SERV7040-01

Learning Capability Assessment Tool

Manual
Assessment Processes,
Guidelines,
and Summary

A Practical Implementation Guide

TABLE OF CONTENTS PAGE
Foreword...................... ……………………………………………………………3

Section 1 – Process Rules and Summary

Purpose ..................................................................................... 4
Scope/Definition of Tool............................................................. 4
High Level Process Map ............................................................ 5
Process Steps Explained ........................................................... 6

Section 2 – Additional Resources.............................................................. 17

Section 3 – Roles & Responsibilities......................................................... 26

Section 4 – Assessment/Rating Hierarchy and Minimum Reqs .............. 27

Section 5 – Organizational Implementation .............................................. 28

2
FOREWORD:
The “Assessment Process Guidelines and Summary” manual is a document dedicated to
providing the user, the participant, with the fundamental tools to successfully understand and
implement the Learning Capability Assessment Tool at either a Caterpillar Training Facility or a
Dealer Training Organization.

This manual will help the leadership at the Training Organization understand the functionality of
the Learning Capability Assessment Tool, processes, and guidelines.

All documentation and guides may be printed for future reference via the Learning Capability
Assessment Tool Website.

3
LEARNING CAPABILITY ASSESSMENT TOOL
SECTION 1: PROCESS RULES AND SUMMARY

PURPOSE:
The intent/purpose of this tool is to accurately assess the current state of a Training
Organization to measure its effectiveness against a global set of training standards. Next, given
the current state, the tool and process is designed to help guide a Training Organization with
Caterpillar support through a development plan tailored to the outcome of the organization
rating.

SCOPE/DEFINITION OF TOOL:
The Learning Capability Assessment Tool will measure and assess a Training Organization's
ability to deliver Service Training. The implementation of this tool is critical to delivering high-
value, effective and consistent training while adhering to fair and legal Caterpillar Global
Standard.

The development of the 1 to 5 Star rating scale, assessment criteria, criteria definitions, and
assessment guidelines is a collaborative effort from Caterpillar, Inc., Marketing Organizations,
and Caterpillar Dealers worldwide.

This assessment is not mandatory, however Caterpillar, Inc. recommends the self-assessment
for Global Standardization & the Continuous Process Improvement for training operations
Worldwide.

The criterion in the Learning Capability Assessment Tool is independent of regional markets,
climates, cultures and economies. The development team used all of these factors in the
development of this tool. The criterion in the assessment is based strictly on current
Dealer/Caterpillar Best Practices, Technologies, World-class Performance Results, and
Caterpillar Standards.

The Learning Capability Assessment Tool will be continually updated as new processes evolve,
technology moves forward, and Caterpillar, Inc. grows to support a larger customer base.

4
SECTION 1 – PROCESS RULES & SUMMARY:

HIGH LEVEL PROCESS MAP:

The following is a High Level process map of the Learning Capability Assessment Process. The
process is tailored to the participant:

5
The most important step of this process is the third step: Familiarization with the LCAT
Assessment Process. The next section will illustrate the Learning Capability Assessment
Process in a detailed explanation.

STEP BY STEP EXPLANATION OF THE PROCESS:

The participants of this process should follow this process step by step with no deviation. Print
the high level process map above to follow each of the process steps in this section.

DECISION TO PARCIPATE:
The decision to participate in the Learning Capability Assessment process is completely up to
the Training Organization. One question that continually comes up is the cost for
implementation. The tool is strictly a tool to help the Training Organizations worldwide at no
cost. The tool is delivered in a self-assessment format and the level of participation is up to the
participant. There are a few outcomes that can happen regardless of a full integration and
implementation:

Obtain resources and tools from the web at no cost. Coaching from MPC’s and Caterpillar Reps
to maximize the user’s Training Organization performance, at no cost. Participate and choose
not to pursue an official rating from Caterpillar, Inc., still retaining tools, development plans, and
resources. Participate and receive additional coaching, development plans, support, and
worldwide recognition as an officially rated 1 through 5 star Training Organizations.

6
ACCESS WEBSITE:
The LCAT is a web based tool that is accessed through the GMD website at
https://globalservicetraining.cat.com/. Click on Technician Development (TCDP) in the left
hand navigation tool bar under the Service Learning tab. Additional navigation will then appear.
Information and resources for LCAT are divided among 5 pages which are: Learning Capability
Assessment Tool, Training Resources, Assessment Checklist, Take the Assessment, and Post
Assessment Process. If the user does not have access to the Global Manpower Development
website, contact the Learning Champion for the user’s MPC to request LCAT information.

