2020 Global Wty Guide G Feb

Caterpillar: Confidential Green
Global Service
Warranty Guide
®
Cat Dealers
February 2020
Special Notes:
• Information in this document is intended for Cat® dealers. A separate roll-up file is
available for second-level dealers.
• This information is not to be shared with customers. Customers receive the Caterpillar
Warranty Statements that define the terms and conditions.
• Please refer to https://warranty.cat.com/wtyguide for all safe-source claiming requirements
and reimbursement terms.
➤ WtyGuide-129G (03/20) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2020 Caterpillar. All Rights Reserved.
CAT, CATERPILLAR, LET’S DO THE WORK,

their respective logos, “Caterpillar Yellow”, the “Power Edge” and Cat “Modern Hex”
trade dress as well as corporate and product identity used herein, are trademarks
of Caterpillar and may not be used without permission.
Dealer and Dealers are defined as any Cat Authorized Dealer or Cat Authorized Repair Representative.
.
Caterpillar: Confidential Green
2 WtyGuide-129G (03/20)
Caterpillar: Confidential Green Bulletin No. 1.00A
SERVICE
WARRANTY BULLETIN Global
Media Table of Contents
➤ Table of Contents & Index

Media Table of Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.00A-129
Tab 1 - General Section

1.01 Warranty Philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.01-03
1.02 Repair Expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.02-21
1.03 Claim Supporting Documentation and Audit Requirements . . . . . . . . . . . . . . . . . . . . . . . 01.03-06
1.04 Transportation and Import Charges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.04-02
1.05 Labor, Travel & Vehicle Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.05-19
1.05T Labor, Travel & Vehicle Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.05-12T
1.06 Substitute Group and Part Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.06-03
1.07 Claim Action Reason Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.07-22
1.08 Problem Description Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.08-02
1.09 Labor Reporting SMCS Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.09-06
1.11 Determining Order of and Type of Coverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.11-15
1.12 Product Delivery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.12-06
1.13 Claim Types and Time Limits for Submitting Service Claims . . . . . . . . . . . . . . . . . . . . . 01.13-17
1.14 Caterpillar Owned Product . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.14-02
1.15 Repair vs. Replacement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.15-07
1.16 Service Letters (PIP/PSP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.16-15
1.00A-129 (03/20) ➤ Indicates change.


1
Bulletin No. 1.00A Caterpillar: Confidential Green
1.17 Warranty Administration by

Caterpillar Defense & Federal Products (D&FP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.17-02
1.18 Dealer Rebuilt Exchange Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.18-01
1.24 Bargain List Products, New Parts Bargain List and Factory Surplus and Used Parts. . . 01.24-03
1.25 Warranty Service by Second Level Dealers (SLD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.25-05
1.27 Miscellaneous Expense Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.27-16
1.28 Shipping Damage and Discrepancies (All Products and Parts Orders). . . . . . . . . . . . . . 01.28-06
1.29 Electronic Control Modules and Flash Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.29-01
Tab 2 - Machine Section

2.01 Machines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.01-46
2.02 GWTS and BCP Work Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.02-31
2.03 Machine Component Power Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.03-06
2.04 Large Mining Truck (LMT) Bodies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.04-06
2.05 Mobil-Trac™ Belt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.05-07
2.07 Cat® Branded Telehandlers (Manufactured by JLG) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.07-08
2.09 Rubber Track Warranty on Mini Hydraulic Excavator, Multi Terrain Loader and
Compact Track Loader . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.09-10
2.13 Expanded Mining Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.13-15
2.14 NEW - Cat® Utility Vehicle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.14-00
2.15 NEW - Asphalt Compactor Oscillation Drum Warranty . . . . . . . . . . . . . . . . . . . . . . . . . . 02.15-01
Tab 3 - Engine Section

3.01 Commercial Engines and Generator Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.01-41
3.02 Extended Warranty for Non-Revenue Producing Pleasure Craft Applications
(Effective 8/28/15, refer to Bulletin 3.01) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.02-02
3.03 On-Highway Truck Extended Warranty Coverage on Specified Parts

(Effective 8/28/15, refer to Bulletin 3.01) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.03-02
3.04 Other Manufacturer’s Engine Peripheral Components . . . . . . . . . . . . . . . . . . . . . . . . . . 03.04-02

3.05 Use of Truck Engines in Non-Highway Applications
(Effective 8/28/15, refer to Bulletin 3.01) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.05-01
3.07 Caterpillar Electric Power Automatic Transfer Switches (ATS) . . . . . . . . . . . . . . . . . . . . 03.07-08

3.08 Electric Power Cat® Switchgear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.08-06
3.09 Olympian™ Power Systems Products (OLY) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.09-13
3.10 Uninterruptible Power Supply Systems (UPS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.10-04
3.11 Cat® Compact Power Systems Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.11-05
3.12 Aged Prime Product Inventory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.12-09
3.17 Engine Performance Complaints (Low Horsepower/High Fuel Consumption)
(Effective 8/31/15, refer to Job Aid) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.17-02
3.18 Excessive Engine Oil Consumption

(Effective 8/31/15, refer to Job Aid) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.18-04
2 1.00A-129 (03/20)
3.19 Caterpillar Assembled Power Systems “Packaged Products” . . . . . . . . . . . . . . . . . . . . . 03.19-15

3.20 Final Delivery Sea Trial for Pleasure Craft Electronic Marine Engines Only
(Services and Claims) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.20-07
3.21 Caterpillar Reimbursed Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.21-10
3.22 Electronic Control Modules and Flash-files (Refer to Bulletin 1.29) . . . . . . . . . . . . . . . . 03.22-04
3.23 Alternative Fuel Conversion System Warranty Dynamic Gas Blending Kit . . . . . . . . . . . 03.23-04
3.24 Well Stimulation Pumps and Well Service Pumps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.24-06
3.27 Cat® Selective Catalytic Reduction System (SCR) For Aftertreatment Retrofit . . . . . . . 03.27-03
3.28 OEM Solutions Cat® Locomotive Power Train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.28-02
3.29 HazPak Power Unit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.29-02
3.30 Electronic Motors Used in Oil and Gas Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.30-01
3.31 Cat® Photovoltaic Systems and Cat® Energy Storage Systems . . . . . . . . . . . . . . . . . . . 03.31-03
3.32 Cat® Marine Propulsion Propeller (MPP), Marine Propulsion Control (MPC), Marine Thruster
Azimuth (MTA), and Marine Thruster Traverse (MTT) Former Berg Product Line . . . . . 03.32-00
Tab 4 - Parts Section

4.01 Parts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.01-49
4.02 Global Warranty Parts Return Handling & Freight Charges . . . . . . . . . . . . . . . . . . . . . . 04.02-17
4.02T Warranty Parts Handling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.02-03T
4.03 Ground Engaging Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.03-09
4.04 Cat® Certified Rebuild Program & Cat Certified Rebuild Upgrade Programs . . . . . . . . . 04.04-10
4.05 Nexus™ New Parts & Assembled Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.05-01
4.06 Tires . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.06-04
4.07 Batteries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.07-08
4.07T Batteries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.07-03T
4.08 Defective Parts Stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.08-18
4.08T Defective Parts Stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.08-04T
4.09 Cat® Service Tools and Supplies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.09-11
4.09T Cat® Service Tools and Supplies (TEPS, AMD, MEPS, & ISD) . . . . . . . . . . . . . . . . . . . . 04.09-01T
4.12 New and Remanufactured Third Party Brand Name Aftermarket On-Highway Truck Parts
Sold by Caterpillar Not Installed on Caterpillar Brand Prime Product . . . . . . . . . . . . . . . . . . . . . . . . . . 04.12-04
4.13 Landfill Compactor Tips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.13-00
4.14 Yellowmark™, A Caterpillar Brand Parts Warranty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.14-03
➤ Tab 5 - Merchandising Programs

5.01 Effective for Undercarriage sales on/before 31DEC2018
Undercarriage Assurance Genuine and Classic Programs . . . . . . . . . . . . . . . . . . . . . . . 05.01-16
SystemOne™ Undercarriage Assurance Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.02-17
5.04 COVERAGE TERMS HAVE EXPIRED: PM Inspections For C175 Package Generator Sets
Sold Into Electric Power Applications (Global) (Discontinued - effective October 1, 2014) . . . . . 05.04-05
1.00A-129 (03/20) 3 ➤ Indicates change.


Undercarriage Assurance “General Duty” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.05-11
5.06 Structural Components (Booms and Sticks) Assurance Program for D, E and F Series
Excavators (NACD Region) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.06-06
5.08 7495HF Electric Rope Shovel Cast Crawler Shoe Assurance Program 125 Inch Cat Branded
Shoes Used in Oil Sands Application (NACD Region) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.08-07
5.09 7495HR & 7495HD Electric Rope Shovel Cast Crawler Shoe Assurance Program
79” & 84” Cast Crawler Shoes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.09-05

Undercarriage Assurance Gold Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.10-07
5.11 Structural Components (Booms and Sticks) Assurance Program
MH3000 Series Material Handlers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.11-01
5.12 Wheel Loader Structural Components Assurance Program For Front Frame, Rear
Frame and Lift Arm - Applicable to new 986H, 988K, 990K models sold to end user
between Sept.1, 2015 and Aug. 31, 2016 (USA & Canada Only) . . . . . . . . . . . . . . . . . . 05.12-00
5.13 Reuse and Salvage Assurance Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.13-04
5.14 Armored Face Conveyors, Beamed Stageloaders, Roof Supports, Shearers,
Plows - Used in Longwall Mining Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.14-00
5.16 Value Assurance Level 2 (NACD Machine) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.16-04
5.18 Structural Components & Hitch Assurance Program for Wheel Skidders (525C, 535C
& 545C Skidders with sales transactions dated 01Jan07 through 31Dec10.) (NACD Machine) . . . . . . . . . 05.18-12
5.20 320D2 Excavator Value Assurance Program for Major Key Components Machines Built and Sold
in India (Program being discontinued as of 31December2017) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.20-02
5.21 313D2 LGP Excavators - Front Structure Assurance Program (Boom / Stick) Machines
sold in Indonesia (Applicable only for 313D2 LGP Excavators sold to end user between
01Sep18 to 31Dec18) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.21-00
5.22 Cat® GET Assurance Program for Cat Advansys™ Adapters for Large Wheel Loaders
(Applicable only for product sold to end user between 01Dec2018 to 31Dec2019.) . . . . 05.22-00
5.23 Electric Drive Components Assurance Program for Electric Drive Powertrain
(Applicable to new D6 XE models sold to end users between
01JAN2019 and 31DEC2020) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.23-00
5.24 Yellowmark™, A Caterpillar Brand Undercarriage Assurance Program . . . . . . . . . . . . . 05.24-00
5.25 Olympian™ Power Systems Products (OLY) Extended Service Coverage. . . . . . . . . . . 05.25-05
5.26 Articulated Truck CX38 Transmission Assurance ProgramExtended Service Coverage
Articulated Truck Models US & Canada (745, 740EJ & 740GC) sold to end user between
01Jan2019 and 31Dec2019 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.26-01
5.27 313D2L & 320D3 Excavators Major Key Components Value Assurance Program - India
(Applicable only for India built 313D2L Excavators sold and delivered in India to end user
between 01Apr19 to 31Dec19) (Applicable only for India built 320D3 Excavators sold and
delivered in India to end user between 01Jun18 to 31Dec20). . . . . . . . . . . . . . . . . . . . . 05.27-01
5.28 Wheel Tractor-Scraper Powertrain Assurance Program (Applicable to new & existing 621K, 623K,
627K, 631K, 637K models sold & delivered to end user between 01Mar14 to 31Dec20)
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.28-01
5.29 COVERAGE TERMS HAVE EXPIRED: Telehandler Value Assurance Program . . . . . . 05.29-03
4 1.00A-129 (03/20)
5.33 Large Track-Type Tractor (D9-D11) Undercarriage Assurance Program Effective for Undercarriage sales
on/after 01JAN2019 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.33-00
5.34 Hydraulic Excavator Undercarriage Assurance Program Effective for . . . . . . . . . . . . . .
Undercarriage sales on/after 01JAN2019 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.34-00
5.39 Small & Medium Track-Type Tractors (D3-D8) & Loaders Undercarriage Assurance
Program Effective for Undercarriage sales on/after 01JAN2019 . . . . . . . . . . . . . . . . . . . 05.39-00
5.48 Articulated Truck CX38 Transmission Assurance Program Articulated Truck Models
(745, 740EJ & 740GC) Sold To End User Between 01Jan2020 & 31Dec2020 . . . . . . . 05.48-01
5.49 NEW! Structural Components & Hitch Assurance Program for Compact Wheel Loader 906K,
906M, 907K, 907M, 908K and 908M CWL sold to end users between
20Sep2018 through 31Dec2020 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.49-00
5.91 Caterpillar Fluid End Value Assurance Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.91-01
(Effective with sales transactions dated 01Mar16 through 30Jun17)
5.92 C Series Wheel Feller Bunchers Assurance Program . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.92-01

(Effective with sales transactions dated 1Jul2016 and 31Dec2016)
5.93 D Series Wheel Skidders Assurance Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.93-01

(Effective with sales transactions dated 1Jul2016 and 31Dec2016)
5.94 Cat® Photovoltaic Systems PV Panels Assurance Program . . . . . . . . . . . . . . . . . . . . . . 05.94-00

5.95 7295 Electric Rope Shovel Cast Crawler Shoe Assurance Program . . . . . . . . . . . . . . . 05.95-02
5.96 6030/6040/6050/6060 Heavy Duty (HD) Hydraulic Mining Shovel . . . . . . . . . . . . . . . . . 05.96-02
Cast Crawler Shoe Assurance Program Cast Crawler Shoes
(Effective with sales to the first user between Oct. 1, 2017 and Dec. 31, 2018)
5.97 NEW! Telehandler 2020 Value Assurance Program (EAME) . . . . . . . . . . . . . . . . . . . . . 05.97-00
Tab 6 - Americas North Only Vocational On-Highway Truck

6.01 America’s North Only Vocational On-Highway Truck Warranty . . . . . . . . . . . . . . . . . . . . 06.01-19
6.02 America’s North Only Vocational On-Highway Truck Warranty
Labor Rate Administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06.02-01
6.03 Caterpillar Vocational Truck Emissions Warranty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06.03-09
6.04 Glider Kit (USA, Canada, and Mexico). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06.04-03
Tab 7 - Regulatory
7.01 Emission Warranty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 07.01-09
7.02 Caterpillar Emissions Solutions Aftermarket Aftertreatment Products - Emission Warranty
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 07.02-02
7.03 Alternative Fuel Conversion System Warranty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 07.03-01
➤ Tab 8 - Cat Financial Insurance Services

8.00 New Machine Equipment Protection Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.00-05
8.01 Powertrain Equipment Protection Plan (EPP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.01-03
8.02 Hydraulic Equipment Protection Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.02-04
8.03 Premier Equipment Protection Plan (Available for Machines delivered on or after 01Jan05) . . . . . . . . .08.03-04
8.04 Travel Equipment Protection Plan (Americas North and EAME). . . . . . . . . . . . . . . . . . . . . . . . 08.04-02
1.00A-129 (03/20) 5 ➤ Indicates change.

8.05 Engine-Only Equipment Protection Plan (EPP) Mining Products . . . . . . . . . . . . . . . . . . 08.05-01

8.06 Discontinued Major Components Equipment Protection Plan Mining Products
Effective 01DEC2019. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.06-02
8.07 Discontinued Forestry 3-2-1 and 4-3-2-1 EPP Program (NACD) . . . . . . . . . . . . . . . . . . 08.07-03
8.09 Equipment Protection Plan Hydromechanical Work Tools . . . . . . . . . . . . . . . . . . . . . . . . . . 08.09-05
8.10 Hydraulic and Technology Equipment Protection Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.10-03
8.11 BCP Travel Time & Mileage Equipment Protection Plan (EAME - Selected Dealers) . . 08.11-01
8.12 Equipment Protection Plan Hydromechanical Work Tools
(Effective and Applicable to Work Tools with Delivery Dates Beginning 1JAN2018) . . . . . . . . . . . . . . . . . 08.12-00
8.50 Used Machine Equipment Protection Plan - Individual . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.50-02
8.51 Used Equipment Protection Plan - Cat Certified Used - Transaction Based Pricing . . . 08.51-04
8.52 Certified Rebuild (CCR) (Global) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.52-03
8.53 Certified Powertrain (CPT) (Global) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.53-04
8.54 Certified Machine Component Rebuild. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.54-06
8.55 Precious Metals Machine Engine Rebuild Kit - Equipment Protection Plan
Bulletin Discontinued 01JAN17 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.55-02
8.58 Power Modules in OEM Product Equipment Protection Plan . . . . . . . . . . . . . . . . . . . . . 08.58-01
8.90 Discontinued: Engine Emissions Retrofit Extended Program (NACD) . . . . . . . . . . . . . . 08.90-00
8.92 Discontinued: Extended Coverage for Certified Machine Rebuild (CCR) Overview (SARL/EAME)
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.92-00
8.93 Discontinued: Extended Coverage for Certified Powertrain Rebuild (CPT) (APD) . . . . . 08.93-00
8.94 Discontinued: Equipment Protection Plan Program for Certified Rebuild/Certified Powertrain
Rebuild Program (CCR/CPT) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.94-00
8.95 Discontinued: EPP for Certified Machine Rebuild (CCR) (LACD) . . . . . . . . . . . . . . . . . . 08.95-00
8.96 Discontinued: EPP for Certified Powertrain Rebuild (CPT) (LACD) . . . . . . . . . . . . . . . . 08.96-00
8.97 Discontinued: Certified Rebuild Machine and Certified Powertrain
Extended Coverage (NACD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.97-00
➤ Indicates change. 6 1.00A-129 (03/20)

Caterpillar: Confidential Green Bulletin No. 1.01
SERVICE
General Guidelines
Warranty Philosophy
Overview
This bulletin explains basic warranty practices, identifies the responsibilities of each participant, and clarifies the
difference between warranty and goodwill.
What is Warranty?
Caterpillar Warranty is Caterpillar’s legal commitment to provide customer protection for product/part defects
in Caterpillar material and workmanship during a specified period of time or product usage through the Cat®
dealer. A manufacturer cannot void or cancel their product warranty.
Caterpillar Warranty has legally binding commitments and limitations outlined in a legal document called a
Warranty Statement. Caterpillar’s Warranty Statements may be found at https://warranty.cat.com/currstmts.
What is a Warranty Repair?

A warranty repair restores the product to its operating condition just prior to the failure by repairing and/or
replacing the defective part and the resultant damaged Cat parts needed to correct the defect. A warranty
repair is not intended to restore the product to a like-new condition.
• Defective Part - is the Cat part that caused the failure.

• Resultant Damaged Cat Parts - are the Cat parts that were damaged as a result of the failure of the
defective part.
Warranty Statement Disclaimer

All Warranty Statements include a Disclaimer emphasizing two key points:
1. Warranty does not cover incidental damages, or damages to property resulting from the failure.
2. Warranty does not cover consequential damages, or other damages, notably loss of profit or use, as a
consequence of the failure.
For example: A Cat fan blade failed and damaged the radiator. Caterpillar’s Warranty will provide for
replacement of the defective fan blade and the resultant damaged Cat parts. Caterpillar Warranty does NOT
cover the damage to parts made by manufacturers other than Caterpillar, or the loss of profit due to
downtime (consequential damage).
01.01-03 (08/15) ➤ Indicates change.

© 2015 Caterpillar All Rights Reserved.
CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.
1
Bulletin No. 1.01 Caterpillar: Confidential Green
Administering Warranty
The dealer administers Caterpillar Warranty and has the following responsibilities:
• Determining whether a Caterpillar defect in factory material or workmanship caused the failure.
• Determining if the failure is covered by warranty, and if so, what expenses are covered.
• Determining the most economical method of repair.
• Making the repair settlement with the customer at the close of the repair.
• Submitting a claim to Caterpillar for monetary reimbursement after the customer settlement is made.
Dealers have all the facts about the failure including:
• All the parts involved in the failure.
• The failure analysis data.
• The repair documentation.
• Any previous failure information.
• Who the customer is and the intended application.
• The product operating conditions.
• The customer/operator practices.
Note: The dealer administers the manufacturer’s warranty to the customer per the terms and conditions
outlined in the Warranty Statement. Caterpillar reimburses the dealer per the terms and conditions outlined in
the Warranty Bulletins. Reimbursement from Caterpillar to the dealer may differ from the settlement between
the dealer and the customer.
➤ Responsibility
The merchandising of Cat products involves three parties: the manufacturer (Caterpillar), the dealer, and the
customer. Each party has specific individual responsibilities impacting warranty. Examples are as follows:
The manufacturer, is responsible for:
• Standing behind the Warranty obligation.
• Initiating product improvements.
The dealer is responsible for:
• Selling products within the limits of intended capacity and application.
• Delivering products in good initial adjustment.
• Instructing customers on proper operation and maintenance.
• Identifying and reporting the cause of failure to Caterpillar.
• Administering Caterpillar Warranty.
The customer is responsible for:
• Operating the product properly and within the limits of intended capacity and application.
• Fueling, lubricating, adjusting, operating, and maintaining the equipment as instructed by the dealer and
in accordance with the recommendations set forth in the applicable Caterpillar manuals, including the
Operation and Maintenance Manual and other applicable service literature.
• Notifying the dealer promptly if a problem exists.
• Giving timely notice of a problem.
• Promptly making the product available to the dealer for warranty repairs and product improvement
programs.
Goodwill
Goodwill is not warranty and the philosophy for goodwill is managed by the Caterpillar Service Technical
Representative. Any questions regarding goodwill should be directed to the appropriate Service Tech Rep.
➤ Indicates change. 2 01.01-03 (08/15)

SERVICE
General Guidelines
Repair Expenses
Overview
This bulletin provides repair expense information. To determine which expenses are reimbursable, refer to
the Dealer Reimbursement Sections and Summary of Reimbursement Chart(s) in the product specific bulletin.
Contents of the applicable bulletins take precedence over information in this document.
Parts
Parts needed to complete the warranty repair, including gaskets, seals, salvage materials and any resultant
damaged Cat® parts may be claimed. These parts may be Cat new or Reman and are priced based on the date of
the repair. If more economical, the dealer may salvage a damaged part or repair an assembled component rather
than replace it. Refer to bulletin 1.15 for additional information.
Components and parts replaced under the original product warranty period are covered for the remainder of the
original product warranty period.
When Cat parts are serviced, substitute parts from sources other than Caterpillar are not considered for Caterpillar
warranty. When Caterpillar does not service a part but it must be used in the repair, the part may be claimed at
the dealer’s acquisition price.
Note: When a Reman part or a part contained within a Reman Kit (ex. overhaul kit) is the cause of a failure, then
the Reman part number should be used when filing a claim as either the part causing failure or the group number.
The lowest serviceable level part number should be used as the part causing failure and the next higher level group
number should be used in the group number field. If the Reman part number is the lowest serviceable level, the
Reman part number should be used as the Part Causing Failure. If a Reman part number is not the part causing
failure, enter the next higher level Reman group number in the group number field. If the Reman part number or
group number needs to be added to the Equate Table because it is invalid, please open a new SR in PSCRM by
selecting the following inquiry type: SIMS updates (Other than Principle Work Code and Delivery Date requests).
https://warranty.cat.com/en/need-assistance.html
Parts Reimbursement Levels/Parts Costs
Reimbursement levels for warranty repairs differ based on industry, product and policy requirements. The basic
definitions for these levels are listed below. Refer to the respective bulletins to determine which level is applied for
each product.
Dealer Net (N): The part’s acquisition price determined by Caterpillar.
Markup (M): The replacement for traditional Consumer List price, intended to provide reimbursement above Dealer Net.
➤ 01.02-21 (05/19) ➤ Indicates change.

1
Suggested Consumer Price (L): Market-based price used by dealers as a pricing guideline for parts sold to end
user customers established within the defined pricing zones.
Scrap Parts
If no Parts Return Request is received in the 30-day hold period, the removed warranty claim parts should be
rendered useless and scrapped by the dealer, unless another disposition has been authorized by Caterpillar. Such
parts may not be used or sold (except as scrap) without the agreement of Caterpillar.
Note: Dealers should comply with local laws and regulations for scrapping and disposal of any hazardous material.
Emergency Orders For Reman Parts Not-In-Stock
For an emergency Class W Parts Order (warranty with product down) of a Reman part not in stock, the equivalent
new part is shipped and invoiced at the Reman price, plus the standard core charge. This practice is not applicable
for major components (e.g. engines, transmissions). When filing a claim, the part number of the ordered Reman
part/component must be listed on the Expense Detail line.
Parts Service Charges
Service charges are fees for parts obtained on an emergency order, and are a percentage of the Dealer Net (D/N)
price. The Part percentages are published in the Parts Gram at:
https://dealer.cat.com/en/ps/parts/partsgrams.html and are as follows:
• 0 % for slow moving parts
• 2% as defined in Regional Parts Grams Exception Items
• 5 % for medium moving parts
• 8 % for fast moving parts
Service/Maintenance Items
Service/Maintenance items include oil, coolant, hydraulic fluids, filters, spark plugs, belts and/or other items listed in
the Operation and Maintenance Manual. Service items replaced in the normal course of the repair or inspection, are
not reimbursable. Service items unusable due to loss or contamination resulting from a warrantable failure may be
reimbursed.
Note: When the full package quantity of engine oil, hydraulic oil, and/or coolant is used, it must be claimed as a
Parts Expense using the Caterpillar part number. If the Caterpillar part number or pricing is not available, the fluids
must be claimed as a Miscellaneous Expense. If the full package quantity of fluid is not used, claim the actual
amount used as a Miscellaneous Expense.
Shop Supplies
Shop supplies are general consumables used during the warranty repair. Examples may include the following:
shop towels, welding rod, wire ties, gasket maker, sealants, solvents, adhesives, primers, paint*, assembly
lubricants, anti-seize compounds, buffing discs and pads, and emery cloths. Shop supplies are not reimbursable
if they are included in the dealer’s labor rate.
*Note: Refer to Warranty Bulletins 2.01 and 3.01 for information on paint repairs.
Labor
Repair Labor
Repair labor includes time to inspect, test, diagnose, remove, disassemble, clean, assemble and install components/
parts to complete a warranty repair. Labor is reimbursed at the approved labor rate on file with Caterpillar at the
time of the repair. Refer to Bulletin 1.05 for additional information.
Labor hours are found in the applicable Labor Guidelines: Time Requirement Guideline (TRG), Machine
Labor Guideline (MLG) or Earthmoving Repair Labor Guideline (ERLG). These guidelines are available
at https://dealer.cat.com/en/ps/service/trg.html. In cases where no published times exist, a detailed labor
breakdown of segmented actual reasonable times must be claimed using applicable SMCS codes in order
to identify labor operations performed. Refer to Warranty Bulletin 1.09.
Parts Salvage Labor
Parts salvage labor is the time to perform salvage operations, such as machining, cutting, burning, trimming,
2 01.02-21 (05/19)
bending, heating, welding, etc. It does not include labor to disassemble and assemble the part or component
associated with performing the salvage operation (i.e. the cutting off and welding on of bucket edges or other GET
/ Work Tool components). Salvaging a part may be considered if the Cat part can be satisfactorily repaired and
the cost does not exceed 50% of the D/N price for a new part or Reman (if available).
Salvage labor should be claimed as a miscellaneous item.
Overtime Labor
There is no overtime labor rate. Labor is reimbursed at the applicable labor rate on file. If labor is performed after
normal working hours, the labor hours may be claimed as part of the overall repair hours.
Troubleshooting
Troubleshooting is time claimed for conducting tests to determine the failure such as injector cutout test, bottle test for
cylinder head failures, etc. Troubleshooting time does not include the following: removal and installation, disassembly
and assembly, Applied Failure Analysis reporting, communications with a TC, or waiting for information to proceed.
Outside Repair Expenses (Sublet)

An outside repair or sublet is when a dealer hires another company to perform a repair or service. Examples may include
parts and/or labor for machining, cylinder head milling, radiator repair, and generator rewinding from an outside vendor.
Repairs should not exceed 50% of the D/N for a new part or Reman (if available).
Travel time and mileage expenses cannot be included or associated with sublet repair costs.
Invoice charges should not exceed Caterpillar’s consumer list price for parts and labor repair time should not exceed the
applicable TRG, MLG, and/or ERLG. Labor rates should also be in line with the local dealer’s labor rates.
This also applies when a Cat dealer performs a sublet warranty repair for a TEPS or ASSC dealer.
Component Serial Number

Major components and subcomponents on Cat products may have unique identifying information such as a component
serial number, a sequence number, a date code, etc. Caterpillar engineers and suppliers use this component information
to identify and resolve product problems. To assist in this process, it is important for dealers to capture this information
during the repair. It is recommended and in some cases required, to include this identifying information in the claim.
• Enter the major component serial number in the component serial number field in the claim.
• Additional component serial numbers can be added to the Claim Story.
• Enter LH or RH component location in the Claim Story.
NOTE: Refer to respective bulletins for additional claiming information.
Travel Time & Mileage

Travel time is the time required to travel to the customer location and the next destination, if not returning to the
dealer branch store. Mileage is the distance traveled. Generally, travel time and mileage is the distance from the
nearest authorized dealer branch store to the job site.
Meals & Lodging

Meals and lodging for the technician performing the field service repair may be reimbursed at the dealer’s actual
cost, if more economical than traveling to return the following day.
Hauling/Towing Costs
Costs associated with hauling or towing a product to a Caterpillar authorized repair facility. If claiming for hauling
or towing costs, the amount should be less than the cost of a technician’s travel time and mileage.
Equipment Use Fees

Equipment use fees are additional charges associated with the use of equipment for testing and/or repairing Cat
products. Examples may include chassis dyno use fees, boroscope use fees, vibration analysis equipment fees,
crane rental, etc. These expenses are generally not reimbursed.
01.02-21 (05/19) 3
Freight Charges
Freight from a Caterpillar facility to the dealer is included in the parts price or the Transportation and Import
(T&I) adjustment factor and is not claimable as a separate expense. Dealer shuttle service expenses between a
Caterpillar Parts Distribution Center and the dealer or between dealer stores is not reimbursable. Exceptions may
apply in the following situations:
 Emergency charges
 Premium freight
 Special handling charges
Refer to the product specific bulletin (2.01 for machines, 3.01 for engines, etc.) for additional information.
Preventive Repairs
Preventive repairs for situations that don’t present an identified defect in material and/or workmanship cannot
be claimed as warranty. Availability of improved parts, Caterpillar recommendations and publications, such as
Technical Information Bulletins and Service Magazines, are not justifications for warranty reimbursement.
Extended Operation
Extended operation is continuing to operate the product after awareness of a possible failure. Such awareness
may include fault indicators, fault codes, abnormal sound and/or operation. Damage resulting from extended
operation is not reimbursable.
Resold or Transferred Products

When a machine, engine, or component moves outside the selling dealer’s territory during the warranty coverage
period, the selling dealer is responsible for the coverage costs. When a covered repair is performed by a dealer
other than the selling dealer, the repairing Cat dealer must submit the coverage reimbursement claim to Caterpillar.
Expenses not reimbursed by Caterpillar should be settled between the two dealers.
➤ Remote Services
Remote Troubleshoot:
Caterpillar offers the ability for dealers to remotely troubleshoot certain products. For Remote Troubleshoot, there
is a data fee charged to the dealer. For warranty repairs, the remote data fee is reimbursable as part of the overall
warranty repair, if justified. Dealers should use miscellaneous code REMOTE for this charge. To be eligible for
warranty reimbursement, remote troubleshooting must be directly related to the warranty repair and explained in
the claim story. Any labor associated with troubleshooting (remote or in person) must follow the reimbursement
guidelines within product specific warranty bulletins.
Remote Flash:
Caterpillar offers the ability for dealers to flash software remotely for certain products. For Remote Flash, there may
be a data fee charged to the dealer per occurrence. General software updates are not considered to be factory
defects and the costs associated with updating software are not eligible for warranty reimbursement.
If there is an identified warrantable defect, and the solution to the defect is to install new software, then the data fee
is reimbursable as part of the overall warranty repair, if justified. Dealers should use miscellaneous code REMOTE
for this charge and explain in the claim story.
Note: Dealers must retain all supporting documentation showing the amount charged by Caterpillar for the remote
data fee.

SERVICE
General Guidelines
Claim Supporting Documentation and

Audit Requirements
➤ Overview
Caterpillar performs on-site and remote audits to ensure claim requirements are met and quality standards are
maintained. Documentation must be available to support the audit process.
This bulletin details the audit documentation required for all repairs. Additional documentation may be required
based on bulletin references and repair types. A checklist of the required documentation referenced in this
bulletin may be found on the Global Warranty website at https://warranty.cat.com/en/resources0.html. It is titled,
“Checklist of Audit Documentation.”
Documentation Required for All Repairs

Documentation provides proof of claimed expenses. Failure to keep required claim documentation can result in
partial to full denial or debit. This section details documentation required for all repairs.
1. Service Report / Work Order – completed by the service technician and documents the product failure.
Necessary information includes:
 Technician’s name and/or employee identification number (ID)
 Serial number
 SMU – Hours/miles/kilometers
 Delivery date
 Part causing failure
 Group number
 Description code
 Failure date - required on claims on/after 19 February 2015
 Mode of failure
 Customer complaint, cause of the failure, and detailed description of the repair
Notes:
Failure data should be entered in SIMS for repair history.


and the “Power Edge” trade dress, as well as corporate and
1
For Commercial Engine repairs, include the OEM make, model, and 2-digit Cab type.
➤ When applicable, all engine cylinder liner and cylinder block wear measurements must be recorded and
retained, including liner flange thickness, liner projection, and liner seat wear. Reference the “Cylinder Liner
Measurement Job Aid” on the Global Warranty website at https://warranty.cat.com/en/resources0.html.
2. Time Records – used to record the technician’s time segment(s) associated with the repair. Required
information includes:
 Work order number
 Job segment
 Customer information
 Product information
 Employee identification
 Associated labor time
3. Delivery Service Record – validates customer receipt of the product and service literature. The checklist
is used to review operation and maintenance information with the customer. A copy of the signed original
must be kept on file. Required information includes:
 Dealer code
 Model
 Customer name and address
 Signatures by both the customer and dealer representative
This form is available through:
 Caterpillar On-line Ordering System at https://oos.midlandcorp.com/CAT/
 Service Information System (SIS) at https://sis.cat.com
Refer to Bulletin 1.12 for more information.
4. Job Closing Summary / Work Order Summary – itemized list of all of the charges associated with the
repair. Information must include:
 Parts
 Labor
 Travel time and mileage
 Miscellaneous items
 Outside purchased charges
 Repair dates
 Failure date
5. Customer Credit Verification / Invoice – used to bill applicable accounts for repair expenses and verify
the customer was not charged for expenses submitted for Caterpillar reimbursement. The dealer is required
to keep a copy of the Customer Credit Invoice on file, if the required information is not included in the Work
Order Summary. Required information includes:
 Repair detail
 Itemized list of the repair expenses and accounts of which charges were billed
Notes:
For charges covered by warranty, the invoice indicates charges billed to a warranty account and submitted
for Caterpillar reimbursement.
For charges not covered by warranty or another dealer account, the invoice indicates charges billed to the
customer’s account.

Additional Documentation Requirements

This section details additional required documentation. These requirements may vary depending upon the failure
and its repair.
1. Custom Track Service (CTS) Inspection Report – required for all Undercarriage claims, including
Undercarriage Assurance. Information requirements include:
 Machine and/or undercarriage information
 Date of undercarriage installation
 Wear measurements – including percent worn and total hours of remaining use
2. Undercarriage Assurance Enrollment Certificate – required for all Undercarriage Assurance claims.
This document is issued at the time of enrollment. It summarizes the coverage parameters and verifies
enrollment. Information requirements include:
 Summary of the program coverage
 Customer name
 Date of purchase
 Machine and/or undercarriage information
3. S·O·S fluid analysis test results – identifies and/or diagnoses the root cause of a failure. When the
outcome of the analysis applies to a warrantable failure, test results must be kept on file.
4. Dealer Extended Coverage Agreement – validates customer receipt of the product and terms of extended
coverage. The checklist is used to review operation and maintenance information with the customer. A
scanned copy of the signed original must be kept on file. Required information includes:
 Dealer code
 Model
 Customer name and address
 Signatures by both the customer and dealer representative
➤ 5. Pre-delivery / Revisit / Delivery Inspection Reports – The Pre-delivery Inspection Report documents the
as shipped quality of the products to the dealer. The Revisit Inspection and Delivery Inspection Reports are
used after the product has been delivered to the customer and is in operation. Information requirements in
these reports include:
 Dealer work order number
 Checklist for service points, product operation, external visual inspection by the dealer
If these reports have not been downloaded into SIMS, a copy must be kept on file.
These forms are available through the Service Information System (SIS) at https://sis.cat.com
6. Previous Repair Invoice –used to review repair detail associated with a current repair and determine if
Parts Warranty applies. These documents can be in a dealership’s history folder or provided by another
dealer. They must be kept on file for warranty claims involving parts purchased by the customer as part of a
service department repair. Information requirements include:
 Parts
 Labor
 Miscellaneous expenses
 Repair detail
7. Parts Sales Invoice / Receipt - used by the dealership to determine if Parts Warranty applies based on
the date of purchase. This document must be obtained from the customer at the time of repair and kept on
01.03-06 (09/15) 3 ➤ Indicates change.

file for warranty claims involving parts (new or Reman) sold directly through the dealer parts department.
Information requirements include:
 Customer’s name
 Date of sale
 Part number
 Name of the part
This information is required to document the parts replaced in all Certified Rebuilds.
8. Repair vs. Replace Cost Comparison Worksheet – required documentation used to determine the most
economical repair option. This worksheet includes records and calculations for:
 Parts
 Labor
 Miscellaneous expenses
If these reports have not been downloaded into SIMS, a copy must be kept on file.
These forms, titled, “Engine Repair vs. Replace Worksheet” and “Machine Repair vs. Replace Worksheet”
are available on the Global Warranty website at https://warranty.cat.com/wtyforms.
9. Cat ET (Electronic Technician) ECM Report / Download – report showing a histogram of logged active
diagnostic and event codes. Caterpillar requires a Cat ET ECM Report for all truck engine warranty repairs,
and it is recommended for all other applications. If the report has not been downloaded in SIMS, a copy
must be kept on file. For more information, refer to Bulletin 3.01.
10. Engine Nozzle Test Record – used for recording Valve Opening Pressure (VOP), leaks, and spray pattern
information associated with fuel nozzle failures. It is not used for engines with unit injectors.
This worksheet is available through:
 Caterpillar Online Ordering System at https://oos.midlandcorp.com/CAT/
➤ 11. Oil Consumption Test and Daily Log Report – given to the customer to log fuel/oil ratio and used for
initial inspection. Required information includes the following:
 Vehicle/machine identification
 Initial test procedure results
 Daily log of odometer/hour meter readings for fuel and oil additions
The form, number 01-081227, is available through:
Additionally, job aids titled, “Oil Consumption Test Report” and “Oil Consumption Daily Log” are available on
the Global Warranty website at https://warranty.cat.com/en/resources0.html.
Please refer to Bulletin 3.18 for additional details on engine oil consumption.
12. Oil Cooler Test Result –identifies the root cause of the customer complaint and determines the source of
the coolant and oil mixture. A copy of this test is required with all new and Reman oil cooler returns. The test
results are also required in the story section for all warrantable rubber end sheet and brazed oil cooler claims.
This document is a Caterpillar form available through the Caterpillar Special Instruction, “Test Procedure
For Brazed and Rubber End Sheet Oil Cooler,” media number REHS 1758-04. It is also available in SIS at
https://sis.cat.com.
13. SR4/SR4B Generator Rectifier Assembly Troubleshooting Checklist - used to troubleshoot SR4/SR4B
Rectifier Assembly part numbers 290-5563, 290-5564, 290-5565, 290-5566, 290-5567, 298-3647, 298-3648
and 298-3817. The required checklist is available on the Global Warranty website at
https://warranty.cat.com/wtyforms.
14. Failure Analysis Report – verifies a failure was due to a Caterpillar defect in material and/or workmanship.
If the Failure Analysis Report, including a detailed write-up and photos were not downloaded into SIMS, a
copy of this information must be kept on file.

15. Hauling / Transport Invoice – invoice from an outside vendor for charges to haul a machine to the dealer.
Hauling costs are not typically reimbursable, but those qualified for Caterpillar reimbursement must be kept
on file. Information required on the invoice includes:
 Customer name
 Model of machine
 List of charges
 Miles/Kilometers traveled, including the origin and destination locations
18. Towing Invoice – when towing charges are added to a claim, an invoice for the warranty repair related
towing charges must be retained on file.
19. Outside Purchase Invoice - invoice from an outside vendor for parts and/or labor associated with a
repair. The document is required to be retained on file and should include the following information, when
applicable:
 Detailed part(s) list and price
 Total labor hours and price
 Explanation of the work performed
20. Service Charge Invoice – lists processing fees, or “service charges” for emergency parts shipped from
Caterpillar to the dealer. These charges are typically added to the work order and may include a Caterpillar
invoice and internal dealer invoice. This information must be retained on file. Invoice requirements include:
 Shipping order information
 Part numbers
 Service charges
21. Freight Invoice - invoice from an outside carrier (air or surface) for emergency shipment charges. In these
cases, a work order identifier should be given to the carrier to add to the freight invoice and work order.
22. Failed Parts Freight Invoices – invoices from an outside carrier (air or surface) to ship a failed part back to
Caterpillar. Documentation should capture the Send-it-back (SIB), Part Return Request (PRR) number, or
documentation supporting the request from Caterpillar personnel.
23. Travel & Vehicle Expenses – in situations where these expenses are allowed, supporting documentation
must be retained to justify:
 Travel time
 Travel points
 Traveled distance in miles/kilometers
 Daily travel allowances
 Invoices for lodging charges, airfare, tolls, and other travel related expenses
24. Additional Auditable Documentation – documentation for additional claiming requirements must be
available for an audit. Examples include:
 Internal Parts Order
 Internal Order for Supplies (Oil, Welding Rods, etc.,)
 Invoice for Rental Machine
 Invoice for Machine/Engine/Component Transport
 Battery Test Sheet
 Caterpillar Close Field Follow Document
 Parts Invoice from Parts Depot
 Merchandising Programs
 Field Follow Agreements
 Claim Authorizations (e.g. Service Engineer Approved)
This list is not exhaustive and circumstances of the repair could drive other documentation requirements.
01.03-06 (09/15) 5
6 01.03-06 (09/15)
SERVICE
General Guidelines
Transportation and Importation Charges
Transportation and Importation (T&I) charges adjust parts credit from the dealer’s net price to an average landed
cost. The adjustment is dependent on the dealer’s parts pricing terms (e.g. if parts pricing terms are delivered
duty paid - DDP, then no adjustment to a landed cost should needed). T&I charges, when applicable, are
allowed.
Charges include:
• Surface freight
• Non-reimbursable customs duties
• Taxes
• Inland freight to the dealer
The Caterpillar Service Claims System applies T&I charges to parts expenses when pricing information is
available in the Parts Pricing System.
For situations where there is no pricing information available and T&I charges are applicable, utilize the
miscellaneous line MISCTI to claim them (refer to bulletin 1.27). Contact your Parts or Service Operations Rep
for the applicable T&I factor. Examples driving the use of miscellaneous lines for part expenses include:
• Design to Order – DTO
• No Cat part numbers available
The following are not included under T&I charges:
• Emergency charges
• Premium freight
• Special handling charges
For reimbursement practices on the items listed above please consult bulletin 1.02, freight section.
Contact your Parts or Service Operations Representative for further information or with requests to update the
T&I factor.


