivery
device), magnetic stirrer, stir plate, ceramic casserole dish or beaker, and water. A
description of a test procedure and appropriate test results is available on the
Dealer.cat.com page for S·O·S Services.

Caterpillar recommends a titration method that aligns more accurately with Inorganic
Chromatography (IC) nitrite analysis. Please see the Instrument listing on the
Dealer.cat.com page for S·O·S Services.

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 Coolant Physical Tests

Coolant Physical tests include magnetic solids, odor, color, appearance, precipitate, oil,
fuel, and foam. S·O·S Services considers this group of tests as sensory tests. The
laboratory technician carries out these tests. Descriptions of these test procedures and
appropriate test results are available in the S·O·S Services Basic Interpretation Help
Sheet Guide on the Dealer.cat.com page for S·O·S Services.

A list of laboratory equipment that Caterpillar has tested and approved in Caterpillar
fluid analysis laboratories is available on the Dealer.cat.com page for S·O·S Services.
Note that this list is not all inclusive and instruments should be reviewed prior to use by
the Dealer.

4.1.2 Test Results - Data Quality & Monitoring Capabilities

Introduction
A laboratory’s primary function is to produce quality data. As in any production
environment, the product that is built with the highest quality standards will likely be the
most successful. With analysis data, data quality is not only a competitive differentiator,
but also a critical success factor. Laboratories must produce accurate and precise data
to satisfy key customer requirements.

The following section discusses specific minimum quality laboratory activities needed to
demonstrate that accurate and precise results are being produced and delivered to the
customer. The activities will consist of daily measuring and monitoring activities as well
as quarterly verification by a third-party verification standard. Some or all of the
elements of quality assurance should be integrated in the ISO process. This section
intends to specify, with exactness, the measures and goals that should be met.

Definitions
Precision: The extent to which the results from a given set of measurements on the
same sample agree with their mean

Accuracy: The extent to which a given measurement agrees with the standard value for
that measurement

Procedures
Quarterly Verification Standards

Verification of instrument accuracy must be performed each quarter on each elemental

analysis and viscometer instrument. It is also recommended that third party standard

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 verification is performed each time non-routine maintenance or repairs are completed
on the elemental analysis instrument. An example of third-party verification standard for
elemental analysis is: VHG Labs Performance Testing Program (PTP). VHG’s PTP
has standards for elemental analysis, viscosity, and particle counting analysis. Quarterly
verification standards are optional for the particle count instruments. In contrast to
many similar programs, VHG offers a web tool so results can be analyzed for accuracy
instantaneously. Corrections can then be taken immediately afterwards.

Acceptance Criteria

Percent differences of the analytical results from the certified value are automatically
calculated if you are using VHG’s PTP service. If another vendor is chosen, percent
differences from the certified value will need to be calculated using the following formula:

%Diff. = │(Actual results – certified results)│ ∕ certified value X 100

To represent the degree of tolerances permitted for percent differences, the common
scheme of red, yellow and green will be utilized. The table below delineates how
percent differences are interpreted into the color-coding schemes.

Test Green Yellow Red

Elements with values Within 10.01% and
< 10.00% > 15.01%
> 20 ppm 15.00%
Elements with values
≤ ±2 ppm ≤ ±3 ppm > 3 ppm
< 20 ppm
Within 10.01% and
Viscosity < 10.00% > 15.01%
15.00%
UFM Soot < 15% 15% to 20% > 20%

Corrective Actions

Inevitably laboratories will encounter instances when analytical results will disagree with
the certified values. When this occurs, a root cause analysis of the result discrepancy
must be done. Depending on the root cause analysis, appropriate remediation efforts
should be taken. In all situations, documentation of the corrective procedure as well as
a final re-test of the PTP sample.

Instruments with red results should be taken out of service and not be used to produce
S·O·S results. Once the instrument has been analyzed and corrected, and green or
yellow results are obtained, the instrument can be returned to service.

Although yellow results allow the instrument to be utilized, the laboratory personnel
should make reasonable efforts to have all results within green parameters.