7
Learning Capability Assessment Tool
The Learning Capability Assessment Tool page is the first page in the LCAT website pages.
This page is intended to provide the user with:
• An introduction to LCAT
• A list of Learning Champions by MPC
• A downloadable copy of this instruction manual
• A downloadable process map

8
Training Resources
The Training Resource page provides reference material for the tools and methodologies used
throughout the assessment process. The page is broken down to reflect the same 4 areas that
the assessment is divided into.
• Training Materials
• Training Operations
• Training Staff
• Training Administration

9
Assessment Checklist
As a participant, the pre-assessment checklist will help to answer some initial questions.
Basically, what categories and sections will be assessed, what measurements are needed prior
to the assessment, and some idea of what to expect for the assessment. The Pre-Assessment
Checklist will list all criteria that should be considered/measured prior to logging into the
assessment. The criteria will involve taking physical measurements and collecting
documentation in preparation for the assessment.

10
Take the Assessment
After the person in charge of conducting the LCAT at the user’s facility has familiarized
themselves with the instructions, complete the pre-assessment checklist and contact the
appropriate Learning Champion for the required password they use this page to click the “Start
the Assessment” button to launch the assessment tool.

11
Post Assessment Process
The post Assessment page provides the user with a glimpse of the next steps in the LCAT
process. The page explains in brief the options available to the dealer once the Learning
Champion has provide feedback to the user on LCAT results and provides a link to contact the
Learning Champion if question remain.

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FAMILIARIZATION WITH THE LCAT PROCESS:
The LCAT page contains everything the user need to understand the methodology, instructions,
and process steps for the Learning Capability Assessment Process via the ability to download
the Implementation Guide, SERV7040.

The SERV7040 Implementation Guide is included on this page in an Adobe PDF format that
can be down loaded to the user’s hard drive or simply printed from the user’s browser.

Whether or not the manual is downloaded and saved or accessed via the web browser when
needed, the assigned organization person with responsibility of conducting the LCAT process
should read the manual in it’s entirety before starting the process. Becoming familiar with the
complete LCAT process and what is needed to conduct an assessment will reduce the time to
conduct the assessment.

DEFINE MPC ORGANIZATIONAL LEARNING CHAMPION:

The Learning Champion contact information is contained in the Learning Capability Assessment
Tool Resource area of the Learning Capability Assessment Tool page. In order to conveniently
and consistently serve our dealers better, each Marketing Profit Centers (MPC) has been
assigned a Learning Champion. Identifying the appropriate Learning Champion for the user’s
organization is important to ensure timely results are provide through the correct channels.

The Learning Champion is considered the Subject Matter Expert (SME) and will coach the user
through the Learning Capability Assessment Process. Once a commitment has been reach to
conduct a LCAT assessment, the Learning Champion will provide a password that will unlock
the Online Assessment tool. At this time the Learning Champion may chose to schedule a
meeting with the purpose of outlining an assessment timeline and to prepare the user for the
rest of the steps in the process.

Initial Meeting – Learning Champion and Participant

The Learning Champion should receive the user’s initiation request complete with name, date
for the user to start, and the user’s preliminary contact information. The Learning Champion has
(30) days to contact the user to start the process. Initial Contact is made through email, phone,
or Web-ex. A visit to the user’s facility is not necessary in this part of the process. This meeting
is crucial in opening the lines of communication. The Learning Champion is responsible for the
logistics of this meeting. The Learning Champion has also been advised of key action items
he/she is responsible for. Possible meeting action items are listed below:

- Introductions
- Roles & Responsibilities
- Assessment Password Assigned
- Assessment Structure and Hierarchy
- Pre-Assessment Checklist
- Action Plans
- POC’s/Contact Info Exchanged
- Cat/Participant Expectations
- Commitment
- Q&A

Assessment Checklist
As a participant, the pre-assessment checklist will help to answer some initial questions.
Basically, what categories and sections will be assessed, what measurements are needed prior

13
to the assessment, and some idea of what to expect for the assessment. The Pre-Assessment
Checklist will list all criteria that should be considered/measured prior to logging into the
assessment. The criteria will involve taking physical measurements and collecting
documentation in preparation for the assessment. It is recommended that the organization
representative print the Pre-Assessment Checklist using the supplied printer friendly version via
the website, and check off items as they are accomplished. Completing the Pre-Assessment
Checklist will significantly reduce the number of times the Assessor stops and starts the
assessment process thereby reducing the time required to accomplish the assessment.