1
2 01.04-02 (04/14)
SERVICE
General Guidelines
Labor, Travel & Vehicle Rates
Overview
For Caterpillar to correctly reimburse warranty labor expenses, dealers are required to annually report their
warranty labor rates to Caterpillar.
Note: Olympian Warranty Labor Rates and Vocational On-highway Truck Labor Rates are set per contract
agreements, not requested through the Warranty Labor Rate Change Request. Contact your Industry Technical
Representative for additional information.
Labor Rate Requirements

Labor rates must be submitted, approved, and put into effect only once per calendar year, even if the rate is
not changing. Warranty Labor Rate Change Requests must be submitted using the online tool at
https://warrantyadmin.cat.com. The request must include the proposed labor rate and an explanation
justifying the request. The calculations must result from data collected 12 months just prior to the submission
date. The submitter must also identify the Service Operations Representative (SOR) and Caterpillar District
Manager. Once the labor rates are reviewed and approved by both parties, an email confirmation of the
status is sent to the dealer. Concurrently, the request is automatically forwarded to Global Warranty for final
approval and system entry.
Note: All labor rate requests must be received by Global Warranty at least 30 days prior to the proposed effective date.
The effective date of the labor rate is when the Caterpillar Service Claim System begins using the new labor
rates. The new labor rates will be applied to all claims submitted with a repair date on or after the effective date.
Labor rates with an effective date in the previous year will expire December 31 of the current year.
For example, dealer A999 has an effective date of February 14, 2012. The labor rate expires on
December 31, 2013, if a labor rate is not put on file in 2013.
Note: Any exceptions for revising a rate within the same calendar year requires District Manager and Global
Warranty approval.
The dealer is required to keep the completed signed copy of the request form until the labor rate is superseded by a
new approved labor rate. All documentation supporting the source/method used for determining the data submitted in
the labor rate change request must be kept on file and available for review during an audit or the approval process.
Additional instructions for using the online labor rate tool are available on the Resources page of the Global
Warranty website at https://warranty.cat.com/en/resources0.html.


1
Expired Labor Rates

Effective July 1, 2016, if a claim requesting labor, travel, and/or vehicle reimbursement is submitted and the labor
rate corresponding to the claim repair date is expired or not valid, the claim will not be accepted by the system.
When updating expired labor rates, the new labor rate is effective on the date requested or the date entered
into the system, whichever is later. Once the effective date of the new labor rate is approved and entered by
Caterpillar, the expired labor rate is extended to the date of the new labor rate.
Market Based Labor Rates

To maintain consistent labor reimbursement, the labor rate is set by the marketplace based on the rate a
customer is charged in the regular course of business. This rate should reflect the dealer’s posted or advertised
labor rate. Shop supplies and hazardous waste disposal fees should be removed from the posted or advertised
labor rates, as these are calculated separately.
Required Labor Rates

The Labor Rate Tool currently supports the following market-based labor rates:
 Earthmoving (machine)
• Commercial Engine
Other Market Rates
 Truck Engine
• Compact Machines
• Mining
Industrial Engines
 Marine Engines (Prime & Auxiliary Power)
 Electric Power (Includes UPS, Switchgears, Generators, Power Modules)
 Oil and Gas (Petroleum) Engines (Prime & Auxiliary Power)
 Railway Engines (Prime & Auxiliary Power)
3600 Engines (All applications)
ES - EPG Systems Premium
Machines: Earthmoving, Vocational Truck and Compact Machine labor rates are assigned to claims using
product type and model designations. Refer to Table 1 on page 5 for a list of compact machine models. Mining
labor rates are assigned based on the principle work code assigned to the product. Refer to Table 3 on page 6
for a list of the Mining principle work codes.
Engines: Olympian, EPG Premium (ATS, UPS and Switchgear, where applicable) and 3600 Engine labor rates
are assigned to claims using product type and model designations. Refer to Table 2 on page 6. All other engine
market rates, such as Marine, Oil and Gas, etc. are assigned based on the principle work code assigned to the
product. The Commercial Engine rate is used when no other market rate is active.
A dealer is required to submit an Earthmoving rate and a Commercial Rate for each dealer branch that services
Cat products. The other market rates are not required unless the dealership publishes any of the rate types listed
above, then those rates should also be submitted to Caterpillar. The Earthmoving and Commercial Engine rates
should only include the products not represented by one of the other market rates. The Earthmoving rate is used
when no other market rates are active. Rates should be provided for the main store and all branches that apply.
Note: When submitting a Mining rate for the first time, the Earthmoving rate must be recalculated excluding data
to be used for Mining rate calculations. If the Mining rate is added after the Earthmoving rate has been put on
file for the year, a second, recalculated Earthmoving rate will be accepted.
Expanded Cat Mining Products may require special, agreed-upon labor rates documented in contracts. These
situations should not be included in the overall Mining labor rate calculation and do not constitute an overall
Mining labor rate.
2 01.05-19 (01/20)
➤ Definitions and Sample Calculations

The next section of this bulletin defines the various rates, and provides additional information about how they are
calculated. Note: Calculations must result from data collected twelve months just prior to the submission date.
Total Straight Time Revenue

Total Straight Time Revenue is the total external customer revenue for labor minus the revenue differential for
hours charged at an overtime or premium level. The revenue differential is the difference between the normal
labor rate and the overtime or premium labor rate. The dealer’s field rate is not considered a premium level rate
for this calculation, and the difference between the field and shop rates does not need to be subtracted.
Total Straight Time Revenue = Total External Revenue - (OT/PT hours x OT/PT differential)
Note: OT/PT = Overtime/Premium Time
Average Realized Base Labor Rate (Historical or Current Rate)

The Average Realized Base Labor Rate is a revenue calculation provided by the dealer to Caterpillar. The
Base Rate is used to calculate the other rates that will be used by the Caterpillar Service Claim System. It is
calculated by using 12 months of total straight time revenue divided by 12 months of external revenue hours.
Expenses that should be excluded from this revenue calculation are:
• Overtime • Premium Time • Training
• Machine Fabrication • Lube Service • Certified Rebuild
• Preventive Maintenance • Travel • Vehicle (Mileage)
• Hazardous Waste Disposal Fees • Shop Supplies • Third Party Vendor Labor
Average Realized Base Labor Rate = Total Straight Time Revenue

Total External Revenue Labor Hours
Average Realized Percentage

The Average Realized Percentage is the comparison of the Average Realized Base Labor Rate to the dealer’s
posted/advertised customer labor rate represented as a percent. It is calculated by dividing the Average
Realized Base Labor Rate by the Posted Labor Rate.
Average Realized Percentage = Average Realized Base Labor Rate
Average Advertised Rate
Example: Average Realized Base Rate = 85.00
Average Advertised Rate = 100
Average Realized Percentage = 85/100 = 0.85 or 85%
New Average Realized Base Labor Rate (Proposed Rate)

The New Average Realized Base Labor Rate is the dealer’s new posted labor rate times the Average
Realized Percentage. Once calculated this New Base Rate becomes the Average Realized Base Labor Rate,
and will be used for all other labor rate calculations.
New Average Realized Base Labor Rate = Average Realized Percentage x New Advertised Rate
Example: The New Advertised Rate = 110
Average Realized Percentage = 85%
New Average Realized Base Labor Rate = 110 x 0.85 = 93.50

Sell Labor Rate

The Sell Labor Rate consists of the Dealer’s Average Realized Base Labor Rate plus a shop supplies
allowance. A Net Hazardous Waste Disposal fee allowance is also added to the base rate if it is applicable to
the dealership. The Sell Labor Rate is what the Caterpillar Service Claim System will use to reimburse dealers
for warranty labor expenses at the sell rate.
Sell Labor Rate = Average Realized Base Labor Rate + Shop Supply Allowance + Disposal Allowance
Example: New Average Realized Base Labor Rate = 93.50
Shop Supply Allowance = 2.00
Disposal Fee Allowance = 1.22
Sell Labor Rate = 96.72
Cost Labor Rate
The Cost Labor Rate consists of 90% of the Dealer’s Average Realized Base Labor Rate plus a shop supplies
allowance. A Net Hazardous Waste Disposal fee allowance is also added to the base rate if it is applicable to
the dealership. The Cost Labor Rate is what the Caterpillar Service Claim System will use to reimburse dealers
for warranty labor expenses at the cost rate.
Cost Labor Rate = (Average Realized Base Labor Rate x 0.90) + Shop Supplies Allowance + Disposal
Allowance
Example: 90% of Average Realized Base Labor Rate = (0.90 x 93.50) = 84.15
Shop Supplies Allowance = 2.00
Cost Labor Rate = 87.37
Travel Rate
When applicable to the product being serviced, the Travel Rate is used to compensate the dealer for the
Service Technician’s time spent traveling to and from a job site to perform a repair. It is 90% of the Average
Realized Base Labor Rate. Shop supply and Disposal fees are not included in this calculation. The Travel
Rate is multiplied by the hours provided in the claim detail when applicable for a warrantable repair.
Note: When claiming travel and mileage, the two items must be listed separately in the claim detail.
Travel Rate = 90% of Average Realized Base Labor Rate
Vehicle (Mileage/Kilometer) Rate

When applicable to the product being serviced, the Vehicle Rate is used to compensate the dealer for Service
Truck expenses for driving to and from a job site to perform a repair. It is 1.6% for Kilometers and 2.6% for
miles of the Average Realized Base Labor Rate (which includes shop/disposal allowances). The Vehicle Rate
is multiplied by the miles/kilometers provided in the claim detail when applicable for a warrantable repair.
Vehicle (Mileage/Kilometer) Rate = 1.6% (Km) or 2.6% (Mi) of Average Realized Base Labor Rate
Example: 2.6 % of Average Realized Base Labor Rate = (.026 x 93.50) = 2.43
Shop Supply Expense Allowance

Shop supplies are not allowed as an itemized expense on Warranty Claims. A Shop Supply Expense
Allowance will be included in the sell and cost labor rates automatically once the dealer provides the
calculation indicating their expense. Bulletin 1.02 explains what expenses should be considered as shop supplies.
The shop supply expense calculation is the total cost of shop supplies divided by the total dealer service
hours sold (revenue and interdepartmental).
Note: Shop Supplies Expense requests above 2.7% of the Average Realized Base Labor Rate require a
discussion with the Service Operations Rep.
4 01.05-19 (01/20)
Shop Supplies Expense = Total cost of shop supplies

Total dealer service hours sold
(revenue and interdepartmental)
Example: Total Cost of Shop Supplies = 500,000

Total Service Hours = 250,000
Shop Supplies Expense = 500,000 / 250,000 = 2.00 per hour
2.7% of Base Rate = 93.50 x .027 = 2.52
Shop Supplies Allowance = 2.00 (the lesser of the 2.7% max or shop expense)
Net Hazardous Waste Disposal Expense Allowance

Note: Not all dealers will have this expense.
The cost to dispose of hazardous waste is not allowed as an itemized expense on Warranty Claims. When
applicable to the dealership, a Disposal Fee Allowance will automatically be included in the sell and cost labor
rates once the dealer provides the calculation indicating their Net Hazardous Waste Disposal Expense.
The Net Hazardous Waste Disposal Expense is the total disposal fee expense minus the total recovery for
reclamation and this is divided by the total dealer service hours sold (revenue and interdepartmental). The
disposal of hazardous waste materials includes, but is not limited to: lubricants, coolants, solvents, cleaners
and steam bay water. In cases where the waste material is collected and sold as used material, such as oil,
the recovery amounts are to be subtracted from the disposal expenses.
Note: Disposal Expense requests above 1.3% of the Average Realized Base Labor Rate require a discussion
with the Service Operations Rep.
Note: If a Net Hazardous Waste Disposal Expense result is a negative number, then zero will be entered into
the Caterpillar System. Do not adjust the calculation on the worksheet.
Net Hazardous Waste Disposal Expense = (Total disposal fee cost - Total recovery for reclamation)
Example: Net Disposal Fee Cost = (500,000 – 30,000) = 470,000

Net Disposal Expense = 470,000 / 250,000 = 1.88 per hour
1.3% of Base Rate = 93.50 x .013 = 1.22
Disposal Allowance = 1.22 (the lesser of 1.3% max or net disposal expense)
Note: The calculations for the Average Realized Base Labor Rate, the Shop Supplies Expense, and Net
Hazardous Waste Expense must result from data collected from the twelve months just prior to the Labor Rate
submission date. Refer to the example on page 3.
Reference Tables
Table 1
Family
Code Compact Machine Labor Rate Models
7 CWL: 901, 902, 904, 906, 907, 908, 914, IT14
8 CWL: 910
13 SSL: 216, 226, 228, 232, 236, 242, 246, 248, 252, 256, 262, 268, 272
15 MTL: 247, 257, 267, 277, 287, 297 CTL: 279, 289, 299
19 MHE: 301.5, 301.6, 301.8, 302.5, 303, 303.5, 304, 304.5, 305, 305.5, 307, 308
CPP: CB1.7, CB1.8, CB113, CB114, CB 14, CB-22, CB-24, CB-32, CB-34, CB36, CB214, CB224, CB225,
45
CB334, CB335, CBR2.6, CBR2.7, CBR2.8, CC24, CC34, CCR2.4
01.05-19 (01/20) 5
Table 2
Family
Code 3600 Labor Rate Models
19 3600 Engines: 3606, 3608, 3612, 3616, 3618, C280, CG300
Table 3
MINING - MARKET SEGMENT: MN
PWC Name Description
510 Coal-Surface Anthracite (hard coal), bituminous coal and lignite coal mining - surface mining.
511 Coal-Underground Anthracite (hard coal), bituminous coal and lignite coal mining - underground mining.
525 Lead/Zinc - Surface Mining of lead/zinc ore - surface mining.
526 Lead/Zinc - Underground Mining of lead/zinc ore - underground mining.
530 Gold/Silver - Surface Mining of gold/silver ore - surface mining.
531 Gold/Silver - Underground Mining of gold/silver ore - underground mining.
535 Iron - Surface Mining of iron ore - surface mining.
536 Iron - Underground Mining of iron ore - underground mining.
540 Copper - Surface Mining of copper ore - surface mining.
541 Copper - Underground Mining of copper ore - underground mining.
545 Uranium - Surface Mining of uranium, radium and vanadium ores - surface mining.
546 Uranium - Underground Mining of uranium, radium and vanadium ores - underground mining.
Specialized Metals - Metal mining services and mining of metallic ores not elsewhere classified
548
Surface – surface mining.
Specialized Metals - Metal mining services and mining of metallic ores not elsewhere classified
549
Underground - underground mining.
Non-metallic mineral services and mining of peat, dimension stone, clay, ceramic
Non-Metalic Minerals -
570 and refractory minerals, chemical and fertilizer minerals and non-metallic minerals
Surface
not elsewhere classified (excluding fuels) – surface mining.
Non-metallic mineral services and mining of peat, dimension stone, clay, ceramic
Non-Metalic Minerals -
571 and refractory minerals, chemical and fertilizer minerals and non-metallic minerals
Underground
not elsewhere classified (excluding fuels) - underground mining.
Tar Sands and Oil Shale - Overburden removal, extraction and disposal, reclamation and other operations
590
Surface directly related to tar sand/oil shale development - surface mining.
Tar Sands and Oil Shale - Overburden removal, extraction and disposal, reclamation and other operations
591
Underground directly related to tar sand/oil shale development - underground mining.
Industry Rental Code to distinguish unit used in the dealer’s rental fleet for Mining
585 Mining Rent to Rent Fleet
purposes. (Industry Rental code can be used in place of PWC 720, for Sales Type 5 only.)
Industry Rental Code to distinguish unit used in the dealer’s rental store or
586 Mining Rental Sevices independent company for Mining purposes. (Industry Rental code can be used in
place of PWC 710, 740 for all Sales Types except 1.)
6 01.05-19 (01/20)
Caterpillar: Confidential Green Bulletin No. 1.05T
SERVICE
General Guidelines
Labor, Travel & Vehicle Rates
Overview
For Caterpillar to correctly reimburse warranty labor expenses, all second level dealers, including Truck Engine
Parts and Service (TEPS), Industrial Service Distributor (ISD), Marine Engine Parts and Service (MEPS),
Authorized Marine Dealer (AMD), and other Authorized Sales and Service Centers (ASSC) are required to
annually report their warranty labor rates to Caterpillar.
Labor Rate Requirements

Labor rates must be submitted, approved, and put into effect only once per calendar year, even if the rate is not
changing. Warranty Labor Rate Change Requests must be submitted using the online tool at
https://warrantyadmin.cat.com. The request must include the proposed labor rate and an explanation justifying
the request. The calculations must result from data collected 12 months just prior to the submission date. To
complete the form, it must be submitted to the Program Manager at the Cat dealer and the Caterpillar Industry
Service Representative. Once the labor rates are reviewed and approved by both parties, an email confirmation
of the status is sent to the dealer. Concurrently, the request is automatically forwarded to Global Warranty for
final approval and system entry.
Note: All labor rate requests must be received by Global Warranty at least 30 days prior to the proposed effective date.
The effective date of the labor rate is when the Caterpillar Service Claim System begins using the new labor
rates. The new labor rates will be applied to all claims submitted with a repair date on or after the effective date.
Labor rates with an effective date in the previous year will expire December 31 of the current year.
For example, dealer A999 has an effective date of February 14, 2012. The labor rate expires on December
31, 2013, if a labor rate is not put on file in 2013.
Note: Any exceptions for revising a rate within the same calendar year requires District Manager and Global
Warranty approval.
The dealer is required to retain all documentation supporting the source/method used for determining the data
submitted in the labor rate change request. This documentation must be available for review during an audit or
the approval process.
Additional instructions for using the online labor rate tool are available on the Resources page of the Global
Warranty website at https://warranty.cat.com/en/resources0.html.
➤ 01.05-12T (06/16)
https://warranty.cat.com/wtyguide ➤ Indicates change.

1
Bulletin No. 1.05T Caterpillar: Confidential Green
➤ Expired Labor Rates

Effective July 1, 2016, if a claim requesting labor, travel, and/or vehicle reimbursement is submitted and the labor
rate corresponding to the claim repair date is expired or not valid, the claim will not be accepted by the system.
When updating expired labor rates, the new labor rate is effective on the date requested or the date entered
into the system, whichever is later. Once the effective date of the new labor rate is approved and entered by
Caterpillar, the expired labor rate is extended to the date of the new labor rate.
Market Based Labor Rates

To maintain consistent labor reimbursement, the labor rate is set by the marketplace based on the rate a
customer is charged in the regular course of business. This rate should reflect the dealer’s posted or advertised
labor rate. Shop supplies and hazardous waste disposal fees should be removed from the posted or advertised
labor rates, as these are calculated separately.
Americas North TEPS and Worldwide AMD Dealers Only

A minimum of ten (10) revenue invoices must be provided to the Program Manager at the Cat dealer when a
second level dealer is requesting a labor rate change. If the invoice minimum is unable to be met, the Program
Manager at the Cat dealer must submit an exception request to the Caterpillar Industry Service Representative.
Revenue Invoice Requirements:

• Invoices must be dated within 90 days of the labor rate request
• Cat® Engine Serial Number (ESN) must be reflected on the invoice
• If the ESN is not on the invoice, supporting documentation should be provided
• Total number of labor hours billed
• If hours billed are not reflected on the invoice, the requesting dealer is required to provide an internal
accounting invoice that displays the hours billed
• Total number of flat rate hours
• Final labor amount (before taxes)
The Program Manager at the Cat dealer is required to review the invoices to determine if the labor rate change
is supported. If the change is supported, the Program Manager approves the new rate and sends the ASSC
Warranty Labor Rate Change Request Form to the Caterpillar Industry Service Representative for review.
When the labor rate remains the same, the only annual requirement is a completed ASSC Warranty Labor Rate
Change Form with applicable signatures and electronic approvals. The requirement for the revenue invoices is
not needed.
For additional questions, contact the Program Manager at the Cat dealer.

The Labor Rate Tool currently supports the following market-based labor rates:
• Earthmoving (machine)
• Commercial Engine
Other Market Rates
• Truck Engine
• Compact Machines
• Mining*
• Industrial Engines
➤ Indicates change. 2 01.05-12T (06/16)

• Marine Engines (Prime & Auxiliary Power)

• Electric Power (Includes UPS, Switchgears, Generators, Power Modules)
• Oil and Gas (Petroleum) Engines (Prime & Auxiliary Power)
• Railway Engines (Prime & Auxiliary Power)
• 3600 Engines (All applications)
A dealer is required to submit an Earthmoving rate and/or a Commercial Rate for each dealer branch that
services Cat products. The other market rates are not required unless the dealership publishes any of the rate
types listed above, then those rates should also be submitted to Caterpillar. The Earthmoving and Commercial
Engine rates should only include the products not represented by one of the other market rates. The
Earthmoving rate is used when no other market rates are active.
Machines: Earthmoving, Vocational Truck and Compact Machine labor rates are assigned to claims using
product type and model designations. Refer to Table 1 on page 5 for a list of compact machine models. If no
other market rate is active, then the earthmoving rate is used.
Engines: Olympian and 3600 Engine labor rates are assigned to claims using product type and model
designations. Refer to Table 2 on page 5. All other engine market rates, such as Marine, Oil and Gas, etc. are
assigned based on the principle work code assigned to the product. The Commercial Engine rate is used when
no other market rate is active.
Note: It is necessary to inactivate any expired market rates before the default commercial/earthmoving rates can be
applied to the claim. To inactivate a market rate, contact the Program Manager at the Cat dealer for assistance.
Definitions and Sample Calculations

The next section of this bulletin defines the various rates, and provides additional information about how they are
calculated. Note: Calculations must result from data collected twelve months just prior to the submission date.
Posted/Advertised Customer Labor Rate

The Posted or Advertised Customer Labor Rate is the labor rate that the dealership publishes to their
customers. The rate should not include allowances for shop supplies and/or hazardous waste disposal fees.
Travel Rate
When applicable to the product being serviced, the Travel Rate is used to compensate the dealer for the Service
Technician’s time spent traveling to and from a job site to perform a repair. It is 90% of the Average Realized
Base Labor Rate. Shop supply and Disposal fees are not included in this calculation. The Travel Rate is
multiplied by the hours provided in the claim detail when applicable for a warrantable repair.
Travel Rate = 90% of Average Realized Base Labor Rate
Vehicle (Mileage/Kilometer) Rate

When applicable to the product being serviced, the Vehicle Rate is used to compensate the dealer for Service
Truck expenses for driving to and from a job site to perform a repair. It is 1.6% for Kilometers and 2.6% for
miles of the Average Realized Base Labor Rate (which includes shop/disposal allowances). The Vehicle Rate is
multiplied by the miles/kilometers provided in the claim detail when applicable for a warrantable repair.
Vehicle (Mileage/Kilometer) Rate = 1.6% (Km) or 2.6% (Mi) of Average Realized Base Labor Rate
Example: 2.6 % of Average Realized Base Labor Rate = (.026 x 93.50) = 2.43
01.05-12T (06/16) 3
Shop Supply Expense Allowance

Shop supplies are not allowed as an itemized expense on Warranty Claims. The calculated shop supplies
allowance will be included in the sell labor rates automatically.
Bulletin 1.02 explains what expenses should be considered as shop supplies.
The shop supply expense calculation is the total cost of shop supplies divided by the total dealer service hours
sold (revenue and interdepartmental).
Note: The shop supplies expense should not exceed 2.7% of the Posted/Advertised Customer Labor Rate.
Shop Supplies Expense = Total cost of shop supplies

Example: Posted/Advertised Customer Labor Rate = 100

Total Cost of Shop Supplies = 500,000
Total Service Hours = 250,000
Shop Supplies Expense = 500,000 / 250,000 = 2.00 per hour
2.7% of Base Rate = 100 x .027 = 2.70
Shop Supplies Allowance = 2.00 (the lesser of the 2.7% max or shop expense)
Net Hazardous Waste Disposal Expense Allowance

The cost to dispose of hazardous waste is not allowed as an itemized expense on Warranty Claims. The dealer
is allowed to calculate the disposal allowance when applicable to the dealership. This calculated disposal
allowance will be included in the sell labor rates automatically.
The Net Hazardous Waste Disposal Expense is the total disposal fee expense minus the total recovery for
reclamation and this is divided by the total dealer service hours sold (revenue and interdepartmental). The
disposal of hazardous waste materials includes, but is not limited to: lubricants, coolants, solvents, cleaners
and steam bay water. In cases where the waste material is collected and sold as used material, such as oil, the
recovery amounts are to be subtracted from the disposal expenses.
Note: The Disposal Expense should not exceed 1.3% of the Posted/Advertised Customer Labor Rate.
Note: If the Net Hazardous Waste Disposal Expense result is a negative number, then zero will be entered into
the Caterpillar system. Do not adjust the calculation on the worksheet.
Net Waste Disposal Expense = (Total disposal fee cost - Total recovery reclamation)
Example: Net Disposal Fee Cost = (500,000 – 30,000) = 470,000

Net Disposal Expense = 470,000 / 250,000 = 1.88 per hour
1.3% of Base Rate = 100 x .013 = 1.30
Disposal Allowance = 1.30 (the lesser of 1.3% max or net disposal expense)
Note: Calculations for the Labor Rate, Shop Supplies Expense, and Net Hazardous Waste Expense must result
from data collected twelve months just prior to the Labor Rate submission date.
Sell Labor Rate

The Sell Labor Rate is the same as the Posted/Advertised Customer Labor Rate for dealers who do not itemize shop
supply and hazardous waste disposal fees on their customer invoices but include these fees in their labor rates.
For dealers that do itemize shop supplies and hazardous waste fees on their customer invoices, then the Sell
Labor Rate is the Posted/Advertised Customer Labor Rate plus a shop supplies allowance. A Net Hazardous
Waste Disposal fee allowance is also added to the posted rate if it is applicable to the dealership.
4 01.05-12T (06/16)
Sell Labor Rate = Posted/Advertised Customer Labor Rate + Shop Supply Allowance + Disposal Allowance
Example: Dealer that includes shop supplies/disposal fees in Customer labor rate
Posted/Advertised Customer Labor Rate = 103.30
Shop Supply Allowance = 0
Disposal Fee Allowance = 0
Example: Dealer that itemizes shop supplies/disposal fees in Customer Invoice
Posted/Advertised Customer Labor Rate = 100
Shop Supply Allowance = 2.00
Cost Labor Rate

The Cost Labor Rate consists of 90% Post/Advertised Customer Labor Rate plus a shop supplies allowance. A
Net Hazardous Waste Disposal fee allowance is also added to the labor rate if it is applicable to the dealership.
Cost Labor Rate = (Posted/Advertised Customer Labor Rate x 0.90) + Shop Supplies Allowance + Disposal Allowance
Example: 90% of Posted/Advertised Customer Labor Rate = (0.90 x 93.50) = 84.15

Shop Supplies Allowance = 2.00
Cost Labor Rate = 87.37
Reference Tables
Table 1
Family
Code Compact Machine Labor Rate Models
7 CWL: 901, 902, 904, 906, 907, 908, 914, IT14
8 CWL: 910
13 SSL: 216, 226, 228, 232, 236, 242, 246, 248, 252, 256, 262, 268, 272
15 MTL: 247, 257, 267, 277, 287, 297 CTL: 279, 289, 299
19 MHE: 301.5, 301.6, 301.8, 302.5, 303, 303.5, 304, 304.5, 305, 305.5, 307, 308
45 CPP: CB112, CB113, CB114, CB 14, CB-22, CB-24, CB-32, CB-34, CB214, CB224, CB225, CB334, CB335
Table 2
Family
Code 3600 Labor Rate Models
19 3600 Engines: 3606, 3608, 3612, 3616, 3618, C280, CG300
01.05-12T (06/16) 5
SERVICE
General Guidelines
Substitute Group and Part Numbers
Overview
This bulletin covers the use of Substitute Part (SP) numbers and Service Management Control System (SMCS)
Codes for claim submission.
For claim submission:

• Enter the Cat® part number (for the part causing failure) in the “Part Number” field
• Enter the Cat group number (for the group causing failure) in the “Group Number” field
If the Cat part number or Cat group number are not available, the use of either a SP number or SMCS Code may
be required.
Substitute Part Numbers

A list of SP numbers is available in the Job Aid section of the Global Warranty website
at https://warranty.cat.com/en/resources0.html.
A SP number may be used when:

• A Cat part number is not available
• The Cat part number does not follow the standard format
• A bulletin instructs using a SP number
Note: Do not use a SP number to designate a non-serviceable lower-level part. Instead, utilize the serviceable
higher-level part number and include failure information in the Claim Story.
➤ Substitute Group Numbers

An SMCS Code should only be used when:
• A Cat group number is not available
• A bulletin instructs using a specific SMCS Code for a specific type of claim
A list of SMCS Codes is available at https://servicedata.cat.com/Home/SMCSInquiry.


1
2 01.06-03 (07/18)
SERVICE
General Guidelines
Claim Action Reason Codes
Overview
This bulletin describes the claim action / reason codes used by the Caterpillar Service Claim System and
Caterpillar Warranty Analysts. These codes inform the dealer of specific actions and the reason for these
actions on a service claim.
Description
Claim action / reason codes are 3-position codes entered in the “Reason Code” field on the claim header and on
individual expense detail lines. Claim action / reason codes entered on a service claim are listed on the Service
Claim Settlement Notice. Caterpillar issues Settlement Notices for each submitted service claim, except for
cancelled claims that have a claim action / reason code of SDD or KKK.
Claim action / reason codes consist of two codes:
 The first position, called the Claim Action Code, is always a letter and identifies the claim action taken
such as cancelled, adjusted, partially allowed, non-allowed, corrected or returned.
 The last two positions, called the Reason Code, indicate the reason for taking action.
Claim Action Codes

A Adjustment
C Corrected by Caterpillar Warranty Analyst
D Dealer Error
I System Non-Allowed
K Cancelled – Claim will Not be Reimbursed
L Adjusted by System
N Non-allowed
R Returned to Dealer by Analyst
S Cancelled / Returned by System
U Internal Adjustment

1
➤
Claim Action Reason
Description
Code Code
I, K, S 01 Serial Number Incorrect or Invalid
S 02 Option “A” Violation
S 03 Option “A” Dealers Cannot Claim Low Dollar Misc. Parts
S 04 Repair Dealer Code Not Authorized to Submit Claim for Production
I, K, S 05 Duplicate Claim Number
I 06 Cancelled - Labor / Trav / Veh Rate is Expired or Missing in MDLR
S 07 Problem with Related Serial Number on Transmission Claim
C, I, N, R, S 08 Delivery Date Missing or Incorrect
C, D, I, N, R 09 Parts Warranty Start Date Missing or Incorrect
U 10 Internal Accounting Adjustment
C, N, R 11 Initial Dealer Code or Claim Number Missing or Wrong
C, I, N, R, S 12 Failure Date Missing or Incorrect
C, N, R 14 Product SMU Incorrect
C, N, R 15 Part SMU Incorrect
A, C, D, I, K, N, R 16 Incorrect Part Causing Failure
A, C, D, I, R 17 PD / DC Code Incorrect
C, D, I, K, N, R 18 Group Number Incorrect
L 1S Parts Do Not Agree with Service Letter
R 20 Related Equipment Make, Cab Type or Serial Number Missing or Incorrect
I, N, R 22 Service Approver or Goodwill Code Missing / Incorrect
I, K, N, R 24 Insufficient Claim Story Information
I, K, N 25 Unit or Part Beyond Age or SMU Limit
L 2S Labor Greater than Service Letter Repair Hours of X
A, I, K, N 30 Part Not Covered by Cat Warranty
A, I, K, N 31 Part Not Covered by EPP or ESC Program
I, K, N 37 More than One Failure / Repair Claimed
N 38 Serial Number Not Included in Service Letter
N 39 Service Letter Terminated Prior to Repair/Failure
L 3S Travel / Vehicle / Misc. Exceed Service Letter Limit
A, I, K, N 40 Duplicate Claim for this Repair
S 41 No On-Line Return Selected
A, C, D, I, K, N, R 48 See Claim Story for Explanation
L 4S ADJ PTS / LBR % - Based on Age or HR / MI Per Service Letter
A, C, I, N 54 Claim Adjusted to Content of PIP / PSP
K, N 55 Processed Per District Goodwill
A 59 Failure Result of Foreign Material or Debris
C, R 60 Repair Date Before Delivery Date – Correct to 00NIS00
2 01.07-22 (12/19)
A, K, N 62 Failure Result of OEM or Installer Workmanship

A 63 Part Causing Failure is within Specifications
L 64 No TRG Segment Found
L 65 No Detail Records Exist
L 66 Duplicate Record Exists
R 67 Test Results Not Documented as Required
N 68 Parts are Not Related to Failure / Repair
A, K, N, R 69 Caterpillar Material / Workmanship Defect Not Established
N 71 Part / Assembly / Kit Not Justified
N 73 Part Quantity Excessive or Duplicated
N 74 Parts are Reusable or Can be Salvaged
N 75 Yellowmark Part
A, I, L 79 Parts Adjusted to Most Economical Repair Option
N 80 Resultant Damage Parts Not Explained in Story
I, N 89 Labor Not Caterpillar Responsibility
L, N 90 Labor Exceeds Established / Published Labor Guide Times
N 91 Labor Not Justified
N 92 Labor Duplicated or Excessive
I, K, N 93 Pre-delivery Allowance Does Not Apply
C 94 Labor Rate Adjusted
N 97 Not Salvage Labor
N 98 Travel / Vehicle Expense Excessive / Not Justified
L A1 Accept Special Quoted EPP Premium / Adjust Premium to Registration Fee
L A3 Age / Hours Service Limits Override
L A8 See Claim Story for Details
L A9 Bypass Registration Grief
N B2 Submit Under PIP / PSP Refer to EPP / ESC in Claim Story
I, R, N C1 Component Serial Number Required
K,R C2 Customer Screening - Validate Customer Information
A D1 Returned Part Incomplete, Damaged or Cannot be Tested
A D2 Proof of Part Return Delivery Provided
S DD Claim Cancelled On-Line by Dealership - Settlement Notice Not Created
S D8 Claim Cancelled On-Line by Dealership - Settlement Notice Created
S DL Line Cancelled On-Line by Dealership
R, S E1 System Generated Action Code
K E2 At Dealer Request
N E9 Evidence of Continued Operation, Neglect or Abuse
C EW Processed to Emissions Warranty
N F3 Claimed Hours Exceed Actual Repair Hours

R, N GW Please Submit a Ticket to the Warranty Service Desk for Assistance

L K3 Replacement Engine Priced at Dealer Net
C, N, R K8 Incorrect Labor Code (Component, Job, Modifier, or Qty.)
K KK Claim or Line Cancelled by Caterpillar
R L5 Actual Repair Hours Missing or Incorrect
N M2 Exact Location Not in Claim Story as Required
R M5 Need Sales Record Information Updated Before Claim Processing
N P2 ECM Report Not Uploaded to SIMS as Required
P RO Pro-Rata Parts & Misc. Exp. (33.3%) Mechanically Calculates %
N S3 Tow Charges Excessive or Not Towed to Nearest Auth. Dealer
I, N S4 Travel, Mileage, Transport, or Towing Not for Caterpillar
I, N S5 Miscellaneous Items or Freight are Not for Caterpillar
I, R S7 Miscellaneous Item Does Not Match Standardized Description
N S8 Items Exceed Refill Capacity
L, N T1 Late Claim, See Warranty Bulletin 1.13
N T3 Expense Not Supported by Claim Comments
N T5 Cat Analyst Request was Not Provided in Resubmitted Claim
I, N, S T8 Shop Supplies Included in Labor Rate Calculation
4 01.07-22 (12/19)
SERVICE
General Guidelines
Problem Description Codes
NOTE:
This bulletin describes the proper use of Problem Description Codes for warranty claims, with the
exception of Defective Parts Stock. To submit a Defective Parts Stock warranty claim, reference
the special claiming instructions and the separate list of Problem Description Codes in Bulletin
4.08, found on the Global Warranty website at https://warranty.cat.com/wtyguide.
Overview
Problem Description Codes are used on warranty claims to describe a failure/defect, or indicate a specific type
of claim.
If possible, the Problem Description Code used on claims should agree with the code used in the Service
Information Management System (SIMS) Report. However, if another Problem Description Code is more
descriptive of the failure, it should be used on the claim.
The charts on the following pages list the two-digit Problem Description Codes used to describe the failure or
defect.
Note: The chart on page 2 is organized by category. The chart on pages 3 and 4 is organized by the two-digit
Problem Description Code. System default codes are listed in bold print and highlighted in yellow.
To submit a claim, the appropriate two-digit Problem Description Code must be entered in the the “Description
Code” field of the claim heading.


1
Software Defect (not an update) 37

Problem Description Code Table
Low current / voltage 39
(Organized by Category)
Failed Starting Load Test 41
Numeric Hesitates 43
Description
Code
Erratic Shifts 44
Structural 10
Hard To Engage or Disengage 45
Broken 10
Battery Discharges Too Quickly
Cracked 11 46
(Battery Powered Vehicle Only)
Bent or Twisted 12
Difficult or No Braking 47
Collapsed / Sagged 14
Difficult or No Steering 48
Burst, Split, or Ruptured 15
Noisy 52
Threads/Splines Stripped or Failed 21
Overheating 53
Separated 23
Vibration, Chatters, or Shakes 54
Stretched or Elongated 24
Smokes Excessively 55
Cut 25
Plugged, or Restricted 57
Bruised 26
Loose or Slips 58
Weld failed 27
Unable To Adjust 60
Damaged terminals 34
Oil Consumption Excessive 63
Surface 02
Drifts 64
Pitted or Spalled 01
Pressure Too High 65
Scratched or Nicked 02
Pressure Too Low 66
Rusted or Corroded 03
Excessive Blowby 68
Plating Problem 04
No Pressure 69
Rough or Uneven 05
Difficult To Start 70
Material Transfer 07
Wrong Cycle Time 71
Condensation 09
Low Power 72
Worn 13
Rough Operation 73
Seizes or Sticks 51
Overspeeds 77
Seats Poorly 59
Concealed Damage 78
Debris or Foreign Material 62
Emissions 97
Casting & Forging Defect Defect Undefined - See Story 99
90
(Porous, Inclusions, Sand Holes)
Incorrect Adjustment 91
Leaks 17
Unsatisfactory Paint 06
Leaks Air/Gases 16
Burned, Wrinkled, Blistered, Peeling 06
Leaks Oil/Lubricant 17
Incorrect Fluid Level 29
Leaks Water 18
Leaks Fuel 19 Wrong Fluid 30
Slobbers 67 Non-Component Codes
76
Incorrect Factory Packing
Factory Assembly 81
Operation Omitted 81 Loose/Missing Fasteners 22
Too Big or Too Long 84 Unsatisfactory Weld 83
Too Small or Too Short 85 Wrong/missing Part, Tool, Literature 82
Brittle, Too Hard 86 Contaminated System CS
Too Soft 87 Factory Requested Work
Goodwill 56
Out of Round, Run Out Excessive 88
Before Failure PIP/PSP
Improper Lubrication 89
Supplemental claim
Improperly Machined 92 98
Contested Supplemental
Incorrectly Positioned/Assembled 93 Supplemental claim
Damaged At or Prior To Assembly 95 Additions / Corrections 20
System Malfunction 42 Supplemental
Shorted 31 Interference, Insufficient Clearance 79
Open Circuit 32 Product Support Program
96
After-Failure PIP/PSP
Dead Cell 33
Product Improvement Program ➤
Overcharging 35 NA
Inspected (PIP only)
Undercharging 36
Manual review 40

Problem Description Code Table

(Organized by Numeric Code)
Numeric Code Description Category
01 Pitted or Spalled
Surface
02
Scratched or Nicked
Surface
03 Rusted or Corroded
04 Plating Problem
05 Rough or Uneven
Unsatisfactory Paint
06 Unsatisfactory Paint
Burned, Wrinkled, Blistered, Peeling
07 Material Transfer
Surface
09 Condensation
Structural
10
Broken
Structural
11 Cracked
12 Bent or Twisted
13 Worn Surface
14 Collapsed / Sagged
Structural
15 Burst, Split, or Ruptured
16 Leaks Air/Gases
Leaks
17
Leaks Oil/Lubricant Leaks
18 Leaks Water
19 Leaks Fuel
Supplemental claim
20 Supplemental Report
Additions / Corrections / Supplemental
21 Threads/Splines Stripped or Failed Structural
22 Loose/Missing Fasteners Loose/Missing Fasteners
23 Separated
24 Stretched or Elongated
25 Cut Structural
26 Bruised
27 Weld failed
29 Incorrect Fluid Level Incorrect Fluid Level
30 Wrong Fluid Wrong Fluid
31 Shorted
32 Open Circuit System malfunction
33 Dead Cell
34 Damaged terminals Structural
35 Overcharging
36 Undercharging
System malfunction
37 Software Defect (not an update)
39 Low current/voltage
40 Manual review PSP After Failure
41 Failed Starting Load Test
42 System Malfunction
43 Hesitates
44 Erratic Shifts
System malfunction
45 Hard To Engage or Disengage
46 Battery Discharges Too Quickly (Battery Powered Vehicle Only)
47 Difficult or No Braking
48 Difficult or No Steering
01.08-02 (08/15) 3
51 Seizes or Sticks Surface

52 Noisy
53 Overheating
System malfunction
54 Vibration, Chatters, or Shakes
55 Smokes Excessively
Factory Requested Work
Factory Requested Work
56 Goodwill
Before Failure
Before Failure PIP/PSP
57 Plugged, or Restricted
System malfunction
58 Loose or Slips
59 Seats Poorly Surface
60 Unable To Adjust System malfunction
62 Debris or Foreign Material Surface
63 Oil Consumption Excessive
64 Drifts
System malfunction
65 Pressure Too High
66 Pressure Too Low
67 Slobbers Leaks
68 Excessive Blowby
69 No Pressure
70 Difficult To Start
System malfunction
71 Wrong Cycle Time
72 Low Power
73 Rough Operation
Non-Component Codes
76 Non-Component Codes
Incorrect Factory Packing
77 Overspeeds
System malfunction
78 Concealed Damage
79 Interference, Insufficient Clearance Interference
Factory Assembly
81 Factory assembly
Operation Omitted
82 Wrong/missing Part, Tool, Literature Wrong/missing part
83 Unsatisfactory Weld Unsatisfactory Weld
84 Too Big or Too Long
85 Too Small or Too Short
86 Brittle, Too Hard
Factory assembly
87 Too Soft
88 Out of Round, Run Out Excessive
89 Improper Lubrication
90 Casting & Forging Defect (Porous, Inclusions, Sand Holes) Surface
91 Incorrect Adjustment Incorrect Adjustment
92 Improperly Machined
93 Incorrectly Positioned/Assembled Factory assembly
95 Damaged At or Prior To Assembly
Product Support Program
96 Product Support Program
After-Failure PIP/PSP
97 Emissions System malfunction
Supplemental claim
98 Supplemental Report
Contested Supplemental
99 Defect Undefined - See Story System malfunction
CS Contaminated System Contaminated System
➤ Product Improvement Program

NA PIP Inspected (PIP only)
Inspected (PIP only)

SERVICE
General Guidelines
Labor Reporting SMCS Codes
Overview
Service Management Control System (SMCS) Codes are used to segment the labor portion of the Work Order
and detail labor expenses on service claims. SMCS codes provide consistency in describing labor segments and
operations involved in repairs.
A labor reporting SMCS code is made up of at least two, three, or four codes, as illustrated below.
1107–010 – the first four digits is the component code and the following three digits is the job code
1107–010–9RI – the next set of two or three digits is a modifier code
1107–010–9RI–H – the last digit is a quantity code
SMCS Code Definitions

Component Code – is the first four-digit alphanumeric code that identifies the name of the component or part.
Job Code - is a three-digit numeric code following the job code and identifies the operation performed on the
component.
Modifier Code - two-digit or three-digit alphanumeric code used to further describe the component or job code. Note: Not
all SMCS codes have a modifier code. If the SMCS code has a modifier code, it will directly follow the job code.
Quantity Code - is a single-digit alphabetic code used to define the component quantity. Not all SMCS codes have a
quantity code. Note: If the SMCS code has both a modifier code and a quantity code, then the quantity code follows the
modifier code. If the SMCS code has a quantity code with no modifier code, a blank space is left in the modifier code
position and is followed by the quantity code. Reference the following example: 1107–010– –S
➤
Using SMCS Codes on Claims
To claim for labor, SMCS component codes listed on the SMCS code website at:
https://servicedata.cat.com/Home/SMCSInquiry must be used only on the “Detail Expense” section of the claim.
Note: Do not use job codes 700 thru 899, as these are intended for dealer use only and not for data entry to
Caterpillar.