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 Ordering Information

VHG Labs is part of LGC Standards

Website: https://www.lgcgroup.com

Contact information for VHG Labs and ordering PTP samples:

Website: www.vhglabs.com
Email address: [email protected]
(+1) 888 622 7660 Toll free in the USA
(+1) 603 622 7660 Outside the USA
(+1) 603 622 5180 (fax)

VHG Labs
276 Abby Road
Manchester, New Hampshire, 03103, USA
Name Description Part No.
Elements included are: Ag, Al, B,
Ba, Ca, Cd, Cr, Cu, Fe, K, Mg, Mn,
Elemental Analysis VPTPMO-25G
Mo, Na, Ni, P, Pb, Sb, Si, Sn, V,
and Zn. 25 grams

Viscosity Test Standard: 40° C and

Viscosity Analysis (OPTIONAL) VPTPVISC-50
100° C, 50 mL

Particle Count Standard: 4µm,

6µm, 8µm, 14µm, 21µm, 38µm,
Particle Count Analysis (OPTIONAL) VPTPPC-125
50µm, and 70µm ranges. 125 mL
size.

Includes VPTPMO-25G,
Complete Set VPTSET1
VPTPVISC-50, and VPTPPC-125

*IMPORTANT INFORMATION: This table is for informational purposes only; part

numbers need to be verified with VHG Labs at time of ordering. The table above
contains information from VHG Labs that was current at time of publication.

Instrument Calibration

Elemental Analysis

For elemental analysis, the calibration range must span the area of interest for each
element. The recommended calibration range for Fe, Cr, Al, Pb, Mo, Cu, Sn, Si, Na, K,
Mg, Ni is 0 – 500 ppm. The recommended calibration range for Zn and P is 0 – 1,600
ppm. The recommended calibration range for Ca is 0 – 5,000 ppm.

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 For elemental analysis of coolants, the recommend calibration ranges (ppm) are as
follows - Al = 2-10 Ca = 10-50, Cu = 2-50, Fe = 5-50, Mg = 4-20, Mo = 20-1000, P =
400-2000, Pb = 10-50, Si = 10-100, Sn = 5-20, Zn = 4-50, B = 50-1000, K = 1000-5000,
Na = 1000-10000

FT-IR

FT-IR instruments are calibrated at the manufacturer. However, most manufacturers

recommend system checks to be run to verify the validity of the instrument. For the
Perkin Elmer FT-IR instruments, the manufacturer recommends that the contamination,
throughput, noise and abscissa checks are run daily. Laboratories should follow the
manufacturer recommendations for their specific instrument to ensure FT-IR calibration
is maintained.

Viscosity Analysis

Viscometers should be calibrated to span at least 5-30 cSt @ 100 Celsius.

Particle Count

Optical particle count instruments have sensors that should be calibrated externally in
accordance with ISO 11171:2016 on an annual basis. For other types of particle
analysis, refer to the manufacturer’s recommendations for calibration.

Glycol

Gas Chromatographs should be calibrated to include a minimum of 0- 0.1% glycol

contamination.

Gas Chromatograph

Gas Chromatographs should be calibrated to include a minimum of 0-10% fuel dilution.

pH Meter

pH meters should be calibrated to include pH values of at least 4-10.

Conductivity Meter

Conductivity meters should be calibrated to include values of at least 2,000-10,000

uS/cm .

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 Quality Control Checks

In addition to the Quarterly Verification process previously discussed, a daily routine

must be established to determine if the instrument should be put in service. Quarterly
verifications measure the accuracy of the instrument very well, but it is daily testing of a
sample that identifies instrument precision. By monitoring precision, instrument drifting
and required functionality attention can be identified. This practice is commonly referred
to as “qualifying” the instrument for use. In some instances, the instrument’s method
performs these checks automatically. For example. ICP’s should be programmed to run
a check before, during, and after regular sample analysis. Below is a list of expected
process control methods that should be implemented by the laboratory staff. If these
daily quality control checks should fail, laboratory staff should perform appropriate
maintenance and achieve a passing check before reporting data from that instrument.