Take the Learning Capability Assessment

After the instructions are understood, click the “Start the Assessment” button to launch the
assessment tool. A prompted will appear requesting a password. The Learning Champion has
responsibility for assigning passwords and tracking all participants within a given MPC/region.

As an organization progresses through the assessment it is possible to save the progress made
and start at a later time. The assessment tool will return the user to the place that was last
saved by selecting the “Bookmark” button. Furthermore, If questions have been answered in
error at any time during the assessment the user will have the ability to go back to change
answers. Simply click the back button located on the bottom right side of the assessment.

A Global Assessment Scale that was developed via a 6 Sigma project governs the Assessment
and it is the results of a collaboration of efforts by Caterpillar and Dealer subject matter experts
Worldwide. A complete structure of the assessment is covered later in the documentation. The
criteria is divided into (4) major categories:

• Training Materials
• Training Staff
• Training Operations
• Training Administration

As the user answer each of the questions in the assessments, the section tree will follow the
user’s progress and indicate how many questions are left in a given section. The assessment is
broken down into many different types of questioning. Definitions will appear throughout the
assessment. Any hypertext in blue can be defined by placing the user’s mouse over the term.

There are a few calculators in the assessment. The calculators will allow the user to model
different scenarios and reset values to original state. Any white space in the calculators can be
overridden to apply to the user’s current situation. Ensure that the data onscreen is correct
before the user click the “Submit Values” screen.

Throughout the assessment there are standards for each of the sections. Be sure to pay close
attention to the details in these standards, as the audit will measure each of these within the
user’s organization during the audit or validation period.

SUBMIT THE ASSESSMENT:

After completion of the Assessment, the user will be given instructions to close out the
assessment and submit the user’s response. If there were any questions not completed during
the assessment, the user will be prompted to answer those before the assessment is submitted.
All reports are sent directly to the user’s Learning Champion selected earlier.

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Learning Champion Delivers Star Rating and Development Plan
Once the Assessment has been completed and submitted the Learning Champion will receive
an automated email from the assessment tool. The Learning Champion will access the user’s
report and review the Star Rating and Development plan. Once the data is submitted the
Learning Champion has 30 days to contact the organization and deliver the unofficial Star
Rating and communicate the Development plan to the organization. At this point there are two
options the organization can take with regards to the LCAT Audit process; accept the unofficial
rating or validate rating through an audit process.

• Accept Unofficial Rating and Implement Change

Due to process/infrastructure change management needed in the user’s
organization, the user may not choose to validate the user’s score at this time, so
an unofficial score would temporarily be given. In this situation, going into the
assessment the user knew there were changes needed, the assessment just
solidified the need for change.

The Learning Champion will have the responsibility for giving the user a
Developmental Plan. At a later date, around (180) days, the participant should re-
enter the process. The Training Organization would go through the assessment
process again and have (30) days to request an audit and make this score
official.
• Validate Rating
The user may request an audit, which would give the user the official rating upon
completion. This is the preferred choice, as the user would receive an official
rating from Caterpillar, receive feedback for improvement and departmental
goals, as well as the user’s organization would be poised for Global Alignment.
The Learning Champion is responsible for scheduling an audit no later than (30)
days after the user’s assessment date. An audit must completed at the user’s
facility within (120) day of the assessment to be valid.

Involvement in the LCAT is completely voluntary and choosing not to do anything with the
results is an option in itself. The user may go through the Learning Capability Assessment
Process, not request an audit and keep the unofficial score for a rating period. This choice is not
recommended and does not help Training Organizations World-wide align, however, the choice
is the user's as the LCAT is simply a tool to help the user develop the user’s Training
Organization. If an unofficial rating is accepted, communicate this decision with the user’s
Learning Champion. The Learning Champion will still be responsible for giving the user a
Developmental Plan. The Learning Champion will give the user the date for next assessment
schedule.

SCHEDULE AN AUDIT:
The audits are scheduled and completed with a sense of urgency, standardization, and rigor.
The audit process will ensure that the user's organization is held to the same standard as other
organizations throughout the World. An audit must completed at the user’s facility within (120)
days of the assessment to be valid. An audit scheduled past this date would require the user to
begin the process over and retake the assessment. If it is determined that a special
circumstance exists, the approval of the Global Process Team would be required. This will be
on a case-by-case basis only and must be coordinated by the Learning Champion.