1
➤ Labor Repair Guide

Time Requirement Guidelines (TRG) for Machines, Commercial Engines, On-Highway Truck Engines and
Vocational Trucks, are available at https://dealer.cat.com/en/ps/service/trg.html.
If no Machine Labor Guideline (MLG) information is available, then refer to:
https://servicedata.cat.com/Reporting for Equipment Repair Labor Guideline (ERLG) information.
Labor hours claimed in excess of the guidelines must be explained in the claim story.

SERVICE
General Guidelines
➤ Determining Order of and Types of Coverage
➤ Overview
This bulletin explains how:
• To determine the order of coverage
• To determine the appropriate coverage for various types of products
• To identify specific codes used to differentiate types of product applications and sales methods
• The product sale method affects reimbursement practices
• To validate coverage
➤ Order of Coverage
The purpose of this section is to provide greater detail about how coverage is assigned and the rationale for the
order in which it is structured.
Illustrated in the Order of Coverage chart within this bulletin is an overview of the major types of coverage
available from Caterpillar (it does not include all of the options available). Because the Order of Coverage affects
the repair, repair invoicing and how a claim is filed, dealers should follow this Order of Coverage to increase
the likelihood of claims being processed correctly the first time. Each type of coverage has different policies,
requirements, and other details that are documented within bulletins. The terms provided for the customer
should follow the terms and conditions outlined in warranty statements and any applicable programs/contracts.
1. Service Letters
Product Improvement Programs (PIPs) and Product Support Programs (PSPs) known as Service Letters are
programs issued by Caterpillar to address known issues. Service Letters should be claimed first and the terms
and conditions are listed in a standardized format found in Service Information System (SIS). Service Letters
must be performed as instructed and the claim is processed per the service letter. Refer to Bulletin 1.16 for
more information about Service Letters and visit the Job Aid section of the Global Warranty website at https://
warranty.cat.com/en/resources0.html.


1
2. Emissions Coverage
In the absence of applicable Service Letters, Emissions warranty is next in the Order of Coverage. Emissions
Coverage is region specific, based on governmental regulations that require a manufacturer to have products
that conform to certain emissions specifications. Emissions coverage is also based on application and parts
involved and typically provides longer coverage periods beyond standard product warranty. For more detailed
information on emissions warranty please refer to bulletins 7.01 and 7.02.
3. Standard Product/Machine/Engine Warranty

When Service Letters and Emissions Coverage do not apply, the next Order of Coverage is standard product
warranty. Use the delivery date as the date coverage begins. Standard product warranty follows product
warranty statements offered to the customer. Warranty terms and reimbursement as well as time periods may
differ based on product type and application. Please refer to bulletin 2.01, 3.01 and other applicable standard
warranty bulletins in the Global Warranty Guide for more details.
4. Extended Coverage
The Extended Coverage options are next in the Order of Coverage and include first year labor, EPP/ESC, or
used EPP/ESC coverage.
Year 1- labor only is machine specific and provides labor coverage during the standard warranty period when
purchased through Caterpillar Financial Insurance Services.
EPP/ESC provides coverage beyond standard warranty. It is applied after the applicable standard or parts
warranty (based on covered components). EPP applies to machines and has various age, hour, and coverage
levels available. ESC applies to engine products and has various age, hour, and coverage levels available
based on Industry and application. Refer to the Caterpillar Financial Insurance Services ESC contracts and the
EPP Bulletins for additional details.
5. Parts Warranty
Parts warranty covers parts purchased through a dealer’s parts department or service department for service
repairs. For more information on parts warranty, please refer to bulletin 4.01.
6. Work Tool Coverage

For work tools, variation in coverage is dependent on application and if the tool is serialized. Please refer
to bulletin 2.02 and 4.03 for more details. (Bulletin 2.02 provides additional resources to help determine the
applicable work tool coverage as well as whether work tool or standard machine warranty applies.)
7. Merchandising/Assurance Program
In some cases, Caterpillar provides additional reimbursement as part of a merchandising or assurance program.
These programs often have defined start and end points, may cover limited components and products, and may
also have limitations based on regions. These programs are the last option to apply. Refer to the respective
bulletins in the Merchandising/Assurance section.
For additional information, refer to the Global Warranty Service Guide located on the Global Warranty website or
submit a service request to the Warranty Service Desk.

➤ Order of Coverage
Product Identification
Dealers must identify the product, its function, and its application to determine the applicable coverage for a
service repair. The following information explains how this information is determined.
Model Series – alphabetic letter at the end of the model designation used to differentiate manufacturing
changes of a machine/engine model
Sales Application Code – alphabetic letter used to determine applicable reimbursement terms by identifying
the function an engine, gen-set, transmission, or branded marine control
Principle Work Code – three digit number used to identify the product’s application
Distribution Code / Owner Class – single-digit numeric or alphabetic code used to identify the sales method
for a serialized product and drives reimbursement terms. This code is referred to as “Owner Class” in the
Service Information Management System (SIMS).
Caterpillar sells products through the following main distribution methods:
• Directly to Cat dealers
• Directly to another manufacturer, called an Original Equipment Manufacturer (OEM)
• Directly to governmental agencies
Note: When retail-sold Electric Power or Industrial engines change territories and the repairing dealer differs
from the selling dealer, OEM reimbursement terms may apply. In this case, the repairing dealer should request
a distribution code change to “W” by submitting a ticket to the Warranty Service Desk.
For a list of Sales Application Codes, Principle Work Codes and Distribution Codes / Owner Classes, visit
https://dealer.cat.com/en/home.html. Click on the following links: Business Tools > Business Measurements > Sales,
PINS, & Industry Reporting > Sales Reporting of Prime Product or visit
https://dealer.cat.com/en/bt/reporting/sales-pins-industry-reporting/c/prime-product-sales-reporting.html.

Bulletin No. 1.11 Caterpillar: Confidential Green Caterpillar: Confidential Green Bulletin No. 1.11
Looking Up Assigned Coverage

When a serialized product is sold to an end user, the dealer sales department enters sales information into the
Caterpillar sales reporting system or SCORE. Caterpillar uses the codes previously mentioned and the delivery
dates to determine applicable coverage terms. Coverages may be viewed using SIMSi at https://sims.cat.com or
Claimsi at https://claims.cat.com by entering the Prime Product serial number and selecting “Product Coverage.”
In order for coverage to be assigned, the product must have one of the following:
• Processed via SCORE which captures necessary sales details
• Populated delivery date (for products not in service, claim requirements are listed in specific bulletins)
• Assigned special coverage such as field follow units
• Enrolled in an applicable program such as Extended Service Coverage (ESC)
Note:
• Service Letters are applied based on publish date, serial numbers, SMU readings, and regions
• Emission coverage is applicable to North America and based on part-causing failure. Refer to warranty
bulletins 7.01/7.02 for additional details.

01.11-15 (03/17) 4
4 01.11-15 (03/17)
SERVICE
General Guidelines
Product Delivery
Overview
Once a product is sold, the sale must be reported. Please refer to Dealer.cat.com for more information on sales
reporting of a prime product.
Once a product is delivered to the first customer and is ready to be put into service, the delivery date must be
reported. It should be recorded on the Engine/Product Delivery Service Record (DSR). Electronic signatures
and/or electronic files may be used. See the Submitting Delivery Service Record Information section below.
The Delivery Date is the date product warranty period begins.
Machines
The delivery date for a new machine is when the unit is physically transported from the dealer’s place of business
to the customer’s place of business or job site for the purpose of putting it into service. This applies to machines
sold to dealer rental fleets, machines on lease and machines sold to brokers.
Once a delivery date (warranty start date) has been established, warranty will continue without interruption for
the duration of the warranty period. Changes to the warranty period must be approved by the Product Manager,
or designee. Approved changes to the length of the warranty period or duration will be managed using coverage
start dates in lieu of changing the delivery date. The delivery date should remain the same as the date on the
original signed DSR.
Machines in dealer inventory are eligible for pre-delivery repair expense reimbursement before a delivery date is
established. See Warranty Bulletin 2.01. The Service Meter Unit (SMU) limit for a pre-delivery repair is 100 hours.
Pre-delivery claims for product with SMU greater than 100 hours will be reimbursed per standard warranty policy,
i.e. labor will not be reimbursed.
Rental Fleet - Warranty Administration - Warranty on products in the rental fleet should be administered by the
dealer’s service department in the same way as units delivered to any other initial user.
Rental Fleet - Products Sold After Use in Rental Fleet – When a unit from the dealer’s rental fleet is sold, a
used machine sale should be reported to Caterpillar via SIMSi. The warranty period, as determined from the
original Delivery Service Record, is not affected by such change of ownership. Caterpillar will provide warranty


1
coverage for the remainder of the warranty period based on the delivery date established when the unit was sold
to the rental fleet. Any warranty extension beyond original warranty period provided at the time of sale is the
responsibility of the selling dealer.
Commercial Engines
The delivery date for a new commercial engine is when the unit is physically transported from the dealer’s place
of business to the user’s place of business or job site for the purpose of putting it into service. This date also
applies to engines put into service in dealer rental fleets or engines sold to a broker. Some exceptions apply, see
below. Selling to an OEM does not constitute delivery to the first customer; therefore the delivery date should not
be entered for a sale to an OEM.
Engines in dealer inventory are eligible for pre-delivery repair expense reimbursement before a delivery date is
established. See Warranty Bulletin 3.01. The Service Meter Unit (SMU) limit for a pre-delivery repair is 200 hours.
Pre-delivery claims for product with SMU greater than 200 hours will be reimbursed per standard warranty policy.
Some exceptions apply, see below.
Any documented information received from the customer that has not previously been entered into SIMSi should
be entered by the servicing dealer. If there is a discrepancy between the customer-supplied information and
SIMSi, the discrepancy should be resolved at the time of repair.
Engines – Engines, Generator Sets, Well Stimulation and Well Service Pumps in Oil and Gas Applications
Work Application Code B12 (propulsion)- The warranty start date for engines or Caterpillar Packaged Products
that are used to propel a Drill Rig or Drill Ship begins when the propulsion engines are started for the purpose of
moving the rig or ship from the drill rig yard.
Note: If a dealer is contacted to work on an engine or packaged product that is used to propel a Drill Rig
or Drill Ship, it will be necessary to determine when the propulsion engines were started in the drill rig yard,
complete the Delivery Service Inspection and use this date as the delivery date for the product.
• For engines on drill rigs in the Self-Propelled category, the warranty period starts when the drill rig or drill ship
first begins using the propulsion system or obtains 1,000 Total SMU hours, whichever comes first.
• The date this engine obtains 1,000 hours should be entered into SIMSi as the Delivery Date.
Work Application Code B12 and B13 (non-propulsion)- The warranty start date for non-propulsion engines
or Caterpillar Packaged Products used on a Drill Rig or Drill Ship begins when the first of the following occurs:
• The engines or Packaged Product on which the engines are installed are moved and set up at their first
revenue hole.
• The engines or Packaged Product have Delivery Service Inspections completed on them by a Cat dealer.
Note: If a dealer is contacted to work on a non-propulsion engine or Packaged Product on a drill rig site and it
has not been reported as being delivered, the dealer is to determine when the rig was moved to the site, complete
the Delivery Service Inspection and use this date as the delivery date of the product.
• For engines on Non-Propelled Offshore or Land Rigs, the warranty period starts when the rig begins operation
on the first revenue hole or obtains 1,000 Total SMU hours, whichever comes first.
• The date this engine obtains 1,000 hours should be entered into SIMSi as the Delivery Date.
Work Application Code B11, B20, B30, B40, B50 and B13 Auxiliary Engines used on other than a Drill Rig
application - The warranty start date for engines and Caterpillar Packaged Products used in other Oil and Gas
applications starts when the first of the following occurs:
• The engines or Packaged Product on which the engines are installed are delivered to the first customer and
are moved and set up at their first revenue-producing site.
• The engines or Packaged Product have Delivery Service Inspections completed on them by a Cat dealer.’
• An engine on the product obtains 200 or more hours of operation after it is delivered to the first user.
2 01.12-06 (03/16)
Note: When a dealer is contacted to work on a product with an engine that has in excess of 200 hours on it and
the product has not been reported as delivered in the Caterpillar ACF2M data system, the dealer is to estimate
when the engine received 200 hours and complete the Delivery Service Inspection and DSR, and enter the
delivery date into SIMSi..
Engines - Transferred EPG Units
For Electric Power Generation Products that have been transferred from the first customer to a second customer
prior to being started by an authorized Cat dealer, warranty will start upon delivery to the first customer.
Caterpillar reserves the right to make exceptions to this policy based on proper storage procedures, adherence
to application/installation guidelines, proper start-up and confidence in the selling entity’s willingness and ability
to ensure customer satisfaction for non-warrantable failures.
Branded Marine Controls (Cat brand nameplate installed)
The warranty term begins at delivery date, in-service date or commission date to the first customer. For new
branded marine controls (Cat brand nameplate installed) that are delivered in conjunction with a new Caterpillar
marine engine, the delivery date (warranty start) is intended to be the same as for the new engine.
Vocational On-Highway Trucks

The start date of the warranty period for Vocational On-Highway trucks begins when the product is delivered to the
first user. In addition to SCORE, the delivering dealer must also enter the miles/km information into the Delivery
Units field on the Customer Name and Address Screen in SIMSi.
For product delivered and not put into immediate service, the vocational on-highway truck may be operated on a
limited basis for up to 6,500 miles/10,461 km. Once the truck reaches 6,500 miles /10,461 km of operation, a Delivery
Service Record form must be completed by the dealer and reported to Caterpillar. Vocational On-Highway Trucks
reaching the above hour limitations must be placed into service to the dealer using the Caterpillar Sales Reporting
System, SCORE. Dealers may elect to sell the product as new and utilize Rental with Purchase option Sale Type 3
to SCORE the product, and then utilize Convert To Final Sale when the product is sold to the end customer. Products
sold as new must receive the full Caterpillar Standard Warranty; Caterpillar will only participate for the remainder of
warranty left from the original Delivery Date (unless a Delivery Date Change Request is approved).
Documentation to validate when a product reached/exceeded the hour/mi/km limitation is required. For dealers
that fail to provide documentation, Caterpillar will utilize a formula to calculate a delivery date based upon current
product hours/mi/km and enter that date into the Caterpillar systems. The formulas are as follows:
• On-Highway Vehicle Mid-Range Engines (3116, 3126, 3208) - 250 miles (400km) for each day of service
since the delivery date to the initial user.
• On-Highway Vehicle Heavy Duty Engines (3176, C-9, C10, C-12, C-15, C-16, 3306, 3406, etc.) - 400 miles
(640km) for each day of service since the delivery date to the initial user.
Additionally, the delivering dealer should enter the miles/km/hours information into the Delivery Units field on the
Customer Name and Address Screen in SIMSi. .
These actions by the dealer will start the warranty period on the truck.
Submitting Delivery Service Record Information

The Delivery Service Record form is used to document the date of product delivery to the first customer for
starting the warranty period. The document needs to be signed by the customer to begin warranty coverage. If
the unit is a rental, the dealership signs the form. The following are the 2 options dealers have for submitting the
Delivery Service Record form information to Caterpillar:
• By electronically entering the information into Caterpillar’s sales reporting system (SCORE),
or
• By electronically entering the information into SIMSi.
Dealers must retain on file a copy of the Delivery Service Record for verification, if requested by Caterpillar.
01.12-06 (03/16) 3
The Engine/Product Delivery Service Record form can be used for Engines and Engine Products such as Gensets,
UPS, ATS, Switchgear and On-Highway Transmissions to notify Caterpillar of engine delivery and provide
information for proper administration of warranty to the engine user. Form 01- 83995 is found on the Service
Information System (SIS) at https://sis.cat.com under Service Forms. This form is to be completed by the delivering
Dealer and reported promptly to Caterpillar.
The Machine Delivery Service Record, Form 01- 085314, is found on SIS under Service Forms and is used to
notify Caterpillar of machine delivery and applicable attachments and/or work tools.
Editing Delivery Service Record Information in SIMSi

Please refer to the Delivery Date Job Aid in the Resources section of the warranty.cat.com website.
4 01.12-06 (03/16)
SERVICE
General Guidelines
Claim Types and

Time Limits For Submitting Service Claims
Overview
This bulletin explains claim types, time limits, and the late claim exception process for Caterpillar Standard
Warranty, Extended Service Coverage (EPP/ESC), and Service Letters*.
*Some exceptions may apply, such as JLG, Olympian, etc.
Note: Caterpillar Standard Warranty terms will apply to Cat® Branded Telehandlers Manufactured by JLG sold or
delivered on or after January 1, 2014.
Returned Claims
Warranty analysts return claims to the dealer when additional information and/or corrections are required. Claims
may be returned for a variety of reasons, including missing or inaccurate information in the following fields of the
claim header/control section:
• Part Causing Failure
• Group number
• Part SMU (Hours/Miles/Kilometers)
• Product SMU (Hours/Miles/Kilometers)
• Parts Start Date
Note: Claims may also be returned for other reasons at the discretion of the warranty analyst.
Once the claim is corrected and/or additional documentation is attached, it must be resubmitted to Caterpillar for
final processing.
Dealers have 14 days from date of return to correct and resubmit the claim.
Claims not resubmitted within the 14-day time period are automatically cancelled by the system, and the
following rules apply:
• A new claim may be submitted for a cancelled original/supplemental claim, as long as it is within 60
days of the last day of labor.


1
• A new contested claim may be submitted for a cancelled contested claim, as long as it is submitted
within 30 days of last settlement.
Supplemental Claims
After a Service Claim Settlement Notice has been issued on an original claim, omitted (PD 20) or non-allowed
expenses (PD 98) may be submitted for reconsideration on a supplemental claim. Supplemental claims cannot
duplicate expenses reimbursed on the original claim.
There are two types of supplemental claims, which are identified by the problem description code:
• Contested Supplemental Claims (PD 98) - are used to contest non-allowed claims or non-allowed
expenses on the original claim In these cases, the claim “Control” page should be updated with the
dealer claim number and a “98” should be entered in the Description Code field. No additional changes
should be made to the “Control” page for a supplemental (PD 98) claim.
Supplemental (PD 98) claims are filed to contest the previous settlement and may include changes
in the claim story and/or references to additional documentation in SIMSi, including ECM downloads,
invoices, service images, etc. Information that should not be added to the claim includes previously
unclaimed items and/or corrections for items previously filed incorrectly.
• Additions / Corrections Supplementals (PD 20) - are used to correct expenses or to submit additional
information omitted in the original claim. In these cases, the claim “Control” page should be updated
with the dealer claim number and a “20” should be entered in the Description Code field. No additional
changes should be made to the “Control” page for a supplemental (PD 20) claim.
New claims must be filed when one of the following conditions apply:
• The “Control” page requires changes from the original claim other than the dealer claim number and PD code
• Claims are linked to cancelled or returned claims exceeding 14 days in the Grief-Hold File
Cancelled Claims
Cancelled claims are claims that have been voided and cannot be contested. Even though there was no monetary
transaction between Caterpillar and the dealer, a copy of the cancelled claim remains in the Caterpillar Service
Claim System.
Caterpillar or the dealer may cancel a claim in the following ways:
• Dealer Request - A dealer may request a claim to be cancelled due to an incomplete/incorrect claim.
• Warranty Analyst - A warranty analyst may cancel a claim if information cannot be fully evaluated to
continue processing.
• System Process - The Caterpillar Service Claims System cancels a claim when the following conditions apply:
• Specific information does not meet the system edit guidelines to process. For example: an
incorrect serial number.
• A returned claim exceeds the 14-day dealer processing limit in the online Grief-Hold File.
Supplemental claims (PD 20 or 98) associated with cancelled claims are not accepted by the Caterpillar claims
system. Therefore, for further claim action a new claim with a new claim number must be submitted. All claim field
data must be re-entered, making corrections or additions as necessary, and the original dealer claim number from
the canceled claim must not be re-used.
Time Limits
Caterpillar must receive service claims and addition/correction supplemental claims within 60 days of the repair
date (last day of labor) on the claim. Caterpillar must receive contested supplemental claims within 30 days of the
settlement notice date of the original claim. Late claims are not accepted unless prior authorization is given. Claims
are not accepted for a repair outside of 365 days.
2 01.13-17 (08/18)
Service Claims Time Limits

Region Claim Type Time Limit
Service claims & addition/correction supplemental claims 60 days*
World Wide Dealers*** Contested supplemental claims 30 days
Returned claims 14 days
* Parts Return Request (PRR) claim (freight charges only) must be filed within 60 days from the date of
return/shipment of the part(s), per Bulletin 4.02. Any associated claim(s) involving a PRR remains under
standard claim time limits.
➤ Time Limits for Australia / New Zealand Dealers

***For Australia/New Zealand dealers, Caterpillar must receive service claims and addition/correction supplemental
claims within 30 days of the repair date (last day of labor) on the claim in the ANZP region. This applies to
Caterpillar dealers and second-level dealers in the Australia/New Zealand region.
Region Claim Type Time Limit

Australia / New Zealand Dealers*** Service & Supplemental Claims 30 days
➤ Late Claim Exceptions

Authorized late claim exceptions only allow the claim to bypass the time limit rule in the Caterpillar Service Claims
System. The claim is processed according to the information contained within the claim.
To request a late claim exception, dealers should contact the following:
• For Vocational On-Highway Truck standard warranty claims, refer to Bulletin 6.01. For Vocational
On-Highway Truck emissions claims, refer to Bulletin 6.03.
• For Cat Financial Insurance Services claims (EPP/ESC), enter KZ0 (zero) in the Service Approver Code
field of the claim and authorization code LATEEPPESC in the first character positions of the findings/
comment field.
• For all other Caterpillar warranty claim exceptions, please contact the Product Support Operations
Representative (PSOR).

4 01.13-17 (08/18)
SERVICE
General Guidelines
Caterpillar Owned Product
Overview
Caterpillar owned products are not covered by any warranty. These products include but are not limited to:
• Field-follow
• Loan units
• Demonstration units at Caterpillar Demonstration Centers
• Caterpillar Mining Solutions owned products (such as Command for Hauling) that may be installed on
customer owned products
• Cat Financial Operating Lease for Dealer Rental Fleets
• Products at the Product Distribution Centers
Before making any repairs to Caterpillar owned products, dealers must obtain approval from the Caterpillar Group
that owns the product. A sticker may be attached to the product indicating the Caterpillar department to contact for
authorization.
Dealer Reimbursement
Dealer reimbursement will be handled by a revenue invoice or a factory authorized service claim, based on the
instructions from the authorizing Caterpillar department.
All pertinent information about the repair must be kept on file. This includes the purpose of the repair and the name
and phone number of the Caterpillar person authorizing the repair.
Notes:
• For Field Follow, submit claims to the Caterpillar Service Claims System.
• For products under the Cat Financial Operating Lease Program for Dealer Rental Fleets, submit claims to
the Caterpillar Service Claims System. Products under this program have a “remedial rights” period that
mirrors standard factory warranty. This period begins with the operating lease date.


1
2 01.14-02 (04/14)
SERVICE
General Guidelines
Repair vs. Replacement
Overview
The following guidelines are used to determine whether to repair or replace parts, serialized components, and/or prime
products with new or Reman options.
Most Economical Repair

Dealers are to perform the most economical option when determining to repair or replace parts, serialized components,
and/or prime products.
Repair – Individual parts should be repaired when the following conditions apply:
• The repair is expected to restore the product to its operating condition just prior to failure.
• The option to repair is less costly than replacing the product with a new or Reman part.
Replacement – Parts and assembled or serialized components should be replaced when it is less costly than the option
to repair.
When individual parts of an assembly are not serviced (e.g. fuel injection nozzles, oil cooler cores, starting motors, charging
alternators, water pumps, etc.), the complete assembly should be replaced with a Reman assembled component.
Repair vs. Replace Cost Comparison - Repair vs. Replace Forms should be used as a guide when making repair
or replacement decisions and may be required when submitting certain types of warranty claims. They must also be
kept on file with other repair documentation at the dealership and made available to Caterpillar upon request. Forms
for engines and machines are available at https://warranty.cat.com/wtyforms. In all cases, use applicable warranty
reimbursement rates in repair vs. replace comparison calculations. For engines, include Time Requirement Guide
(TRG) labor times in the calculation. For machines, include the appropriate labor guidelines, whether it is Machine
Labor Guidelines or Equipment Repair Labor Guidelines (ERLGs). Time Requirement Guidelines may be found at
https://dealer.cat.com/en/ps/service/trg.html.
Note: An example of a completed engine Repair vs. Replace worksheet may be reviewed in the Job Aid section of the
Global Warranty website at https://warranty.cat.com/en/resources0.html.
➤ Expanded Mining Products - Caterpillar typically prescribes that dealers are to determine and execute the most
economical repair to resolve defects covered under terms of Caterpillar warranty. The typical outcome of most economical
repair is one at the lowest serviceable level.


1
For an extended period of time the repair process may be very different for many components of Expanded Cat® Mining
Product models (excluding MT Family Trucks). Overtime, service parts, special tooling, repair information, etc. will be
made available to Cat dealers to the support most economical repair.
If Caterpillar has not made serviceable parts available and provided specific component repair instructions via SIS, it is
possible that significant repairs will need to be made by Caterpillar or the component supplier/manufacturer.
In these cases:
• If specific instructions are not available via SIS, contact Caterpillar DSN for repair process instructions before
beginning disassembly of any component beyond correction of leaks.
• Replacement rather than repair of the component may be required. Reimbursement of allowable expenses will
be in alignment with the replace vs. repair instructions provided via DSN process.
• If the DSN was contacted, include the DSN ticket number in the story of resulting warranty claims.
Failure to comply with this special requirement may result in denial of claims for warranty reimbursement or debit of
previously settled claims.
Note that the DSN does not authorize warranty; repair instructions are for the purpose of restoring product functionality.
Prime Product Commercial Engine Replacement

The following outlines the unique claim field information and other required steps when a prime product commercial
engine is replaced with a new prime product during standard warranty.
• Explanation of the defect in Caterpillar material or workmanship and resultant damaged parts must be detailed in
the claim story.
• List the name of the Caterpillar Representative that authorized the replacement and reason for the replacement
in the claim story.
• A completed Repair vs. Replace worksheet must be attached to the claim in SIMSi. This worksheet is used instead
of the detail page.
• Commercial engines must be priced at Dealer Net (D/N) on the Repair vs. Replace worksheet. Caterpillar
merchandising programs, discounts, freight charges, T&I, taxes and other costs are not allowed.
• Include the appropriate fees and credits associated with NERO (New Engine Replacement Order) engines and/
or generators.
• Submit one miscellaneous expense line using OTHER as the code.
• Create a SIMSi ticket for the failed prime product and the new prime product describing the transfer of serial
numbers (i.e.: BCK01234: “replaced by BCK43210” & BCK43210: “replaces BCK01234”).
• Failed prime products must be returned to Caterpillar as a core or scrapped per warranty guidelines. The serial
number will be removed from the system to prevent warranty claims from being submitted.
For additional assistance on prime product commercial engine replacement, contact the NERO coordinator for the
appropriate industry or the Caterpillar Tech Rep.
NERO Handling Fee (Americas North Only)

If Caterpillar supplies a complete new prime product to fulfill a warranty obligation, repairing dealers may claim a $200.00
handling charge. Include the $200.00 handling charge in the claim for other reimbursable expenses as a miscellaneous
line item using code “HANDLI” found in Bulletin 1.27.
If Caterpillar requests a dealer to supply a replacement prime product to another dealer at their acquisition cost, the
supplying dealer may claim a $200.00 handling charge as a miscellaneous line item using code “HANDLI” found in
Bulletin 1.27. File a claim against the failed prime product serial number and include the name of the repairing dealer,
shipped to address, and supplied prime product serial number in the claim story.
Cylinder Packs, Piston Rings and Rod Bearings

If replacing 2 of the 4 major components of a cylinder pack, the most economical repair must be used. The four major
components include the piston, liner, connecting rod, and piston rings.

If the piston rings have not failed, are not contingently damaged, or removed from the piston, they may be reused. The
piston rings may be reinstalled in the same liner (heavy-duty) or reinstalled in the same cylinder (medium duty) from which
they were removed.
Rod bearings may be reused if there is no contamination of the lube system and the bearing was removed for inspection
or when removing a cylinder pack.
The following applies for contaminated lube systems:
• Coolant or fuel contamination, which occurred over a day or more, are considered continued operation and are
not reimbursable.
• Heavy and fast contamination in which a customer would not have reasonable opportunity to take action is
reimbursable and must be justified in the claim story.
• Metal contamination of bearings is reimbursable.
• When a connecting rod or complete cylinder pack is replaced, a new rod bearing is reimbursable.
Usage of Reman
A Reman part / component must be used when it is determined that a Reman part / component is available and it is the
most economical means of repair. When required, a complete Reman major component must always be used to satisfy
Reman product warranty. In countries where Reman part usage is restricted, it is acceptable to use New Parts. The
Caterpillar Reman product group validates approved countries with this exception.
Reman Major Component Claiming Practices

The following claim field information is required for all major component standard or extended coverage claims involving:
• Repair of a Reman component, or
• Replacing a failed new or Reman component with a Reman component.
Major component categories include:
• Engines
• Generators
• Transmissions
• Torque Converters
• Steering Clutch & Brake Groups
• Final Drive or Wheel Groups
Product ID / Serial Number
• For machines and engines (Prime Product) - enter the serial number
• Reman engine (Prime Product) – enter the Reman serial number
• If component is installed in competitive equipment – enter 99Z00015
Related Equipment (Machine claims only)
• OEM / Make - leave this field blank
• Cab Type – enter the letters “RM” indicating “Reman”
• Model / Serial Number – enter the Reman component serial number
Product Hr/Mi/Km (Engines/Generators) - For a customer-purchased Reman engine/generator, enter the number of
hours/miles/kilometers on the Reman engine/generator, not the total vehicle numbers.
Customer Credit % (Engines) - Enter 100 for Parts and number entered for Labor as follows: 0 for industrial
engines or 100 for marine engines and TEPS Dealers/AMDs sold Reman engines.
Claim Story: For situations when a new serialized, non-serialized or a Reman major component was used instead of a
more economical repair, the dealer must provide justification in the claim story. When applicable, the Caterpillar contact
name must also be included. Examples that may qualify for such consideration include: Low product age/hours/miles/
kilometers, excessive downtime, and/or unavailability of repair parts and/or Reman units.
01.15-07 (05/16) 3
Claim Story (Engines): If the Reman engine was sold into an industrial application by a TEPS dealer or into a marine
application by either a Cat dealer or an AMD, include the sales method in the Claim Story in order to receive the
appropriate warranty coverage.
Required Documentation: Completed Repair vs. Replace Cost Comparison Worksheet and Caterpillar Invoice.
NOTE (All Products): When a major component is replaced with a Reman replacement component the dealer must:
• Create a SIMS entry noting the Reman replacement component serial number.
• Update the product configuration screen in SIMS with the Reman replacement component serial number.
4 01.15-07 (05/16)
SERVICE
General Guidelines
Service Letters
Overview
Product Improvement Programs (PIPs) and Product Support Programs (PSPs) are programs issued by Caterpillar
through Service Letters. The terms and conditions of such programs are listed in a standardized format found in
Service Information System (SIS). Service Letters should not be copied or provided to customers as these documents
are intended for dealer internal use only.
Note: Containment PSPs identified with program numbers PS6xxxx and PS9xxxx are not covered by this bulletin.
Contact your Caterpillar Tech Rep for assistance.
Visit the Job Aid section of the Global Warranty website at https://warranty.cat.com/en/resources0.html for additional
information on Service Letters including the followings topics:
• Service Letter Reference Numbers
• Service Letter Term Definitions
• Dealer PIP Completion Responsibility
• Dealer Inability to Complete a Safety or Priority PIP Rework (Customer refusal, performed by customer, not
applicable, location unknown, or product out of service)
• Owner Notification of Safety and Priority PIPs
• Reporting PIP / PSP Completion in SIMS
• Dealer Training and Preparation for PIP Repairs
• Service Letter Process Map
PIPs are mandatory programs issued to repair or replace parts or assembled components. The three types of
PIPs include:
• Safety PIPs
• Priority PIPs
• Parts Stock or Dealer Tool PIPs
Caterpillar or the Cat dealer sends a notice of the product problem to the customer/end user for Safety and Priority PIPs.
Safety PIPs are programs established to eliminate a suspected safety hazard. Dealers must give Safety PIPs
immediate attention by performing the PIP repair as soon as possible. Safety PIPs do not have a termination date
and are valid indefinitely.


1
Priority PIPs are programs established to eliminate future potentially costly repairs and/or meet regulatory
requirements. A Priority PIP has a Completion Date and a Termination Date.
• Completion Date - For all Priority PIPs, (except Parts Stock/Dealer Tool PIPs) the completion date is the last
day of the month, six (6) months after the issue date of the Service Letter. If a dealer starts a Priority PIP on or
before the completion date, Caterpillar reimburses the dealer for the parts and labor specified in the Priority PIP
Service Letter. Additionally, Caterpillar reimburses the dealer for justified resultant damage parts and labor.
• Termination Date - For all Priority PIPs, (except Parts Stock/Dealer Tool PIPs) the termination date is last
day of the month, twelve (12) months after the issue date of the Service Letter. If a dealer starts a Priority PIP
after the completion date, but on or before the termination date, Caterpillar’s reimbursement to the dealer is
limited to the parts and labor specified in the Priority PIP Service Letter. Reimbursement does not include
resultant damage.
Parts Stock / Dealer Tool PIPs are programs established to remove suspected improper parts stock or
dealer tool stock from a dealer’s parts inventory. Service Letters for Parts Stock and Dealer Tool PIPs instruct
dealers to scrap, salvage, or return the parts or tools to Caterpillar.
• Termination Date - For all Parts Stock and Dealer Tool PIPs, the termination date is the last day of the
month, three (3) months after the issue date of the Service Letter.
TEPS Dealers / AMDs cannot submit Parts Stock / Dealer Tool PIPs. They are reimbursed for recalled parts
or tools by returning the affected parts or tools to the Cat dealer. Parts Stock/Dealer Tool PIPs involving salvage
labor are handled in the same manner. The Cat dealer is reimbursed for the exchanged parts or tools or salvage
labor by submitting a Parts Stock/Dealer Tool PIP claim.
PSPs are programs providing dealers and customers support for known product problems. The two types of
PSPs include:
• Before or After Failure PSPs
• After Failure Only PSPs
PSPs may provide partial repair expense participation by Caterpillar, as the customer received a portion of the
intended product value. In such cases, the remainder of the PSP repair costs is shared between the dealer and
the customer, as indicated in the Service Letter. The dealer is required to perform the PSP and file a claim for
reimbursement consideration. This does not include containment PSPs with PS6 or PS9 program numbers.
Before or After Failure PSPs allow dealers to perform the PSP repair prior to a failure of the identified
PSP problem, or at the time a failure occurs due to the PSP problem. Completion of before failure repairs is
based on dealer assessment of impact and requirements of specific customers. Before failure repairs are to be
performed when determined the repair is necessary.
After Failure Only PSPs allow dealers to only perform the PSP repair caused by the identified PSP problem
once a failure has occurred.
Repeating PIP / PSP Repair

If a PIP / PSP repair fails due to a Caterpillar defect in material or workmanship, a repeat repair must be claimed
as indicated in the Service Letter if both conditions apply:
• Service Letter has not expired; and
• Product is within the product age and hour range of the PIP / PSP.
In such cases, a PIP / PSP Service Claim should be filed using the PIP / PSP Reference Number and adding
a description code of “96” to identify the after failure repair. Justification for repeating the PIP / PSP must be
included in the claim story.
Service Letter Content

Service Letter Date - the date the Service Letter was issued is located on the first page in the upper right
hand corner directly below the orange-red stripe. The specific program can only be applied to repairs that have a
repair date that is on or after the Service Letter Date. Caterpillar will not announce its intention to issue a service
2 01.16-15 (02/18)
letter or authorize repairs in advance of a service letter program being released.
Affected Product (not applicable for Parts Stock & Dealer Tool PIPs) - list of the models and
serial numbers of the affected product. If a product serial number is not listed, then it is not covered by the Service Letter.
Parts Needed - lists the parts needed and authorized for replacement. If a failure has occurred, there may be
additional parts claimed due to resultant damage.
• New parts listed in the Service Letter are not to be substituted with Reman parts. Reman parts may be used
only if included in the Parts Needed list or to repair after failure Resultant Damage that is not part of the
specified Service Letter repair.
• In countries where use of Reman parts is prohibited, it is acceptable to use New Parts instead of the listed
Reman parts.
• Fluids specified by part number (packaged quantity) in the Parts Needed list may be substituted by use of
appropriate bulk packaged fluid and claimed as a miscellaneous item using appropriate miscellaneous ex-
pense codes. Reference Bulletin 1.27.
Dealer Expense Reimbursement

Service Letters provide a prescribed repair action addressing a known product problem. Parts and labor
reimbursement for the prescribed repair is limited to the maximum listed in the “Service Letter Allowance”
section. Additional parts and labor not listed, but required to correct the justified resultant damage after a
failure, are reimbursable. Other available coverages such as Equipment Protection Plans (EPP) and Extended
Service Coverages (ESC) may provide reimbursement of allowable dealer/customer expenses.
Reimbursement expenses are reimbursed per the Service Letter.
• Caterpillar participation in PIPs is 100% of allowable expenses as outlined in the Service Letter.
• Caterpillar participation in PSPs may be 100% of allowable expenses as outlined in the Service Letter based
on age/hours; or may be prorated to a lower Caterpillar participation. The percentage of Caterpillar participa-
tion in the “Service Claims Allowance” section applies to all parts and labor allowed.
Parts
Only parts listed in the “Parts Needed” section are reimbursable for the prescribed repair.
Labor
The labor allowance in the “Service Claim Allowances” section of the Service Letter is the maximum established repair
time to complete all work for the prescribed repair including time to inspect, test, diagnose, remove, disassemble,
clean, assemble, install and salvage parts. Labor associated to the prescribed repair beyond the allowance is not
reimbursable.
• If the actual labor hours to perform a PIP repair are less than the Service Letter labor allowance, the full labor
allowance listed in the Service Letter may be claimed.
• If the actual labor hours to perform a PSP repair are less than the Service Letter labor allowance, only the
actual labor hours may be claimed.
Resultant Damage
Additional Cat® parts and labor required to repair resultant damage after a failure are reimbursable under the
Service Letter if justified in the claim story. This excludes Priority PIP repairs started after the Completion Date.
Miscellaneous Expenses listed in the “Service Letter Allowance” section are reimbursed at 100% of the
justified amount up to the maximum listed. Other miscellaneous expenses that are not listed are subject to PSP
proration. Reference note on page 9.
Application of Other Coverages

All Service Letter repairs must be claimed against the PIP/PSP; even if the product has additional extended coverage.
These additional coverages do not apply to before failure repairs.
01.16-15 (02/18) 3
PIP Performed After-Failure: Reasonable parts and labor expense required to repair after failure Resultant
Damage for Priority PIP repairs that are started after the Completion Date is reimbursable.
PSPs Performed After-Failure (prorated Cat participation)

Parts and labor for the amount of dealer/customer participation listed in the “Service Claim Allowances” section for
the prescribed repair (the remainder of proration not covered by Cat under Service Letter) is reimbursable at vari-
ous rates established by the specific additional coverage. Additionally, the same percentage of dealer/customer
participation in reasonable parts and labor expenses required to repair justified after failure resultant damage is
also reimbursable. The applicable EPP/ESC coverage will reimburse any customer responsibility pro-ration if the
failure is due to a covered component. Additional information to support the additional parts and labor above the
Service Letter must be justified in the claim story. Applicable PSPs must be performed and claimed in order to
receive consideration for available EPP or ESC coverage that may be applied to the prorated customer portion of
the PSP “Service Letter Allowance” section.
PSPs Performed After-Failure (no prorated Cat participation)

All resultant damaged parts and labor are reimbursed by the Service Letter when justified in the claim story. Other
coverages do not apply.
Claiming Practices for Other Coverages

• Coverage Type - Leave blank.
• Description Code - Enter “40”
• Claim Story - In addition to the normal claim story information required for PIP/PSPs performed after failure,
the first line must state “Request includes additional reimbursement under a specific additional coverage”. List
the specific applicable coverage in the claim story.
Reimbursement Tables
Global Machine Policy..................................................................................................................................... Page 5
Vocational On-Higway Truck Policy................................................................................................................. Page 6
Global Engine Policy....................................................................................................................................... Page 7
Global TEPS / MEPS / AMD / ISD Policy................................................................................................ Pages 8 & 9
Claim Field Information Tables