Type of Process Parameter

Test Minimum Frequency Acceptance Criteria
Control Measured
Daily sample data must
All elements that are
be bracketed by
ICP-OES Check Standard reported within 30 - <10% deviation
successful Check
100 ppm range
Standard attempts
All the parameters At start and end of
FT-IR Used Oil Check Trend Analysis
that are reported every shift or 8 hours.
Sample data must be
Viscosity at 100C bracketed by successful
Viscosity Check Standard <10% deviation
and/or at 40C Check Standard
attempts
Sample data must be
Prepared Check Percent glycol N bracketed by successful
GC Glycol (optional) <10% deviation
standard (0.0%), P (0.05%) Check Standard
attempts
6 micron and 14 Changes less than 2 ISO
At start and end of
Particle Counter Used Oil Check micron counts and codes from original
every shift or 8 hours.
ISO Code level readings.
Sample data must be
Prepared Check bracketed by successful
GC fuel 6% Fuel Standard <10% deviation
Standard Check Standard
attempts
Prepared Check N (0.0%), T (0.1%),
Water (hot plate) Daily Pass or Fail
Standard and P (0.5%)

Glycol Prepared Check Clean water

Daily Pass or Fail
(Refractometer) Standard measures 0%

pH 7 & pH 10; plus Sample data must be

pH/Conductivity appropriate bracketed by successful
Check Standard <10% Deviation
Meters Conductivity Check Standard
Standard attempts
NO2 Concentration
Nitrite Titration Check Standard Daily <20% Deviation
approx. 1000 ppm

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 Process Control

The table above describes which data to track to determine if the instrument or process
is under control. The daily checks should be maintained for periodic review to ensure
that processes continue to remain in control. Data can be tracked in the form of
electronic files, i.e. results files, or a spreadsheet; or through the instrument’s software.
Some tests may best be tracked using a laboratory notebook.

In some cases, it may require statistical treatment of the data to determine if the
process is in control. It is highly advisable for the data that requires statistical analysis
to use electronic spreadsheet files for tracking. Statistical analysis is recommended for
FT-IR, Viscosity, and Gas Chromatography data.

4.2.1 Laboratory Operations - Quality Management System

Introduction
A quality management system is important to the S·O·S Program because it provides
quality assurance and will make the S·O·S Program more competitive in the market
place. Quality Management systems also require program self-examination for three
principle areas: practices, product, and customer satisfaction. It requires
documentation on how these areas are monitored, and that the program attempts to
continuously improve.

The S·O·S Standardization Program requires certified Cat Dealer programs to utilize a
laboratory that has an appropriate quality management system. The recommended
quality management systems are the ISO 9001 and ISO 17025 programs. When
evaluating a quality management system, Dealers will be asked to provide documented
work instructions, standard operating procedures, and/or standard work documents for
all analysis processes. Additionally, Dealer programs will need to identify their
customer satisfaction and demonstrate continuous improvement measurements.

Dealers can provide written documentation in their own template, or those developed by
Caterpillar, to allow a degree of flexibility corresponding to individual Dealer philosophy
and organizational structure. To help Dealers develop written documentation,
documentation templates, sample quality log forms, and sample process flow charts are
available on the Dealer.cat.com page for S·O·S Services.

Dealers that source data from recognized Cat certified laboratories may use the
documentation templates as needed and combine their written documentation with
documentation from the laboratory supplying analytical data to meet Cat S·O·S
Services Standardization. DSD S·O·S Consultant's review of the Dealer’s non-
laboratory program utilization, interpretation, communications, and key performance
indicators metrics is required.

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 What is ISO Certification?
ISO is the International Organization for Standardization. The members of the
organization are from national standards institutes with one member per country. ISO
drives consensus and solutions that meet business, government and society needs.
ISO9001 or ISO 17025 certifications are acceptable for S·O·S Services Standardization.