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OFFICIAL RATING:
Only after the Audit is conducted can a star rating be validated and an “Official Star Rating”
awarded. The Learning Champion has (30) days from the end of the audit to forward the
“Official Rating”. The official rating is maintained for a period of 18 months by the organization.
During this time it is expected that the organization will work with the Learning Champion to
outline any further development that is needed along with establishing the organization’s long-
term goals. The Learning Champion will advise the organization of the date for the next
Assessment to be completed and will continue to advise the organization during on LCAT
matters during the rating period. Types of recognition for Official Star Ratings are left completely
up to the Learning Champions of the different MPC’s. Contact the user’s Learning Champion for
further information on certificates and/or plaques.

Organizational Development Plan

After the Audit is completed and during the presentation of the official rating, the Learning
Champion will communicate to the organization the Development Plan. Develop Plans, whether
in conjunction with an unofficial or official rating, are produced via the results of the Assessment
or Audit. Each plan is constructed to reflect the organization's individual needs as they pertain to
the next star level. For example, if an organization receives a 2 Star rating the development plan
will outline only those items preventing the organization from achieving a 3 Star rating. This
incremental improvement is key in that it the requirements from level to level build on each other
and it helps the organization focus it precious resources on those items with the most immediate
impact.

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LEARNING CAPABILITY ASSESSMENT TOOL
SECTION 2: ADDITIONAL RESOURCES

TRAINING RESOURCES: The training resources page is made up of the four categories in the
Learning Capability Assessment Tool.
- Training Materials
- Training Staff
- Training Operations
- Training Administration

Each of the training resources page gives the participant files and tools to download on some of
the concepts and models used during the assessment.
The participant also has a chance to prepare prior to taking the assessment.

During the assessment, terms and definitions will appear. Most of the questions can be
answered in the training resources pages. After the assessment is completed, the development
plan could also refer to some of these documents.

The following screen shows the resources available for Training Materials. Training Materials
downloads would include/not limited to: Instructional Design Models, Sample Task Analysis
forms, Training Resources Lists, Sample Courses, etc.

STAR LEVEL REQUIRMENTS:

The development of the 1 to 5 Star rating scale is a collaborative effort from Caterpillar, Inc.,
Marketing Organizations, and Caterpillar Dealers World-Wide.
The Star Level Requirements give participant a preview of what a Level 1 through Level 5 looks
like. The criteria listed in these requirements will be part of the user’s development plan,
however, development plans are tailored to the Dealership.

*Throughout the requirements, (Meet Criteria) will appear. This means there are definitive
standards that apply to those requirements. Standards will be listed throughout the assessment
in definitions.

MINIMUM REQUIRMENTS:
1 STAR LEVEL REQUIREMENTS

1 Star Characteristics: Caterpillar recognized Level I Training Operation. Non-dedicated

administrative and staffing, non-dedicated training operations, and not focused on internal
training development. Lack of contamination control implementation or a rating equal to 1 star.
The focus of a 1 Star Facility may include: Knowledge-based and component based training,
disassembly and assembly, remove and install, operation and maintenance; to include
preventative maintenance training, and adjustments of assembled components. 1 Star facilities
may have possible DSTAB Attendance.

1 Star Minimum Requirements:

None

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2 STAR LEVEL REQUIREMENTS

2 Star Characteristics: Caterpillar recognized Level I Training Operation. Dedicated

Administrative functions and Instructors, Training Operations and Physical Space for Training.
Contamination Control implementation and a rating equal to 2 Star Rating for Dealer
Organization or Caterpillar Facility. Focus may include: Knowledge & Components, D&A, R&I,
Operation & Maintenance Training, Assembly Adjustments. DSTAB Attendance required.

2 Star Minimum Requirements:

CATEGORY 1 - TRAINING MATERIALS

Section 1 - Instructional Design Principles:
None

Section 2 - Curriculum:
1) Develop a minimum of (1) Curriculum.
2) Communicate Curriculum by email, mailing, or other method.
3) Courses within Curriculum contain Learning Outcomes, Course Descriptions, and
Prerequisites.

Section 3 - Course Structure: (Meet Criteria for Section 3):

1) Incorporate Course Structure into development/delivery of training materials.
2) Minimum elements of Organizational Course Structure for courses include: Course
Name & Objectives, Duration, Instructor Name.
3) Minimum elements of Organizational Course Structure for courses include: Course
Descriptions, Prerequisites, stated clearly theory vs. practical, Tooling Required,
Literature/Suggested reading for Course, Pre-Course Work and Materials.
4) Minimum elements of Organizational Course Structure for courses include: Course
Identifiers/ Numbers/ ID, Course Agenda/Outline, Intended Audience, Registration
Capabilities, and Attendance Min/Max.