Claim Field Information for PIPs (Safety and Priority)................................................................................... Page 10
Claim Field Information for PIPs – Parts Stock, Dealer Service Tools and Cat Shop Supplies .................... Page 11
Claim Field Information for PSPs................................................................................................................... Page 12
Claiming Practices for PIPs/PSPs that also include Parts Stock Action........................................................ Page 13
Caterpillar Claim System – Validation Messages for Service Letters

Table for Caterpillar Claim System – Validation Messages for Service Letters ........................................... Page 14
4 01.16-15 (02/18)
➤
Global Machine Policy
Machine PIPs Machine PSPs
Parts Stock/Dealer Tool
D/N + 10% D/N + 10%
Parts
Sell labor rate, when provided in SL Sell labor rate, when provided in SL
Labor
Not allowed Not allowed
Service Items Unusable
Std Wty Parts = D/N: D/N + 10%, per Std Wty Parts = D/N: D/N + 10%, per
SL allowance SL allowance percentage
Parts
Std Wty Parts = M: M, per SL Std Wty Parts = M: M, Per SL
allowance allowance percentage
If repair started on or before SL Reimbursable if repair is after failure,
Parts: Resultant Damage
completion date per SL allowance percentage
D/N, only if made unusable due to PIP- D/N, only if made unusable due to PSP-
Service Items
related failure related failure, per SL part allowance
(Claim on Misc Line)
percentage
Sell labor rate, when provided in SL Sell labor rate, when provided in SL, up
Labor
to SL allowance
If repair started on or before SL Reasonable labor is reimbursable at
Labor: Resultant Damage completion date, reasonable labor is Sell labor rate if repair is after failure,
reimbursable at Sell labor rate per SL allowance percentage
Parts Salvage Labor Sell labor rate, if justified Sell labor rate, if justified
Travel rate & vehicle rate - only if Travel rate & vehicle rate, only if provided
TT&M
justified in SL
Meals & Lodging At Cost - only if justified Not reimbursable
Parts Service Charges Reimbursable Reimbursable
At Cost - only if after failure and part Not reimbursable
Emergency Freight
is from unassigned parts Distribution
Charges
Center
If less than travel expenses, at Cost - At Cost, only if provided in SL
Towing/Hauling Costs
only if justified
Shop Supplies Same as parts (above), only if listed in SL Same as parts (above), only if listed in SL
At Cost - only if justified At Cost, less proration percent - only if
Outside Repair Expense
justified

➤
Vocational On-Higway Truck Policy
Vocational On-Highway Truck Vocational On-Highway Truck
PIPs PSPs
Parts Stock/Dealer Tool Parts M M
Parts Stock/Dealer Tool Labor Sell labor rate, when provided in SL Sell labor rate, when provided in SL
Parts Stock/Dealer Tool Ser-
vice Items Unusable
Parts M:M, per SL allowance M:M, per SL allowance percentage
If repair started on or before SL Reimbursable if repair is after

Parts: Resultant Damage
completion date failure, per SL allowance percentage
D/N, only if made unusable due
Service Items D/N, only if made unusable due to
to PSP-related failure, per SL part
(Claim on Misc Line) PIP-related failure
allowance percentage
Sell labor rate, when provided In SL,
Labor Sell labor rate, when provided in SL
up to SL allowance
If repair started on or before SL Reasonable labor is reimbursable

Labor: Resultant Damage completion date, reasonable labor is at Sell labor rate if repair is after
reimbursable at Sell labor rate failure, per SL allowance percentage
1
Travel rate & vehicle rate - only if Travel rate & vehicle rate, only if
TT&M
justified provided in SL
Meals & Lodging At Cost - only if justified Not reimbursable
At Cost - only if after failure and part
Emergency Freight Charges is from unassigned Parts Distribution Not reimbursable
Center
Engine failures: invoice cost allowed
only If necessary during standard
If less than travel expenses, at Cost - waranty period on after-failure repairs.
only if justified
All other failures: at Cost, if provided
in S/L.
Shop Supplies M, only if listed in SL M, only if listed in SL
At Cost, less proration percent -
Outside Repair Expense At Cost - only if justified
only if justified

➤
Global Engine Policy
Engine PIPs Engine PSPs
D/N + 10% D/N + 10%
Parts
Sell labor rate, when provided in SL Sell labor rate, when provided in SL
Labor
Cost - Only if made due to PIP repair Cost - only if made due to PSP repair
Std Wty Parts < D/N+10%:
Std Wty Parts < D/N+10%:
D/N + 10%, per SL allowance
D/N + 10%, per SL allowance
percentage
Std Wty Parts = D/N+15%:
Std Wty Parts = D/N+15%:
(Amer. North) M, per SL allowance
(Amer. North) M, per SL allowance
Parts (ROW) D/N + 15%, per SL allowance
(ROW) D/N + 15%, per SL allowance
Std Wty Parts = M: M, per SL
Std Wty Parts = M: M, Per SL allowance
allowance
percentage
Std Wty Parts = 90% M: 90% M, per
Std Wty Parts = 90% M: 90% M, per SL
SL allowance percentage
Parts: If repair started on or before SL Reimbursable if repair is after failure,
Resultant Damaged completion date repair per SL allowance percentage
D/N, only if made unusable due to PSP-
Service Items D/N, only if made unusable due to
related failure, per SL part allowance
percentage
Sell labor rate, when provided in SL, up
Labor Sell labor rate, when provided in SL
to SL allowance
If repair started on or before SL Reasonable labor is reimbursable at Sell
Labor: Resultant Damage completion date, reasonable labor is labor rate, if repair is after failure, per SL
reimbursable at Sell labor rate allowance percentage
Travel rate & vehicle rate - allowed only if
Travel rate & vehicle rate1 - only if
TT&M necessary during normal warranty period or
justified
when provided in SL
At Cost - if justified during normal warranty
Meals & Lodging At Cost - only if justified
period on after-failure repairs
Emergency Freight
is from unassigned Parts Distribution Not reimbursable
Charges
Center
On-highway engines: invoice cost
If less than travel expenses, at Cost - allowed only if necessary during standard
Towing/Hauling Costs warranty period on after-failure repairs
only if justified
All other engines: at Cost, if provided in SL

At Cost, less proration percent - only if
justified

➤
Global TEPS / MEPS / AMD / ISD Policy
Engine PIPs Engine PSPs
Return parts or tools to Cat distributor Return parts or tools to Cat distributor
Parts
Labor
TEPS: Fleet Owner Net (FOND), per
TEPS: Fleet Owner Net (FOND) SL allowance percentage
Parts
MEPS / AMD / ISD: M MEPS / AMD / ISD: M, per SL
Parts: If repair started on or before SL completion Reimbursable if repair is after failure

Resultant Damaged date repair, per SL allowance percentage
At Cost, only if made unusable due

Service Items At Cost, only if made unusable due to
to PSP-related failure, per SL part
Approved Sell labor rate, when provided Approved Sell labor rate, when provided
Labor
in SL in SL, up to SL allowance
If repair started on or before SL Reasonable labor is reimbursable at
Labor: Resultant Damage completion date reasonable labor is Sell labor rate if repair is after failure,
reimbursable at Sell labor rate per SL allowance percentage
Parts Salvage Labor Not allowed Not allowed
Travel rate & vehicle rate - allowed only
Travel rate & vehicle rate1 - only if
TT&M if necessary during normal warranty
justified
period or when provided in SL
At Cost - if justified during normal warranty
Meals & Lodging At Cost - only if justified
period on after-failure repairs
Emergency Freight
is from unassigned Parts Distribution Not reimbursable
Charges
Center
On-highway engines: invoice cost
allowed only if necessary during
If less than travel expenses, at Cost - standard warranty period on after-failure
only if justified repairs
All other engines: at Cost, if provided
in SL
At Cost, less proration percent - only if
justified

Global Engine & Global TEPS / MEPS / AMD / ISD Policy

Footnote
1 Safety & Priority PIP Service Letter repairs to mobile (units that can be driven or easily transported) engine
product such as on-highway truck, industrial, mobile Ag, are expected to be performed in a dealer shop.
Exceptions to this expectation include the following.
 After failure when unit is:
 Inoperable and travel cost is less than cost of towing/hauling to nearest dealer shop
 Before failure when one or more of the following conditions exist:
 Caterpillar has recommended units be taken out of service until repair is made
 To perform Safety related repairs on units that are temporarily non-mobile
For these exceptions, all claims requesting TT&M reimbursement must include explanation why repair was not
made in dealer shop along with adequate to/from destination detail to validate time and distance. Dealer must
keep documentation on file to support audit.
Safety & Priority PIP Service Letter repairs to non-mobile engine product such as stationary EPG, Marine, Oil
and Gas may include TT&M for before or after failure repairs when the cost is less than the cost of towing/
hauling the unit to nearest dealer shop. All claims for TT&M must include adequate to/from destination detail
to validate time and distance.
01.16-15 (02/18) 9
Claim Field Information for PIPs (Safety & Priority)

Claim Field Required Information
Product ID/Serial Product serial number
Number
Product Usage Product service hours
Part Causing Failure PIP reference number
Description Code 56 – Before failure
96 – After failure
40 – Manual review. Enter when claim story explains the repair was completed
after and started prior to Termination Date. Note: Claims in excess of Service Letter
criteria are automatically sent to manual review and do not require 40.
NA - Does not apply - Inspected
Group Number 7751
Findings/Comments Service Letter date - publish date
For example: S/L dated 22Aug13
Labor Expense Lines For PIPs providing labor hour reimbursement, labor hours should be claimed in
accordance with the following:
• Qty - when dealer’s actual repair time is:
• Less than hours listed in the S/L, enter the labor hours allowed in the PIP.
• Equal or greater than hours listed in S/L, enter the total labor hours
listed in the Service Letter for Caterpillar Participation on the first labor line
and claim resultant damage labor hours (After-Failure only) on additional
reasonable labor lines using proper Comp and Job codes. Resultant
damage labor time should be broken down to show that labor differs from
the labor time covered in the service letter.
• Comp - enter 7751 for service letter labor line or appropriate Comp code for
resultant damage labor lines.
• Job - enter 001 for service letter labor line or appropriate Job code for resultant
damage labor lines.
Claim Story A claim story is not required to substantiate a PIP claim, except when claiming for the
repair expenses listed below. In such cases, the claim story must contain the listed
information for the applicable expense(s).
• Resultant Damage – identify the resultant damaged parts and labor and provide
explanation
• Service items – if made unusable due to the PIP covered failure, provide
explanation
• Parts service charges – list corresponding parts invoice numbers for emergency
orders
• Overtime labor – explain why extra labor is needed
• Meals and lodging – provide justification why this was needed
• Freight charges – explain reason charges are being claimed
• Towing / Hauling costs – explain why transporting was necessary
• Travel and Mileage – include adequate To/From Destination detail
• Outside expenses – explain expense and why it was needed
Miscellaneous All Service Items must be filed on a miscellaneous line.
10 01.16-15 (02/18)
Claim Field Information for PIPs –

Parts Stock, Dealer Service Tools & Cat Shop Supplies
Product ID/Serial For Parts Stock PIPs - enter 99Z00001
Number For Dealer Service Tools PIPs - enter 99Z00025
For Cat Shop Supplies PIPs - enter 99Z70008
Repair Date Enter the date the parts or tools were pulled from inventory or repaired.
Part Causing Failure PIP reference number
Description Code 56
Group Number 7751
Part Expense Lines For each defective part number being claimed use PD Code 56.
Labor Expense Lines For PIPs providing labor reimbursement, labor hours should be claimed in
• Less than hours listed in the S/L, enter the actual labor hours to perform
the PIP.
• Equal or greater than hours listed in S/L, enter the total labor hours
listed in the Service Letter for Caterpillar Participation on the first labor
line and claim resultant damage labor hours (After-Failure only) on
additional reasonable labor lines using proper Comp and Job codes.
Resultant damage labor time should be broken down to show that labor
differs from the labor time covered in the service letter.
• Job - enter 001 for service letter labor line or appropriate Job code for
Claim Story A claim story is not required to substantiate Parts Stock, Dealer Service Tools or
Cat Shop Supplies PIP claims.
For more information, please refer to Warranty Bulletin 4.08 for Defective Parts Stock and Warranty Bulletin 4.09
for Cat Service Tools and Supplies.
01.16-15 (02/18) 11
Claim Field Information for PSPs

Product ID / Serial Product serial number
Number
Product Usage Enter the product service hours.
NOTE: PSPs may have prorated reimbursement allowances based on product hours.
Part Causing Failure PSP reference number
Description Code 56 – Before failure
96 – After failure
40 – Manual review. Enter when requesting partial coverage under EPP/ESC or
when claim story explains the repair was completed after and started prior to the
Termination Date. Note: Claims in excess of Service Letter criteria are automatically
sent to manual review and do not require 40.
Group Number 7755
Parts Expense Lines For PSP claims with a prorated parts allowance percentage, enter the part number
of the parts used. Based on the entered part number, the Caterpillar system
automatically enters the full unit price and automatically prorates parts. Do not enter
“PR” in the COMP field of each part line.
Labor Expense Lines PSPs providing labor hour reimbursement, labor hours should be claimed in
• Less than hours listed in the S/L, enter the actual hours to perform the PSP.
• Equal or greater than hours listed in S/L, enter the total labor hours listed in
the Service Letter for Caterpillar Participation on the first labor line and claim
resultant damage labor hours (After-Failure only) on additional reasonable
labor lines using proper Comp and Job codes. Resultant damage labor
time should be broken down to show that labor differs from the labor time
covered in the service letter.
• Job - enter 001 for service letter labor line or appropriate Job code for resultant
damage labor lines.
Claim Story Before failure, a claim story is not required to substantiate a PSP claim. The claim
story on after failure claims must indicate the PSP was performed after failure and
include an explanation of the failure. It must also contain the following information:
• Resultant Damage – identify the resultant damaged parts and labor and provide
explanation
• Service items – if made unusable due to the PSP covered failure, provide explanation
• Parts service charges – list corresponding parts invoice numbers for emergency orders
• Overtime labor – explain why extra labor is needed
• Meals and lodging – provide justification why this was needed
• Freight charges – explain reason charges are being claimed
• Towing / Hauling costs – explain why transporting was necessary
• Travel and Mileage – include adequate To/From Destination detail
• Outside expenses – explain expense and why it was needed
Miscellaneous All Service Items must be filed on a miscellaneous line, not a parts line.
12 01.16-15 (02/18)
Claiming Practices for PIPs/PSPs that also include Parts Stock Action
When a PIP or PSP includes additional instructions for parts stock removal or salvage, a separate service claim
must be submitted for reimbursement of the parts and/or labor associated with the parts stock action.
Note: TEPS/MEPS/AMD/ISD dealers are to return these parts to their Cat distributor.

Product ID/Serial Number Enter 99Z00001
Part Causing Failure Enter the PIP/PSP reference number
Description Code 56
Group Number 7755
Findings/Comments Enter the Service Letter date - publish date
For example: “S/L dated 22Aug99.”
For more information, refer to Warranty Bulletin 4.08 for Defective Parts Stock.
01.16-15 (02/18) 13
Caterpillar Claim System – Validation Messages for Service Letters

The chart below outlines the messages used by the Caterpillar Claim System to verify information contained in
certain claim fields. The columns identify the Cat System Message numbers, the Caterpillar Validation System
Message, and possible action steps.
Caterpillar
Cat Message
Validation System Possible Action Steps
System Message Number
Message
Verify the Service Letter number entered in the part causing failure. If the
Service Letter number entered is incorrect, correct the information. If the
SLMSG1: Part causing failure Service Letter number entered is correct, add information to the story to explain
SERVICE LETTER 25 is not a valid service why it’s a valid Service Letter number. If the Service Letter is aged, it may
NOT VALID letter. be unknown to the Caterpillar Claim System. File the claim using the proper
Service Letter number as the Part Causing Failure and add information to the
claim story noting the aged Service Letter.
Verify the Serial Number is correct. If it is correct and the unit is not listed on
Serial Number is not the Service Letter, contact your Tech Rep. If the Serial Number is listed in the
SLMSG2: published Service Letter or a previous version of the Service Letter, include that
included as eligible
SER NO INVALID 17 information in the claim story. If the Serial Number is not listed on the Service
product for Service Letter and if the failure is covered under another coverage such as Standard
FOR SERVICE LTR
Letter. Warranty or Extended Service Coverages (EPP/ESC), file the claim under the
actual part causing failure.
Verify the delivery date is correct. If the delivery date is incorrect, submit a
delivery date change request with a signed Delivery Service Record. This change
needs to be completed prior to the claim submission. Check the Part age. If the
SLMSG4: Product age is beyond part age is within the Service Letter limits, verify the correct Parts Start Date
has been entered. If the repair started before the termination date, file the claim
OUTSIDE OF S/L 23 the age limit for under the Service Letter number and follow additional claim instructions such as
AGE/HR/MI LIMIT Service Letter including actual repair start date in the first line of the claim story. If it exceeds
the limits, the claim would need to be submitted using the actual part causing
failure and using another coverage type such as Standard Warranty, Extended
Service Coverages (EPP/ESC), or Parts Warranty.
Verify the Service Letter issuance date and repair date on the claim. If the repair
SLMSG6: Repair date is before started before the Service letter was issued, file the claim using the actual part
causing failure and another available coverage such as Standard Warranty,
REPAIR DATE < SL 21 service letter issue Extended Service Coverages (EPP/ESC), or applicable Service Engineer
ISSUE DATE date. approval. If the repair started after the Service Letter was issued, there may be
an error in the repair date currently entered in the claim.
SLMSG5: Check to see if the part-causing failure is part of a published Service Letter. If so,
Check limits of Service verify the Service Letter criteria. If the repair fits within the criteria of the Service
CHECK SERV LTR 15 letter, change the PCF to the correct Service Letter number and use the Service
Letter.
PSxxxxx LIMITS Letter SMCS code in the Group Number field.
Verify the termination date on the Service Letter and the repair date on the
claim. If the repair started after termination date, the claim should be filed using
SLMSG3: Service letter was the actual part causing failure and using another available coverage such as
REPAIR DATE > 19 terminated before Standard Warranty or Extended Service Coverages (EPP/ESC). If the repair
TERM DT/NOT FND repair date. started before the termination date, file the claim under the SL number and follow
additional claim instructions such as including the actual repair start date in the
first line of the claim story.
Bypassing System Prompts

If all the information has been verified and you feel the claim is being filed properly but the prompt continues to
appear, please:
• Include “OVERRIDE,” in the Comments / Findings field. This will override the system prompt and allow
the claim to be submitted. CAUTION: If a claim is received containing “OVERRIDE,” the claim story
must specify why the claim fulfills the published Service Letter instructions. If the claim does not meet
the published Service Letter requirements, the claim will be 100% non-allowed.
• For additional assistance, please submit a ticket to the Warranty Service Desk.
14 01.16-15 (02/18)
SERVICE
General Guidelines
Warranty Administration
by Caterpillar Defense & Federal Products (D&FP)
Overview
This bulletin addresses warranty administration for governmental sales by Caterpillar Defense & Federal
Products (D&FP) to:
• U.S. Governmental Civilian Agencies
• U.S. Military establishments
• Non-U.S. Governments or Military establishments
Products sold by D&FP have a “Selling Dealer Code” beginning with the letter “G” (Example: G151).
Initial Services
Sales contracts specify the initial services and warranty coverage for products purchased by governmental
agencies directly from Caterpillar. Initial services and warranty coverages may vary between agencies or within
the same agency.
Expenses for initial services, such as product preparation, attachment assembly, transportation, training or other
Caterpillar requested services are invoiced to the D&FP Contract Administrator through a Purchase Order. The
Caterpillar Service Claim System must be used to claim for warrantable repairs performed prior to delivery.
Warrantable repairs should not be included on the initial services invoice.
Validating Warranty Coverage

Before performing warranty service, coverage and dealer reimbursement must be verified by checking the
serial number in the Service Information Management System (SIMSi) or Caterpillar Claiming System (Claimsi).
Dealers are reimbursed per the terms on the “Product Coverage” tab.
Repairing Dealer Responsibilities

When a selling dealer authorizes a repairing dealer to provide warranty service, the repairing dealer should
submit a claim for Caterpillar’s portion of warranty service expenses. For all other expenses, the repairing dealer
should invoice the selling dealer.
Note: Inter-territorial service fees do not apply to governmental sold product when the selling dealer authorizes
warranty service from the repairing dealer.


1
Dealer reimbursement for warranty repairs to products sold by D&FP are per the Summary of Reimbursement
Practices chart below, unless otherwise specified in SIMSi or Claimsi.
➤ Summary of Reimbursement Practices

Repair Expense Allowance and Rate
Parts Markup (M)
Labor Reimbursed at selling rate
Machines: Not Reimbursable
Travel time and
On-Highway Truck, Tactile Vehicle Engines & Transmissions:
mileage or Towing
Reimbursable
Refer to bulletin 3.01 for reimbursement terms on Marine, Industrial, and EPG products.
Governmental Service Life Extension Program (SLEP)

For U.S. Military Machines
Effective October 1, 2013, the SLEP and RESET programs have been discontinued. Machines delivered
after October 1, 2013 are no longer covered by SLEP or RESET programs.

SERVICE
General Guidelines
Dealer Rebuilt Exchange Components
Overview
A dealer rebuilt exchange component is a component that has been rebuilt by a Cat® dealer, and it must be
clearly identified as such. For example: The rebuilt exchange component may be stamped with the appropriate
dealer code and the word “Rebuild” above the part number.
Requirements for Usage

Such components should be used only in a warranty repair situation to avoid excessive downtime due to the
unavailability of repair parts or a Reman component. The customer must be in full agreement with the usage of
the dealer rebuilt exchange component and the following conditions must exist:
• The dealer rebuilt component is the lowest cost repair option.
• The dealer has obtained approval and availability confirmation from the Caterpillar Parts Rep.
Cat Reman components are the preferred source for exchange components, when applicable. Caterpillar Warranty
does not allow dealer rebuilt exchange component prices to exceed the equivalent Cat Reman component prices.
Warranty Responsibility
Caterpillar assumes warranty responsibility for only Caterpillar supplied parts used during the dealer repair. Failures due
to dealer workmanship are the responsibility of the Cat dealer that rebuilt the exchange component. Parts reused in the
rebuild are not eligible for parts warranty; however they may be reimbursed as resultant damage per Bulletin 4.01.
Claiming Practices
Add the dealer rebuilt exchange component on a miscellaneous expense line and enter the following information:
• Expense ID - enter “M” for miscellaneous.
• Quantity - enter the quantity used.
• Part Name / Expense Description - enter the abbreviation “DLREXC”.
• Cost Total - enter the total cost of the dealer rebuilt component(s) used.
Claim Story - in addition to the complaint, cause, correction, and complication, the claim story must also contain the following:
• Explanation of why the dealer rebuilt exchange component was used.
• Name of the Caterpillar Parts Rep that approved the replacement.


1
2 01.18-01 (08/14)
SERVICE
General Guidelines
Bargain List Products,

New Parts Bargain List and
Factory Surplus/Used Parts
➤ Machines and Engines

Bargain List Machines and Engines* are products sold under particular conditions stipulating there is no or
limited Caterpillar Warranty coverage.
The Caterpillar invoice should provide all information in this respect.
Caterpillar, depending upon assigned warranty status, will either not, or only partially, participate in any
dealer warranty claim settlement involving Bargain List Machines and Engines.
Note: Bargain List Machines and Engines are eligible for all PIP service letter modifications within the limits
indicated in related service letters.
➤ New Parts Bargain List

New Parts Bargain List are new parts sold at a discounted price and have full parts warranty.
*This includes engines sold through Antares or any other parts distribution channel.
Factory Surplus/Used Parts

Factory Surplus/Used Parts are parts sold under particular conditions stipulating there is no Caterpillar
Warranty coverage (as is where is).
The Caterpillar invoice should provide all information in this respect.
Caterpillar will not participate in any dealer warranty claim settlement involving Factory Surplus/Used Parts.
Note: The dealer must be particularly cautious when Machine or Engine Bargain List products, New Parts
Bargain List parts, or Factory Surplus/Used Parts are entering their territory from other dealers’ territories.


1
2 01.24-03 (09/16)
SERVICE
General Guidelines
➤
Warranty Service by
Second Level Dealers (SLD)
➤ Overview
Caterpillar and Cat® dealerships provide sales and service support for Caterpillar products through Second
Level Dealers (SLD).
The type of SLD varies by product and marketing segments:
• Authorized Marine Dealer (AMD) for marine applications
• Truck Engine Parts and Service (TEPS) for On-Highway Vehicles
• Marine Engine Parts and Service (MEPS) for Marine engines
• ISD - Industrial Service Distributor (ISD) for Industrial engines
• Agriculture – TEPS (AG-TEPS) for agricultural applications
• Authorized Power Generation dealer (APGD) for electrical energy products
• Commercial Engine Product Support Outlet (CEPSO) for industrial applications
• General Construction Authorized Sales and Service Centers (GC ASSC) for specific Building
Construction Products and Compact Construction Equipment (CCE) products.
The Cat dealer is responsible for training and managing the appointed SLD according to Caterpillar policies.
➤ Claim Field Information
The following outlines the unique claim field information required for claim submission by the SLD or on behalf of
the SLD.
Dealer Codes
• When a claim is filed by the Cat dealer, enter the Cat dealer code in the repair dealer code field and the
SLD dealer code in the alternate dealer code field.
• When a claim is filed by an SLD, enter the Second Level Dealer Code in the repair dealer code field and
the Cat dealer code in the alternate dealer code field.
Note: Each SLD is assigned a specific second level dealer code by Caterpillar.


1
➤ Labor Rates
Must be on file prior to claim submission. Refer to Warranty Bulletin 1.05T for additional information.
The same warranty administration conditions apply for Cat dealers and Second Level Dealers. Reference the
applicable bulletins in the Global Warranty Guide for more information.
Stock Order Discount Program (TEPS Dealers Only)

Caterpillar will reimburse Full Service TEPS dealers for the loss of the stock order parts discount involving
non-stock order warranty parts that were paid at TEPS net price. The loss of the stock order discount can
be claimed as a miscellaneous expense. The expense description for a miscellaneous expense line covering
loss of stock order discount should be “STKORD”. The amount of stock order discount that was lost can be
determined by multiplying the TEPS net prices on the Cat distributor’s invoice by .05. Copies of the invoices and
calculations must be retained on file for any subsequent verification of accuracy.

SERVICE
General Guidelines
Miscellaneous Expense Codes
The chart below lists the various miscellaneous codes entered in the description field when claiming for
miscellaneous expenses.
Refer to Bulletin 1.02 for proper claiming instructions for fluids and oils.
➤ Miscellaneous Expense Codes

Misc.
Type of Expense/Definition
Codes
AIRCON AIR CONDITIONER EXPENSES
AIRFAR AIRFARE EXPENSES
AUXFIL AUXILIARY FILTER
BDPRTS BALDERSON PARTS - BULLETIN 2.02
BGPRTS BARBER-GREENE PARTS
BTPRTS BITELLI PARTS
BUPRTS BUCYRUS LEGACY PARTS - BULLETIN 2.13
CATATF CATERPILLAR AUTOMATIC TRANSMISSION FLUID
CATFRZ CATERPILLAR ANTIFREEZE
CATOIL CATERPILLAR OIL
CATPRT CATERPILLAR PARTS ON WORK TOOL CLMS - BULLETIN 2.02
CFPPRT CAT FOREST PRODUCTS PARTS - BULLETINS 2.01, 2.02, & 8.07
CRANE BOOM OR CRANE


1
DEMPRT DEMLONE PARTS BULLETIN 8.08

DLREXC DEALER REBUILD EXCHANGE - BULLETIN 1.18
ENGINV ENGINE INVOICE (WARRANTY REPLACEMENT) - BULLETIN 3.01
FABRIC FABRICATE PARTS OR MATERIAL
FREON FREON EXPENSES - REFRIGERANT
FRGHT FREIGHT EXPENSE - BULLETIN 1.02
GDWILL GOODWILL
GENINV GENERATOR INVOICE (WARRANTY REPLACEMENT) - BULLETIN 3.01
HANDLI HANDLING - BULLETIN 3.01
HARSHP HARDSHIP - GOODWILL
HAULNG HAULING EXPENSES - BULLETIN 1.02
HYDOIL HYDRAULIC OIL
INDPRT INDIA PARTS - BULLETIN 2.01, 8.00
INDTAX SALES TAX/VAT - INDIA DEALERS ONLY (EFFECTIVE JUNE 1, 2015) - BULLETIN 1.26
JHPRTS JOHN HENRY PARTS
LODGE LODGING EXPENSE - BULLETIN 1.02
MACHNE MACHINING EXPENSES - BULLETIN 1.02
MEALS MEALS EXPENSE - BULLETIN 1.02
MISC. CODE FOR SPECIAL T & I SITUATIONS (FOR EXAMPLE: DESIGN TO ORDER (DTO) -
MISCTI
BULLETIN 1.04)
NSAL SALVAGE LABOR
OLY OLYMPIAN PRODUCT - BULLETIN 3.09
OTHATF OTHER AUTOMATIC TRANSMISSION FLUID
OTHER OTHER EXPENSES - DETAILED IN CLAIM STORY
OTHFRZ NON-CAT (OTHER) ANTIFEEZE
OTHOIL NON-CAT (OTHER) OIL
PKGPRT ENGINE PACKAGE PARTS
PRRFRT PARTS RETURN FREIGHT - BULLETIN 4.02
REMOTE REMOTE SERVICES ACCESS FEE
SALTAX SALES TAX FOR DESIGNATED ESC CLAIMS ONLY - PRIOR APPROVAL REQUIRED
SERCHG SERVICE CHARGE (EMERGENCY ORDER) - BULLETIN 1.02
SOSKIT SOSKIT - BULLETIN 5.04 ONLY
STKORD STOCK ORDER - BULLETIN 1.25
SUBLET SUBLET REPAIR - BULLETIN 1.02
THPART TELEHANDLER PARTS WITH NO CAT PART # ORDERED DIRECT FROM JLG - BULLETIN 2.07
TOLLS TOLLS
TOWING TOWING - BULLETIN 1.02
TRANSM TRANSMISSION INV. (WARRANTY REPLACEMENT) - BULLETIN 3.01
TRBLPT TRIMBLE PART - PART NUMBERS IN STORY, BULLETIN 2.01

SERVICE
General Guidelines
Shipping Damage and Discrepancies

(All Products and Parts Orders)
Overview
This bulletin provides information about shipping damage and discrepancies on products ordered and received
through the Caterpillar order fulfillment process for all regions. It also offers guidance in determining the
responsible party, as indicated in the Errors in Shipment Decision Model on page 4. For parts ordered from a
Caterpillar Parts Distribution Center, refer to the Antares Claims section of this bulletin.
Product Inspection
It is the dealer’s responsibility to check and inspect the product upon delivery to the dealership or warehouse
and to perform a thorough analysis of a suspected short shipment. Causes for shortages, product errors, and
damages in shipment may be linked to various processes, including order fulfillment, manufacturing, logistics,
transportation, dealer operations, and/or storage. Therefore, it is imperative to identify the responsible party in
each short ship situation before filing a claim.
Short ship does not apply in the following situations:

 Pre-Delivery Warranty Repairs are repairs performed due to defects in material or workmanship
found in products prior to delivery to the first user. Please refer to the appropriate product bulletin. For
Machines, refer to Bulletin 2.01, and for Engines, refer to Bulletin 3.01.
 In-Transit Warranty Repairs are repairs on a new product shipped from Caterpillar, but are located in
a seaport or transportation yard. Please refer to the appropriate product bulletin. For Machines, refer to
Bulletin 2.01, and for Engines, refer to Bulletin 3.01.
 Parts Warranty applies when new and Reman parts or assembled components are found to be
defective during installation (including testing prior to installation) or by the component or product being
operated. For Parts Warranty, refer to Bulletin 4.01.
 Parts Stock Warranty applies when new and Reman parts or assembled components are found to
be defective at the time of purchase or prior to installation through a visual inspection. For Parts Stock
Warranty, refer to Bulletin 4.08.
➤ 01.28-06 (06/17)

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Dealer Repair Expense Reimbursement

Dealer reimbursements for repair expenses related to Short Shipment are per the Summary of Reimbursement
Practices Chart below.
Short Shipment Summary of Reimbursement Practices

Parts Reimbursable at D/N
Repair Labor1 Reimbursable at warranty cost labor rate
Parts Service Charges Reimbursable
Service Items Reimbursable at D/N, if made unusable
Parts Salvage Labor Reimbursable at warranty cost labor rate, if justified
Outside Repair Expenses Reimbursable, at cost
Overtime Labor Rate, Shop Supplies, Hauling
Not reimbursable
Costs and Value Added Tax
Reimbursable at Travel Rate & Vehicle Rate2
(If required for dealer to travel to an OEM or to a customer
Travel Time and Mileage
site where product was directly delivered from Caterpillar
and not covered under commissioning.)
Meals and Lodging At cost, if justified
Freight Charges Reimbursable
1 Assembly labor for loose-shipped parts or components and machine assembly/commission labor normally
performed by the dealer is not reimbursable.
2 Claim Story must include adequate To/From Destination detail to validate amounts.
Claiming Requirements
A Short Ship claim may be submitted through the Caterpillar Warranty Claim System when Caterpillar is the
responsible party. The claiming requirements are as follows:
 Claim Value – Only claims with a minimum value of $50 USD will be accepted for consideration.
 Time Limit – must be filed within 60 days of receipt of the product at the dealership, warehouse,
Original Equipment Manufacturer (OEM) factory or Caterpillar Inc. direct shipment of product to a
customer site.
 Considerations outside of 60 days from receipt of product:
 For certain applications, products shipped directly to the customer site or OEM and not immediately
built or commissioned. Crates/containers must be securely stored and NO parts utilized for repairs
on other products. Dealers must confirm secured storage. Dealers should inventory parts at the
beginning of build and submit a short ship claim with a copy of the work order showing the build
start date in SIMSi. The claim must be filed within 60 days from the build start date.
 Dealers that perform the inspection within the required time frame and encounter parts availability
issues must note such in the claim story and upload supporting documentation in SIMSi. The repair
must be performed and the claim must be filed within 60 days of receiving the outstanding part.
Note: Short ship claims are not eligible for late claim exceptions.
SIMS Entry for Shipment Error

When short shipment errors are resolved directly with the factory, a SIMS record should be entered to document
the error. Filing a claim is not required.
2 01.28-06 (06/17)
Claim Field Information

Serial Number Enter the Caterpillar Product Identification Number or the Prime Product Serial Number
00NIS00 for product in dealer inventory or not in service
Delivery Date
00IFI00 for product located at OEM
Parts Start Date Leave blank
Part Causing Failure If more than one part is missing, enter the most expensive part.
Machines (and like products, including attachments) - Enter 770M
Group Number
Power Systems (engines and like products, including attachments) - Enter 770S
81 (Operation Omitted)
PD Code
82 (Wrong/Missing Part)
Enter the MSO/ESO/Order reference followed by the SMCS or group number.
Comments / Findings
For example: MSO MZYB4, ESO NHFYJ, ORD AAIGQ
Must explain the issue and how it was resolved. When Travel Time & Mileage applies, include
Claim Story
adequate To/From Destination detail.
Must include the parts and/or labor to repair or install parts that were damaged or missing.
Part / Labor Expense
Labor must be broken down by logical segments with corresponding SMCS component and
Lines
job codes.
Miscellaneous Consumables and Caterpillar approved parts without Cat® part numbers must be claimed on
Expense Lines miscellaneous expense lines and explained in the claim story.
NOTE: A SIMSi report must be submitted prior to claim submittal. Pictures are required for all damaged part situations
and are helpful for claiming support.
➤ ANTARES Claims
Claims for parts ordered through a Caterpillar Parts Distributions Center must be submitted using the ANTARES
system in the following situations:
• Parts shortages or overages
• Incorrect part or shipped as (i.e. ordered part A, received part B)
• Wrong part in packaging (i.e. ordered part A, received box labeled part A, but part B was inside)
• Package quantity
• Incomplete group or kit
• Received used part instead of new
For assistance with ANTARES or claiming questions, submit an inquiry to cat_parts_claims@cat.com or visit the
Job Aid section of the Global Warranty website at https://warranty.cat.com/en/resources0.html.
Machine Parts Return Process

For inquiries regarding parts return/ customization, contact the Sales Account Coordinator.
Product Invoice Credits

When the product is not built as ordered and requires an invoice adjustment, contact the Sales Account
Coordinator to resolve the error.
01.28-06 (06/17) 3
➤ Errors in Shipment Decision Model

Parts that require some disassembly or operation / testing to be checked or to determine there is an issue
Non-visible
involving a missing/wrong installed part.
Definitions
Visible Parts that do not require some disassembly or operation / testing to be checked
General Claim Who should

Issues description / Potential Root Causes How to claim?
Category Yes / No handle?
Parts were not ordered No Dealer
Wrong Attachment / Arrangement ordered No Dealer
Factory did not ship Yes Warranty Short Shipment
Parts were lost / stolen in transit No Forwarder
Dealer mislaid the parts No Dealer
Parts
Parts not installed at factory (non-visible) Yes Warranty Pre-delivery repair
missing
Parts not installed at factory (visible) Yes Warranty Short Shipment
Changes in parts consist (top level arrangement, attachments not as ordered) Yes Warranty Short Shipment
Changes in parts consist (top level arrangement, attachments) No Dealer
Missing or incorrect literature No Orders Group* https://catdocs.force.com
* Additional information about the Dealer Orders Communication Solution (DOCS) can be found at: https://dealer.cat.com/en/bt/otd/c/docs.html
Excessive Factory shipped too many parts (non-visible) Yes Warranty Short Shipment
parts on Factory shipped too many parts (visible) Yes Warranty Short Shipment
product Dealer ordered too many parts No Dealer
Wrong attachment ordered No Dealer
Wrong Forwarder made a mistake (mixed up shipments) No Forwarder

parts on Dealer mixed up the parts No Dealer
product Wrong parts installed at factory (non-visible) Yes Warranty Pre-delivery repair
Wrong parts installed at factory (visible) Yes Warranty Short Shipment
Fluid missing - Wrong attachment ordered / Ship dry or wet No Dealer
Low fluid level - NOT reimbursed by Caterpillar No Dealer
No fluid or below minimum amount Yes Warranty Pre-delivery repair
Oil type (NOT viscosity) not correct for compartment Yes Warranty Pre-delivery repair
Fluids Bio-oil: dealer didn’t order No Dealer
Bio-oil: dealer ordered Yes Warranty Short Shipment
Packaging problem, dealer did not order required package for shipping/
No Dealer
transport
Specific viscosity available: Dealer ordered Yes Warranty Short Shipment
Specific viscosity available: Dealer did not order No Dealer
Factory workmanship error - Paint / surface not up to specification Yes Warranty Pre-delivery repair
Packaging problem, inadequate protection for shipment Yes Warranty Short Shipment
No Dealer
Corrosion transport
Transport not up to specification No Forwarder
Damages in transit No Forwarder
Unit kept in stock by dealer, improper storage No Dealer
Factory workmanship error - Paint / surface not up to specification Yes Warranty Pre-delivery repair
Packaging problem, inadequate protection for shipment Yes Warranty Short Shipment
No Dealer
transport
Paint Shipment not up to specification No Forwarder
Damages in transit No Forwarder
Unit kept in stock by dealer, improper storage No Dealer
Paint options not adequate No Dealer
Machine, engine, or serialized attachment damaged in transit Yes Warranty Short Shipment
Improper Parts damaged in transit Yes Warranty Defective Parts
Packing
Damages in transit due to forwarder No Forwarder

SERVICE
General
Electronic Control Modules and Flash-files
Overview
This bulletin provides troubleshooting references and claiming instructions for Electronic Control Module (ECM)
replacements and flash-file changes for all Cat® products.
Replacement of Electronic Control Modules

Troubleshooting guides are available in SIS and are intended to prevent unnecessary replacement of ECMs.
The machine or engine serial number may be used with the fault code number to locate specific documents for
troubleshooting guidance. For further assistance, contact your Technical Communicator (TC) in order to submit
questions to the Dealer Solutions Network (DSN).
➤ Claiming Instructions
If an ECM was not replaced during a repair, it cannot be used as the part causing failure on a warranty claim.
Claims for re-flashing the ECM must use the flash-file part number as part causing failure and the group
number listed in the chart below. This chart may be referenced for failures on engines, powertrain, implements,
monitoring system electronic control modules, flash-files, or on flash-file changes.
Part Causing Failure Old Part # Group # DC Code

Engine Control Module ECM Part # Cat Group # 42
Engine Flash-file Flash-file # Cat Group # 37
Transmission Control Module ECM Part # Cat Group # 42
Transmission Flash-file Flash-file # Cat Group # 37
Implement Control Module ECM Part # Cat Group # 42
Implement Flash-file Flash-file # Cat Group # 37
Monitor Control Module ECM Part # Cat Group # 42
Monitor System Flash-file Flash-file # Cat Group # 37
Re-rating Flash-file # Cat Group # 37
Electronic Update Same Flash File used Flash-file # Cat Group # 37
Factory installed flash File incorrect Flash-file # Cat Group # 37
➤ 01.29-01 (11/15)
➤ Indicates change.

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If it is determined that the ECM is the part causing failure, report the part number that is on the failed ECM serial
number plate. In some cases, a new part may have been substituted to fill a remanufactured order. Using the
part number that is on the failed ECM serial number plate will assure that ECM reliability data is accurate.
The troubleshooting procedures must be summarized in the claim story and must include the following
information:
• SIS Literature Number used
• ECM harness part number used
• Active codes and results of troubleshooting steps
• DSN Service Request number, if applicable
NOTE: When re-flashing software, SP0775 substitute part number is no longer allowed as a part causing failure.
Use the old software part number as the part causing failure, not the new software part number.

SERVICE
Machine
Machines
Overview
This bulletin provides the standard warranty reimbursement terms and claiming information for the following Cat®
machines and/or product categories:
• Earthmoving including PACCAR Winch and Weldco Boom and Stick
• Paving
• Construction (with the exception of Cat Utility Vehicle products found in Bulletin 2.14)
• Compact Construction Equipment (CCE)
• Underground Mining Products/Work Tools
• Material Handling including Telehandlers (sold/delivered on or after 01Jan14)
• Forest Products including Prentice™ Branded and Timberking™ (sold/delivered on or after 01Jan12)
• Machine Control and Guidance Products
• OEM Solutions Products direct sold by Cat dealers to customers
• Expanded Mining Products (with the exception of Longwall and Sold Legacy Products found in Bulletin 2.13)
These machines include all the prime product arrangements and attachments installed on the machines prior to delivery.
Warranty Terms
Cat machines are warranted against defects in material and workmanship for 12 months/unlimited hours to the first user.
The following exceptions apply:
• Select models in India receive 12 months/3,000 hours to the first user. Select models include Backhoe Loaders,
Skid Steer Loaders (effective 01Sep15) and 320 Excavators (effective 01Jan17).
• Select models sold in USA or Canada receive 24 months/2,000 hours to the first user (Effective 01Jan18). Select
models include Compact Track & Multi Terrain Loaders, Mini Hydraulic Excavators, and Skid Steer Loaders.
(Reference Chart 2)
• HPU300 for use with 300.9D VPS sold in USA or Canada receive 24 months/2000 hours to the first user (effective
01Jan19). (Reference Chart 2) Rest of World continues to receive 12 months to the first user. Reimbursement
terms per Chart 1.
• The hour limitation was discontinued for China, effective 01Sep15. Cat machines sold in China on/after
01Sep15 receive the global warranty statement of 12 months/unlimited hours.
• CCE machine hydraulic line quick connect/disconnect components sold on compact wheel loaders, mini hydraulic
excavators, skid steer loaders, multi terrain loaders, and compact track loader machines – 50 hours to the first user.
• CCE work tool line quick connect/disconnect – 3 months/unlimited hours starting from the date of delivery to the first
user. Additional information may be found in Bulletin 2.02.