ISO9001 is a business management standard. This defines business practices with an

emphasis on customer satisfaction, continuous improvement and meeting defined goals.
ISO 17025 has all the requirements of ISO9001 with an additional focus on calibration
and laboratory equipment.

Registrar

ISO certifies Accrediting Bodies in each region of the world. The Accrediting Bodies
then certify Registrars. Registrars are companies with trained and certified personnel
that will audit for conformity to the chosen ISO standard. The Registrar itself is certified
to the ISO standard defining how to conduct conformance audits.

Link to sites for ISO Certification

For more information please visit the Dealer.cat.com page for S·O·S Services.

Costs

Annual certification cost will vary on several factors, most which are associated with the
current state of the Dealer program.

• Cost of external consultant to develop documentation and provide support during

implementation

• Cost of internal resources to develop documentation, conduct internal audits &

system review meetings

• Cost of Certification (External Audit Fees)

• Ongoing system maintenance costs

Initial certification

Initial certification will take one to two years of training, documentation, and process
changes. If a Dealership has ISO 9001 certification in another area, it is recommended
to collaborate and consult with that person or department to expedite the process for the
S·O·S Services laboratory.

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 Training

If the Dealership does not have any other areas ISO 9001 certified, a Management
Representative (MR) will be needed. As a minimum, the MR should complete Lead
Auditor training. Lead Auditor training provides the MR with the information needed to
understand what the Certifying Auditor will be auditing.

Internal auditors will also need to be trained. The internal auditor(s) should be laboratory
technicians and laboratory managers. There are discounts for paying early and sending
more than one person per training event. Also, some ISO trainers offer frequent
customer programs. Investigate local choices and take advantage of special offers.

There are separate training opportunities for management.

ISO Certification Process Steps

1. Determine current Dealer resources for ISO9001 or ISO 17025.

2. If resources are not available, determine if an external consultant will be used, and
employ as needed.

3. Identify the Dealership MR and send this person to Lead Auditor training.

4. Identify at least one person from the S·O·S Services laboratory for Internal Auditor
training.

5. The MR and other selected personnel will document current program processes.

6. If needed, implement and document changes to the processes.

7. Review documented procedures for conformity to the ISO 9001 standard. The
consultant may want to review the processes as the documentation is completed.

8. Schedule an audit with the Registrar for a certification audit.

9. Complete any required actions identified by the certification audit.

Note: Consultant fees may be reduced if the MR and the Internal Auditors create all the
process documentation. If this occurs, consultant time can be minimized to a final
check before Registrar audit.

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 4.2.2 Laboratory Operations - Safety
Chemical Hygiene/Safety Plan
Introduction

The development, implementation, and maintenance of a Chemical Hygiene / Safety

Plan is a common good laboratory practice.

Occupational safety and health organizations, such as OSHA in the United States,
INSHT in Europe, COSHA in China, and JISHA in Japan, have developed programs for
employees who work with chemicals. Please contact the appropriate national agency
for employee health and safety for details concerning rules and regulations.

Knowledge is the first step of safety. Reading and following recommended work
practices and procedures presented in the Chemical Hygiene / Safety Plan can greatly
minimize the risk of exposure to hazardous chemicals. Following the policies and
procedures set forth in the Chemical Hygiene / Safety Plan becomes the responsibility
of each employee.

The second step of safety is employee engagement. Employees must understand

potential hazards of chemicals, how to work safely within a laboratory, and
communicate with management. Employees should be encouraged to communicate
safety questions and concerns.

Purpose and Requirements

The purpose of the Chemical Hygiene / Safety Plan is to provide chemical safety
information as well as recommended laboratory practices and procedures for working
with chemicals. The Chemical Hygiene / Safety Plan must protect employees from
health hazards associated with hazardous chemicals in the laboratory and keep
exposures below the limits specified in the standard. The Chemical Hygiene / Safety
Plan should indicate specific measures that the employer will take to ensure laboratory
employee protection. Some areas to address in the Chemical Hygiene / Safety Plan
include, but are not limited to:

• Basic chemical safety practice and procedures

• Chemical procurement, distribution, and storage

• Personal protective equipment

Process Control

The Chemical Hygiene / Safety Plan should be readily accessible to all employees,
employee representatives, and, upon request, to a government safety representative.