Section 4 - Internal vs. External Training Development:

None

Section 5 - Training Material Evaluation:

None

CATEGORY 2 - TRAINING STAFF

Section 1 - Training Staff and Support:
None

Section 2 - Training Instructors and Qualifications:

1) Minimum of 80:1 (Techs/Learners/Instructors).
2) Develop a Curriculum, Orientation Program, or recommended Course List for New
Instructors (Meet Criteria).
3) Develop Job Roles/Responsibilities for Training Staff and Support, and Training
Instructors (Meet Criteria).

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Section 3 - Service Training Demand:
None

Section 4 - Training Manpower Alignment:

1) Minimum of 40-59% of Manpower Requirements.

CATEGORY 3 - TRAINING OPERATIONS

Section 1 - Training Facilities (Meet Criteria):
1) Minimum of 40-59% of Classroom Requirements (Meet Criteria).
2) Minimum of (1) dedicated Computer Workstation: 50 Techs or 100 Learners (Meet
Criteria).
3) Minimum of (1) dedicated Laptop: 50 Techs or (2) Laptops: 100 Learners (Meet
Criteria).
4) Minimum of (1) dedicated Laptop: Instructor.
5) Training Bay is equipped with Safety Equipment (Meet Criteria).
6) Implement Contamination Control (Req. = 2 Star).
7) Training Labs are equipped with Safety Equipment (Meet Criteria).
8) Training Aids are identified, maintained, and tracked in support of training.

Section 2 - Tooling & Equipment:

1) Training Aids are identified, maintained, and tracked in support of training (Meet
Criteria).
2) Tooling is dedicated, maintained, and tracked in support of Training.

Section 3 - Compliance:
1) All training activities follow established standards, are documented, and communicated
for those that must comply (Meet Criteria).

Section 4 - Safety & Health (Meet Criteria):

1) All training activities follow Caterpillar/Dealer defined safety programs and requirements
(Meet Criteria).
2) Identify all workplace hazards (Meet Criteria).
3) Effective Risk Analysis System in place. (Meet Criteria).

Section 5 - Certifications:
None

CATEGORY 4 - TRAINING ADMINISTRATION

Section 1 - Records Retention
1) Implement a "Records Retention" policy/program for Training (Meet Criteria).

Section 2 - Training Logistics

1) Implement and document an Enrollment Process/Procedure.
2) Implement and document an Enrollment Confirmation Process/Procedure.

Section 3 - Organizational Development

1) Develop and Communicate an Organization Chart.

Section 4 - Business Planning:

None

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3 STAR LEVEL REQUIREMENTS

3 Star Characteristics: Caterpillar recognized Level II Training Operation. Focus on Systems

Operations, T&A, Basic troubleshooting. Dedicated, but not limited to: Administrative,
Instructors, and Mgt. Personnel, Dedicated Training Operations, Training Library, Training Bays,
Labs. DSTAB Attendance. Skills Inventory and Learning Plans created. 3 Star Contamination
Control Rating for Cat Training Facility or Dealer Organization.

3 Star Minimum Requirements:

CATEGORY 1 - TRAINING MATERIALS

Section 1 - Instructional Design Principles:
1) Use Caterpillar Standards materials to develop and/or deliver training (Meet Criteria).
2) Use Instructional Design Principles to develop training.
3) Use an existing Training Needs Analysis/Task Analysis process to develop training
materials.

Section 2 - Curriculum:
1) Develop a minimum of (1) Curriculum.
2) At a minimum, communicate curriculum by course catalog or other method.
3) Curriculum will contain Knowledge, Skills, and Practical Assessments with clear link to
CRI objectives.

Section 3 - Course Structure:

None

Section 4 - Internal vs. External Training Development:

None

Section 5 - Training Material Evaluation:

1) Develop a documented Material Evaluation Process.
2) Learners/Techs has a documented process to submit corrections and feedback.
3) A resource within the organization is available to manually evaluate training materials.

CATEGORY 2 - TRAINING STAFF

Section 1 - Training Staff and Support:
1) Have a dedicated full-time employee that fits the description of Admin Assistant or
Registrar or a Shared Role (Meet Criteria).

Section 2 - Training Instructors and Qualifications:

1) Minimum of 70:1 (Techs/Learners/Instructors).
2) Develop and implement a review process for Training Staff/Support and Training
Instructors.

Section 3 - Service Training Demand:

None

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Section 4 - Training Manpower Alignment:
1) Minimum of 60-79% of Manpower Requirements.