• For Draglines (Effective 01Jun15), Electric Rope Shovels (Effective 01Jun15), Hard Rock Movers (Effective
01Mar15), Hard Rock Feeders (Effective 01Mar15), Hard Rock Miners (Effective 01Jul16) Hard Rock
Conveyors (Effective 01July16), Hard Rock Roof Supports (Effective 01Jul16) the warranty period is 12
months but not to exceed 24 months from shipment of the last major component from the Caterpillar place of
manufacture.
• For Off-Highway Truck models 777 (Effective 01Jan19), 785, 789, 793, 794, 795, 796, 797, 798 and Large Wheel
Loader models 854, 992, 993, 994 sold on/after 5/1/2016 and in regions other than the CIS, the terms are as follows:
• Main frame repairability - 84 months/40,000 hours whichever comes first
Note: Refer to details of the Frame Repairability coverage later in this bulletin.
• Powertrain components - 24 months or 10,000 hours whichever comes first (engine, transmission, torque
converter, differential, drive shaft, transfer gear group, final drive, rear axle group; and for electric drive,
power generator, power inverter, high voltage cables, drive motors, drive system cooling fan, electric
retarder grid; excluding radiator, hoses & lines; engine starter, alternator and compressors - 24 months or
10,000 hours whichever comes first.
• All other parts and components - 12 months/unlimited.
➤ • For Motor Grader models 16, 18 (Effective 01Jan20) and 24 sold in regions other than the CIS, the terms are as
follows:
• Powertrain components - 24 months or 10,000 hours whichever comes first (engine, transmission, torque
converter, differential, drive shaft, transfer gear group, final drive, rear axle group, tandem; excluding
radiator, hoses & lines; engine starter, alternator and compressors - 24 months or 10,000 hours whichever
comes first.
• All other parts and components - 12 months/unlimited.

Dealer reimbursement for repair expenses related to machine standard warranty is per the Summary of Reimbursement
Practices chart below, in accordance with reimbursement practices as outlined in Bulletin 1.02, and with the applicable
warranty statement at https://warranty.cat.com/currstmts.
Chart 1
Machine & HPU300 Standard Warranty Summary of Reimbursement Practices

Repair Expenses Allowance and Rate
Outside Repair Expenses Reimbursable at cost
Repair Labor, Shop Supplies, Travel Time and Mileage,
Not reimbursable
Meals and Lodging, Hauling Costs, Value Added Tax
Freight Charges Not reimbursable*
*Exception of APD - Freight charges for inbound surface or airfreight charges from a source distribution center other than
the dealer’s assigned Parts Distribution Center are reimbursed. Charges from the dealer’s assigned Parts Distribution
Center are the responsibility of the dealer.

Chart 2
Select Compact Equipment Models & HPU300 Sold in USA & Canada
Standard Warranty summary of Reimbursement Practices
Parts Reimbursable at D/N + 10%
Service Items Reimbursable at D/N + 10%, if made unusable
Parts Service Charge Reimbursable
Repair Labor Reimbursable at warranty cost labor rate
Parts Salvage Labor Reimbursable at warranty cost labor rate
Shop Supplies, Travel Time & Mileage, Meals &
Not Reimbursable
Lodging, Hauling Costs, Value Added Tax
1
Freight Charges Not Reimbursable
1
Exception of APD - Freight charges for inbound surface or airfreight charges from a source distribution center other than the dealer’s assigned Parts
Distribution Center are reimbursed. Charges from the dealer’s assigned Parts Distribution Center are the responsibility of the dealer.
Frame Repairability (only applicable to certain products)

Repairability coverage warrants that major welded components of main frame will remain repairable following Caterpillar
specified weld process for the defined period. If during this period it is determined by Caterpillar that a covered component
is not weld repairable, Caterpillar will provide parts and welded components necessary to replace the non-repairable frame
or frame component. To maintain this coverage, the covered component(s) must have scheduled and documented crack
inspections as per the Operation & Maintenance Manual (OMM). Any cracks found during these inspections must be
promptly welded per Caterpillar specifications.
Note: Inspections and weld repair of cracks is considered normal machine maintenance.
• Labor for required inspections and/or to weld cracks discovered during scheduled inspections is at the
customer’s expense.
• Labor to replace non-repairable frame or frame components under this coverage is dealer expense. Reimbursement
practices for dealer expenses will be as defined by the Summary of Reimbursement Practices chart found in this bulletin.
➤
Pre-Delivery Repairs
Caterpillar requests dealers to provide a final check-up and make any minor adjustments required prior to delivery
of the equipment to the customer. Normally these check-ups and adjustments include checks for proper equipment
operation, completeness, fluid levels, tire pressure, literature, etc., and are considered as standard dealer new machine
preparations and are not reimbursable. Flashing software during pre-delivery inspection in the absence of product defect
or failure is not reimbursable.
If defects are encountered that cannot be classified as normal pre-delivery inspection, but correspond to a repair, dealers
are requested to complete such repairs under warranty. Since the equipment has not been sold, Caterpillar accepts
pre-delivery claims, including the labor required for repairs during new machine preparations. Labor is reimbursable at
Warranty Cost Labor Rate.
• Pre-delivery repair labor is only allowed when performed (where possible) out of customer’s sight and prior to the
customer’s knowledge of the defect.
• Each incident must be reported on a separate claim and a corresponding SIMS Report must be submitted prior to
claim submission.
• Labor must be broken down appropriately with corresponding SMCS component and job codes, as found in Bulletin 1.09.
• To qualify as a pre-delivery repair, the unit must not exceed the SMU limits outlined in Bulletin 1.12.
Factory installed Tyco™ Fire Suppression System
Defects in materials and workmanship in the Tyco™ Fire Suppression System installed by Caterpillar and found prior to
system commissioning are covered under pre-delivery warranty. After the Fire Suppression System is commissioned,
defects are not claimable to Caterpillar. Dealers must contact Tyco™ directly.

Tyco™ Contact: http://www.tyco-fire.com/index.php?P=contact_us

General Contacts:
Keenan Carver Frank Smetana
+ 270 724-4344 + 715 735-7411
keenan.carver@tycofp.com fsmetana@tycoint.com
New In-Transit Machine Repairs

A dealer may be requested to perform repair work on a new machine shipped from Caterpillar and located in a seaport
or transportation yard. Dealer reimbursement for repair expenses related to new in-transit machine warranty is per the
Summary of Reimbursement Practices chart below.
New In-Transit Machine Repairs Summary of Reimbursement Practices

Cat Parts and Fluids Reimbursable at M
Repair Labor, Travel Time & Mileage Reimbursable warranty sell rate
Shop Supplies Not reimbursable
Outside Expenses, Freight Charges Reimbursable at cost
Paint Repairs
Paint repairs resulting from Caterpillar defects in material or workmanship (such as inadequate paint coverage,
improper adhesion/peeling, rust/corrosion, excessive fading, etc.) are reimbursable under standard warranty.
Paint issues due to storage, handling, modifications, addition of attachments, damage during shipment, inappropriate
or abnormal product operation, corrosive product environments (phosphate, salt loading, etc.) or to achieve a
desired showroom finish are not reimbursable.
Paint damage due to product operation is not reimbursable. For components prone to paint damage from product
operation such as buckets, ground engaging tools, moving undercarriage components, truck bodies, or other
components exposed to material abrasion or contact, approval from a Caterpillar representative prior to the repair
is required to be covered under applicable warranty.
System Contamination/Clean Up
Machines or attachments may be received from the factory with contaminated powertrain or hydraulic systems beyond
factory specifications. Claims may be submitted for expenses incurred to clean up hydraulic, transmission or other oil filled
and filtered compartments (excluding engines), prior to delivery, demonstration or initial use.
For additional information, refer to the Contamination Control Corporate Home Page at
https://dealer.cat.com/en/ps/service/cc.html.
Claimable expenses include the following:
• Oil and machine-filters at cost and up to two hours of labor for drain and refill of a system, including exercising the
machine and fluid sampling time.
• Cost of cleaning out filters and up to two hours of labor for in line filtration or use of an add-on filter, including
exercising the machine and fluid sampling time.
• Up to three hours labor for kidney looping a system, including set up, exercising the machine, fluid sampling, and tear down.
Factory Customized Modifications
For machines with factory customized modifications, the machine standard warranty and/or extended coverage are not affected.
The applicable machine standard warranty statement for the product model applies to the factory customized machine.
Caterpillar does not assume responsibility for the service life of the modifications or the service life of other components
affected by the modification.
Installed Radios
Radios installed from the factory are covered by the machine standard warranty, but does not include failures due to liquid
contamination, physical damage, evidence of an unauthorized repair, failures due to dirt or contamination, or improper
packaging of returned failed radios. For dealer installed radios before or after delivery, refer to Bulletin 4.01.
4 02.01-46 (11/19)
Forest Products
The Forest Product chart within this bulletin provides the brand, model, serial number prefix, and specifies the manufacturer
to file a claim for Engine Repairs. For Forestry Warranty assistance on the models listed in the chart, please use the
Warranty Service Desk for assistance.
Machine Control and Guidance Products

Effective March 1, 2010, AccuGrade™ products labeled with a Trimble™ part number are no longer covered by Caterpillar.
These parts are covered by Trimble Navigation Ltd. and must be repaired and warranted through an authorized Trimble
dealer. Additional information may be found at www.trimble.com.
Machine Control and Guidance Product includes the hardware for Cat MineStar™ System, (Fleet, Terrain, Detect, Health,
Edge and Command).
Command For Hauling
Command for Hauling products may be installed on certain large mining trucks owned by customers, however
claims should not be submitted against the machine serial number, refer to claiming instructions. The Command
for Hauling autonomy package components include all components in the autonomy cabinet and the front mounted
lidar, radars, IMU, GPS antennas, wireless antennas, and mode lights.
For warranty repairs, dealers should not replace the LiDAR, IMU, PCS & A6:Z1 Autonomy ECM with new
components. Instead dealers should send these components to the authorized repair facility. To initiate the repair
process contact cat_electronics_repair@cat.com or call 1-309-494-1489.
Note: Any full replacement must be authorized from MineStar Solutions leadership via cat_electronics_repair@
cat.com and authorization must be attached to claims/SIMS service documentation. Any unauthorized replacements are
subject to claim denial and or debit.
Claims for warranty repairs can include the repair charge from the authorized repair facility and associated shipping costs.
These items can be claimed as miscellaneous lines with explanation provided in the claim story.
➤ Warranty Replacement Guidelines for Rubber Wheels
The following replacement guidelines are used to determine if a rubber wheel should be replaced under warranty.
Warranty only covers failures caused by a defect in material or workmanship. It does not cover normal application
or accelerated wear.
• Normal or application accelerated wear. In most cases, conditions commonly known as grooving, nicks,cuts,
or chunking is cosmetic damage with no impact to functional performance. Wheel replacement repairs caused
by this advanced level of wear/damage is not covered under warranty.
• Delamination due to defect in material or workmanship is reimbursable for the first 250 hours. Delamination
is characterized by the smooth separation of rubber from the wheel in one piece and indicates a defect in
material or workmanship. Delamination failures typically occur within 250 hours of use.
High Pressure Fuel Pumps

To properly diagnose High Pressure Fuel Pump failures, refer to the instructions listed in the Fuel Injection Pump-Tests
located on the SIS website at https://sis.cat.com under the following media numbers:
• UENR3402 (C9.3 Tier 4 Final engines)
• KENR9307 (C9.3 Industrial engines)
All defective High Pressure Fuel Pumps must be returned to Caterpillar for failure analysis. Refer to the High Pressure
Pump Return Form (REHS9724), located on the SIS website, for specific part return instructions. The following information
must be sent to Caterpillar with the returned part:
• Completed High Pressure Pump Return Form (REHS9724)
• Screen shot of the 111F ET Error Identifier (or) verification of the completed Fuel Injection Pump-Test
NOTE: Claims will be processed based on the merit of the information provided. However, they will be subject to a full
debit upon the returned parts review if:
• Form REHS9724 is incomplete or missing;
• Required diagnostic data was not provided, and/or

• Caterpillar failure analysis determines the part is not defective.
Caterpillar Hydraulic Mining Shovel Required Reporting for Claims

Refer to the special instructions in SIS on how to document hydraulic component failures on Hydraulic Mining Shovels,
prior to submitting warranty claims.
For hydraulic component failures on Hydraulic Mining Shovels, please complete required forms (listed below) for
Cylinders, Hoses, and Tubes. The completed form is required to be attached to SIMS prior to submitting claim.
Refer to special instructions for the following:
• EM026968-00 (Cylinders Failures)
• EM026970-00 (Hydraulic Hose Failures)
• EM026972-00 (Hydraulic Tube Failures)
Refer to SIS as your safe source for the most up-to-date troubleshooting information.
NOTE: Claims subject to full debit if the required information form is not attached to the Claim
Hydraulic Mining Shovel Component Serial Number For Repairs On Final Drive And Swing Drive
The component serial number information is required when claiming for a repair/replacement of Final Drives and
Swing Drives.
NOTE: Claims that do not include the required component serial number information as outlined, are subject to full debit.
Caterpillar Regeneration System Heads (All Regions) Effective 01APR2017
Refer to the troubleshooting guidelines in SIS to properly diagnose Caterpillar Regeneration System (CRS) head
defects in captive and prime applications for engine platforms with Tier 4 Interim or Final as follows: C9.3, C13,
C15, and C18. C7 engines apply when Tier 4 Interim only. Form M0075976 may be found in SIS and the box of
all new ARD/CRS head replacement parts.
The following information is required for CRS head claims:
• Cat ET ECM (Product Status Report) download added to SIMSi
• M0075976 must be completed and returned
Refer to SIS as your safe source for the most up-to-date troubleshooting information. The most Current available
media is as follows:
Engine Platforms Tier 4 Interim Tier 4 Final
C13, C15, C18 KENR6849 UENR0955
C9.3 KENR6848 UENR0978
C7 N/A N/A
NOTE: Claims subject to full debit if the required diagnostic data was not provided and if the Caterpillar failure
analysis determines the part is not defective.
Caterpillar Diesel Exhaust Fluid Injectors (All Regions) Effective 01APR2017
Refer to the troubleshooting guidelines in SIS to properly diagnose Caterpillar Diesel Exhaust Fluid Injector defects in
captive and prime applications for engine platforms with Tier 4 Final as follows: C7.1, C9.3, C13, C15, and C18. Form
M0081054 may be found in SIS and the box of all new Diesel Exhaust Fluid Injector replacement parts.
The following information is required for Diesel Exhaust Fluid Injector claims:
Refer to SIS as your safe source for the most up-to-date troubleshooting information. The most Current
available media is as follows:
6 02.01-46 (11/19)
TABLE 1 Engine Platforms Description Media Number

Troubleshooting UENR0668
C7.1 Testing and Adjusting UENR4467
Disassembly / Assembly UENR4468
Troublshooting UENR0955
C13 Testing and Adjusting UENR4302
C15 / C18 Testing and Adjusting UENR3351
➤ Cat Turbochargers (All Regions) Effective 01JAN2020

Refer to the troubleshooting guidelines in SIS to properly diagnose Cat Turbocharger defects in captive and prime
applications for engine platforms as follows: C7.2, C9.3, C13, C15, and C18. This requirement does not apply to
the C7.1. The safe source for Form M0098007 is SIS.
The following information is required for Turbochargers through the SIB program:
Refer to SIS as your safe source for the most up-to-date troubleshooting information. Refer to Table 1 for the most
current available media.
Repair or Replacement of Hydraulic Components: Pumps, Motors, Control Valves
Hydraulic components are identified by a unique serial number which links the design, manufacturing process, and
material history to a specific pump, motor or valve. When available for failure data, these serial numbers enable a
complete and accurate root cause investigation critical to product problem management.
Please refer to the Hydraulic Component, HEUI & HEP Pump Job Aid at: warranty.cat.com under the Resource tab
for information about locating serial numbers and documentation requirements.
The following claim field information is required when claiming for a repair or replacement of hydraulic components, pumps,
motors, control valves, and HEUI & HEP Pumps:
 Enter the component serial number in the component serial number field in the claim.
 If the component does not have a serial number, follow the steps in the Job Aid to properly document.
NOTE: Claims that do not include the required serial number information as outlined above may be subject to full debit.
Additional Components
• Product LinkTM
• Cat Water Delivery Systems
• PACCAR Winches
• Cat® Detect for Personnel Products
Cat® Detect for Personnel products manufactured by SCAN~LINK™ are not covered by this bulletin. Refer to Bulletin 4.01.

Product Link, Cat Water Delivery Systems, and PACCAR Winches installed by the factory or dealer prior to delivery are
considered part of the base machine for warranty administration.
Components installed after the delivery date of the host machine are eligible for Parts Warranty. Refer to Bulletin 4.01 for
additional information.
Note: Product Link is NOT covered by the terms of components listed as Machine Control and Guidance. Some Product
Link models must be installed and maintained as to not be subjected to rain/water. Reimbursement for failure due to water
damage is not covered by warranty.
Other Manufacturer’s Engines and Major Components
Warranty service for the other manufacturer’s engines and major components installed in Cat Products must be
performed and administered by the local engine or component dealer including Deutz*, Hatz, Isuzu, MTU, John
Deere, Cummins, Mercedes, ABB Electric Motors used on Hydraulic Mining Shovels, and Weldco-Beales Boom
and Sticks installed on Cat Excavators.
*Exception: Deutz engines installed at the factory in Telehandler models sold on or after 01Jan14 are warranted
by Caterpillar as captive engines under standard machine warranty. All repairs must be made by the Cat dealer
and must use parts ordered through the Parts Distribution Center. For Telehandler models sold before 01Jan14,
refer to Bulletin 2.07.

➤ The following outlines the unique claim field information for machine standard warranty claims.
Delivery Date
• Delivered Machines – leave this field blank. The system automatically enters the date on file based on the serial
number.
• Non-Delivered Machines, New In-Transit Machine Repairs, System Contamination and Clean Up – Enter 00NIS00.
• HPU300 - type in delivery date
Product Identification/Serial Number
 Prime Products with Caterpillar serial number and PACCAR Winch – Enter prime product serial number.
 For HPU300 – Enter 99Z70015 - 12 Month/Unlimited hrs (ROW), 99Z70020 - 24 Month/2,000 hrs (Americas North).
 Serialized components – Enter serial number of the machine for which the component is installed.
 System Contamination/Clean Up – Enter machine serial number or attachment serial number if a new Cat serialized
work tool is determined to be the cause.
 Underground Mining Product/Work Tools – Enter the Underground Mining machine serial number.
 Cat Command for Underground (formerly MINEGEM™) – Enter the System/Product ID serial number on the
product identification plate, found on the Cat Command Underground system.
 Telehandlers – For standard warranty, extended coverage, and JLG service letters, enter the machine serial
number. For Caterpillar Service Letters for engine, power module, or transmission serial numbers, enter the engine/
power module or transmission serial number.
 Prentice – Enter the Caterpillar 3-digit serial number prefix listed in the chart on page 11, followed by the Prentice
5-digit serial number found on the Prentice serial number tag (i.e. WHA12345). Cat engines in Prentice machines
are captive engines and must be submitted against the machine serial number.
 Machine Control and Guidance Products without extended coverage:
 Enter machine serial number for systems that shipped with the machine from the factory.
 Enter 99Z00082 for retrofitted systems.
 Machine Control and Guidance Product with extended coverage:
 Enter the eight character serial number issued when the extended coverage was purchased.
 Expanded Mining Products:
 Enter the Caterpillar serial number, when available.
 If the Caterpillar serial number is not available, enter the cross reference serial number assigned to the
machine. A serial number cross reference list may be found on dealer.cat.com at the following link:
8 02.01-46 (11/19)
https://dealer.cat.com/en/ps/industry/mining/c/integration/serial-number-cross-reference.html.
 Note: For machines that were not assigned a Caterpillar cross reference serial number, contact the Product
Group to request a Caterpillar cross reference serial number. Refer to Product Group Warranty Contact
Information listed in this bulletin.
Description Code
• Enter the letter or numeric description code describing the failure, defect, or type of claim. Refer to Bulletin 1.08 for
a complete detailed list.
• Paint Repairs – Use 06 (Unsatisfactory Paint)
• System Contamination/Clean Up – Enter 62.
Part Number Causing Failure – Enter the Cat part number (PN) for the part that caused the failure. The following
requires an entry other than the Cat part number:
• New In-Transit Machines – If repair is due to failed battery which needs recharged, enter SP0072.
• Paint Repair – Enter the Caterpillar part that caused the failure. If the claim involves multiple part numbers, enter
the most representative part number, and include additional primary parts and components in the claim story.
• System Contamination/Clean Up – Not required.
• Hose Assemblies – Lowest part number in the hose assembly, if applicable, or the hose assembly number.
• PACCAR Winch – Enter the winch part number causing the failure.
• Expanded Mining Products:
• Enter the Cat part number that caused the failure, when available.
• If the part number that caused the failure is not a Cat part number, use a substitute part number that best
represents the part causing failure.
• For service letter:
• Issued via the legacy Bucyrus process, enter the substitute part number that best represents the part
causing failure.
• Issued via Caterpillar process, enter the PI or PS program number.
Group Number Causing Failure – Enter the Cat group number. The following require an entry other than the Cat group
number:
• Jewel Components – Enter SMCS code 771X
• Paint Repair – Enter the group number corresponding to the part causing failure.
• System Contamination/Clean Up
• 772T for Transmission
• 772H for Hydraulic System
• 772O for Other Oil Filled and Filtered Compartments
• Telehandlers – If the Cat group number is not available, enter the applicable group SMCS code available at
https://servicedata.cat.com/Home/SMCSInquiry.
• Machine Control and Guidance Product – Enter SMCS code 795X.
• Expanded Mining Products – If the Cat Group number is not available, enter the applicable group SMCS code
available at https://servicedata.cat.com/Home/SMCSInquiry.
• Hose Assemblies – Enter the hose assembly number or group number of the hose assembly, dependent upon the
part causing failure used.
Refer to Bulletin 1.06 for additional information on Substitute Group and Part Numbers.
Comments/Findings:
• Expanded Mining Products – When using a substitute part number as the part causing failure, enter the legacy
Bucyrus part number causing failure as follows “BU_ Legacy Bucyrus PN” (Example: BU_ 400879).
Product SMU (H/M/K) – Enter the machine hours.
• Expanded Mining Products – Enter the machine hours.
02.01-46 (11/19) 9
• For products with no hour meters, enter a number greater than number in previous repair.
Related Equipment Fields – The following require the use of such fields:
 Related Serial Number
 Other manufacturer’s product – Enter the serial number of the product.
 Forestry Heads – Enter the machine serial number.
 Paving Screed – Enter the screed serial number.
 Underground Mining Work Tools – Enter the work tool serial number.
 Machine Control and Guidance Products – Enter the serial number of the failed component (i.e.
MC0Q000706, 2123J009DM, etc.).
 HPU300 - Enter the serial number for 300.9D VPS Excavator.
 Component Serial Number
• For repair or replacement of Hydraulic Components, enter the component S/N. Refer to the Repair or
Replacement of Hydraulic Components section in this bulletin.
• HPU300 - Enter the serial number of the HPU300.
 OEM / Make
 For other manufacturer’s product, enter NONE.
 For Caterpillar product, enter CAT.
 Cab Type – Enter NO for all products.
Parts Expenses Detail:
 Expanded Mining Product:
 Warranty repairs may contain a mix of Cat and legacy Bucyrus part numbers. To claim expenses when Cat
part numbers are not available use a “parts summary expense line” OR “miscellaneous expense” to combine
on a single expense line of all of the legacy Bucyrus parts.
 Part summary line and miscellaneous expense “Total” field has an 8 position limit (999999.99) and the
“Rate” field has a 7 position limit (99999.99). The parts summary line can be repeated, as needed, up to 9
times and miscellaneous expense line can be repeated, as needed, up to 48 times to achieve the total claim
amount. Take into consideration parts uplift and currency exchange to determine the parts summary line and
miscellaneous expense amount.
 Cat part numbers:
 When Cat part numbers are available, claim Cat PN on detail line.
 Legacy Bucyrus part numbers
 Parts summary expense lines:
 Part uplifts (including T&I) are applied to part summary expense lines. Do NOT submit a separate
expense for parts uplifts when utilizing the parts summary expense line.
 Enter NUDF in the “Description” field.
Miscellaneous Expense Detail Line
• Forest product - All parts with Cat Forest Products part numbers must be claimed on one expense detail line as a
miscellaneous expense using description code “CFPPRT.”
• Expanded Mining Products:
• Part uplifts (including T&I) are NOT applied to miscellaneous expense lines. Therefore, a separate miscellaneous
line needs to be submitted for T&I and other parts uplifts.
• Enter in the “Description “ field:
• For parts: BUPRTS - Bucyrus Legacy Parts.
• For T&I and other parts uplifts: MISCTI - Misc. Code for Special T&I Situations.
Claim Story – In addition to the repair information following the four Cs format (complaint, cause, correction, and
complication), the following must be provided when applicable:
 Miscellaneous Parts – Enter the part numbers, quantities and part names for all parts claimed in miscellaneous
10 02.01-46 (11/19)
expense detail lines.

 Miscellaneous Expenses, Outside Invoices, etc. – justify all claimed expenses.
 Additional Requirements:
 Paint Repair – All associated SIMS reports must be documented with a picture of the failure.
➤  Photo Requirements
 Multi Terrain Loader with wheels require photos attached in SIMSi for wheel failures, including a photo of the
failure rubber wheel and an overall view of the adjacent wheels. Photos for rubber wheels (bogie and idler
wheel (roller)) on MTL/CTL failures must be uploaded in SIMSi. Claims submitted without pictures will be
returned to the dealer.
 New In-Transit Machine – Indicate this is an in-transit machine repair; include location of the machine. Provide
description of the repair, breakdown of costs, including part numbers, part quantities, labor hours, travel hours,
miles traveled and other expenses.
 Paint Repair – For components prone to paint damage from product operation such as buckets, ground engaging
tools, moving undercarriage components, truck bodies, or other components exposed to material abrasion or
contact, include the name of the Caterpillar representative who provided the approval.
 System Contamination/Clean Up – Justify the reason for opening the compartment, include the particle counter
or S•O•SSM particle count findings, and the method used for clean-up.
 PACCAR Winch – include the service hours on the machine, winch model number, and winch serial number.
 Machine Control and Guidance Products
 S/N of replacement part.
 Part/component name, number and serial number of the replacement part/component.
 Customer name and location.
 Original system installation date for system warranty or part warranty start date.
 System Type (i.e. MAS, Cat MineStar, Command, Command for Underground, Terrain, Fleet, Detect, Health,
Edge, etc.).
 Machine model and S/N: (i.e. R1700G, SBR, JLK, Machine and/or Component (Cat and other than Cat).
 Diagnostic data including fault codes present at the time of repair, event log details, codes, and hours.
 Expanded Mining Products
 Enter the legacy Bucyrus serial number, if utilizing cross-reference serial number to submit the claim.
 List the part numbers, part names, quantity and part cost at the reimbursable expense of the parts that were
claimed in the parts summary or miscellaneous expense lines. The summary of expenses noted in the claim
story must match the detail expense items claimed.
 List serial numbers for components included in the repair.
 For Service Letter issued via the legacy Bucyrus process, provide the Service Letter identifying program
number or name.
 Include DSN ticket number, if available.
 Include tons for products measuring warranty term in tons.
 Repair or Replacement of Hydraulic Components: Pumps, Motors, Control Valves
 If the component does not have a serial number, follow the steps in the Hydraulic Component, HEUI
& HEP Pump Job Aid to properly document.
 Hose Assemblies
 One claim must be submitted when multiple hoses fail due to the same part causing failure (i.e. clamp causes
hoses to rub) or when multiple hoses fail with a similar failure mode (i.e. blistering).
 Separate claims must be submitted when multiple hoses fail for unrelated reasons.

Expanded Mining Products

Effective 01May16, all product families in the Expanded Mining Products portfolio have transitioned to Caterpillar
standard warranty terms. Please refer to the claiming instructions for filing claims.
Please refer to bulletin 2.13 for Longwall and sold legacy products.
The table below provides a summary of the transition for the different product families.
Customer Terms
Product Line Dealer Reimbursement Claim Process
& Conditions
Transitioned.
Transitioned. Effective with sales on or
Transitioned. after 01Jun13. Effective with claim submitted on or after
Surface Drills
Effective with sales on or 01Jan14.
(Track Drills and Rotary Drills) Defective Part Stock claims submitted
after 01Jun13 Defective Part Stock claims submitted
on or after 01Jul14.
Transitioned.
Transitioned. Effective with sales on
Transitioned. or after 01Oct13. Effective with claim submitted on or after
MT Family Mining Trucks Effective with sales on or 01Jan14.
after 01Oct13 Defective Part Stock claims
Defective Part Stock claims submitted
submitted on or after 01Jul14.
Transitioned.
Transitioned. or after 01Jan14. Effective with claim submitted on or after
Hydraulic Shovels Effective with sales on or 01Jan14.
after 01Jan14 Defective Part Stock claims
Transitioned.
Transitioned. or after 01Feb14. Effective with claim submitted on or after
Draglines Effective with sales on or 01Jan14.
after 01Feb14 Defective Part Stock claims
Transitioned.
Transitioned. or 01Jun15. Effective with claim submitted on or
Electric Rope Shovels Effective with sales on or after 01Jan14.
after 01Jun15 Defective Part Stock claims
submitted on or after 01Jul14. Defective Part Stock claims
Room and Pillar:
Face Haulage, Continuous Transitioned.
Haulage, Scoops, Feeder Transitioned. Effective with sales on
Transitioned. or after 01No14. Effective with claim submitted on or after
Breakers, Roof Bolters, Roof
Effective with sales on or 01Jan14.
Support Carriers, Continuous Defective Part Stock claims
after 01No14 Defective Part Stock claims submitted
Miners, Mine Bolters, Load Haul submitted on or after 01Jul14.
Dumps, Shield Trailer, & Highwall on or after 01Jul14.
Miners
Transitioned.
Transitioned. or after 01Mar15. Effective with claim submitted on or after
Hard Rock - Mover and Feeder Effective with sales on or 01Jan14.
after 01Mar15 Defective Part Stock claims
submitted on or after 01Jul14. Defective Part Stock claims submitted
Transition Definitions
Customer Terms & Conditions - Transitioned indicates use of Caterpillar Limited Warranty Statements. Standard
and applicable “special” terms will be accessible in SIMSi.
Dealer Reimbursement - Transitioned indicates reimbursement per Caterpillar’s Global Warranty Service Guide.
Any product specific policies and requirements will be documented in this or in other bulletins of the global guide.
Claim Process - Transitioned indicates use of the Caterpillar Service Claim System.
12 02.01-46 (11/19)
Expanded Mining Products - Product Group Warranty Contact Information

Warranty Administration Help: Expanded Cat Mining Products Claims are administered by the Product Groups.
Effective 01Jan14, all warranty questions related to claim administration, including assignment of additional cross
reference serial numbers, changes to principle work code and/or delivery/sale dates, should be submitted to the warranty
contact listed below.
For escalation of concerns: Contact your Global Mining Representative.
Expanded Mining Product Group Contacts

Product Group Name Phone E-mail
Surface Drills Tammy Price +1 (903) 786 6412 price_tammy@cat.com
MT Family Mining Trucks Paul Hanrahan +61 7 4963 3525 Hanrahan_Paul@cat.com
Hydraulic Shovels Warranty Service Desk (WSD)
Draglines & Electric Rope Shovels Michele Nice +1 520 917 1373 Warranty-ERS-DGL@Cat.com
Room and Pillar Matthew Cornell +1 (724) 743 1499 Cornell_Matthew_D@cat.com

and Highwall Miner
Gregory McCoy +1 (724) 743 1579 McCoy_Gregory@cat.com
Hard Rock
Dirk Orlowski +49 2306 709 2651 Orlowski_Dirk@cat.com
Mover and Feeder
02.01-46 (11/19) 13
Forest Products
Caterpillar Serial Engine Notes:
Brand Model
Number Prefix Repairs  *Contact Cummins for
TK381 WHB information regarding warranty
TK711 101 terms, coverage, and claim
Timberking Caterpillar submission, as these engines
TK722 103
TK741 202 are not warranted by Caterpillar
501 501 Forest Products.
501HD 502  For claim questions on Forestry
519 519 models that are not listed in
529 529 this model chart, please contact
534 PKX Global Warranty using the
544 544 Warranty Service Desk.
550 550
553 399
559 559
559B PBH
Caterpillar Caterpillar
563 563
564
564
106
569 569
573 573
574
574
107
584 108
584HD 109
579 579
2090 THA Caterpillar
2124 PKD n/a
2180 PKC Cummins*
2190 THB Caterpillar
2210 PKF
Cummins*
2280 PKH
2344 FWD
Caterpillar
2346 FWB
2384 PKJ
2384B PBF
2410 PKK
Prentice 2414 PKL Cummins*
2430 WSD
2432 WSC
2470 WFA
2510 WHA
2546 FWC Caterpillar
2548 FWE
2570 WFB
2664 SPB
2670 WFE Cummins*
2764 SPE
2864 SPF
14 02.01-46 (11/19)
SERVICE
Machine
GWTS and BCP Work Tools
Overview
This bulletin provides information regarding warranty periods, scoring requirements, and claiming practices for
GWTS (Global Work Tools & Services) and BCP (Building Construction Products) work tools. Warranty applies to
GWTS and BCP work tools sold with a new machine or separately for installation on a new or used machine.
GWTS work tool products include:
• Former Balderson, Inc.
• Cat® Work Tools Services (CWTS)
• Cat Forest Products
• SATCO branded Harvesting and Felling Heads
• Hydraulic Excavator Development Center (HEDC) buckets
Work Tool products manufactured by BCP include applications on the following machines:
• Compact wheel loaders
• Mini-hydraulic excavators
• Skid steer loaders
• Multi terrain loaders
• Compact track loaders
• Backhoe loaders
• Small wheel loaders
➤ When this Bulletin Does Not Apply
1. Caterpillar Standard Machine Warranty covers work tools on the following machines:
• Underground Mining
• Skidder Grapples
• Mini Hydraulic Excavator Blades
• Track Type Tractors
• Cat Branded Telehandlers manufactured by JLG and sold or delivered to the first user on or after
January 1, 2014*
Refer to Bulletin 2.01 for additional information.
*Refer to Bulletin 2.07 for tools on select JLG machines sold or delivered to the first user prior to January 1, 2014.


1
2. Once the Standard Machine warranty, Work Tool warranty, or Parts warranty expires, certain designated GET
(Ground Engaging Tools) components are warranted for breakage by GET warranty.
Refer to Bulletin 4.03 for additional information.
Note: For information about how to file a Work Tool Claim, refer to the decision chart on page 10. If additional
assistance is required, refer to the training presentations on the Global Warranty website at
https://warranty.cat.com/en/resources0/education.html.
➤ Dealer Repair Expense Reimbursement
Dealer reimbursement for repair expenses related to all work tools is per the Summary of Reimbursement Practices
chart below, in accordance with applicable reimbursement practices as outlined in Bulletin 1.02, and with the
applicable warranty statement at https://warranty.cat.com/currstmts.
Work Tool Warranty Summary of Reimbursement Practices

Repair Expense Allowance & Rate
Repair Labor (only before delivery) Reimbursable, at cost labor rate
Salvage Labor
Note: Removing and installing a welded-on cutting Reimbursable at cost labor rate, if justified
edge is not considered Salvage Labor.
Shop Supplies Not reimbursable as an itemized expense
Overtime Labor Rate, Travel Time & Mileage, Meals
& Lodging, Freight Charges, Hauling Costs and Not reimbursable
Outside Repair Expenses
Mini Hydraulic Excavator, Skid Steer Loader, Compact Track & Multi-Terrain
Loader Work Tool Warranty Summary of Reimbursement Practices1
Parts Reimbursable at D/N + 10%.
Repair Labor Reimbursable, at cost labor rate
Salvage Labor Note: Removing and installing a
welded-on cutting edge is not considered Salvage Reimbursable at cost labor rate, if justified
Labor.
Overtime Labor Rate, Travel Time & Mileage, Meals
& Lodging, Freight Charges, Hauling Costs and Not reimbursable
1 Effective with sales on/after 01Jan19 for designated Building Construction Product Work Tools sold in USA or Canada for and used
solely on Mini Hydraulic Excavators, Skid Steer Loaders, or Compact Track and Multi-Terrain Loaders with a 24 month warranty period;
refer to pages 7 & 8 for additional work tool coverage charts information.
Note: Snow products with 24 month warranty and other Work Tools that are used on other Building Construction Products than Mini
Hydraulic Excavators, Skid Steer loaders, or Compact Tract and Multi-Terrain Loaders are not eligible for reimbursement per this chart.

Warranty For Parts / Tool Replacement Under Work Tool Warranty

Parts replaced under Work Tool warranty terms are covered by Work Tool warranty for the remainder of the
original Work Tool warranty period. Warranty for these parts cease when the original Work Tool warranty period
expires, regardless of when parts were replaced.
For parts information, refer to the parts literature that was shipped with the Work Tool, SIS Web at https://sis.cat.com,
or the Cat Work Tools Technical Publication for Custom Work Tools Web page at http://64.22.192.186/CWT.
If a Work Tool is replaced under the terms of the original Work Tool warranty, then a new warranty period begins
for the replacement tool and commences upon receipt by the customer.
02.02-31 (01/19) 3
GWTS Section
The charts on pages 3-6 detail the warranty periods, SCORING requirements, and claiming practices for GWTS
Work Tool applications.
GWTS Work Tools - Warranty Period and Scoring Requirement Chart

SCORING
Warranty SCORING
Product Not Starting Warranty Coverage
Period Required
Required
Compactors - Plate (Hydraulic) X
To start warranty coverage for work tools
Crushers X required to be reported in the SCORE system,
Cat Felling Heads X dealers must do the following:
Cat Harvesting Heads X • Record the sale of these work tools in the
Caterpillar sales reporting system SCORE
Grapples - Demolition X (Sales Configuration Owner Report System),
Grapples (Forestry) X and
• Perform a delivery service and submit to
Hammers (Hydraulic) X
Caterpillar the Delivery Service Record
Mulcher 12 months X information.
Multi-Processors All Except Jaws • If shipment information is missing from
SIMSi on SCORED Work Tools, contact
Pulverizers X
Global Sales Reporting at Global_Sales_
Rotary Ax X Reporting@cat.com for assistance.
Saw X
Note: For hydraulic hammers, dealers must
Shears X also fill in the information on the Warranty
Tilt Rotators X Registration Form included in the literature
packet that is delivered with the hammer.
Trailer (Forestry) X Dealers must keep on file the completed
SATCO Branded Felling Heads* X Warranty Registration Form to support any
12 months/
service claims, if requested by Caterpillar.
SATCO Branded Harvesting Heads* 2000 hours X
Blades X
Buckets X
Couplers - Quick X For work tools not required to be reported in the

Delimbers X SCORE system, please follow these sales and
delivery reporting rules:
Forks X
• Dealers are not to record the sale of these
Grapples (Construction) X
work tools in the Caterpillar sales reporting
Hydraulic Kits X system SCORE.
Material Handling Arms X • Dealers have the option to perform a delivery

12 months service and submit to Caterpillar the Delivery
Mounting Bracket (Hydraulic) X
Service Record Information.
Multi-Processors Jaws
• To start warranty coverage, dealers must
Rakes - Rock or Root X enter the customer name, address and the
delivery date information of the tool into
Rippers X
SIMSi in the Customer Name & Address
Scoops X screen.
Scrapers X Note: If the shipment information is missing from
Slashers X SIMSi on non-SCORED Work Tools, contact
the Warranty Service Desk for assistance.
Thumbs X
Snow Product Tools, Lift Groups,

24 months X
Plows & Wings
*SATCO warranty is effective with sales to the first user on or after 01Jan 2014.