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 At a minimum, the employer should review and evaluate the effectiveness of the
Chemical Hygiene / Safety Plan annually and update it accordingly.

Laboratory Safety
Safety Data Sheet

A Safety Data Sheet (SDS) document contains chemical hazard and safe handling
information designed to inform of potential hazards when working with certain chemicals.
The SDS for every chemical in the laboratory should always be readily accessible to
each employee and should be consulted before handling any chemicals.

Employee Safety Training

At the time of initial assignment to the fluids analysis laboratory, employees must
receive training and information regarding hazardous chemicals present in the
laboratory. The information shall include, but is not limited to:

1. The contents of related government safety mandates

2. The location and availability of the Chemical Hygiene / Safety Plan

3. The permissible exposure limits for regulated substances

4. Signs and symptoms associated with exposures to hazardous chemicals

5. The location and availability of Safety Data Sheets

The training shall include, but is not limited to:

1. Methods and observations that may be used to detect the presence or release of a
hazardous chemical

2. The physical and health hazards of the chemicals in the work area

3. The measure employees can take to protect themselves from these hazards

A document signed by an employee acknowledging that he/she is aware of the

Chemical Hygiene / Safety Plan and the policies and procedures contained therein is
recommended and should be filed with the supervisor.

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 Laboratory Safety Devices and Requirements

To minimize the risk of injury to the employees, it is important that laboratories comply
with the following general laboratory safety requirements.

1. Minimum of 2 fire extinguishers

2. Emergency eye wash station

3. Emergency shower

4. Appropriately labeled secondary containers

5. Proper storage of chemicals

6. Adequate ventilation for equipment (as needed)

7. Appropriate personal protective equipment (PPE)

8. Minimum of 2 outward-opening exits

4.2.3 Laboratory Operations - Staffing and Training

Requirements
Introduction
The operation of a laboratory requires a broad array of skills and expertise. Educational
requirements for laboratory personnel are being explicitly delineated because it is
impossible for any laboratory guide or work instruction to consider every possible
situation that will arise in a laboratory. Frequently, events occur under normal
operations of a laboratory that will require action, or a decision made that will affect the
final product of the laboratory, in this case, S·O·S data. Hands-on experience or formal
training best prepares an employee to understand laboratory processes and make
appropriate decisions when a situation arises that is not covered in a guide or manual.
A person that is directly responsible for a laboratory’s operation, should have the
training and education necessary to operate the laboratory under a variety of conditions
and environments with minimal to no supervision.

Technology continues to evolve, and the laboratory personnel’s continuous learning

efforts must also evolve to adapt quickly to the new technology. Requirements for
continuous learning have been developed to ensure proper training is provided.

Minimum Requirements
The following section discusses the different requirements in education and training
needed according to job type and description.

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 General

At least one member of the staff should have a Bachelor of Arts or Science in a
scientific discipline or equivalency thereof. Acceptable scientific disciplines include
chemistry, physics, biology, and environmental sciences. Chemistry is the most
desirable.

Laboratory Managers and Interpreters should have extensive knowledge of product

systems including engines, transmissions, hydraulics systems, and geared
compartments. Interpreters should also have a good understanding or experience in
service techniques used commonly in diagnosing various products.

Laboratory Manager

The Laboratory Manager is directly responsible for the day-to-day operation of the
laboratory. This person may or may not be the overall S·O·S program manager.
Minimum requirements for the Laboratory Manager role are as follows:

Annually participate in at least one training course per year pertaining to laboratory
processes, instrumentation, oil chemistries, or machinery advances.

Achieve S·O·S Interpretation I Certification from Caterpillar Inc. For more information
on the training curriculum for S·O·S Interpretation Certification please visit the
Dealer.cat.com page for S·O·S Services.