CATEGORY 3 - TRAINING OPERATIONS

Section 1 - Training Facilities (Meet Criteria):
1) Minimum of 60-79% of Classroom Requirements (Meet Criteria).
2) Dedicate a Training Bay to training (Meet Criteria).
3) Provide space for T&A, R&I, D&A, OJT in Training Bay.
4) Dedicated Tooling for Training Bay in place and secured.
5) Dedicated computer located in Training Lab with (SIS, STW, & ET) at a minimum.
6) Dedicated office or cubicle for Training Instructors (Meet Criteria).
7) Dedicated scanner, printer, fax, copier, or combination in (1) unit located and dedicated
to training department.
8) Dedicated space for storage of training materials and supplies (Meet Criteria).
9) Dedicated training library to support training operations, current training activities, and
fundamental systems (Meet Criteria).
10) Implement a documented procedure to track materials and supplies in/out of training
library.
11) Implement Contamination Control (Req. = 3 Star).

Section 2 - Tooling & Equipment:

None

Section 3 - Compliance:
None

Section 4 - Safety & Health:

None

Section 5 - Certifications:
None

CATEGORY 4 - TRAINING ADMINISTRATION

Section 1 - Records Retention:
1) Does the implemented Records Retention program manage the following processes:
record and manage Learning Plans, Skill Inventory, and Test Scores for Learners.

Section 2 - Training Logistics

1) Documented processes and communications for learners/techs for the following:
specifics on transportation, hotel accommodations, or other services for the Learners
prior to the learning event.
2) Lunches/Meals are provided to Learners/Techs during training activities.

Section 3 - Organizational Development

1) Develop and Communicate policies, standards, procedures to training department.
2) Develop and Communicate Annual Goals for training department.

Section 4 - Business Planning:

1) Develop a documented training budget process and management system for the training
department.

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4 STAR LEVEL REQUIREMENTS

4 Star Characteristics: Caterpillar recognized Level III Training. Focus on Repair & Diagnose,
Perform Troubleshooting. Dedicated, but not limited to: Administrative, Instructors, and Mgt.
Personnel, Dedicated Training Operations, Training Library, Training Bays, Labs. Highly aligned
with DSTAB.
Skills Inventory and Learning Plans created. Training Needs Analysis and Training Evaluations
conducted. Blended Learning Capabilities. 4 Star Contamination Control Rating for Cat Training
Facility or Dealer Organization.

4 Star Minimum Requirements:

CATEGORY 1 - TRAINING MATERIALS

Section 1 - Instructional Design Principles:
1) Use Instructional Design Model to create Training Materials.
2) Instructional Design Model is communicated/utilized by Training Department.
3) Criterion Referenced Instruction (CRI) Objectives are used to create Training Materials.
4) Align CRIs to Training Assessments during Training Development.

Section 2 - Curriculum:
1) Curriculum will contain Criterion Referenced Instruction (CRI) Objectives.

Section 3 - Course Structure:

None

Section 4 - Internal vs. External Training Development:

None

Section 5 - Training Material Evaluation:

1) A resource outside the organization, inside the company, is available to manually
evaluate all training materials.

CATEGORY 2 - TRAINING STAFF

Section 1 - Training Staff and Support:
None

Section 2 - Training Instructors and Qualifications:

1) Minimum of 50:1 (Techs/Learners: Instructors).
2) Develop and implement a Career Development Program for all (3) levels of Training
Instructor.
3) Develop and implement Individual Learning Plans (ILPs) for all levels of Training
Instructors in support of the Career Develop Program.
4) Develop and implement a documented process and system for the Evaluation of
Instructors during training activities. (Ensure annual reviews, Career Development
Programs, and ILPs are validated).

Section 3 - Service Training Demand:

None

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Section 4 - Training Manpower Alignment:
1) Minimum of 80-99% of Manpower Requirements.

CATEGORY 3 - TRAINING OPERATIONS

Section 1 - Training Facilities (Meet Criteria):
1) Dedicated computers located in Training facility with (SIS, STW, & ET) at a minimum
2:100 Learners or 1:50 techs.
2) Minimum of 80-99% of Classroom Requirements (Meet Criteria).
3) Dedicated Training Lab for training activities (Meet Criteria).
4) Dedicated tooling and storage area for Dedicated Training Lab.
5) Training Supervisor/Manager has a private office or cubicle (Meet Criteria).
6) Training Admin/Registrar has a private office or cubicle (Meet Criteria).
7) Training Support/Staff has a minimum (1) central CD/DVD burner for Training
Department.
8) Implement Contamination Control (Req. = 4 Star).