GWTS Work Tools - Warranty Period and Scoring Requirement Chart - Continued
Warranted for breakage only throughout their useful life. Once the initial work tool warranty
or parts warranty has expired, refer to special instruction REHS7080 for measuring wear on
Base Edge Assemblies Bucket Base Edges. Dealers will be reimbursed at the dealer net price of the failed edge,
less the percentage of usable wear material that has worn away. Please refer to the Claim
Story section on page 6 for wear measurement information requirements.
Compacting Plates
Crusher Knives
Crusher Teeth
Forestry Knives
Hammer Tool Points
Pulverizer Knives
Pulverizer Teeth Not Warranted
Rotary Ax Blade
Saw Bar
Saw Blade
Saw Chain
Saw Teeth
Shear Cutting Knives
02.02-31 (01/19) 5
Forestry Work Tools

Caterpillar Serial
Brand Model Type
Number Prefix
Prentice 320 Delimber-LF DL5
Prentice 320 Delimber-SF DL6
Prentice 426 Delimber-LF DL7
Prentice 426 Delimber-SF DL8
Prentice 4045 TW Grapple GRY
Prentice 4548 SN Grapple GL3
Prentice 4548 SN Grapple GP2
Prentice 4548 SN Grapple GRM
Prentice 5055 TW Grapple GP3
Prentice 5055 TW Grapple GL2
Prentice 5055 TW Grapple GRX
Prentice 48DHL Trailer -P TL2
Prentice 50DHL Trailer_NS-P TL3
Prentice 50DHLS Trailer_S -P TL4
Cat BR624 Rotary Ax HM3
Prentice C742 W Grapple GRZ
Prentice C848 W Grapple GP4
Prentice D45HD Trailer -E TL6
Prentice D48HD Trailer -E TL7
Cat HF201B Saw Head A52
Prentice HH44 Harvestor Head RMB
Cat HM825 Rotary Mulcher A67
Prentice KB45D Trailer -P TL8
Prentice KB48D Trailer -P TL9
Prentice MD-250 Rotary Mulcher HM2
Prentice MR-244 Rotary Ax H4X
Prentice MR-244 Rotary Ax A75
Prentice PF-48 Harvester Head RLY
Prentice SC-57 Saw Head PAW
Prentice SC-57 Saw Head A27
Prentice SH50 Saw Head HZX
Prentice SH56B Saw Head PYW
Prentice SH56B Saw Head A82
Prentice SS56 Saw Head HZW
Prentice SS56 Saw Head 112
6 02.02-31 (01/19)
GWTS Claim Field Requirements

Serial Number Enter the 8-digit Cat Serial Number
- Prentice/Cat (Forestry) - Enter the Caterpillar 3-digit serial
Products with 8-digit Cat number prefix listed in the chart on page 5, followed by the
Serial Number Prentice/Cat 5-digit serial number found on the work tool serial
number tag. (i.e. WHA12345). All work tools claims should be
filed against the work tool serial number.
Use 99Z70003 for:
- Non-serialized Work Tools with CWTS-A/AP or CWTCL on the
serial number tag
- Boom Lines Kits and Brackets without a serial number tag
- Hydraulic Excavator buckets with 9-digit ID starting with 84EX
on the serial number tag
Products without 8-digit Cat
- Buckets with BoksBurg on the serial number tag
Serial Number*
Use 99Z70406 for:
- Non-serialized Work Tools with Netherlands or CWTS-E on the
serial number tag
Use 99Z00015 for:
- Work Tools installed on competitive machines (excluding those
with an 8-digit Cat S/N)
Delivery date In-Service Leave blank - system will populate field with SCORED products
Not In-Service Enter 00NIS00
Part No. Causing Cat Part Number Enter the 7-digit Cat part number
Failure
Other than Cat Part Number Substitute part number, per Bulletin 1.06
Group No. Cat Group Number Enter the 7-digit Cat Group number
Other than Cat Group Number Enter special group number from chart on page 9
Product Hr/Mi/Km Not required Leave Blank
Findings/Comments In all cases Enter brief description of the failure
Related Serial No. Field If available Enter the machine serial number
Miscellaneous Expense ID - enter M, for miscellaneous.
Expense Detail Line
Qty - enter “1.”
Part Name/Expense Description
- Use when part numbers are - Enter CFPPRT for Cat Forest products
not in the Cat Parts System. - Enter BDPRTS for Balderson parts
- Use one line per part brand. - Enter CATPRT for Cat parts, OR
- Enter OTHER for other manufacturer’s parts
Cost Total
- Enter the total dollar value of all the part numbers claimed on the
miscellaneous expense line
Claim Story Dealer Solution Network (DSN) ticket number, when
applicable.
For each part on the miscellaneous expense detail line, list the
following:
- part numbers - part names
Include complaint, cause,
- quantities - dealer net price
correction, and complication
information in addition to For Base Edge claims only:
these requirements. - Provide wear measurements taken per REHS7080
- Note if tool was applied in Light, Moderate, or Severe conditions
Attach pictures of failure in SIMSi and reference them to the work
tool serial number or the Caterpillar claim number. Add the picture
number reference to the claim story.
*When using a 99Z number, include an explanation in the claim story as to why the Work Tool serial number could not be
not used and attach photo of the location of the missing serial number plate or plate that shows no valid Cat serial number.
02.02-31 (01/19) 7
➤
BCP Section
The charts on pages 7-9 detail the warranty periods, SCORING requirements, and claiming practices for BCP
Work Tool applications.
Building Construction Products Work Tools Warranty Period Selection Chart

SCORING
SCORING Not Required -
Product Warranty Period Starting Warranty Coverage
Required Delivery Date
Is Required
Augers X
Backhoe X
Box Blade X
All Except
Brooms
SA25 & SA30
Brushcutters X
Cold Planers X
To start warranty coverage for work
Compactors - Plate tools required to be reported in the
X SCORE system, dealers must do the
(Hydraulic)
following:
Hammers (Hydraulic) X
• Record the sale of these work tools in
Landscape Rakes X
the Caterpillar sales reporting system
Landscape Tillers X SCORE (Sales Configuration Owner
12 months Report System), and
Mixing Buckets X
Mowers X • Perform a delivery service and submit
to Caterpillar the Delivery Service
Mulchers X Record information.
Power Box Rake X
• If shipment information is missing
Shears X from SIMSi on SCORED Work Tools,
contact Global Sales Reporting at:
Side Discharge Buckets X
Global_Sales_Reporting@cat.com for
Silage Defacer X assistance.
Stump Grinder X
Trenchers X
Vibratory Compactor X
Wheel Saws X
24 months
Snow Blowers X
(Eff. 01Jan10)

Building Construction Products Work Tools Warranty Period Selection Chart cont.
SCORING
SCORING Not Required -
Product Warranty Period Starting Warranty Coverage
Required Delivery Date
Is Required
Bale Grab X
Bale Spears America’s North: X
• Tools used solely
Blades on Mini Hydraulic X
Excavators,
Brooms (Hydraulic) SA25 & SA30
SSL/MTL/CTL
Buckets -24 months (Eff X
01JAN2019).
Compaction - Wheels
(Mechanical) X
• Tools used on all
Couplers - Quick other BCP products X BCP Work Tools that are not required
-12 months. to be SCORED and are not required
Fork Carriages X to be registered.
Grapples Rest Of World X
(ROW):
Material Handling Arms -12 months X
Thumbs X
Snow Push 24 months X

Snow Plow (Eff. 01Jan10) X
Warranted for breakage only throughout their useful life. Once the initial work tool
warranty or parts warranty has expired, refer to special instruction for measuring wear
Base Edge on Bucket Base Edges. Dealers will be reimbursed at the dealer net price of the failed
Assemblies
edge, less the percentage of usable wear material that has worn away. Please refer to
the Claim Story section on page 9 for wear measurement information requirements.
Compacting Plates
Hammer Tool Points Not Warranted
Shear Cutting Knives
For the CCE Work Tool hydraulic line’s quick connect/disconnect components, the warranty period is 3 months
starting from the date of delivery or sale to the first user.
For the CCE Machine hydraulic line’s quick connect/disconnect components on Compact Wheel Loaders, Mini
Hydraulic Excavators, Skid Steer Loaders, Multi Terrain Loaders and Compact Track Loaders, the warranty period
is 50 hours to the first user.

➤
BCP Claim Field Requirements
Serial Number SCORED Work Tools Enter the 8-digit Cat Serial number
Non SCORED Work Tools and Work
Tools without Serial Numbers* sold
on/after 01Jan19 for use solely on
Enter *99Z70013
Mini Hydraulic Excavators, Skid Steer
Loaders, Multi Terrain Loaders and
Compact Track Loaders.
Non SCORED Work Tools and Work
Tools without Serial Numbers* sold Enter *99Z70011
on/after 01Jan19 on Backhoe Loader,
Small Wheel Loader, or Compact Wheel *When using a 99Z number, include an explanation in
Loader, in addition to MHE, SSL, MTL the claim story as to why the Work Tool serial number
& CTL products. Applies to all Non could not be not used and attach photo of the location
SCORED Work Tools and Work Tools of the missing serial number plate or plate that shows
without Serial Numbers sold prior to no valid Cat serial number.
01Jan19.
Delivery date SCORED - In-Service Leave blank
SCORED - Not In-service
Enter 00NIS00
Not SCORED - Not Delivered
Not SCORED - Delivered or Sold Enter the date the product was delivered or sold
Part No. Causing Cat Part Number Enter the 7-digit Cat part number
Failure
Other than Cat part Number Substitute part number, per Bulletin 1.06
Group No. Cat Group Number Enter the 7-digit Cat Group number
Other than Cat Group Number Enter special group number from chart on page 9
Product Hr/Mi/Km Not required Leave Blank
Findings/Comments SCORED Work Tools Enter brief description of the failure
Use the Other than Cat Work Tool Serial Number, if
Non-SCORED Work Tools available
where 99Z number was used in Serial
Number field If the Other than Cat Work Tool Serial Number is not
available, leave blank
Related Serial Number
Provide, if applicable Enter the machine serial number or leave blank
Field
Miscellaneous Expense Expense ID - enter M, for miscellaneous.
Detail Line
Qty - enter “1.”
- Use when part numbers are not in the Part Name/Expense Description
Cat Parts System.
- Enter CATPRT for Cat parts, OR
- Use one line per part brand. - Enter OTHER for other manufacturer’s parts
Cost Total - Enter the total dollar value of all the part
numbers claimed on the miscellaneous expense line
Claim Story Dealer Solution Network (DSN) ticket number, when
applicable.
For each part on the miscellaneous expense detail
Include complaint, cause, correction, line, list the following:
and complication information in addition - part numbers - part names
to these requirements. - quantities - dealer net price
Attach pictures of failure in SIMSi and reference
them to the work tool S/N or the Cat claim number. In
the claim story, note the picture number reference.

Cat Work Tools - When to Use Special Group Numbers

In some cases when there is not a valid Cat group number for the part causing failure, a Special Group Number
can be used. This chart of Special Group Numbers applies for both GWTS and BCP Work Tool claims.
®
Special Group Numbers For Cat Work Tools
Product Special Group No.
Blades 6060
Brooms - Hydraulic 6335
Buckets 6101
Couplers - Quick 6522
Crushers 6346
Forestry
Delimbers
Felling Head
Forks
Grapples
Land Clearing Tools 6321
Mulcher
Rotary Ax
Saw
Slashers
Trailer-Forestry
Forks 6136
Grapples 6307
Mounting Brackets - Hydraulic 7764
Hammers - Hydraulic 6333
Hydraulic Kits 5057
Material Handling Arms 6542
Multi Processors 6344
Pulverizers 6345
Rakes - Rock or Root 6055
Scoops 6060
Scrapers 6201
Shears 6344
Snow Product Tools
Lift Groups 6158
Plows & Plow Wings
Thumbs 6547
Other 6300
02.02-31 (01/19) 11
➤
How To File A Work Tool Claim
November 2018, version 16
Does the Work Tool have a valid File claim against Work Tool S/N, per
Caterpillar Serial Number (S/N)? Warranty Bulletin 2.02
No
Is Work Tool attached to a JLG

machine sold or delivered prior to Refer to Warranty Bulletin 2.07
January 1, 2014?
No
If no valid Caterpillar S/N, is Work Tool

attached to Mortor Grader, TTT, Skidder File claim against machine S/N, per
Grapple, or a JLG machine sold or Warranty Bulletin 2.01
delivered on/after January 1, 2014?
No
If no valid Caterpillar S/N and is File claim using 99Z70011, or

Work Tool attached to BCP? 99Z70013 per Warranty Bulletin 2.02
No
If no valid Caterpillar S/N and S/N plate File claim using 99Z70406, per
includes Netherlands or CWTS-E. Warranty Bulletin 2.02
No
If no valid Caterpillar S/N and Work File claim using 99Z00015, per
Tool is on a competitive machine? Warranty Bulletin 2.02
No
If no valid Caterpillar S/N and none of File claim using 99Z70003, per
the above applies. Warranty Bulletin 2.02

SERVICE
Machine
Caterpillar OEM Solutions Products

Sold by Caterpillar OEM Solutions Group
➤ This bulletin addresses the Caterpillar OEM Solutions products sold to Original Equipment Manufacturers (OEM)
by Caterpillar OEM Solutions Group
• For Cat Locomotive Power Train, refer to Bulletin 3.28.
• For Caterpillar OEM Solutions Group products sold direct to customer through the Cat Dealer, refer to
bulletin 2.01.
• For Cat components sold as stand alone components to other equipment manufacturers, refer to Bulletin 4.01.
Overview
Caterpillar OEM Solutions Group provides products and services to OEMs by offering a wide range of configuration
options to meet the needs of the OEM. Product offerings are created by Caterpillar OEM Solutions Group
working with the OEM to meet the needs of their projects/products. The unique product offerings can vary greatly
and include standard Cat parts, components, systems, and partial machines to items specifically designed and
manufactured by Caterpillar OEM Solutions Group to meet the OEM’s requested configuration.
The prime products offered by Caterpillar OEM Solutions Group may be sold directly by Caterpillar OEM Solutions
Group or through Cat Dealers to the OEMs. The type of sales distribution affects Dealer Reimbursement. Please
refer to the Dealer Reimbursement section of this bulletin for more details.
Warranty Terms
Caterpillar OEM Solutions products sold directly through the Caterpillar OEM Solutions Group and prime product
serialized are warranted against defects in material and workmanship for 12 months/unlimited hours to the first
user. Products sold directly through OEM Caterpillar OEM Solutions group that are not prime product serialized
receive a 12 months standard parts warranty.
Caterpillar OEM Solutions Product Examples

Examples of the unique products provided by Caterpillar OEM Solutions Group can be found in OEM products
like cranes, slab haulers, coal haulers, steel mill slag pot carriers, forestry machines, and foundation drills.
Caterpillar OEM Solutions Product Configuration and Assembly

The components that compose a specific Caterpillar OEM Solutions product are sold to the OEM as separate
components for assembly by the OEM or as a partial machine assembled by Caterpillar. A complete product


1
configuration for any power module may be obtained by using Service Information Management System (SIMSi).
The complete Bill of Material may be obtained by using the Technical Marketing Information (TMI) system.
Cat OEM Power Modules

Cat OEM Power Modules consist of an engine and one or more other powertrain components such as a
transmission, torque convertor, axle or final drive. It may also include the vehicle frame, cooling system,
undercarriage and other non-powered components.
Undercarriage
Caterpillar OEM Solutions Group undercarriage consists of an undercarriage package that
1) When sold as a standalone undercarriage, the unit is provided a Caterpillar OEM Solutions Group serial
number and carries a parts warranty (12 months/unlimited hours, parts only at D/N; please refer to Bulletin
4.01)
2) When sold through a partial machine sale in the machine’s bill of materials, the partial machine is
serialized through Caterpillar OEM Solutions Group and receives the Caterpillar OEM Solutions standard
warranty. Claim using the partial machine serial number for these products and include the undercarriage
serial number in the claim story.
Specialty Order – Major System and Components Configuration

Caterpillar OEM Solutions Group offers a Specialty Order to OEM. This product is provided a Caterpillar OEM
Solutions Group Serial number and includes the requested consist of major systems and components per the
OEM order.
Partial Machines
Caterpillar OEM Solutions Group partial machines consist includes the top and/or bottom of a particular
machine, yet not the whole standard machine. The product consist is per the agreement with each OEM, and
may contain Caterpillar specialty content specifically created for the OEM.
Post Delivery Service Inspection

When the OEM sells a machine or vehicle to an end user, the OEM registers the machine or vehicle with
Caterpillar. Caterpillar then notifies the local Cat dealer and provides the serial number and arrangement number
sold into the dealer’s territory. After notification, the Cat dealer may perform an optional post-delivery inspection
of the Caterpillar OEM Solutions product. The Cat dealer is reimbursed up to 2 hours labor to perform the
inspection, including travel time and mileage. If a problem is found, a pre-delivery repair claim can be submitted.
Caterpillar OEM Solutions Product Serial Numbers

The Cat power module serial number contains a unique Caterpillar serial number prefix. The serial number may
be stamped on an identification number plate attached to the OEM product or located in the cab of the machine.
The power module serial number is the number that must be used when submitting all service reports and
service claims to Caterpillar.
1. When the 4C-1456 identification plate is inside the cab or attached to the machine, the 8 character serial
number shown on the Power Module row takes precedence over any other serial number and must be
used for all warranty registration and claim purposes for the Caterpillar OEM Solutions product. Refer to
Illustration 1 on page 3.
2. If the 4C-1456 identification plate is NOT inside the cab or attached to the OEM machine, there is a 17
character Caterpillar Product Identification Number plate. This plate is inside the cab of the machine or
vehicle. The last 8 characters of the 17-character Product Identification Number make up the Caterpillar
OEM Solutions product serial number. When the 4C-1456 identification plate is NOT present, the
8-character serial number is used for all warranty registration and claims. Refer to Illustration 3 on page 4.
2 02.03-06 (04/18)
Illustration 1. 4C-1456-8 Identification Number Plate
XXX12345
Illustration 2. 4C-1456-12 Identifcation Number Plate.
Illustration 3. Serial Number for registration

i t ti andd claims
l i if no 4C
4C-1456
1456 plate
l t
02.03-06 (04/18) 3
The Serial Number is the last 8 digits

of the Product Identification Number.

Dealer reimbursement covers repair expenses related to Caterpillar OEM Solutions products and components
sold to an OEM. When the Cat dealer does not participate in the initial product sale, the reimbursement practice
allows the repairing Cat dealer to profit when performing warranty service. The intent is to reimburse the Cat
dealer above warranty standard rates, as shown in the Summary of Reimbursement Practices chart found
below, in accordance with reimbursement practices as outlined in Bulletin 1.02, and with the applicable warranty
statement at https://warranty.cat.com/currstmts.
Summary of Reimbursement Practices

Parts Reimbursable at M
Service Items Reimbursable at M, if made unusable
Repair Labor Reimbursable at selling labor rate
Salvage Labor Reimbursable at cost labor rate
Travel Time & Mileage Reimbursable
Meals & Lodging, Outside Repair Expenses Reimbursable at cost
Freight Charges from Caterpillar Reimbursable, if justified
Hauling Costs, Shop Supplies, Overtime Labor Rate Not Reimbursable
The reimbursement practices above do not apply when a Caterpillar serialized product is sold by a Cat dealer
to an end user or when a Caterpillar serialized power module contained within an OEM’s completed machine is
sold by a Cat dealer to an end user. Caterpillar Machine Standard Warranty reimbursement applies in both of
these situations, for the serialized Cat content. Refer to 2.01 for additional information.
4 02.03-06 (04/18)

The following is the unique claim field information required when submitting a warranty claim:
PRODUCT ID/SERIAL NO. Enter the Caterpillar OEM Solutions product serial number
Caterpillar OEM Solutions product delivered to a customer -
leave blank
DELIVERY DATE Caterpillar OEM Solutions product in OEM dealer inventory (not
sold or delivered to a customer) - enter “00NIS00.”
Caterpillar OEM Solutions product in factory OEM inventory and
Cat dealer repaired - enter “00IFI00.”
Post delivery service inspection - enter 7590
GROUP NUMBER
All others - enter the Cat group number of the part causing the
failure
Type of machine or vehicle the Caterpillar OEM Solutions product
is installed in
CLAIM STORY
List undercarriage serial number when included in an OEM
In addition to complaint, cause, correction
Solutions partial machine
and (if applicable) complication, the claim
story must also contain the following: Post Delivery Service Inspection - when labor exceeds the
customary two hours, an explanation of the circumstances
causing additional labor hours must be provided
Aged Inventory and Caterpillar Limitation of Liability

Effective December 1, 2002, power modules not put into service by the OEM within 2 years (24 months) of the
ship date from Caterpillar OEM Solutions Group will not be considered for new warranty. This date refers to the
“ship date” that appears on the Caterpillar SIMSi.
When a Caterpillar OEM Solutions product not covered by Caterpillar’s new product warranty is sold to an
end user, the OEM shall not give the customer the Caterpillar Warranty statement that applies to new product.
Instead, the OEM shall provide the customer the Caterpillar Limitation of Liability containing the language below:
Caterpillar Limitation of Liability

User has been informed prior to purchase that this Caterpillar OEM Solutions product was shipped from the Caterpillar
factory more than two (2) years before User’s purchase. User accepts the Caterpillar OEM Solutions product “AS IS,”
WITH ALL FAULTS. CATERPILLAR makes NO WARRANTIES, EXPRESSED OR IMPLIED WITH RESPECT TO THE
CAT CATERPILLAR OEM SOLUTIONS PRODUCT, AND CATERPILLAR EXPRESSLY DISCLAIMS ALL WARRANTIES,
INCLUDING ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. User acknowledges
that Caterpillar has not made and does not hereby make any representation, warranty, or covenant with respect to the
merchantability, condition, quality, description, durability or suitability of the Caterpillar OEM Solutions product in any
respect or in any connection with or for the purposes and users of the User.
CATERPILLAR IS NOT RESPONSIBLE FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES.
As it is not Caterpillar’s normal practice to sell products without any warranty, expressed or implied, it is
ABSOLUTELY ESSENTIAL that the Caterpillar Warranty Limitation of Liability language, as shown above,
is made a part of your contract of purchase with your customer and that this is documented. This warranty
limitation applies to all serial-numbered Caterpillar OEM Solutions product regardless of distribution channel.
The form on the following page must be used by the OEM to document the customer’s acceptance of the
Warranty Limitation of Liability. One copy of the completed form should be provided to the customer, one
retained for OEM files, and one returned to Caterpillar OEM Solutions Group at the following address:
02.03-06 (04/18) 5
Caterpillar OEM Solutions Group

300 Hamilton Blvd, Suite 101
Peoria, IL 61629-1900 USA
ATTN: Warranty Division
oemsolutionswarranty@cat.com

User has been informed prior to purchase that this Caterpillar OEM Solutions product was shipped from
the Caterpillar factory more than two (2) years before User’s purchase. User accepts the Caterpillar OEM
Solutions product “AS IS, WITH ALL FAULTS.” Caterpillar makes NO WARRANTIES, EXPRESSED OR
IMPLIED WITH RESPECT TO THE CATERPILLAR OEM SOLUTIONS PRODUCT, AND CATERPILLAR
EXPRESSLY DISCLAIMS ALL WARRANTIES, INCLUDING ANY WARRANTY OF MERCHANTABILITY OR
FITNESS FOR A PARTICULAR PURPOSE. User acknowledges that Caterpillar has not made and does not
hereby make any representation, warranty, or covenant with respect to the merchantability, condition, quality,
description, durability, or suitability of the Caterpillar OEM Solutions product in any respect or in any connection
with or for the purposes and users of the User.
CATERPILLAR IS NOT RESPONSIBLE FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES.
OEM Solutions Product Serial No. _______________________

OEM Serial No. _______________________
Dealer Code ________________________
Customer or User Name _________________________

Address _________________________
_________________________
Date __________
____________________________ ________________________________
(Customer Signature) (Dealer Representative Signature)
6 02.03-06 (04/18)
SERVICE
WARRANTY BULLETIN Global (excludes CIS)
Machine
➤
Large Mining Truck (LMT) Bodies
➤ Overview
This bulletin covers warranty reimbursement and claim submission instructions for Large Mining Truck (LMT)
Bodies installed as an original or replacement structure for products sold in regions other than the Commonwealth
of Independent States (CIS).
➤ Warranty Period
LMT Bodies are covered by standard machine warranty for the first 12 months. During this period, reimbursement and
claim submission guidelines are as outlined in Warranty Bulletin 2.01.
After the standard machine warranty expires, LMT Body warranty applies and remains in effect for an additional 24
months. Reimbursement and claim submission instructions for this prorated warranty is outlined in this bulletin.
Note: LMT bodies sold in CIS, and 769-777 Off-highway truck bodies are excluded from this additional warranty. These
truck bodies are covered by standard machine warranty only, refer to Warranty Bulletin 2.01 for reimbursement and
claim submission guidelines.
Warranty Coverage Conditions

To maintain warranty coverage, the truck body must have scheduled and documented inspections and weld repair
history, per the warranty statement. Maintenance weld repairs are not covered under this warranty. Cracks found
during routine inspections must be repaired promptly at the customer’s expense, as part of normal maintenance.
If a Caterpillar Tech Rep determines welding cannot repair the truck body due to a defect in material or workmanship,
the structure will be totally or partially replaced. The cost for body components or a complete body replacement
during the LMT Body warranty period is prorated to the user. The customer is responsible for labor costs to re-
move and install parts for partial and complete body replacements.
Delivery Reporting
To start warranty coverage on LMT bodies, the Delivery Service Record must be submitted by entering the cus-
tomer name, address and delivery date in Service Information Management System (SIMSi).


1
Calculating Customer and Caterpillar Parts Participation

The following formula calculates the dollar amount dealers claim to Caterpillar for parts reimbursement. This formula
applies only after the standard machine warranty expires.
Dealer Reimbursement = D/N Price - Customer Participation
To Calculate Customer Participation:
Customer Participation is calculated as follows:
Customer Amount Paid x Product age (or months used) less the standard warranty period (12 months)
Truck Body Warranty Period (24 months)
Example: A truck body is 15 months old. It has 12-month standard warranty and the additional 24-month LMT
Body Warranty.
• Customer Participation = Markup x 15 months minus 12 months
24 months
• Customer Participation = Markup x (3/24)
Note: The multiplier chart on page 3 contains a list of customer participation possibilities.
*Markup represents D/N x 1.36
Dealer reimbursement for repair expenses related to LMT body warranty is per the Summary of Reimbursement
Practices Chart below, in accordance with reimbursement practices as outlined in Bulletin 1.02, and with the
applicable warranty statement found at https://warranty.cat.com/currstmts.
LMT Bodies Summary of Reimbursement Practices

Complete body or base body components are reimbursed at the Dealer
Parts* Net (D/N) price in effect on the date of repair, minus the calculated prorated
customer participation.
Caterpillar Parts Department service charges for approved replacement truck
body parts obtained by emergency order are reimbursed, when applicable.
Salvage labor required to install approved replacement parts associated
Parts Salvage Labor
with a partial truck body replacement is not reimbursed.
Salvage Materials Not reimbursable
Service Items Not reimbursable
Repair Labor, Labor Rate,
Shop Supplies, Travel Time & Mileage,
Not reimbursable
Meals & Lodging, Hauling Costs &
Freight Charges APD reimbursable
*Parts used in the course of regular maintenance are not reimbursed.
Claiming Information
All warranty claims for LMT bodies must be submitted using the following:
Product ID / Serial Number Field - enter the unique LMT body serial number in the serial number field.
Related Equipment Fields:
• Make Field - Enter CAT
2 02.04-06 (09/18)
• Cab Type Field - Enter No

• (Related) Serial Number Field - Enter the Off-Highway truck serial number
Causing Failure Fields:
• Part No. - Enter the unique part number of the body – found on the serial number identification plate.
• Group No. - Enter 7258
Component Information Fields:
• SMU Field - Enter number of hours on the body, not the truck.
Dealers are required to report truck hours at body install time to start recording body hours. It is recommended to
enter a record in SIMS to track the body install date.
Customer Participation Calculation - Multiplier

24 Months
Age (Months)
(12 Months Standard)
0-12 N/A
13 1/24
14 2/24
15 3/24
16 4/24
17 5/24
18 6/24
19 7/24
20 8/24
21 9/24
22 10/24
23 11/24
24 12/24
25 13/24
26 14/24
27 15/24
28 16/24
29 17/24
30 18/24
31 19/24
32 20/24
33 21/24
34 22/24
35 23/24
36 24/24
02.04-06 (09/18) 3
4 02.04-06 (09/18)
SERVICE
Machine
Mobil-Trac™ Belt
Overview
This bulletin covers warranty and claim submission instructions for track belts part of Caterpillar’s Mobil-Trac™
System (MTS) used on Challenger® Ag tractors, Lexion combines, Versatile Flotation System (VFS) trailers and
asphalt pavers.
For Challenger Ag tractors, two tread bar designs are available including:
• Standard tread bar
• Special Application (SA)/Low Ground Disturbance tread bar
The primary difference between designs is a 1.0 inch (25.4 mm) difference in the tread bar height. There are also
several different track belt carcasses and guide block designs available, including inside protector and side
slope designs.
For Asphalt pavers, two tread bar designs are available including:
• Standard tread bar
• Smooth surface belt
VFS undercarriage trailers are sold with new Mobil-Trac belts with a chevron tread bar pattern or circumferential
ribs.
Warranty Coverage
New Mobil-Trac Belts for Challenger Ag tractors, Lexion combines, VFS trailers and asphalt pavers are covered
by the Mobil-Trac Belt Warranty statement. The warranty period is 48 months beginning on the date of delivery
to the initial user or the sales date for part replacements.
Retread Mobil-Trac Belts for VFS undercarriage trailers do not have a warranty statement, but are warranted for 24
months beginning on the date of delivery date to the initial user or the sales date for part replacements. Warranty
does not apply to used Mobil-Trac Belts sold on new VFS trailers.


1
Reimbursement for replacement of new and retread track belts is prorated based on the average wear
percentage of the tread bars on the belt surface. Proration does not apply within the first 12 months or 10% of
wear, whichever comes first.
➤ Calculating User Allowance

The following is the prorated user allowance formula for replacement of failed track belts that are beyond the 12
month or 10% wear limit. This formula calculates the cost allowance Caterpillar gives the customer toward the
purchase of a new replacement belt.
User Allowance = (A-B)x(C)
D
A = Average measured tread bar height at time of failure.
B = Tread Bar height at 100% worn.
C = Markup pricing for the belt.
D = Total usable tread bar height (tread height at new minus tread height at 100% worn).
Factor A (the average measured tread bar height) is obtained by taking 4 tread bar measurements across
the width of the failed track belt at 2 locations around the belt, for a total of 8 measurements. To calculate the
average measured tread bar height, or average belt thickness, if it’s a smooth belt, total the 8 measurements
and divide by 8. The illustrations (on pages 6-7) depict the 4 measurement locations across the width of the
belt.
The following table lists the values for factors B & D in the User Allowance Formula.
Belt User Allowance Formula Factors

Factor
Type of Belt
B D
Challenger Ag Tractor Belts
Standard 0.5 in. 2.0 in.
Low Ground or Special Ap 0.5 in. 1.0 in.
Combine Belts 0.31 in. 1.26 in.
VFS Undercarriage Trailer Belts
New 0.20 in. 0.98 in.
Retread 0.12 in. 0.75 in.

Asphalt Pavers
Standard (Tread Bar) 0.20 in. 1.30 in.
Smooth A - Large Asphalt Pavers (AP1055, AP655, and AP555) 1.28 in. 0.96 in.
Smooth B - Small Asphalt Pavers (AP355) 1.28 in. 0.68 in.
Note: For Smooth Belts, dimension B is now belt thickness when 100% worn. Dimensions
A and B are total belt thickness measurements. See Smooth Belt Illustration on page 7 for
illustration on how to measure thickness.

Example:
A failed standard belt on a Challenger Ag tractor has an average measured tread bar height of 1.75 inches.
The Markup pricing is $6500 and the Dealer Net (D/N) price is $5000. For this example, the user allowance
Caterpillar gives the customer toward the purchase of a new replacement belt is:
D
= (1.75 - 0.5)x($6500)
2.0
= $4062.50
The customer participation is:
Customer Participation = Markup - User Allowance
= $6500 - $4062.50
= $2437.50
Caterpillar reimbursement to the dealer is:
Dealer Reimbursement = D/N price - Customer Participation
= $5000 - $2437.50
= $2562.50
Warranty for Belts Replaced Under Mobil-Trac Belt Warranty

Track belts replaced under the terms of Mobil-Trac Belt Warranty when customer participation is zero or less
than 25% are covered by the prorated Mobil-Trac Belt Warranty for the remainder of the original belt warranty
period. Warranty on such belts cease when the original belt warranty period expires, regardless of when the
belt was replaced.
Track belts replaced under the terms of Mobil-Trac Belt Warranty when customer participation is 25% or
greater receive a new Mobil-Trac Belt Warranty. Thus, the warranty period for the replacement belt starts over.
Warranty Replacement Guidelines

The following replacement guidelines must be used to determine if a track belt should be replaced under the
terms of the Mobil-Trac Belt Warranty. The warranty covers only track belt failures caused by a defect in
material or workmanship and does not cover application related failures.
 Guide block unbonding or missing is when more than 50% of a guide blocks surface is unbonding from
the belt carcass. In such cases, the belt carcass appears smooth where the guide block came off. If a
significant amount of guide block material is still attached to the belt carcass, it indicates an external force
tore the guide block off and is not warrantable.
 Belts with major guide block unbonding or at least three missing adjacent guide blocks due to a defect in
material or workmanship should be repaired or replaced under warranty, as per the following:
Salvage of guide blocks may be a less expensive repair than belt replacement and may prevent the
machine from tracking toward the more worn belt. While covered under the Mobil Trac warranty period,
the warranty will credit parts and reasonable salvage labor at warranty rate for repair of the belt under the
following conditions.
• One third of the guide blocks are missing.
• Three or more adjacent guide blocks are missing.
• Three or more adjacent guide blocks become 50% unbonded from a belt, due to a smooth unbonding
failure.
02.05-07 (05/17) 3
In addition, credit is issued for reinforcing all other guide blocks with bolts to prevent future failures. Install
missing bolts on guide blocks and secure all remaining guide blocks on the belt with bolts, per special
instructions in REHS0151.
Or,
Replace the Belt if damage is more than just the guide blocks or the salvage cost exceeds the prorated
Dealer Reimbursement for a new replacement belt.
 Guide block failures not warrantable under Mobil-Trac Belt Warranty include the following causes of
failure:
• Untracking is considered an application or operational problem, assuming the belt tension is correct.
• Extreme Side Hill Applications (more than 20% grade) cause track belts to reach the end of useful
life due to excessive guide block wear before the tread bars reach 100% worn.
• Alignment Problems may cause rapid guide block wear. Alignment problems resulting from a
machine related problem may or may not be warrantable under the machine warranty.
 Missing tread bars - Track belts missing two or more tread bars with little or no parent material left
indicating major unbonding from the belt are warrantable and should be replaced. If the missing tread bars
have significant parent material left on the belt or a section of the belt is torn away, it indicates the failure is
caused by external forces and is not warrantable.
 Torn track belts are not warrantable. Belts torn, split, cracked, missing pieces, or with broken cables
are not usually material or workmanship failures. These failures are caused by improper operation or
application resulting in untracking, ingestion of debris, or material packing in the undercarriage.
Refer to SEBF8351 “Guideline for Reusable Parts” for belt damage causes, assessments and usability.
 Replacement of a mating non-failed belt is not warrantable. When a failed warrantable track belt with
a significant amount of wear is replaced, the customer must decide whether or not to replace the non-failed
mating track belt at the customer’s expense. Putting a new track belt on one side with a heavily worn track
belt on the other side may cause the machine or trailer to drift toward the side of the worn belt.

Dealer reimbursement for repair expenses related to Mobil-Trac Belt Warranty is per the Summary of
Reimbursement Practices chart found below, in accordance with reimbursement practices as outlined in Bulletin
1.02, and with the applicable warranty statement at https://warranty.cat.com/currstmts.
Mobil-Trac Belt Warranty

Parts Reimbursable at D/N.
Service Items Reimbursable at D/N, if made unusable.
Parts Service Charges Reimbursable.
Salvage Labor* Reimbursable at warranty labor rate, if justified.
Repair Labor, Labor Rate, Travel Time &
Mileage, Meals & Lodging, Freight Charges, Not reimbursable
Hauling Costs and Outside Repair Expenses
*Salvage labor is only reimbursable for replacing failed guide blocks with bolt-on replacements, if
the cost of the labor and parts to install bolt-on guide blocks does not exceed the prorated dealer
reimbursement cost for a new replacement belt.
4 02.05-07 (05/17)

The following outlines unique claim field information required to submit a Mobil-Trac Belt Warranty claim for new
or retread track belts:
Claim Story - In addition to the usual description of the complaint, cause, correction and complication, the claim
story must also contain the following:
 Failed track belt serial number (3 or 4 digit)
 Four-digit numeric manufacturing date code on the failed belt. This code is embedded before the serial
number.
 Average measured tread height of the failed belt.
 For failed belts with missing guide blocks, indicate the number of missing adjacent guide blocks and a
description of the separation.
 For belts that qualify for proration, also include the calculated User Allowance, Customer Participation
and Dealer Reimbursement amounts.
02.05-07 (05/17) 5
Illustration.
Illustrations show how to measure tread bar height on failed track belts. These measurements are used to
calculate the average tread bar height.
Measurement 1
Measurement 2
Measurement 3
Measurement 4
Top View of Belt
Straight Edge
Measurements
1 thru 4
Side View of Belt
6 02.05-07 (05/17)
Smooth Belt Illustration.

Illustrations show how to measure tread bar height on failed track belts. These measurements are used to
calculate the average tread bar height.
Measure thickness in four places across the width of the belt. Measure in at least two different locations on the belt.
02.05-07 (05/17) 7
8 02.05-07 (05/17)
SERVICE
Machine
Cat Branded Telehandlers

®
(Manufactured by JLG)
NOTICE
This warranty bulletin is applicable only to the specific machine models listed in charts on the following
pages and sold or delivered to the first user prior to December 31, 2013. Machines sold or delivered on or
after January 1, 2014 are covered by Caterpillar Warranty Bulletin 2.01 and all other applicable Caterpillar
Global Warranty Guide bulletins.
Overview
This bulletin addresses warranty practices and procedures for telehandlers which are manufactured by JLG
Industries, Inc., under a strategic alliance agreement with Caterpillar Inc, and sold through Cat® dealers.
As a result of the strategic alliance, telehandler model designations with JLG serial numbers per Caterpillar format
have recently been released. The following chart lists telehandler model designations with new serial number
prefixes and the type of engine used in each model.
Cat Branded Telehandlers (Manufactured by JLG)

JLG S/N Cat S/N POD/Pwr Module Transmission/
Models Engine
Prefix Prefix S/N Prefix Pwr Module S/N Prefix
TL642 TBK CAT 3054 334 N/A N/A
TL642C THG CAT C3.4B CJG N/A P1R
TL642C THL CAT C4.4 444 N/A P1R
TL943 TBL CAT 3054 334 N/A N/A
TL943C THH CATC3.4B CJG N/A P1R
TL943C SXH CAT C4.4 444 N/A P1R
TL1055 TBM CAT C4.4 444 N/A N/A
TL1055C MDD CAT C4.4 444 N/A P2F
TL1055C KDE CAT C4.4 448 N/A P2F


1
TL1255 TBN CAT C4.4 444 N/A N/A

TL1255C DHW CAT C4.4 448 N/A P2F
TL1255C SXM CAT C4.4 444 N/A P2F
TH220B TBF CAT Power Module MLS MLS Use MLS s/n
TH330B TBG CAT Power Module MLS MLS Use MLS s/n
TH360B TBH CAT C4.4 Use MLS s/n MLS Use MLS s/n
TH560B TBP CAT C4.4 Use MLS s/n MLS Use MLS s/n
TH580B TBJ CAT C4.4 Use MLS s/n MLS Use MLS s/n
TH255 TBS CAT C4.4 446 N/A Use TBS s/n
TH336 TDE CAT C4.4 446 / 444 N/A LKT
TH336C MJR CAT C4.4 448 N/A P2J / P2H
TH336C THM CAT C4.4 444 / 446 N/A P2J / P2H
TH337 TDF CAT C4.4 444 / 446 N/A LKT
TH337C DJB CAT C3.4 / C4.4 CJG / 448 N/A (P2H / P1Y) / P2J
TH337C SXJ CAT C4.4 444 / 446 N/A P2J / P2H
TH406 TBX CAT C4.4 444 / 446 N/A LKT
TH406C GAT CATC3.4B / C4.4 CJG / 448 N/A (P2H / P1Y) / P2J
TH406C RCH CAT C4.4 444 / 446 N/A P2J / P2H
TH407 TBY CAT C4.4 444 / 446 N/A LKT
TH407C MLH CATC3.4B / C4.4 CJG / 448 N/A (P2H / P1Y) / P2J
TH407C JJT CAT C4.4 444 / 446 N/A P2J / P2H
TH414 TBZ CAT C4.4 446 N/A LKT
TH414C KEK CATC3.4B CJG N/A P2H
TH414C RWW CAT C4.4 446 N/A P2H
TH417 TBT CAT C4.4 446 N/A LKT
TH417C RRJ CATC3.4B CJG N/A P2G
TH417C RRW CAT C4.4 446 N/A P2H
TH514 TBW CAT C4.4 446 N/A LKT
TH514C MWC CATC3.4B CJG N/A P2G
TH514C KKW CAT C4.4 446 N/A P2H
THP18s TDA N/A N/A N/A N/A
THP45s TDB N/A N/A N/A N/A
NOTICE
JLG is responsible for warranties for new JLG Manufactured Cat Branded Telehandlers. All telehandler
service claims are to be submitted electronically through the Caterpillar Service Claims System. JLG is
responsible for administrating machine claims relating to such warranties.
In this bulletin, all references to “JLG” shall mean JLG Industries, Inc., 1 JLG Drive, McConnellsburg, PA, 17233.
All references to “telehandler” shall mean JLG Manufactured Cat Branded Telehandlers.
Warranty Registration
The Delivery Service Record form is used to document the date of product delivery to the first user for starting
the warranty period. The document needs to be signed by the customer to start the warranty clock. If the unit is
a rental, the dealership signs the form. The following are 2 options the dealers have for submitting the Delivery
Service Record form information to Caterpillar:
 By electronically entering the information into Caterpillar’s sales reporting system SCORE (Sales
Configuration Owner Report System) or,
2 02.07-08 (07/18)
 By electronically entering the information into SIMSi. The delivery date of the machine also establishes the
warranty start date for Cat engines and power modules that are part of the machine. Dealer’s must retain
on file a copy of the Delivery Service Record for verification, if requested by Caterpillar or JLG.
In the event the dealer fails to comply with the establishment of warranty by completing registration through
Caterpillar’s SCORE system, JLG will consider the date of shipment from the manufacturer as the delivery date to
the first user.
New Transient Machine Repairs
Summary of Reimbursement Practices For New Transient Machine Repairs

Cat Parts and Fluids Reimbursable M
Repair Labor Reimbursable warranty sell rate
Outside Expense Reimbursable at cost
Travel Time & Mileage Reimbursable warranty sell rate
Freight Charges Reimbursable at cost
Occasionally a dealer will be requested to perform repair work on a new telehandler that has been shipped from
JLG and is located in a seaport or transportation yard. The expense should be claimed through the Caterpillar
Warranty Claim System.
Transient New Machine Claiming Procedures

Enter the total of all authorized repair costs on a single claim detail page miscellaneous expense line.
Delivery Date - 00NIS00
Comments/Findings - Transient Machine
Story Requirements - Indicate that this is a transient machine repair and include the location of the machine.
Provide a description of the repair and breakdown of costs including part numbers, part quantities, labor hours,
travel hours, miles traveled and other expenses.
Telehandler New Product Warranty

Telehandlers are warranted by JLG against defects in material and workmanship for twelve (12) months
unlimited hours from the delivery date to the first user.
Americas North & Americas South Only
JLG further warrants the powertrain of each of the new telehandlers to be free from defects in material and
workmanship for twenty-four (24) months from the delivery date to the first user. Powertrain consists of axle
housing, drive hub, differential, drive and axle shaft, transmission other than Cat transmission and torque
converter.
In addition, JLG warrants the structural elements of each of the new telehandler products to be free from defects
in material and workmanship for five (5) years from the delivery date to the first user. Structural elements
consist of boom section weldments, frame weldments, outrigger weldments and rear axle weldments.