Interpreters

Interpreters are responsible for interpreting S·O·S data and making the evaluations and
recommendations for the customer. Minimum requirements for the Interpreter role are
as follows:

• Achieve S·O·S Interpretation I Certification from Caterpillar Inc. For more

information on the training curriculum for S·O·S Interpretation Certification please
visit the Dealer.cat.com page for S·O·S Services.

• Annually participate in a minimum of one training program related to machinery,

laboratory processes, instrumentation, oil chemistries, or interpretation.

• Interpreters must be recertified by Caterpillar every three years. This would also
apply to Laboratory Manager if they provide interpretation support.

Laboratory Technicians

The Laboratory Technicians are responsible for analyzing the samples and producing
quality S·O·S data. Minimum requirements for the Laboratory Technician role are as
follows:

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 • High School diploma or equivalency.

• Minimum skill set using computer programs such as Microsoft Office.

4.3.1 Communications - Laboratory Information Management

System (LIMS) Requirements
LIMS Capability
A Standardized S·O·S Services program must have the capability to test samples,
interpret the results, and inform the customer, in a timely manner. The program will
require a Laboratory Information Management System (LIMS) that is able to manage
customer and equipment information as well as perform the functionality necessary for
laboratory processing.

Monitoring the Program - Metric Calculation and Reporting

S·O·S Services Manager provides operational reports that can increase the value of the
Dealer’s S·O·S Services program. Communication of the findings in the reports can
subsequently increase contact with customers resulting in better business relationships.
Such key reporting metrics include but are not limited to:

• S·O·S Dealer Customer Acceptance Level

• CSA participation rate

Every customer should be associated to at least one Dealer employee. Dealer sales or
technical personnel such as PSSR’s, TC’s, ISR’s or Condition Monitoring Specialists
should have access to customer data via reports or the web tool.

Additional actions beyond the basic customer report should be performed with
customers to demonstrate further value of the program. Examples of such activities
include: volume reports, red alerts reports for the last month, late sample activity reports,
etc.
4.3.2 Communications – Red Alert Follow Up
Red alert follow up by a dealer representative demonstrates a commitment to customer
success as well as a differentiator from fluid analysis providers in which the report is the
final product. The dealer must have a documented follow up process which indicates
that the customer was notified of the red alert and is aware of possible
recommendations. Some red alerts, such as shop jobs, customers with external PM
processes, or other examples may fall under a pre-arranged business process. In these
cases, description of the business process may be acceptable.

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 4.3.3 Communications – Internal Dealer Training
A minimum of one annual S·O·S Services training event should be held for Dealer
personnel such as PSSR’s, TC’s, ISR’s or Condition Monitoring Specialists.

4.3.4 Communications – External Customer Training

A minimum of one annual S·O·S Services training event should be held for customers.
The events can include onsite training, an S·O·S Services training module in customer
PM training, Cat Care Meetings, etc.

4.4.1 Key Performance Indicator - S·O·S DCAL

Introduction
Dealer Customer Acceptance Level (DCAL) is a percentage of actual Cat product fluid
samples processed versus the potential number of Cat product fluid samples. This
metric provides a level of acceptance in the market place for S·O·S Services.

S·O·S Services global DCAL currently averages approximately 18%. As DCAL

increases, the opportunity increases for parts and service revenue at the Dealership.
For example, with an S·O·S DCAL at 18%, S·O·S Services is responsible for generating
at least $720,000,000 worth of parts and service revenue opportunity for Cat Dealers
worldwide. Increasing S·O·S DCAL to 30% and improving Red Alert Closure rate would
provide a significant increase to parts and service revenue opportunity.

Calculation Instructions
The formula for calculating DCAL is shown below:

Annual number of Caterpillar machine samples processed

S·O·S Services DCAL = X 100
Total estimated samples

The annual number of Cat product fluid samples processed from CAT prime product
machines (not engines and not competitive equipment) is provided by S·O·S Services
Manager. This information is available in the Cat Prime Product Report.