Section 2 - Tooling & Equipment:

1) Documented Process for management of Training Aids.

Section 3 - Compliance:
None

Section 4 - Safety & Health:

None

Section 5 - Certifications:
None

CATEGORY 4 - TRAINING ADMINISTRATION

Section 1 - Records Retention:
1) Does the implemented Records Retention program contain the tracking and
management of Certification of Skills (Meet Criteria)?

Section 2 - Training Logistics:

None

Section 3 - Organizational Development:

None

Section 4 - Business Planning:

None

23
5 STAR LEVEL REQUIREMENTS

5 Star Characteristics: Caterpillar recognized Level III Training Operation. Focused on Repair
& Diagnose and Perform Troubleshooting. Dedicated, but not limited to: Administrative,
Instructors, and Mgt. Personnel, Dedicated Training Operations, Training Library, Training Bays,
Labs. Highly aligned with DSTAB. Skills Inventory and Learning Plans created. Training Needs
Analysis and Training Evaluations conducted. Identify and Measure KPI's for Training. 5 Star
Contamination Control Rating for Cat Training Facility or Dealer Organization. Blended Learning
Capabilities and deployment.

5 Star Minimum Requirements:

CATEGORY 1 - TRAINING MATERIALS

Section 1 - Instructional Design Principles:

1) Create, document, and use an Organizational Training Needs Analysis to create
Training Materials.
2) Create, document, and use an Organizational Task Analysis to create Training
Materials.
3) Create, document, and use a (HPI) Human Performance Improvement Model to create
Training Programs.
4) Create, document, and use a (BL) Blended Learning Model to create Training Programs.

Section 2 - Curriculum:
1) At a minimum, communicate curriculum by website to Learners and Technicians.
2) Curriculum is aligned to Business Goals and Training Plans.
3) Curriculum is aligned to a (HPI) Human Performance Model.

Section 3 - Course Structure:

None

Section 4 - Internal vs. External Training Development:

None

Section 5 - Training Material Evaluation:

1) A resource outside the organization, outside the company, is assigned to manually
evaluate all training materials and provide guidance to training development efforts.

CATEGORY 2 - TRAINING STAFF

Section 1 - Training Staff and Support:

None

Section 2 - Training Instructors and Qualifications:

1) Minimum of 40:1 (Techs/Learners: Instructors).

Section 3 - Service Training Demand:

None

24
CATEGORY 3 - TRAINING OPERATIONS
Section 1 - Training Facilities (Meet Criteria):
1) Minimum of 100% of Classroom Requirements (Meet Criteria).
2) Dedicated tooling and storage area for Dedicated Training Lab (Meet Criteria).
3) Implement Contamination Control (Req. = 5 Star).
4) Training Instructors have a dedicated training prep area for classes. (Meet Criteria).

Section 2 - Tooling & Equipment:

1) Each Training Instructor has an individual dedicated tool set for the delivery of training
(Meet Criteria).
2) A documented/implemented process for the management of the tools (Meet Criteria).

Section 3 - Compliance:
None

Section 4 - Safety & Health:

None

Section 5 - Certifications:
1) An implemented process to certify learners/technicians (Meet Criteria).

CATEGORY 4 - TRAINING ADMINISTRATION

Section 1 - Records Retention:
None

Section 2 - Training Logistics:

None

Section 3 - Organizational Development:

None

Section 4 - Business Planning:

1) Training is considered in 5-year Business Planning.

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LEARNING CAPABILITY ASSESSMENT TOOL
SECTION 3: ROLES AND RESPONSIBILITIES

Training Manager The Point of Contact for a Training Organization in this Process.
Responsibilities to include: Decision to Participate, Perform
Organizational Pre-Gap Analysis, Communication with Organizational
Leadership, Coordinate with Learning Champion, Manage Changes,
Take the Official Assessment, Organize Leadership Meetings, Host
Organizational Audits. Facilitate Developmental Plans. Provide
feedback.

Learning Champion Caterpillar Point of Contact. Responsibilities to include: Training

Consultant for Organizations going through the Assessment Process.
Communication with Training Organization. Consult with Training
Organization on Change Mgt. Strategies. Facilitate the Audit,
Leadership Reviews, and Official Rating. Reward & Recognize
Participants.

Learning Champion Direct Support Role of Learning Champion. Entry Level Position that
Assistant should replace Learning Champion or provide support if LC is unable to
fulfill duties.