ZF Transmission Authorized Repairs

Per the published JLG document, “Warranty Information Bulletin 923, April 2009,” repair guidelines apply to all ZF
Transmission repairs, and in some cases they require pre-authorization prior to repair. These guidelines apply to
all Model TL642, TL943, TL1055, and TL1255 Telehandlers having transmission part numbers 298-8658 and 299-
0321.
Please be aware of the repair policy governing these products in order to avoid denial of a warranty claim and refer
to the published JLG document, “Warranty Information Bulletin 923, April 2009,” on this topic for the most current
information.
Please review and communicate the following points regarding repair, replacement, or return of this component on
machines still under warranty:
• AUTHORIZED REPAIRS – In many cases, adjustments or minor repairs can cure common faults or
problems. The Dealer Solution Network, via the dealer Technical Communicator (TC) is available to
help you identify these instances. The following transmission repairs are authorized while the component
is still within its warranty period.
Authorized Transmission Repairs

Replace Output Flanges
Replace Output Seals
Replace Control Unit Components
Replace Gear Shift System Components
Replace Solenoids
Replace Transmission Pump/PTO Seal
Replace Oil Filter
Replace Transfer Case
• Do not perform any repairs other than what is outlined above. This policy is necessary to ensure
that the original failure mode is preserved. Preserving the original failure mode allows for a thorough and
accurate analysis and facilitates identification of the root cause of the failure. This ultimately leads to
quicker problem resolution and product improvement.
IMPORTANT – The transmission case or transfer case cannot be opened for repair, unless
the required operation is authorized by a Product Support Program or Product Improvement
Program.
• RETURN PROCESS – If the transmission requires replacement and a new transmission is ordered,
the original transmission may be requested to be returned for evaluation. Do not send components
back, unless a JLG representative or the Caterpillar warranty system has instructed you to do so. In all
cases, a Return Goods Authorization (RGA) or Send It Back (SIB) number must be issued before the
return is authorized. All returned components must be fully assembled and complete.
IMPORTANT – Do not return disassembled components. The transmission and all associated
components must be fully assembled prior to return. Please refer to the published Special Instruction on
this topic for contact information and most current process.
4 02.07-08 (07/18)
Component Manufacturer’s Warranty

Certain components such as tires and batteries which form a part of the end product, are not manufactured
or warranted by JLG. Any required warranty reimbursement will normally be recovered directly through the
manufacturer and/or dealer organization. In the unlikely event that a problem should arise in this area, dealers are
encouraged to contact the JLG warranty department for assistance.
New engines and power modules (POD and transmissions) manufactured and serialized by Caterpillar contained
in the new products are warranted separately by OEM Solutions and/or Industrial Power Systems.
Refer to the JLG Warranty Statements at the end of this bulletin for the terms and conditions of the JLG warranty.
Service Letters
Service letters issued by JLG can be filed in the Caterpillar Claims system per the instructions in the service
letter. Reimbursement for JLG service letters is per the reimbursement chart found on page 9 of this bulletin and
reimbursement charts located in JLG service letters.
Note: If the service letter number format is not accepted by a dealer’s business system, claims can be submitted
online through Claimsi at url https://claims.cat.com.
Contact Information (for claims on products sold on or prior to Dec. 31, 2013)
All Regions
Claim Settlement Help: Dealers should contact JLG’s Warranty Department for claim settlement help such as
why the claim is not paid fully, why the claim is rejected, why the claim is partially paid, warranty coverage and
warranty parts return questions. JLG’s Warranty Department is staffed between 8:00 am-5:00 pm U.S. Eastern Time.
Phone: 1-877-JLG-LIFT (1-877-554-5438) or 1-717-485-6527
Fax: 1-717-485-6516
E-mail: jlgwarranty@jlg.com
Internet: Cat Branded Telehandlers link in SIS web at url https://sis.cat.com.
Mail: JLG Industries Inc.
1 JLG Dr,
McConnellsburg, PA 17233 USA
Contact Information (for claims on products sold on or after Jan. 01, 2014)
Claim Settlement Help: Dealers should submit a ticket through the Warranty Service Desk.
Technical Assistance: All other technical inquiries should be handled throught the dealer’s Technical
Communicators, Technical Reprentatives, and/or the DSN.
Warranty and Delivery Service For Cat Engines

Claims for Cat engines should be submitted using the telehandler machine serial number and appropriate Cat engine group and
part number. Refer to Engine Expenses and Identification, Bulletin 3.01, for additional details on warranty coverage.
Warranty For Cat Power Modules (POD and Transmissions) Within TH Models
A power module in the equipment business is a grouping of Cat components sold to other manufacturers called
an original equipment manufacturer (OEM) for incorporation into their machines or vehicles. These power modules
are sold directly to OEMs by OEM Solutions Group, a division of Caterpillar Inc.
OEM Solutions power modules are warranted by Caterpillar Inc, against defects in material and workmanship for
12 months starting from the date the telehandler containing the power module is delivered to the first user.
02.07-08 (07/18) 5
For telehandlers, the power module as shipped product configuration of either a) an engine, transmission, radiator
cooling package, air cleaner, muffler, intake and exhaust lines, hydraulic hoses, filters, and fuel lines, A/C condenser
option, reverse fan option and hydraulic pump; or b) a transmission. Complete as shipped product configuration for
any power module can be obtained by using SIMSi product configuration. Type the power module serial number
in product configuration to get the appropriate arrangement number. The complete engine bill of material can then
be obtained by typing the arrangement number into Technical Marketing Information system (TMI).
Cat Power Modules Standard Warranty

Parts Reimbursable M.
Service Items Reimbursable M, if made unusable.
Repair Labor Reimbursable, at dealer’s registered selling labor rate.
Salvage Labor Reimbursable, at cost labor rate, if justified.
Overtime Labor Rate Reimbursable, when necessary.
Travel, Time & Mileage Reimbursable.
Meals & Lodging Reimbursable at cost.
Freight Charges from Caterpillar Reimbursable, if justified.
Hauling Costs Not reimbursable.
Shop Supplies Not reimbursable as an itemized expense.
Outside Repair Expenses Reimbursable, at cost.
Claims related to PODs and Cat transmissions are submitted using the telehandler machine serial number and
the appropriate group number or SMCS code explained in the Claim Field Information section below. Claims will
be directed to the appropriate group for review.
Tire Warranty
Tires are covered by the original manufacturer(s).
Battery Warranty
Batteries are covered by the original manufacturer(s).
Replacement Parts Warranty Within Standard Warranty

Any replacement part sold by Caterpillar for telehandlers is not subject to the preceding new product warranty.
Rather, each replacement part shall be warranted to be free from defects in material or workmanship for the
following:
 Service parts for Cat Industrial Engines within telehandler TH and TL models have the Caterpillar Standard
Parts Warranty term of 6 months, labor not covered.
 Service parts for Cat power modules (POD and transmissions) within telehandler TH models have the
Caterpillar Standard Parts Warranty term of 6 months, labor not covered.
All other service parts for telehandlers have the JLG Standard Parts Warranty term of 6 months from the date of
installation or the remaining portion of the 12-month warranty. If the machine fails within standard warranty period,
please refer to Summary of Reimbursement Practices chart for applicable labor reimbursement practices.
6 02.07-08 (07/18)
The Replacement Part Warranty is subject to the same terms, conditions and limitations as set forth in the New
Product Warranty and this Warranty provision. Also, this Replacement Part Warranty shall not apply to any defect
in a replacement part that is the result of the failure to repair, replace, maintain or adjust any other part of the
telehandler or the result of the effect of modification, normal wear, abuse, damage or environmental conditions to
any other part of the telehandler product.
JLG may at any time amend the foregoing form of warranty claim provisions without prior notice.
Dealer Application for New Product Warranty

In the event that a problem is discovered upon initial delivery inspection of a telehandler or within the established
warranty time period, the problem must be corrected immediately by the dealer involved. If the problem is the
result of defects in material or workmanship, in accordance with the warranty policies the dealer may request
reimbursement for costs. Please refer to the Summary of Reimbursement Practices chart found on page 9 for
claimable items. This is accomplished through the use of Caterpillar’s Warranty System for telehandlers. All
requests for warranty must be submitted immediately after completion of repairs. Failure to submit claims within a
reasonable time frame after completion of repairs, not to exceed 60 days, will constitute grounds for rejection of
such claims.
For claims returned for additional information, documentation and/or error correction, the time limit for resubmitting
claims is 14 days from the date the claim is returned.
ANY WARRANTY WORK INVOLVING ALTERATION OR MODIFICATION OF A JLG PRODUCT MUST
UNDER NO CIRCUMSTANCES BE ATTEMPTED WITHOUT PRIOR WRITTEN AUTHORIZATION FROM JLG.
Parts Return Request (PRR) For Warranty

Parts removed during warranty repairs may be requested to be return by the manufacturer for evaluation and final
disposition. This bulletin provides dealers with guidelines to handle these parts.
Parts Return Request Notification
Dealers will receive the Parts Return Request (PRR) using the same method as for Cat Parts Returns. Dealers
can obtain the Claim Register Date by either viewing online their open claims list via the Dealer Worksheet Index
or by viewing online the individual service claim itself.
NOTE: Part(s) must be returned within 30 days of notification. Parts not returned within stated time frame will
constitute grounds for rejection. No parts are to be returned without authorization. Parts returned that do not
comply with conditions of the return parts policy will be returned to dealers at their expense.
Digital Images of Failed Parts
In select circumstances, digital photos may be sent in lieu of returning parts for disposition. Digital photos must be
identified with its’ associated claim number and e-mailed to:
JLG Claims Settlement Help - jlgwarranty@jlg.com
Retention Schedule for Removed Parts
Dealers must retain all warrantable parts for 90 days after the claim is submitted to ensure proper disposition
(e.g. returning a part for evaluation or auditing a failed part at the dealer location). Effective with sales on or after
January 1, 2014, the retention period for warrantable parts is 30 days.
Returned Parts Condition
• Component Assemblies must be fully assembled in “as removed” condition. Component Assemblies that
are unassembled or returned with loose parts are unacceptable.
• Provide adequate protection and ensure machined surfaces are protected from rusting, corrosion and damage.
• All parts should be tagged and identified by part number and claim number.
• All hydraulic ports must be sealed.
• No parts should be returned without authorization.
02.07-08 (07/18) 7
Packaging and Shipping Instructions
All parts returned must be accompanied by a PRR Form and shipped to the following address:
JLG Industries Inc.
Attn: Warranty Returns Area
2927 East Paradise Street
Orrville, OH 44667 USA
Parts must be properly protected and packaged for shipment to avoid any damage. Parts received with obvious
in-transit damage as a result of inadequate protection or packaging will not be considered for warranty credit.
Parts returned without the appropriate form and not packaged according to the instructions, will be returned to the
dealer, freight collect.
Freight Cost
Freight cost associated with parts returned may be recovered in the following manner.
 For small parts, parts should be shipped freight prepaid. Freight can be entered on the warranty claim with
supporting documentation. Return parts shipped freight collect will be refused and returned by JLG to the
dealer at the dealer’s expense.
 For larger parts, such as a boom section, the dealer can submit freight collect. These must be reviewed by
JLG, on a case by case basis, please contact the JLG Warranty Department for assistance.
The shipping cost for the item or items being claimed may then be entered electronically through the Caterpillar
Service Claims System.
NOTICE
If return part(s) are requested, dealers must send return part(s) individually per claim-by-claim basis.
Combined or lumped sum warranty return parts will not be accepted by JLG.
Dealer Reimbursement For Telehandlers

JLG’s new product warranty provides for the repair or replacement of any part found to be defective in material or
workmanship subject to the conditions and restrictions stated within the telehandler new product warranty statement.
All warranty repairs must be performed by qualified technicians. JLG will not consider secondary claims resulting from
incorrect or inadequate repairs made by dealer or other personnel.
12 Month New Product Warranty (All Regions)

For a period of 12 months from the establishment of warranty, unless otherwise specified, warranty reimbursement
will be made to authorized Cat dealers for Cat telehandlers built by JLG, excluding Cat engines or power modules
or transmissions, per the Summary of Reimbursement Practices chart on page 9 and in accordance with applicable
reimbursement practices as outlined in Bulletin 1.02 and the exceptions listed below. New product warranty and
reimbursement practices for the Cat engine can be found in Engine Expenses and Identification, Bulletin 3.01, and for
power modules or transmissions per the Caterpillar Power Modules Standard Warranty Summary of Reimbursement
Practices chart on page 5 of this bulletin. All claims should be submitted under the telehandler machine serial number,
regardless of the applicable warranty. Exception: Service Letters written with the Cat engine or Cat power module
or transmission serial numbers must have the claims filed using the Cat engine or Cat power module or transmission
serial number.
Outside Repair Expenses - Outside repair expenses are dealer reimbursable, if the expense is justified and
reasonable. These expenses are for parts and/or labor from an outside vendor. Examples of labor expenses for
outside repairs include machining or radiator repair. It is the dealer’s responsibility to ensure that invoice charges for
outside repair expenses are reasonable to ensure full reimbursement. For reimbursement of any claim with an outside
repair expense, the dealer must send the hard copy of the outside repair invoice to JLG.
Emergency Service Charge for Parts Invoiced by Caterpillar (APD & EAME only) - Service charge for parts
obtained on an emergency order for warranty replacement if justified, is exceptionally reimbursable (Fast moving item
8%, Medium 5%).
8 02.07-08 (07/18)
Service Charges, defined in Management Partsgram PEGH0052, can be recovered for parts obtained on an
emergency basis for warranty replacement. The parts concerned and the corresponding parts invoice number must
be listed in the claim story. The amount of the charge must be listed in the appropriate box 50 or 52, depending upon
the currency used in the related invoice. In the case of partial settlement, the credit for service charges will be prorated
accordingly.
24 Month New Product Warranty - Americas North & Americas South

will be made to the authorized Cat dealers as follows for Cat telehandlers built by JLG, excluding engine or power
module, and per the Summary of Reimbursement Practices Chart found below and in accordance with applicable
Reimbursement Practices as outlined in Bulletin 1.02 and exceptions as listed below.
For the purpose of this 24-month warranty, powertrain components shall be defined as and limited to the following:
 Axle Housing
 Drive Hub
 Differential
 Drive and Axle Shaft
 Transmission Other Than Caterpillar Transmission
 Torque Converter
JLG may at any time amend the foregoing form of warranty provisions without prior notice.
60 Month New Product Warranty - Americas North & Americas South

will be made to the authorized Cat Dealers as follows for Cat telehandlers built by JLG, excluding engine or power
module, and per the Summary of Reimbursement Practices Chart found below and in accordance with applicable
Reimbursement Practices as outlined in Bulletin 1.02 and exceptions as listed below.
For the purpose of this 60-month warranty, structural components shall be defined as and limited to the following:
 Boom Section Weldments
 Frame Weldments
 Outrigger Weldments
 Rear Axle Weldments
Customer Purchased Replacement Parts Warranty (Excluding Cat Engines and Cat Power
Modules)
JLG warrants purchased replacement parts for defects in material and workmanship, excluding parts for Cat
engines, power modules or transmissions. The warranty period is 6 months, starting from the date the replacement
part is installed. JLG reimburses only part cost for replacement parts warranty claims. Details for customer
purchased replacement parts warranty for Cat engines and power modules can be found in the Parts Bulletin 4.01.
02.07-08 (07/18) 9
JLG Telehandlers
APD & EAME Americas North & Americas South
Repair Expenses Allowance & Rate Allowance & Rate
Parts Reimbursable at D/N. At JLG’s option, furnish replacement
part(s), credit cost of part(s) at D/N or pay
reasonable cost to repair the defective
part(s).
Service Items Not reimbursable. 12 Months: Reimbursable at D/N, if
made unusable by the failure.
24 Months: Reimbursable at D/N, if
made unusable by the failure.
60 Months: Not reimbursable.
Repair Labor Not reimbursable. Reimbursable at Cost Labor Rate.
Not reimbursable - diagnostic and
troubleshooting labor.
Salvage Labor Reimbursable at Cost Labor Rate, if Reimbursable at Cost Labor Rate, if
justified. justified.
Travel Time & Mileage Not reimbursable. Travel Time: Allowance of 3 hrs (max)
per claim at Cost Labor Rate.
Mileage: Reimbursable if specified in a

written campaign bulletin / JLG Service
Letter.
Freight Charges Not reimbursable. Not reimbursable.
Parts Return Request Freight is Parts Return Request Freight is
reimbursable at standard ground rates. reimbursable at standard ground rates.
Shop Supplies Not reimbursable as an itemized Not reimbursable as an itemized
expense. expense.
Outside Repair Expenses Reimbursable, at cost. Reimbursable, at cost.
JLG Service Letter Reimbursed in accordance with written Reimbursed in accordance with written
Labor & Travel campaign bulletin / JLG Service Letter. campaign bulletin /JLG Service Letter.
When reimbursable, labor is at Cost When reimbursable, labor is at Cost

Labor Rate. Labor Rate.
Parts Service Charges Service charges for parts obtained Not reimbursable.
on emergency order for warranty
replacement, if justified, are
exceptionally reimbursable (Fast
moving item 8%, Medium 5%).
Overtime Labor Rate, Not reimbursable. Not reimbursable.
Meals & Lodging, Hauling
Charges and Pre-Delivery
& Revisit
10 02.07-08 (07/18)
Work Tool Warranty

JLG warrants telehandler work tools with a new machine or purchased separately for use in new or used machines
for defects in material and workmanship. The warranty period is 12 months, starting from the invoice date the tool
is purchased by the end user. Details for warranty claim practices can be found in the Work Tool Bulletin 2.02. JLG
may at any time amend the foregoing form of warranty provisions without prior notice.
Additional Exclusions Applicable To All JLG New Product Warranties

Warranty will not apply to and no warranty claims will be accepted for the repair or replacement of parts
or the rendering of service as a result of the following:
Abuse - Neglect, lack of maintenance, improper operation, operation beyond rated capacity, improper use,
application or operation contrary to manuals or instructions.
Modifications - Modifications made to a telehandler without having received prior written authorization from JLG.
Accidents - Accidents, operator error, improper operation, transportation or storage.
Environmental Conditions - Chemicals, chemical action, abrasive materials, dirt, sand or excessive heat and/
or moisture.
Scheduled Maintenance - Failure to perform or the performance of scheduled and/or routine maintenance
including such items as filter, elements, oils, lubricants, torquing and tightening.
Normal Wear - As a result of normal wear, including filter elements, wear pads, brakes, pins, bushings, seals and
fluids.
Minor Adjustment - Failure to perform normal adjustments required to such items as nuts and bolts, controllers,
valves and hydraulic leaks on hoses and fittings.
Diagnostic and/or Troubleshooting Time - Time required to diagnose and/or troubleshoot a potential warranty
failure. Diagnostic labor is included on telehandler power module warranty claims as specified in its applicable
warranty bulletin.
Pre-Delivery Inspection (PDI) - Performing pre-delivery inspection or preparing a unit for sale, lease, rental or
other disposition is not dealer reimbursable.
Revisit Inspection - Performing revisit inspection is not dealer reimbursable.
Receipt of Damaged Unit - The carrier is responsible for damage that has occurred on the machine during
transit. Upon delivery of a new product to your facility, a visual walk around inspection should be completed
before accepting the unit from the carrier. If any damages are noted, the carrier must be advised via the bill of
lading. Under no circumstances should you sign the bill of lading without noting the damage on the form. If the
bill of lading is signed without designating the damages, the carrier has the right to deny repair reimbursement.
Freight damage is the responsibility of the carrier. In addition, if damages are not noted on the bill of lading before
accepting the unit from the carrier, JLG reserves the right to deny the warranty claim.
Consequential Damages - Under no circumstances shall manufacturer be liable for any consequential or special
damages, which any person, firm, corporation or other entity may suffer or claim to suffer or incur or claim incur as
a result of any defect in the product or in any correction or alteration thereof made or furnished by manufacturer
or others. Consequential or special damages includes but is not limited to cost of transportation, lost sales, lost
orders, lost profits, lost income, increased overhead, labor and material costs, lost rental, compensatory rental,
inventory carrying charge, cost of manufacturing variances and operational inefficiencies.
JLG may at any time amend the foregoing form of warranty provisions without prior notice.
02.07-08 (07/18) 11
➤ Claim Field Information For Telehandler Claims (Excluding Tires and Batteries)
Service claims that are related to telehandlers should be submitted to Caterpillar using the dealer’s normal claim
submitting method. These claims are then passed on to JLG or the appropriate Caterpillar component group for
processing.
The following is the unique claim field information required for submitting service claims on a JLG manufactured
Cat branded telehandler, excluding tires and batteries:
Product ID / Serial No. - enter the telehandler serial number for standard warranty, extended coverage, and
JLG Service Letter claims. For Caterpillar Service Letters written for engine, power module or transmission serial
numbers, use the Caterpillar engine/power module/transmission serial number.
Group No. - enter the applicable group SMCS code. A list of these codes will appear in the front of newer
telehandler parts books and is available at url https://servicedata.cat.com/Home/SMCSInquiry. Use a Caterpillar
group number for Cat engine, power module, and transmission related claims. Dealers can use SIS / NPR to help
identify the correct Caterpillar group number for the part causing failure on the claim.
Story - enter in a description of where the failure took place describing the failure location. Please note the Claim
Story entry must include repair information concerning the four C’s:
 Complaint
 Cause
 Correction
 Complication
Please see claim example in Service Claim Instruction Handbook.
Parts Warranty Claiming Practices For Telehandlers (Including Cat Engines

Power Modules and Transmissions)
The following is the unique claim field information required for submitting parts warranty claims:
Parts Start Date - enter either the sale date of the failed part for over-the-counter purchase or the date of
installation for service department purchases.
Product ID / Serial No. - for replacement parts, enter the telehandler machine serial number.
Parts Hr/Mi/Km - enter the hours on the defective part since it was installed. This number should be the same
or less than the number entered in the Product Hr/Mi/Km field.
Group No. - enter the applicable group SMCS code or the Caterpillar group number for Cat components.
Claim Story - include the actual JLG group number if the claim is not related to a Cat engine or transmission.
Claiming Practices for Defective Parts Stock Warranty

Engines, Power Modules, Transmissions and JLG Built Telehandlers: For defective parts stock claiming
practices, refer to Bulletin 4.08.
Goodwill Claims
The dealer should contact their local Caterpillar representative to confirm the correct Goodwill approval process
for their area.

02.07-08 (07/18) 13
JLG Manufactured Cat Branded Telehandlers New Product Warranty

For North America (NACD) & Latin America (LACD) Regions
JLG Industries, Inc. (“JLG”) warrants its new Cat Branded Telehandler products (“Products”) manufactured by it and operating within
geographic areas serviced by authorized Cat dealers located in North America, Central America, South America, excluding French
Guiana, and the Caribbean, excluding the islands of Martinique and Guadeloupe, to be free from defects in material or workmanship for
twelve (12) months from the date of delivery to the first user.
In other areas of the world, different warranties may apply. Copies of applicable warranties may be obtained by writing to JLG
Industries, Inc., 1 JLG Dr., McConnellsburg, PA USA. 17233.
In addition, JLG further warrants the structural elements of each of the new Products made by it, as defined in its then current warranty
policies and procedures, to be free from defects in material or workmanship for five (5) years from the date of delivery to the first user.
JLG further warrants the powertrain of each of the new Products made by it, as defined in its then current warranty policies and
procedures, to be free from defects in material and workmanship for twenty-four (24) months from the date of delivery to the first user.
New engines and power modules manufactured and serialized by Caterpillar contained in the new Products are covered by the applicable
Caterpillar warranty.
JLG agrees only to repair or replace at its own expense, F.O.B. the place or places of manufacture any part or parts of the Product found
to be defective in material or workmanship, provided JLG is notified of such defect or defects within the applicable warranty period
and given a reasonable time to correct the defect. In no case shall any warranty extend to defects in materials, components, or services
furnished by third parties. Defects caused by chemical action or the presence of abrasive materials and defects arising following the
operation beyond rated capacity or the improper use or application of any Products shall not be considered defects within the scope of
this warranty. If any repairs or alterations are made or any parts are replaced during the applicable warranty periods by anyone other
than JLG, a Cat dealer or an entity authorized by JLG in accordance with authorized JLG service manuals or with parts, accessories, or
attachments other than authorized by JLG for use in its Products, customer shall pay for such repairs or parts without recourse against
JLG, and JLG shall be relieved of responsibility for fulfillment of this warranty with respect to such repairs, alterations, or replacements
so made. JLG’s obligations under this warranty shall at all times be subject to its then current warranty policies and procedures.
The above mentioned warranty shall not apply to replacement or service parts made and sold by JLG. Routine maintenance, routine
maintenance items and minor adjustments are excluded from this warranty. Certain components including tires and batteries, which may
be a part of the Product are not manufactured or warranted by JLG. Any applicable warranty for such components is provided through the
original manufacturer of the component or its distributor organization.
Under no circumstances shall JLG be liable for any consequential or special damages which any person or entity may incur
or claim to incur as a result of any defect in the Product or in any correction or alteration thereof made or furnished by JLG
or others. “Consequential” or “special damage” includes, but is not limited to, costs of transportation, lost sales, lost orders,
lost profits, lost income, increased over head, labor and material costs, and cost of manufacturing variances and operational
inefficiencies. JLG’s maximum liability under this warranty shall be the purchase price paid to JLG with respect to the Product
to which such warranty is claimed.
This warranty constitutes JLG’s entire and exclusive warranty as to the Product and is the sole and exclusive remedy for Product
defects in material and workmanship. JLG does not assume (and has not authorized any other person to assume on its behalf)
any other warranty or liability in connection with any Product covered by this warranty. JLG EXPRESSLY DISCLAIMS ANY
AND ALL OTHER WARRANTIES OF ANY KIND WHATSOEVER AS TO THE PRODUCT FURNISHED HEREUNDER,
INCLUDING BUT NOT LIMITED TO ANY EXPRESS WARRANTIES, EXCEPT FOR THE EXCLUSIVE WARRANTY
PROVIDED HEREIN, OR IMPLIED WARRANTIES AS TO MERCHANTABILITY, OR FITNESS FOR ANY PARTICULAR
PURPOSE.
This warranty shall be void, if, upon the occurrence of any incident involving any Product made by JLG and resulting in any personal
injury or property damage, customer shall fail to notify JLG within 48 hours of such occurrence or permit JLG and its representatives to
have immediate access to such Product and all records of or within the control of customer relating to the Product and occurrence.
The limitation of liability provisions of this warranty shall apply to any and all claims or suits brought against JLG including any claims
based upon negligence, breach of contract, breach of warranty, strict liability, or any other legal theories upon which liability may be
asserted against JLG.
JLG Industries, Inc.
14 02.07-08 (07/18)
JLG Manufactured Cat Branded Telehandlers New Product Warranty

For EAME, APD and ROW Regions
JLG Industries, Inc. (“JLG”) warrants its new Cat Branded Telehandler products (“Products”) manufactured by it and operating within the
territories administered by Cat S.A.R.L. dealers in Europe, Africa, Asia, the Pacific area, French Guiana, and the islands of Martinique
and Guadeloupe, to be free from defects in material or workmanship for twelve (12) months from the date of delivery to the first user.
In other areas of the world, different warranties may apply. Copies of applicable warranties may be obtained by writing to JLG Industries,
Inc., 1 JLG Dr., McConnellsburg, PA USA. 17233.
JLG agrees only to repair or replace at its own expense, F.O.B. the place or places of manufacture any part or parts of the Product
found to be defective in material or workmanship, provided JLG is notified of such defect or defects within the applicable warranty
period and given a reasonable time to correct the defect. In no case shall any warranty extend to defects in materials, components,
or services furnished by third parties. Defects caused by chemical action or the presence of abrasive materials and defects arising
following the operation beyond rated capacity or the improper use or application of any Products shall not be considered defects within
the scope of this warranty. If any repairs or alterations are made or any parts are replaced during the applicable warranty periods by
anyone other than JLG, a Cat dealer or an entity authorized by JLG in accordance with authorized JLG service manuals or with parts,
accessories, or attachments other than authorized by JLG for use in its Products, customer shall pay for such repairs or parts without
recourse against JLG, and JLG shall be relieved of responsibility for fulfillment of this warranty with respect to such repairs, alterations,
or replacements so made. JLG’s obligations under this warranty shall at all times be subject to its then current warranty policies and
procedures. The above mentioned warranty shall not apply to replacement or service parts made and sold by JLG. Routine maintenance,
routine maintenance items and minor adjustments are excluded from this warranty. New power modules manufactured and serialized
by Caterpillar contained in the new Products are covered by the applicable Caterpillar warranty. Certain components including tires and
batteries, which may be a part of the Product are not manufactured or warranted by JLG. Any applicable warranty for such components is
provided through the original manufacturer of the component or its distributor organization.
Under no circumstances shall JLG be liable for any consequential or special damages which any person or entity may incur
or claim to incur as a result of any defect in the Product or in any correction or alteration thereof made or furnished by JLG
or others. “Consequential” or “special damage” includes, but is not limited to, costs of transportation, lost sales, lost orders,
lost profits, lost income, increased over head, labor and material costs, and cost of manufacturing variances and operational
inefficiencies. JLG’s maximum liability under this warranty shall be the purchase price paid to JLG with respect to the Product
to which such warranty is claimed.
This warranty constitutes JLG’s entire and exclusive warranty as to the Product and is the sole and exclusive remedy for Product
defects in material and workmanship. JLG does not assume (and has not authorized any other person to assume on its behalf)
any other warranty or liability in connection with any Product covered by this warranty. JLG EXPRESSLY DISCLAIMS ANY
AND ALL OTHER WARRANTIES OF ANY KIND WHATSOEVER AS TO THE PRODUCT FURNISHED HEREUNDER,
INCLUDING BUT NOT LIMITED TO ANY EXPRESS WARRANTIES, EXCEPT FOR THE EXCLUSIVE WARRANTY
PROVIDED HEREIN, OR IMPLIED WARRANTIES AS TO MERCHANTABILITY, OR FITNESS FOR ANY PARTICULAR
PURPOSE.
This warranty shall be void, if, upon the occurrence of any incident involving any Product made by JLG and resulting in any personal
injury or property damage, customer shall fail to notify JLG within 48 hours of such occurrence or permit JLG and its representatives to
have immediate access to such Product and all records of or within the control of customer relating to the Product and occurrence.
The limitation of liability provisions of this warranty shall apply to any and all claims or suits brought against JLG including any claims
based upon negligence, breach of contract, breach of warranty, strict liability, or any other legal theories upon which liability may be
asserted against JLG.
IF OTHERWISE APPLICABLE, THE VIENNA CONVENTION (CONTRACTS FOR THE INTERNATIONAL SALE OF GOODS) IS
EXCLUDED IN ITS ENTIRETY.
For Products operating in Australia, Fiji, Nauru, New Caledonia, New Zealand, Papua New Guinea, the Soloman Islands and Tahiti, the
following is applicable:
THIS WARRANTY IS IN ADDITION TO WARRANTIES AND CONDITIONS IMPLIED BY STATUTE AND OTHER
STATUTORY RIGHTS AND OBLIGATIONS THAT BY ANY APPLICABLE LAW CANNOT BE EXCLUDED, RESTRICTED OR
MODIFIED. ALL OTHER WARRANTIES OR CONDITIONS, EXPRESS OR IMPLIED (BY STATUTE OR OTHERWISE), ARE
EXCLUDED.
JLG Industries, Inc.
02.07-08 (07/18) 15
16 02.07-08 (07/18)
SERVICE
Machine
Rubber Track used on Multi Terrain Loader,

Compact Track Loader and
Mini Hydraulic Excavator
➤ Overview
This bulletin covers warranty coverage, reimbursement, and claim submission instructions for Cat® and Yellowmark™
new rubber tracks used on the Multi Terrain Loader, Compact Track Loader and Mini Hydraulic Excavator.
The rubber track warranty statement applies to:
 Customer purchased replacements, and
 Original equipment rubber tracks, which are part of the Cat machine
It does not apply to rubber track related components, such as rubber wheels. Please see Bulletin 2.01 for
information on rubber wheels.
➤ Warranty Coverage for Rubber Track
The standard warranty period begins on the date of sale to the first user.
 New Premium rubber tracks used on Multi Terrain Loaders, Mini Hydraulic Excavators, and Compact
Track Loaders is 12 months, or 1500 operating hours, whichever occurs first.
 New General Duty rubber tracks used on Multi Terrain Loaders and Compact Track Loaders is 12
months or 1000 operating hours, whichever occurs first.
 Yellowmark rubber tracks used on Multi Terrain Loaders, Mini Hydraulic Excavators, and Compact Track
Loaders is 12 months or 750 operating hours, whichever occurs first.
Rubber track reimbursement allowance for repair or replacement is calculated based on hours accrued. For the first
300 hours, there is no pro-ration applied to Premium and General Duty replacement rubber track reimbursement.
For Yellowmark rubber track, proration will be applied beginning at zero hours.
➤ Calculating User/Customer Participation Percentage and Dealer Reimbursement
Allowance
For a repair or replacement of failed Yellowmark rubber track beyond 0 hours and Premium and General Duty
rubber track beyond 300 hours, use the customer participation percentage and dealer reimbursement allowance
formula. This calculation provides the percent participation the customer receives toward the repair or purchase
of a new rubber track.
User/Customer Participation Percentage for Premium rubber tracks used on Multi Terrain Loaders,
➤ 02.09-10 (11/19)
1
Compact Track Loaders and Mini Hydraulic Excavators: (A=Track hours) / (B=1500 hours)
User/Customer Participation Percentage for General Duty rubber tracks used on Multi Terrain Loaders
and Compact Track Loaders: (A=Track hours) / (B=1000 hours)
User/Customer Participation Percentage for Yellowmark rubber tracks used on Multi Terrain Loaders,
Compact Track Loaders and Mini Hydraulic Excavators: (A=Track hours) / (B=750 hours)
A = Track hours at time of failure B = Divided by track hours covered by warranty
User/Customer Participation Amount = Customer % x Markup
Dealer Reimbursement = D/N - Customer Participation Amount
Example of a Rubber Track Failure on a Cat Multi Terrain Loader:
 The rubber track has 1000 hours of wear
 Markup pricing is $2592.00
 Dealer Net (D/N) price is $1814.76
User/Customer Participation Percentage = (1000 hours/1500 hours) = 0.6666 or 67%
User/Customer Participation Amount = 0.67 times $2592 = $1736.64
Dealer Reimbursement = $1814.76 - $1736.64 = $78.12
If customer participation exceeds D/N price, then the dealer reimbursement is $0.
Warranty Replacement Guidelines for Rubber Track

Use the following replacement guidelines to determine if a rubber track should be replaced under rubber track
warranty terms. Warranty covers rubber track failures truly caused by a defect in material or workmanship.
Warranty does not cover the following application related failures.
 Torn rubber track is not warrantable. Rubber track that is torn, split, cracked, cut or missing chunks,
is not normally a material or workmanship failure. Delaminates caused by tears, splits, cracks, cuts or
missing chunks are not material or workmanship failures. These failures are caused by improper operation
or application resulting in untracking, or ingestion of debris or packing of material in the undercarriage.
 Worn track is not warrantable. It is normal to have tread and drive lug wear. Wear is not normally
material or workmanship failure. Wear of the rubber track is directly related to the severity of the
application and improper operation.
 Steel embed breakage and separation is not warrantable. Rubber track steel embed failures from
detracking, worn components, excessive input force and deteriorating steel embed adhesion due to
moisture or chemical contact are not normally material or workmanship errors.
 Failure due to steel cord breakage is not warrantable. Rubber track steel cord failures from
overtension, from partial de-tracking, recoil malfunction, improper maintenance and material ingestion
are not normally material or workmanship failures. Steel cord damage from track tears, splits, cracks,
cuts and missing chunks are not normally material or workmanship failures. Steel cord corrosion from
moisture and chemical contact are not normally material or workmanship failures.
 Replacement of a mating non-failed track is not warrantable. When a failed warrantable rubber track
with a significant amount of wear is replaced, the customer must decide whether or not to replace the
non-failed mating rubber track at the customer’s expense.

Reimbursable Repair Expenses for Rubber Track for Mini Hydraulic Excavator,
Multi Terrain Loader and Compact Track Loader
Dealer reimbursement for repair expenses related to rubber tracks are per the Summary of Reimbursement Practices
chart below, in accordance with reimbursement practices as outlined in Bulletin 1.02, and per the applicable
Standard Summary of Reimbursement Practices

Parts Service Charges Not reimbursable
Removal and installation labor, early hour failure labor, travel time and
Not reimbursable
mileage, meals, lodging, inbound freight charges, and hauling charges.

The following outlines the claim field information required to submit a rubber track warranty claim:

Product ID/Serial Number Enter the Cat machine serial number in which the rubber track(s) is installed
Group Number  General Duty rubber tracks: Enter 770G
 Premium rubber tracks: Enter 770H
 Yellowmark rubber tracks: 77F0
Parts Expense Line For a prorated rubber track, enter the part number of the new replacement
rubber track. The Caterpillar system automatically enters the dealer net (D/N)
unit price based on the entered part number.
Claim Story In addition to the usual description for complaint, cause, correction and,
if applicable, complication, the claim story must also include the following
information:
 On the first line of the claim story, indicate the rubber track type (General,
Duty, Premium or Yellowmark).
 For Compact Track Loader and Multi Terrain Loader rubber track failures,
include the failed rubber track serial number. Reference pages 5-7 for
serial number details and locations. This requirement is not applicable to
Mini Hydraulic Excavator rubber track failures.
 Service meter reading on the machine upon initial track installation.
 Number of hours the rubber track has been in operation on the machine.
 For tracks that qualify for proration, also include the calculated user
allowance, customer participation, and dealer reimbursement amounts.
 During prorated rubber track claim processing, Caterpillar will adjust
the claimed replacement rubber track unit price to the calculated dealer
reimbursement amount.
Photo Requirements  Rubber track claims require clear pictures. Photos of rubber track, and
bogie and idler wheel (roller) failures must be uploaded in SIMSi. Claims
submitted without pictures will be returned to the dealer.
 Track photos must include a close-up of the failed section, along with a
full view of the entire track. If more than one track is claimed, label them
so the warranty analyst can identify the left and right. Whenever possible,
also include a photo of the track serial number. Reference following pages
for serial number placement on tracks. Also include the undercarriage
serial number in the image description.
02.09-10 (11/19) 3
Compact Track Loader (CTL) - Premium Tracks

CTL Track Serial Number Details and Location
CTL serial number formats will differ with machine size, era of machine and track, and duty of track. Use the
pictures and diagrams below to find the format that matches and record the serial information as described.
Some tracks may contain serial number data in the below format, including the entire build date. The track ID below
reads August 19, 2009 – 23rd track manufactured on tool D2.
Some tracks may contain serial number data in the below format. The 6-digit serial number pictured below reads 12
Z B 15. All positions indicate date of manufacture. The first two positions indicate the year, the third position indicates
the month (VULCANIZERDB with V=January and B=December), the fourth position indicates the shift, and the last
two positions indicate the day. Locate Cat logo and take picture of logo and all molded numbers to the right (includes
part number and serial data).
4 02.09-10 (11/19)
Some tracks may contain serial number data in the below format. Include the ten digit serial number along with the
manufacture date. The picture number below reads as serial number XXXXXXXXXX manufactured on 8/24/2015.
Note that the manufacture dates are blocked in five day increments.
Multi Terrain Loader (MTL) – Premium Rubber Tracks

MTL Track Serial Number Details and Location
MTL serial number formats will differ with machine size, era of machine and track, and duty of track. Use the
pictures and diagrams below to find the location and format that matches and record the serial number.
02.09-10 (11/19) 5
Multi Terrain Loader – General Duty Rubber Tracks
Compact Track Loader - General Duty Rubber Tracks
6 02.09-10 (11/19)
Yellowmark Rubber Tracks

One graphic will be applicable for all YM track. The part number is shown on the left with the lettering to the right
of that for the date code for the part
Part Number Date Code
02.09-10 (11/19) 7
SERVICE
Machine
Expanded Cat® Mining Products

Longwall & Sold Legacy Products
Longwall (Armored Face Conveyor System, Beam Stageloaders, Roof Supports, Shearers, Plows),
Belt Conveyor Systems, and Hard Rock (Jumbo Drills and Shaft Jumbo Drills)
Overview
This bulletin covers Longwall Expanded Mining Products, legacy Belt Conveyor Systems, Hard Rock Jumbo Drills,
and Shaft Jumbo Drills that were sold as part of the transition plan after Caterpillar acquired Bucyrus.
Longwall Expanded Mining Products have transitioned, effective for sales on/after 01May2016, the standard
warranty terms will be per the Warranty Terms section and tables found in this bulletin.
All bulletins in the Global Warranty Guide apply.

Please refer to Bulletin 2.01 for additional Expanded Mining Products that have transitioned to Caterpillar Standard
Warranty Terms that are not covered in this bulletin.
Warranty Terms
Longwall Products are warranted against defects in material and workmanship per the charts in this bulletin to the
first user. The following exceptions apply:
• Legacy products are per the contract covering the sale.
• New product sales on/after 01May16 that are being sold under a contract negotiated prior to 01May16.