The source used by Cat S∙O∙S Services for machine population and estimated sample
volume is Corporate PTOS or OLGA. The total estimated sample volume for use in the
DCAL calculation is based upon Cat machines identified in PTOS/ OLGA in a Dealer’s
territory and the annual hours generated per each machine. Please contact the
respective Cat DSD PSOR for specific Dealer’s current total estimated sample volume
for use in this calculation.

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 Standard Requirement
The DCAL minimum for Standardization is 10%. In benchmarking with other Dealers
globally, a benchmark target for Dealers is 40%. DCAL should be measured and
trended for continuous improvement.

Example Calculation
Dealership “A” processed 23,750 oil samples from Cat machines in the previous 12-
month period. According to Cat PTOS/OLGA, the total estimated samples equals
58,356.

To calculate S·O·S DCAL, divide the actual number of Cat machine samples by the
total estimated number of Cat machine samples, and then multiply by 100.

23,750 / 58,356 = 0.41 0.41 X 100 = 41%

4.4.2 Key Performance Indicator – S·O·S CSA Participation

Rate
Introduction
CSA Participation Rate is the percentage of actual samples processed from machines
under Customer Support Agreements (CSA) versus the potential. Please note: This
measure is only concerned with Cat machines on CSAs. This metric provides a
measure of the Dealer’s ability to follow up with customers on sampling during CSAs.
This metric only applies to CSAs that have been sold with S·O·S Sampling included in
the offering. CSAs that do not include S·O·S Sampling should not be included in this
metric or the calculation.

There are a variety of CSA products available on the market. During the coverage
period of the CSA it is critical to control maintenance and repair costs. It is also critical
that the dealer meet the commitment of the contract requiring S·O·S sampling. The
measure of CSA participation was updated to reflect the Caterpillar strategic emphasis
and importance of CSAs.

The definition of the CSA Participation metric has also been updated. The dealer will
need the ability to identify all machine models under CSA contract that includes S·O·S
Sampling. Units with CSAs that do not include S·O·S Sampling should not be included
in this calculation.

Dealers should be able to query the business system software to determine CSAs that
include S·O·S Services to generate an upload file for S·O·S Services Manager or utilize
the EM Tracking Tool process

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 Calculation Instructions
To calculate the CSA Participation Rate, determine all models under S·O·S Services-
inclusive CSA with the dealership. Calculate the potential number of samples for these
units. The potential samples are based on: daily usage, number of compartments, and
compartment sampling frequency. The number of potential samples is the denominator
of the equation. The numerator for the equation is the actual sample volume produced
by these CSA machine models in a year.

Standard Requirement
The minimum CSA Participation Rate for Standardization is 60%.

Example Calculation
Shown in the chart below are the CSA machine models by sample volume according to
S·O·S Services Manager and or the EM Tracking Tool.
All machine models by sample volume
model D6R 325C 950G 430D D5M total
total machine count 300 252 208 185 98 1043
CSA machines 32 22 19 15 7 95

The following information must be established for each machine.

• Average daily usage

• Hours operated in the previous 12 months

• Potential samples based on number of compartments and recommended sampling

frequency

The chart below shows the calculations for one of the example machines.

model D6R
serial number AAX12345
average daily usage 4 hrs
hours in previous 12 months 1460
potential samples per 1000 hours 12
potential samples 13

Based on a 365-day year, the average usage for the example D6R is 4 hours per day.
At 4 hours per day, the machine operated for an average of 1460 hours during the
previous 12 months. This machine has the potential to produce 12 oil samples every
1000 hours. Therefore, the potential annual number of samples for this machine is 13.

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 These calculations must be done for all 95 machines in this analysis. The potential
samples are then calculated by model to produce the following chart.

model D6R 325C 950G 430D D5M total

1.
CSA machines 32 22 19 15 7 95
potential
2. annual samples 467 255 277 138 85 1222
actual annual samples 295 173 178 95 42 783

CSA Participation Rate = 783 / 1222 = 64%

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