Organizational Organizational Support. Responsibilities include: Coordinate and

Leadership Support Organizational Change. Participation in Leadership Reviews.
Accept Caterpillar Official Rating. Support Future Developmental Plans.

Training Instructors Organizational Support. Responsibilities include: Participation in the

Learning Capability Assessment Process, as mandated by
Organizational Leadership.

Administration Organizational Support. Responsibilities include: Participation in the

Assistant Learning Capability Assessment Process, as mandated by
Organizational Leadership. Logistical Support for the Process.

Registrar Organizational Support. Responsibilities include: Participation in the

Learning Capability Assessment Process, as mandated by
Organizational Leadership. Logistical Support for the Process.

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LEARNING CAPABILITY ASSESSMENT TOOL
SECTION 4: RATINING HEIRARCHY/MINIMUM REQS

How is the Assessment Organized? There are (4) major categories. Training Materials,
Training Staff, Training Operations, and Training Administration. Each category has a series of
sections and subsections, as shown below:

Organizational Rating

Training Materials Training Staff Training Operations Training Administration

25% 40% 25% 10%

ISD Priciples Staff and Support Training Facilities Training Records

40% 20% 40% 15%

Curricula Instructor Standards Training Logistics

15% Qualifications Training Classroom 40%
56% 20%

Course Structure Service Training Demand Computers/Software Organizational Development

5% 0% 20% 20%

Training Bay
Training Development ManPower Alignment 20% Business Planning
0% 24% 25%
Training Lab
20%
Material Evaluation
40% Training Office
5%

Training Library
15%

Training Demo Area

0%

Tooling and Equipment

35%

Training Aids
50%

Tooling
50%

Compliance
5%

Safety and Health

15%

Certification
5%

WEIGHTING– The points in the assessment and criteria are weighted in accordance to the
consensus of the global development team. The percentages shown above outline the
weighting/importance level for each of the categories, sections, and subsections.

In addition to points and the official weighting, all participants will need to meet the minimum
requirements for each star level, this is regardless of awarded points. The Learning Champion
will apply the minimum requirements during the Audit Process. Each requirement is tied to a
star level.

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LEARNING CAPABILITY ASSESSMENT TOOL
SECTION 5: ORGANIZATIONAL IMPLEMENTATION

ORGANIZATIONAL IMPLEMENTATION:
At first glance, a Service Training Manager would ask; what are the monetary benefits for
implementation? In the first two years of this process, Caterpillar will be collecting data from this
tool so that there will be statistical data to prove there is benefits derived from the investment of
training in the user Organization. There are also tools for the user to use that will allow the user
to measure Training KPI’s within the user Organization. To use this tool or the resources
included there will be no cost.

The calculators and resources provided will give a business case and justify reasoning for hiring
(x) amount of Instructors based off current training demands.

What role will make this decision? At Caterpillar Training Centers, the audience or people who
need to make a decision are:

- Service Learning/Training Manager

- Product Support Manager
- or Department Manager

At the Caterpillar Dealership, the audience or people who need to make a decision are:

- Training Supervisor/Manager
- HR Manager
- Product Support Manager

The Training Organization will benefit by using the results of the Learning Capability
Assessment Process to improve Training Materials, Delivery, Training Staff, Facilities, and
Training Operations to a Caterpillar Global Standard.

The Investment/Focus in Training may lead to Improvement of Customer Satisfaction,

Employee Recruitment & Retention, and Reduction of Expenses for Development & Delivery of
Training.

KEY QUESTIONS FOR IMPLEMENTATION:

What will the Learning Capability Assessment Tool do for my Organization?

In simple terms, this is a tool to allow the user to do a Gap Analysis of the user Training
Organization, Caterpillar and Dealer Training Organizations worldwide. The tool will show the
user the Global Standard and allow the user to align the user facility, based off the user needs,
to ensure Training Organizations World-Wide are aligned.

How will the Tool accomplish this for my Organization?

The Learning Capability Assessment Tool will measure, assess, and deliver a rating derived
from criteria that is essential in delivering high-value, effective, and measured Service Training
with a consistent, fair, and legal Caterpillar Global Standard to Training Organizations
Worldwide.

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What is the Significance of the Rating or Output of this Tool?
The ratings for this tool are simple; there are (5) possible ratings with a 1 Star to 5 Star Award.
Once either an unofficial or official score is given, this is the user’s current state or where the
user is today. The greatest benefit is the ability to improve and set realistic goals for the user
Training Organization. In conjunction with the Marketing Profit Centers (MPC’s), a
developmental plan will be issued to the user to help the user align with the user Training
Organizational Goals.

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