1
Longwall Roof Supports

Warranty Period
Component Warranty Start Date
Months Cycles
Date of delivery to first user, but not to exceed

• Structural Steel Fabrications 36 26,000 48 months from shipment of the last major
component.
• Hydraulic Cylinders
• Relay Bars and Clevises
• Base Lift Shoes
• Solenoid Valves
• 3/2 Valve Cartridges
24 N/A 36 months from shipment of the last major
• Leg Yield Valves
component.
• Pilot Operated Check Valves
• Electronic Assemblies
• Transducers
• PMC™-R (Programmable Mining Controller)
• All Other Parts & Components 12 N/A 24 months from shipment of the last major
component.
• Pins (except for canopy hinge pins and lemniscate pins)
Not warranted.
• Retainers
Armored Facing Conveyors

Pan Type
AFCPF3 AFCPF4 AFCPF5 AFCPF6 AFCPF7
Million Million Million Million

Component Months Months Months Months Warranty Start Date
Tons Tons Tons Tons
• Drive Frames 36 6 36 8 36 12 36 18 Date of delivery to

• Line Pan PF3, PF4, PF5, PF6 first user, but not to
& PF7 (excluding face end and exceed 48 months
36 3 36 5 36 9 36 12 from shipment of the
re-routing pans)
• Line Rack Bars last major component.
• Shaft Assembly
• Gearboxes (excluding 24 3 24 6 24 8 24 8
bearings, seals and cooler)
Date of delivery to
• Sprockets 24 3 24 4 24 6 24 6
first user, but not to
exceed 36 months
• Face End & Re-routing Pans 24 2 24 3 24 6 24 8 from shipment of the
last major component.
• Motors
• Chain Tensioner
24 N/A 24 N/A 24 N/A 24 N/A
• Electronic Components (PMC-
D/-D20/-V/-R)
Date of delivery to
first user, but not to
• All Other Parts & Components 12 N/A 12 N/A 12 N/A 12 N/A exceed 24 months
from shipment of the
last major component.
• Chain Connectors Not warranted.
2 02.13-15 (01/19)
Beam Stageloaders
Pan Type
BSLPF5
BSLPF4
BSLPF6
Million Million
Component Months Months Warranty Start Date
Tons Tons
Stageloader
• Drive Frames
• Shaft Assembly
• Fixed Structure (convex, concave, straight) 24 6 24 8
• Gradient Pan
• Mini Pans
• Gearbox (excluding bearings, seals and cooler)
• Motors
• Fluid Coupling 24 N/A 24 N/A Date of delivery to first user, but not
• Electronic Components (PMC-D/-D20/-V/-R) to exceed 36 months from shipment
of the last major component.
Crusher
• Structure
24 6 24 8
• Rotor & Bearing
• Gearbox (excluding bearings, seals and cooler)
• Motor 24 N/A 24 N/A
Boot End
• Structure 24 N/A 24 N/A
• Electronic Components
Date of delivery to first user, but not
• All Other Parts & Components 12 N/A 12 N/A to exceed 24 months from shipment
• Chain Connectors Not warranted.
Plows
Warranty Period
Component Million Warranty Start Date
Months
Tons
• Plow Guides Date of delivery to first user, but not to exceed 36

24 2
• Gearcases months from shipment of the last major component.
• Motors Date of delivery to first user, but not to exceed 36

24 N/A
• Electronic Components (PMC-D/-D20/-V/-R) months from shipment of the last major component.
Date of delivery to first user, but not to exceed 24
• All Other Parts & Components 12 1
months from shipment of the last major component.
• Plow Chain, Chain Connectors, Pulling Sledge Not warranted.
02.13-15 (01/19) 3
Shearers
Shearer Type
EL1000 EL2000 EL3000

Million Million Million
Component Months Months Months Warranty Start Date
Tons Tons Tons
• Mainframe Structure
24 6 24 6 24 8 to exceed 36 months from shipment
• Major Electrical Unit Structure
• Ranging Arms
18 6 18 6 18 8 to exceed 30 months from shipment
• Haulage Gearbox
• Downdrives & Gears
• Hydraulic Pump
• Hydraulic Cylinders
• Main Transformer
• Electrical Control/Compact 12 4 12 4 12 5
Remote Control
• AC Drives Date of delivery to first user, but not
• Minor Controls to exceed 24 months from shipment
• Cutter Drums of the last major component.
• Skid and Trapping Shoes Inserts
12 1 12 1 12 1
• Haulage Sprockets
• Electric Motors 12 N/A 12 N/A 12 N/A
• All Other Parts & Components 12 N/A 12 N/A 12 N/A
Dealer Repair Expense Reimbursement - Longwall

Dealer reimbursement for repair expenses related to Longwall standard warranty is per the Summary of
Reimbursement Practices chart below, in accordance with reimbursement practices as outlined in Bulletin 1.02,
and with the applicable warranty statement at https://warranty.cat.com/currstmts.
Longwall Standard Warranty Summary of Reimbursement Practices

Parts Salvage Labor Reimbursable warranty cost labor rate, if justified
Repair Labor, Shop Supplies, Travel Time and Mileage,
Not reimbursable
Meals and Lodging, Hauling Costs, Value Added Tax
Freight Charges Not reimbursable*
*Exception of APD - Freight charges for inbound surface or airfreight charges from a source distribution center
other than the dealer’s assigned Parts Distribution Center are reimbursed. Charges from the dealer’s assigned
Parts Distribution Center are the responsibility of the dealer.
of the equipment to the customer. Normally, these check-ups and adjustments include checks for proper equipment
operation, completeness, fluid levels, tire pressure, literature, etc., and are considered as standard dealer new
machine preparations and are not reimbursable.
4 02.13-15 (01/19)
If defects are encountered that cannot be classified as normal pre-delivery inspection, but correspond to a repair,
dealers are requested to complete such repairs under warranty. Since the equipment has not been sold, Caterpillar
accepts pre-delivery claims, including the labor required for repairs during new machine preparations.
• Pre-delivery repair labor is only allowed when performed (where possible) out of customer’s sight and prior
to the customer’s knowledge of the defect.
• Each incident must be reported on a separate claim and a corresponding SIMS Report must be submitted
prior to claim submission.
• Labor must be broken down appropriately with corresponding SMCS component and job codes, as found
in Bulletin 1.09.

Claims that do not include the required serial number information as outlined in the Claim Field Information section
may be subject to full debit.
Legacy Bucyrus
For the purpose of this warranty bulletin, former Bucyrus product families, claim processes, and terms and
conditions are described as “legacy Bucyrus”. Legacy Bucyrus includes all products sold to customers under
various Bucyrus branding and also under the Cat® brand, up to the point of documented effectivity for transition to
Caterpillar Warranty Statements, dealer reimbursement policy (per Global Warranty Guide) and claim process,
as defined in this bulletin.
Legacy Bucyrus policy and process documentation will be updated to reflect effectivity of transition as transition
takes place.
Questions regarding transition plans or time lines should be directed to your local Caterpillar Global Mining (CGM)
Representative or DSD contact.
The table below provides a summary of the transition for the different product families.
Customer Terms &

Product Line Dealer Reimbursement Claim Process
Conditions
Transitioned. Warranty & Defective Parts
Transitioned.
Effective with sales on or after May 1, 2016. Stock transitioned.
Longwall Effective with sales on or
Exception: Defective Part Stock claims Effective with claims submitted on
after May 1, 2016
submitted on or after July 1, 2014. or after Nov. 1, 2014
Belt Conveyor
Legacy Bucyrus Legacy Bucyrus Legacy Bucyrus
Systems (Sold)
Transitioned.
Hard Rock - Jumbo Legacy Bucyrus Effective with claim submitted
Drills and Shaft Legacy Bucyrus Exception: Defective Part Stock claims on or after January 1, 2014.
Jumbo Drills (Sold) submitted on or after July 1, 2014. Defective Part Stock claims
submitted on or after July 1, 2014.
02.13-15 (01/19) 5
Transition Definitions
Customer Terms & Conditions - Transitioned indicates use of Caterpillar Limited Warranty Statements.
Standard and applicable “special” terms will be accessible in SIMSi.
Dealer Reimbursement - Transitioned indicates reimbursement per Caterpillar’s Global Warranty Service
Guide. Any product specific policies and requirements will be documented in this or in other bulletins of
the global guide.
Claim Process - Transitioned indicates use of the Caterpillar Service Claim System.
➤ Product Group Warranty Contact Information

Warranty Administration Help: Expanded Cat® Mining Products Claims are administered by the Product
Groups. Effective January 1, 2014, all warranty questions related to claim administration, including assignment of
additional cross reference serial numbers, changes to principle work code and/or delivery/sale dates, should be
submitted to the warranty contact listed below.
For escalation of concerns: Contact your Global Mining Representative
Product Group Name Phone E-mail

Detlef Fischer + 49 2306 709 6111 Fischer_Detlef@cat.com
Longwall
Jeremy Pearce +49 2306 709 1879 Pearce_Jeremy@cat.com
General Information
Machine name plates may contain a legacy Bucyrus or Caterpillar serial number. Caterpillar has assigned a “cross
reference” machine serial number to machines that are not stamped with a Caterpillar serial number.
• The cross reference serial number is to be used in place of legacy Bucyrus serial numbers for captive engine
claims that are submitted via the Caterpillar Service Claim System (per product family instructions included in this
bulletin).
• The dealer must document the sale/delivery of the Cat Expanded Mining Products through Caterpillar’s SCORE
system or SIMSi under the cross-reference serial number. This is a requirement to enable system transitions at a
later date.
Claim Filing Instructions for the Service Claim System

The following information outlines the claim requirements for all Expanded Cat Mining Products when submitting claims
utilizing the Caterpillar Service Claims System.
General Information:
• All claims must be filed against Caterpillar serial number or Caterpillar cross-reference serial number.
Product ID/Serial Number:
• Enter the Caterpillar serial number, when available.
• If the Caterpillar serial number is not available, enter the cross reference serial number assigned to the
machine. Serial number cross reference list is found on the dealer.cat.com website at the following link:
https://dealer.cat.com/en/ps/industry/mining/c/integration/serial-number-cross-reference.html.
• Note: For machines that were not assigned a Caterpillar cross reference serial number, contact the Product Group
to request a Caterpillar cross reference serial number. Refer to Product Group Warranty Contact Information listed
in this bulletin.
Part Causing Failure:

• Enter the Cat part number (PN) that caused the failure, when available.
• For service letter:
• Issued via the legacy Bucyrus process, enter the substitute part number that best represents the part
causing failure.
• Issued via Caterpillar process, enter the PI or PS program number.
Group Causing Failure:
• Enter the Cat group number for the part causing failure, when available.
• If the group number is not a Cat group number, use a SMCS code that best represents the group causing failure.
• Component Serial Number
• Repair or Replacement of Hydraulic Components (Pumps, Motors, Control Valves).
• Enter component serial number in the following examples:
• If component has an attached serial number tag;
• If component is the part causing failure;
• If the most economical solution is to repair and the part causing failure is the service part;
• If the component was replaced as resultant damage.
• OEM/Make
• For other manufacturer’s product, enter NONE.
• For Caterpillar product, enter CAT.
• Cab Type – Enter NO for all products.
Product SMU (H/M/K)
• Enter the machine hours.
Comments/Findings - When using a substitute part number, enter the legacy Bucyrus part number causing failure as
follows “BU_ Legacy Bucyrus PN” (Example: BU_ 400879).
• Warranty repairs may contain a mix of Cat and legacy Bucyrus part numbers. To claim expenses when Cat part
numbers are not available use a “parts summary expense line” OR “miscellaneous expense” to combine on a
single expense line of all of the legacy Bucyrus parts.
• Part summary line and miscellaneous expense “Total” field has an 8 positions limit (999999.99) and the “Rate”
field has a 7 position limit (99999.99). The part summary lines can be repeated, as needed, up to 9 times and
miscellaneous expense lines can be repeated, as needed, up to 48 times to achieve the total claim
amount. Take into consideration parts uplift and currency exchange to determine the part summary line
and miscellaneous expense amount.
• Cat part numbers:
• When Cat part numbers are available, claim the Cat PN on detail line.
• Legacy Bucyrus part numbers
• Parts summary expense lines:
• Part uplifts (including T&I) are applied to part summary expense lines. Do NOT submit a separate
expense for parts uplifts when utilizing the part summary expense line.
02.13-15 (01/19) 7
• Enter NUDF in the “Description” field.

• Miscellaneous expense lines:
• Part uplifts (including T&I) are NOT applied to miscellaneous expense lines. Therefore a separate
miscellaneous line needs to be submitted for T&I and other parts uplifts.
• Enter in the “Description“ field:
Claim Story - In addition to complaint, cause, correction and complication, include the following information:
• Enter the legacy Bucyrus serial number, if utilizing cross-reference serial number to submit the claim.
• List the part numbers, part names, quantity and part cost at the reimbursable expense of the parts that were
• List serial numbers for components included in the repair.
• For service letter issued via the legacy Bucyrus process, provide the Service Letter identifying program
number or name.
• Include DSN ticket number, if available.
• Include tons for products measuring warranty term in tons.
8 02.13-15 (01/19)
SERVICE
Machine
Cat® Utility Vehicles

Overview
This bulletin provides the standard warranty reimbursement terms and claiming information for Cat® Utility Vehicles.
Warranty Terms
The utility vehicle is warranted against defects in material and workmanship for 12 months or 750 hours, whichever comes
first. The warranty is transferable.
The standard warranty for the utility vehicle excludes accessories, even if the accessories are ordered with the utility
vehicle and installed at the time of delivery:
• Examples of product accessories, include Radios, Bumpers, Guards & Attachments, Doors, Roofs, Lights &
Attachments, Mats, Flaps, Mirrors, Glass, Windshields & Body Panels
The accessories are covered by the Caterpillar Parts Warranty, please refer to Bulletin 4.01 for additional details and
claiming instructions.

Dealer reimbursement for repair expenses related to the utility vehicle standard warranty is per the Summary of
Reimbursement Practices chart below, in accordance with reimbursement practices as outlined in Bulletin 1.02, and with
the applicable warranty statement at https://warranty.cat.com/currstmts.
Utility Vehicle Standard Warranty Summary of Reimbursement Practices

Repair Labor Reimbursable at warranty sell labor rate
Shop Supplies, Travel Time and Mileage, Meals and
Lodging, Hauling Costs, Freight Charges and Value Not reimbursable
Added Tax

product identity used herein, are trademarks of Caterpillar and may not be used without permission.
Trimble is registered mark for Trimble Navigation Limited.
1
Caterpillar requests dealers to provide a final check-up and make any minor adjustments required prior to delivery of the
equipment to the customer. Normally these check-ups and adjustments include checks for proper equipment operation,
completeness, fluid levels, tire pressure, literature, etc., and are considered as standard dealer new utility vehicle
preparations and are not reimbursable.
If defects are encountered that cannot be classified as normal pre-delivery inspection, but correspond to a repair, dealers
are requested to complete such repairs under warranty. Since the utility vehicle has not been sold, Caterpillar accepts
pre-delivery claims, including the labor required for repairs during new utility vehicle preparations. Labor is reimbursable
at Warranty Sell Labor Rate.
• Pre-delivery repair labor is only allowed when performed (where possible) out of customer’s sight and prior to the
• Each incident must be reported on a separate claim and a corresponding SIMS Report must be submitted prior to
claim submission.
• Labor must be broken down appropriately with corresponding SMCS component and job codes, as found in Bulletin 1.09.
New In-Transit Utility Vehicle Repairs

A dealer may be requested to perform repair work on a new utility vehicle shipped from Caterpillar and located in a seaport
or transportation yard. Dealer reimbursement for repair expenses related to new in-transit utility vehicle warranty is per
the Summary of Reimbursement Practices chart below.
New In-Transit Utility Vehicle Repairs Summary of Reimbursement Practices

Cat Parts and Fluids Reimbursable at M
Repair Labor, Travel Time & Mileage Reimbursable warranty sell rate
Outside Expenses, Freight Charges Reimbursable at cost
Paint Repairs
Paint repairs resulting from Caterpillar defects in material or workmanship (such as inadequate paint coverage,
improper adhesion/peeling, rust/corrosion, excessive fading, etc.) are reimbursable under standard warranty.
Paint issues due to storage, handling, modifications, addition of attachments, damage during shipment, inappropriate
or abnormal product operation, corrosive product environments (phosphate, salt loading, etc.) or to achieve a
desired showroom finish are not reimbursable.
Paint damage due to product operation is not reimbursable. For components prone to paint damage from product
operation such as buckets, ground engaging tools, moving undercarriage components, truck bodies, or other
components exposed to material abrasion or contact, approval from a Caterpillar representative prior to the repair
is required to be covered under applicable warranty.
System Contamination/Clean Up
Utility vehicles may be received from the factory with contaminated powertrain or hydraulic systems beyond factory
specifications. Utility vehicles contain many closed systems; thus the contamination is limited to within a component or
part.
Note: The product does not run accessory attachments using hydraulics, thus there is no widespread hydraulic
contamination. Claims may be submitted for expenses incurred to clean up transmission or other oil filled and filtered
compartments (excluding engines), prior to delivery, demonstration or initial use.
For additional information, refer to the Contamination Control Corporate Home Page at
https://dealer.cat.com/en/ps/service/cc.html.
Claimable expenses include the following:
2 02.14-00 (11/17)
• Oil and utility vehicle-filters at cost and up to one hour of labor for drain and refill of a component/part/system,
including exercising the utility vehicles and fluid sampling time.
• As the systems are closed systems, there is no allowance for cleaning out filters, in line filtration or kidney looping.
Additional Components
Product LinkTM
Product Link installed by the factory or dealer prior to delivery is considered part of the base product for warranty
administration.
Components installed after the delivery date of the host product are eligible for Parts Warranty. Refer to Bulletin 4.01 for
Note: Product Link is NOT covered by the terms of components listed as Machine Control and Guidance. Some Product
Link models must be installed and maintained as to not be subjected to rain/water. Reimbursement for failure due to water
damage is not covered by warranty.
Other Manufacturer’s Engines

The other manufacturer’s engine installed in utility vehicles from the factory is warranted by Caterpillar and covered by the utility
vehicle Standard Warranty as a captive engine.
Warranty service for the other manufacturer’s engines installed in the utility vehicle must be performed and administered by
the Cat dealer.

The following outlines the unique claim field information for utility vehicle standard warranty claims.
Delivery Date
• Delivered utility vehicles – Leave this field blank. The system automatically enters the date on file based on the
serial number.
• Non-Delivered utility vehicles, new in-transit utility vehicle repairs, system contamination and clean up – enter
00NIS00.
Product Identification/Serial Number
 Prime Products with Caterpillar serial number – Enter prime product serial number.
 Serialized components – Enter serial number of the utility vehicle for which the component is installed.
 System contamination/clean up – Enter utility vehicle serial number.
Description Code
• Enter the letter or numeric description code describing the failure, defect, or type of claim. Refer to Bulletin 1.08 for
a complete detailed list.
• Paint Repairs – Use 06 (Unsatisfactory Paint)
• System Contamination/Clean Up – Enter 62.
Part Number Causing Failure – Enter the Cat part number (PN) for the part that caused the failure. The following
• New in-transit utility vehicles – If repair is due to failed battery which needs recharged, enter SP0072.
• Paint Repair – enter the Caterpillar part that caused the failure. If the claim involves multiple part numbers, enter the
most representative part number, and include additional primary parts and components in the claim story.
• System Contamination/Clean Up – Not required.
• Hose Assemblies – Lowest part number in the hose assembly, if applicable, or the hose assembly number.
Group Number Causing Failure – enter the Cat group number. The following require an entry other than the Cat group
number:
• Paint Repair – Enter the group number corresponding to the part causing failure.
• System Contamination/Clean Up
• 772T for transmission
02.14-00 (11/17) 3
• 772O for other oil filled and filtered compartments

• Hose Assemblies – Enter the hose assembly number or group number of the hose assembly, dependent upon the
part causing failure used.
Refer to Bulletin 1.06 for additional information on Substitute Group and Part Numbers.
Product SMU (H/M/K) – Enter the utility vehicle hours.
 Related Serial Number
 Component Serial Number
 Repair or Replacement of engine or transaxle is required, other components if s/n is available please provide
 Enter component serial number in the following examples:
 If component has an attached serial number tag;
 If component is the part causing failure;
 If the most economical solution is to repair and the part causing failure is the service part;
 If the component was replaced as resultant damage.
 OEM / Make
 For other manufacturer’s product, enter NONE.
Claim Story – In addition to the repair information following the four Cs format (complaint, cause, correction, and
complication), the following must be provided when applicable.
• VIN Number – Enter VIN number on the first line of the claim story.
 Miscellaneous Parts – Enter the part numbers, quantities and part names for all parts claimed in miscellaneous
 Miscellaneous Expenses, Outside Invoices, etc. – Justify all claimed expenses.
 Photo Requirements
 Paint Repair – Clear photos of the defective area before repainting are required. All associated SIMS reports
must be documented with a picture of the failure.
 New In-Transit Utility Vehicle – Indicate this is an in-transit utility vehicle repair, include location of the utility
vehicle. Provide description of the repair, breakdown of costs, including part numbers, part quantities, labor hours,
travel hours, miles traveled and other expenses.
 Paint Repair – For components prone to paint damage from product operation such as buckets, ground engaging
tools, moving undercarriage components, truck bodies, or other components exposed to material abrasion or
contact, include the name of the Caterpillar representative who provided the approval (per page 2).
 System Contamination/Clean Up – Justify the reason for opening the compartment, include the particle counter
or S•O•SSM particle count findings, and the method used for clean-up.
 Repair or Replacement of Serialized Components
 If the component does not have an attached serial number tag, specify in the claim story.
 If the component was replaced as resultant damage, include the component part number in the claim story.
 Hose Assemblies
 One claim must be submitted when multiple hoses fail due to the same part causing failure (i.e. clamp causes
hoses to rub) or when multiple hoses fail with a similar failure mode (i.e. blistering)
 Separate claims must be submitted when multiple hoses fail for unrelated reasons.
4 02.14-00 (11/17)
02.14-00 (11/17) 5
SERVICE
Machine
Asphalt Compactor Oscillation Drum Warranty

Overview
This bulletin covers the warranty and claim submission instructions for asphalt compactor drum warranty for
machines equipped with oscillating compaction systems used on Cat® asphalt compaction products.
This newer warranty is effective for sales on/after 01Jan2018, and applicable to the products listed in Table 1 found
on page 6.
➤ Warranty Coverage
The new Asphalt Oscillation Drum warranty is an additional warranty that applies after the expiration of Standard
Machine Warranty and Parts Warranty and begins at the date of delivery to the initial user, or sale date for
replacement parts.
The warranty period is defined as:
New oscillation drums on asphalt compactors are covered by the Asphalt Compactor Oscillation Drum warranty
statement. The warranty period is further defined below, beginning on the date of delivery to the initial user, or
sale date for replacement parts.
For asphalt compactor oscillation drums equipped with standard shell material,
• The warranty period is 48 months or 4000 hours, whichever comes first.
For asphalt compactor oscillation drums equipped with the optional hardened drum shell material.
• The warranty period is 84 months or 7000 hours, whichever comes first.
The Asphalt Compactor Oscillation Drum warranty provides only an allowance towards a replacement drum, it does
not provide for a repair of the failed drum.
NOTE: Any drum, or drum system, that has been altered or modified from original specifications may be excluded
from this coverage.
• This includes water spray systems, scrapers, water distribution mats, coco mats, etc.

The following replacement guidelines must be used to determine if a drum should be replaced under the terms of
the Asphalt Compactor Oscillation Drum warranty. The warranty covers only drum failures caused by a defect in
material or workmanship and does not cover application related failures.
➤ 02.15-01 (11/18)

product identity used herein, are trademarks of Caterpillar and may not be used without permission.
1
Failure Criteria
• Drum cracking prior to achieving wear out criteria
• Drum denting prior to achieving wear out criteria
° Exclusion – Cracks and/or dents found within the first 100mm of the drum edges are subject to
application abuse and are not covered.
Denting Criteria
• Measuring Dents
• Depth and Length of deviation must both exceed the allowed deviation for coverage.
• Depth deviation less than 4mm is acceptable
• Length deviation that is less than 80mm is acceptable
2 02.15-01 (11/18)
Warranty for Drums Replaced Under Asphalt Compactor Oscillation

Compaction System Warranty
Drums replaced under the terms of Asphalt Compactor Oscillation Drum Warranty when customer participation is
zero or less than 25% are covered by the prorated Asphalt Compactor Oscillation Drum Warranty for the remainder
of the original drum warranty period. Warranty on such drums ceases when the original drum warranty period
expires, regardless of when the drum was replaced.
Drums replaced under the terms of Asphalt Compactor Oscillation Drum Warranty when customer participation is
25% or greater receive a new drum Warranty. Thus, the warranty period for the replacement drum starts over.
Reimbursement for replacement of new drum is prorated based on the average wear percentage of the thickness of
the drum shell. Proration does not apply within the first 12 months or 10% of wear, whichever comes first.
Calculating User Allowance

The following is the prorated user allowance formula for replacement of failed drums that are beyond the 12 Month
Standard Machine Warranty. This formula calculates the cost allowance Caterpillar gives the customer toward the
purchase of a new replacement drum.
D
A = Average measured thickness of the drum at time of failure.
B = Drum thickness at 100% worn.
C = Markup pricing for the drum.
D = Total usable drum thickness (drum thickness at new subtracted by drum thickness at 100% worn).
Factor A is the total average drum thickness that is obtained by taking measurements across the length of the
drum (Image 1) in three locations, and at 3 locations around the circumference of the drum (Image 2) for a total of
9 measurements. (demonstrated in illustration below)
02.15-01 (11/18) 3
Drum Measurement Table

Locations 1 2 3 Average
A
B
C
Factor A (Total Average Measurement)
Formula: Factor A (Total Average) = (A1+A2+A3) + (B1+B2+B3) + (C1+C2+C3) / 9
Drum User Allowance Formula Factors

Drum Type Size Class Factor
B D
Hardened Drum 7-10 Ton Class 12 mm 4 mm
11-16 Ton Class 12 mm 10 mm
Standard Drum 7-10 Ton Class 12 mm 5 mm
11-16 Ton Class 12 mm 10 mm
Example:
A failed standard Drum on a CB10 asphalt compactor has an average measured drum thickness of XX mm.
The Markup pricing is $XXXXX and the Dealer Net (D/N) price is $XXXXX. For this example, the user allowance
Caterpillar gives the customer toward the purchase of a new replacement drum is:
A = Average measured thickness of the drum at time of failure. (Formula outlined above)
B = Drum thickness at 100% worn.
C = Markup pricing for the drum.
D = Total usable drum thickness (drum thickness at new subtracted by drum thickness at 100% worn).
4 02.15-01 (11/18)

D
= (15 -12)x($15000)
10.0
= $4500.00
The customer participation is:

Customer Participation = Markup - User Allowance
= $15000.00 - $4500.00
= $10500.00
Caterpillar reimbursement to the dealer is:
Dealer Reimbursement = D/N price - Customer Participation
= $11030.00 - $10500.00
= $530

Dealer reimbursement for repair expenses related Asphalt Compactor Oscillation Drum Warranty is per the
Summary of Reimbursement Practices chart found below, in accordance with reimbursement practices as outlined
in Bulletin 1.02, and with the applicable warranty statement at https://warranty.cat.com/currstmts.
Asphalt Compactor Oscillation Drum Warranty

Repair Labor, Salvage Labor, Labor Rate, Not reimbursable
Travel Time & Mileage, Meals & Lodging,
Freight Charges, Hauling Costs and Outside
Repair Expenses

The following outlines unique claim field information required to submit a drum Warranty claim for new drum:
Claim Story - In addition to the usual description of the complaint, cause, correction and complication, the claim
story must also contain the following:
• Failed drum serial number (seven-digit number stamped inside drum shell)
• Average measured drum thickness (Factor A) at time of failure.
• For failed drum, explanation of failure mode (ex. – crack, dent, other).
• SIMSi entry with pictures of the failure.
• For drums that qualify for proration, also include the calculated User Allowance, Customer Participation
and Dealer Reimbursement amounts.
02.15-01 (11/18) 5
Table 1
Drums Covered Under the Asphalt Compactor Oscillation Drum Warranty

Standard Standard Hardened Hardened
Serial Number
Sales Model Drum Part Drum Group Drum Part Drum Group
Prefix
Number Number Number Number
CB13 PWP 524-7909 524-7908 524-7892 524-7891
CB15 M94 524-8656 524-8655 524-8660 524-8659
CB16 HP5 524-8656 524-8655 524-8660 524-8659
CB13 LP9 524-7909 524-7908 524-7892 524-7891
CB15 NPB 524-8656 524-8655 524-8660 524-8659
CB16 KHC 524-8656 524-8655 524-8660 524-8659
CB7 EL5 489-6570 504-6817 N/A N/A
CB8 JL4 504-6835 504-6834 N/A N/A
CB10 P8P 488-5457 504-6805 536-2027 536-2028
CB7 NLJ 489-6570 504-6817 N/A N/A
CB8 CB8 504-6835 504-6834 N/A N/A
CB10 NPP 488-5457 504-6805 536-2027 536-2028
CD8 RH4 489-6570 504-6817 N/A N/A
CD10 J6B 488-5457 504-6805 536-2027 536-2028
CB7 AT5 489-6570 504-6817 N/A N/A
CB8 B46 504-6835 504-6834 N/A N/A
CB10 MS2 488-5457 504-6805 536-2027 536-2028
CB7 G44 489-6570 504-6817 N/A N/A
CB10 5B4 488-5457 504-6805 536-2027 536-2028
6 02.15-01 (11/18)
SERVICE
Power Systems
Commercial Engines and Generator Sets

Overview
This bulletin provides standard warranty reimbursement terms and claiming information for Cat® commercial
engines and generator sets in the following applications:
• On-Highway Truck
• Electric Power
• Oil & Gas
• Marine
• Industrial
• Rail (Locomotive)
Vocational On-Highway Trucks are not included in this bulletin. Refer to Bulletin 6.01 for additional information.
Warranty Terms and Exceptions

Warranty reimbursement terms differ based on the arrangement, application, and method of distribution. Refer to
Bulletin 1.11 for information on how to determine the appropriate warranty coverage.
• Commercial Engine/Generator Set Serial Numbers Not in SIMSi – Service records and warranty
claims cannot be entered or filed against serial numbers not found in SIMSi. Instead, claims must be filed
using the prime product, packaged product, or appropriate 99Z serial number. For parts warranty claiming
information, refer to Bulletin 4.01. Job aids for SIMSi Serial Number Issues and 99Z Serial Numbers may
be found at https://warranty.cat.com/en/resources0.html for further assistance.
• Cat Packaged Products - Units ordered as packaged products are not intended to be broken up for sale as
a single unit or added to another packaged unit. Contact the product group before splitting a packaged unit
as it affects the warranty coverage, sales, and application. For more information, refer to Bulletin 3.19.
• Truck Engines Applications – Truck engines (with truck engine serial number prefixes) used in the
following applications are considered on-highway and the appropriate warranty applies:
• Used to power on-highway vehicles
• Used to power other vehicles capable of being licensed for on-highway use (railway, truck
terminal yarders)
• Mounted on on-highway vehicles, used to power other devices (drill rigs, cranes)
Truck engines used in applications other than those listed above are considered industrial applications.


Dealer and Dealers are defined as any Cat Authorized Dealer or Cat Authorized Repair Representative
1

Dealer reimbursement for repair expenses related to Commercial Engines and Generator Sets standard
warranty is per the Reimbursement Practices charts found at the end of this bulletin, in accordance with
reimbursement practices as outlined in Bulletin 1.02, and with the applicable warranty statements found at
https://warranty.cat.com/currstmts.
Warranty Expenses
The following provides details on warranty expenses Caterpillar may or may not reimburse for On-Highway Truck,
Electric Power, Oil & Gas, Marine, Industrial, and Rail applications.
Repair Labor Hours

All labor associated with a repair may not be Caterpillar’s responsibility, as indicated in the appropriate Warranty
Statement. If applicable, labor is limited up to and no more than labor to disconnect and reconnect the engine from/
to its attached equipment, mounting, and support systems. The remaining repair labor hours are then considered
as though the engine is “on the floor” and will be reimbursed according to the applicable Time Requirement Guide
(TRG) found at https://dealer.cat.com/en/ps/service/trg.html.
A detailed labor breakdown of segmented times must be claimed using applicable SMCS and job codes in order
to identify labor operations performed.
The following labor is not covered:
• Labor needed to salvage or replace parts made by manufacturers other than Caterpillar
• Labor to remove and install hatches, decking, sheet metal, grates, enclosures*, and ladders
• Labor for fabricating or installing lifts, cribbing components for R&I or separate/connect
• Labor removing furniture, carpeting or flooring material
• Labor for engine compartment detailing
• Costs for transporting the product or equipment in which the product is installed
• Labor for cutting/repairing hulls
*NOTE: Some exceptions apply. Refer to Bulletin 3.19 for additional information.
Cab Type
On-highway truck and pleasure craft engine claims must include the proper cab type field information. Refer to the
CabType Definitions found at https://dealer.cat.com/en/ps/service/trg.html.
Travel Expenses
Travel expenses may be considered when a product cannot reasonably be transported to an authorized Caterpillar
dealer or an Authorized Sales and Service Center (ASSC). Reimbursement for such expenses varies based on
the sales model and application and are further defined in the reimbursement charts at the end of this bulletin. For
additional information refer to Bulletin 1.02.
Travel expenses for Cat engines/transmissions sold in on-highway vehicles:
• Not intended or licensed for on-highway use (such as yard spotters, street sweepers, mobile work over rigs,
crane carriers, mobile-ag fertilizer spreaders and mobile sludge injectors), are reimbursable when it is more
economical and/or practical to repair in the field.
• Intended and licensed for on-highway use, are reimbursable if less expensive than towing to an authorized
Caterpillar repair facility or if necessary to perform repairs at an OEM factory.
Towing charges for disabled on-highway vehicles may be reimbursable when both conditions apply:
• If the failure disabled the engine/transmission or further operation would cause more serious damage, and
If the towing charges are customary for the distance from disablement to the nearest authorized Caterpillar
dealer.
NOTE: Please be certain travel is the most economical method and the vehicle can be made operational without
towing, as warranty does not cover both travel and towing.
Freight Charges
2 03.01-41 (11/19)
Americas South and EAME - Inbound surface or airfreight charges for emergency parts shipments from a
Caterpillar Parts Distribution Center to the dealer are reimbursable.
Americas North (Engines) and APD - Inbound surface or airfreight charges for emergency parts shipments from
a source distribution center other than the dealer’s assigned Parts Distribution Center are reimbursable. Freight
charges from the dealer’s assigned Parts Distribution Center are the responsibility of the dealer.
TEPS - The same criteria for premium freight reimbursement applies for all TEPS dealers. Due to the difficulty of a
TEPS dealer knowing the shipping information for freight expenses, Caterpillar dealers should only invoice TEPS
dealers for premium freight expenses when the parts needed to expedite a warranty repair were not available from
the Caterpillar dealer or the Caterpillar dealer’s primary servicing Parts Distribution Center.
➤ Pre-Delivery Repairs
of the equipment to the customer. Normally these check-ups and adjustments include checks for proper equipment
operation, completeness, fluid levels, literature, etc., and are considered as standard dealer new equipment
preparations and are not reimbursable. Flashing software during pre-delivery inspection in the absence of product
defect or failure is not reimbursable.
If defects are encountered that cannot be classified as normal pre-delivery inspection, but correspond to a repair,
dealers are requested to complete such repairs under warranty. Since the equipment has not been sold, Caterpillar
accepts pre-delivery claims, including the labor required for repairs during new equipment preparations.
• Pre-delivery repair labor is only allowed when performed out of customer’s sight (if possible) and prior to the
• Each incident must be reported on a separate claim and a corresponding SIMS report must be submitted
prior to claim submission.
• Applicable TRG labor must be claimed and any overage explained in the claim story.
• To qualify as pre-delivery repair, the unit must not exceed SMU limits outlined in Bulletin 1.12.
The following delivery date field information applies for pre-delivery repairs:
• Enter 00NIS00 if the unit is in dealer inventory
• Enter 00IFI00 if the unit is in OEM Factory inventory
Paint Repairs
Paint and other painting materials may be reimbursable due to a Caterpillar defect in material and/or workmanship
in the paint such as inadequate paint coverage or improper adhesion at the factory. After 250 hours of operation or
6 months after shipment, paint issues due to a Caterpillar defect in material and/or workmanship require approval
from a Caterpillar representative prior to the repair. Paint issues due to storage, handling, modifications, addition
of attachments, damage during shipment, or to achieve a desired showroom finish are not reimbursable.
The following claim field information is required for paint repairs:
• Part Number – Enter SP0587
• Group Number – Enter group number of component painted
• Description Code - Enter 06
• Attach photographs of the defective area to SIMSi
• After 250 hours or 6 months, the Caterpillar Service Representative’s name must be included in the claim
story including a detailed descriptive of the issue
NOTE: Effective 01May12, fuel filters and oil filters painted white are no longer factory installed on marine engines.
The filters are yellow with white over spray. Warranty claims for painting the fuel and oil filters to white are not
reimbursable.
Generator Rectifier
Refer to media numbers SENR5359 and SEBD9326 for proper failure confirmation of generator rectifier groups,
heat sinks, and varistors.
The following claim information is required for a generator failure:

• Details of the applied troubleshooting procedure and results in the claim story.
• Failure diagnosis results on all components within the rectifier group or heat sink.
• All troubleshooting performed and results for the generator and external environment/system.
• Provide product status report in SIMSi.
• Include protective relay settings in claim story.
• Data log files during event and explanation of application and operation at time of failure.
Turbochargers on 3500 and 3600 Series Engines
The following claim field information is required:
• ABB Turbochargers
• Related Serial Number - Enter ABB
• Findings/Comments - Enter turbocharger serial number, if number is greater than 20 characters,
enter turbocharger serial number in claim story
• Garrett Turbochargers
• Related Serial Number - Enter GAR
NOTE: The serial number nameplate will indicate the name of the manufacturer.
Industrial Open Power Unit (IOPU)
Warranty claims are to be filed under the Industrial Open Power Unit (IOPU) serial number, not the Caterpillar
engine serial number. Please refer to the Industrial Open Power Unit (IOPU) Job Aid for serial number location
available in the job aid section at https://warranty.cat.com/en/resources0.html.
Caterpillar Rebuild Electric Power Generation

*These gensets are rebuilt by Caterpillar and sold by Caterpillar Used Equipment Services (CUESI).
These can be identified by the following S/N prefixes and ranges.
Models Serial Number Prefixes Serial Number Ranges
C18 JKS All
C32 SXC, JSJ, 91xxx,92xxx
3508 ZAD 91xxx,92xxx
3412C RTN All
3512B ZAH, PTF, PTM, LY8 91xxx,92xxx
3512B HD FDE, YAN 91xxx,92xxx
3516B YAP, YAT 91xxx,92xxx
3516B HD ZAR, YBW 91xxx,92xxx
Dealer has 12 months from Sales Date entered in SIMSi to deliver the unit and activate Standard Warranty terms,
refer to Bulletin 3.12 Aged Prime Product Inventory.
The Standard Warranty Period will be 12 months/Unlimited Hours and will automatically begin on the 1 year
anniversary of the Sales Date, if not delivered to End User.
Reimbursement of parts will be D/N +15% and labor at Cost rate with Travel up to 4 hours roundtrip
CX Transmissions
Product Hours – Enter the product hours from the transmission ECM, not the hours on the engine.
On-Highway Truck Engines

Caterpillar Electronic Technician Electronic Control Module Download
A Caterpillar Electronic (ET) Electronic Control Module (ECM) download is an important element in failure analysis
and is required for all on-highway truck engine warranty repairs and claims. The following steps are required:
• Required download must be in between the commencement of repair and returning to service.
4 03.01-41 (11/19)
• Download required if resultant damaged parts are claimed.

• Required for units with hour/mile/km limitations to verify SMU; if the ECM download is not provided, the
claim will be 100% non-allowed.
• Claims without hour/mile/km limitations without an ECM download to be paid at parts only.
On-Highway Diesel Particulate Filters (Americas North Only)
The following steps are required for diesel particulate filter (DPF) replacements on all on-highway truck engines:
• Dealer must submit a DSN service request*
• ECM download including engine serial number and miles/kilometers/hours
• Attach pictures of the DPF field test (360-9664) (REHS5071) when results are provided to DSN service
request
• Attach pictures of face of DPF center section, if applicable, to DSN service request
• Successful regeneration and air systems verification test (ASVT)
• Any additional tests requested by DSN, TEPS manager, or Dealer TC
• Current DPF serial number
• Replacement DPF serial number
• Perform ash model reset two times
*NOTE: TEPS dealers must contact the local TEPS manager or Caterpillar dealer Technical Communicator (TC)
and the TC will submit the DSN service request.
Auxiliary Regeneration Device & Caterpillar Regeneration System Heads (Americas North Only)
Refer to the troubleshooting guidelines in SIS (RENR9343) to properly diagnose Auxiliary Regeneration Devices
(ARD) and Caterpillar Regeneration System (CRS) head defects in on-highway truck engine applications. Form
REHS7276 may be found in SIS and the box of all new ARD/CRS head replacement parts.
The following information is required for ARD/CRD head claims:
• Stationary regen datalogs and air system verification tests added in SIMSi
• Cat ET ECM download added to SIMSi
• REHS7276 must be completed and returned

Refer to SIS as your safe source for most up to date troubleshooting information. The most Current available

C13, C15, C18 KENR6849 UENR0955
C7 N/A N/A
03.01-41 (11/19) 5



To properly diagnose High Pressure Fuel Pump failures, refer to the instructions listed in the Fuel Injection Pump-
Tests located on the SIS website at https://sis.cat.com under the following media numbers:
All defective High Pressure Fuel Pumps must be returned to Caterpillar for failure analysis. Refer to the High
Pressure Pump Return Form (REHS9724), located on the SIS website, for specific part return instructions. The
following information must be sent to Caterpillar with the returned part:

NOTE: Claims will be processed based on the merit of the information provided. However, they will be subject to
a full debit upon the returned parts review if:
• Form REHS9724 is incomplete or missing
• Caterpillar failure analysis determines the part is not defective
Marine Pod Drives & attached Branded Marine Controls System Identification
Marine Pod Drives and Branded Marine Controls (Cat brand nameplate installed) systems are both identified by
their own serial number, which should be used in determining warranty, submitting claims, inputting SIMS data and
identifying them as shipped product.
Any failures of parts or components should be claimed against the appropriate serial number. The Branded Marine
Control will have a serial number plate located near the master controller, or on the hydraulic tank. The Marine Pod
Drive serial number plate is located on the rear of the PTO housing.
Multi-Engine Optimizer (MEO)

Multi-Engine Optimizer (MEO) are identified by their own serial number, which should be used in determining
warranty, submitting claims, inputting SIMS data and identifying them as shipped product.
Any failures of parts or components should be claimed against the appropriate serial number. The MEO will have
a serial number plate located inside the top-level cabinet.
Industrial (with a PWC starting with “K”)

(Effective for units put into use by the 1st customer on/after 01Jan10)
Class Warranty
Product Application Parts Labor Travel Mileage
Owner Period
3003 to 3024 24m / 2000h

C0.5 to C2.2 All Industrial All First 12m at M Sell 4h No
unlimited hrs.
3034 to 3056
24m / 3000h
C2.8, C3.4,
All Industrial All First 12m at M Sell 4h No
C3.6, C4.4,
unlimited hrs.
C6.6, C7.1
24m / 3000h
Industrial except
First 12m at
C7, C9, C9.3 Mobile Agriculture 4h (C7) No (C7)
All unlimited hrs. M Sell
(not C7.1) Yes (C9, C9.3) Yes (C9, C9.3)
Mobile Agriculture
24m/Unlimited
(PWC K21A, K22A)
ADX 24m / 3000h DN+15% Cost Yes Yes

Industrial except
First 12m at
Mobile Agriculture
BCEFG unlimited hrs. M Sell Yes Yes
C11 to C32
Mobile Agriculture ADX DN+15% Cost Yes Yes
24m/Unlimited
(PWC K21A, K22A) BCEFG M Sell Yes Yes
3400 ADX 12m D/N+15% Cost Yes Yes

All Industrial
3500
BCEFG 12m M Sell Yes Yes
3600 All Industrial All 12m 90% M Sell Yes Yes
Low Usage on new 3034, 3044, 3054, 3056, C0.5, C0.7, C1.1, C1.5, C1.6, C1.7, C2.2, C2.8, C3.4, C3.6, C4.4, C6.6 and C7.1 engines:
In cases where the engine use does not exceed 500 hours per year, the warranty period is extended for one additional year or until the
engine use reaches a total of 1500 hours or 36 months, whichever occurs first, after the date of delivery to the first user.
Extended Warranty applies to all new 3000 family, C0.5 to C4.4 and ACERT engines: Cylinder Block Casting, Cylinder Head Casting,
Crankshaft (excludes bearings), Camshaft and Connecting Rods (excludes bearings) for 36 months/unlimited hours running concurrently
with the standard warranty period.
03.01-41 (11/19) 7
On-Highway Truck - Americas North and Mexico

Application Warranty Period Warranty Coverage
Warranty
Engine Travel/
Description PWC App.Code Type Mos. SMU Parts Labor Misc. Towing*
Mileage
D10
Truck, A Prime 36 mos. 24 mos.
D60 Up to C7 Standard 24/36 150,000 mi. Yes Yes 12 mos.
Non-School Drive M Sell
D70
5th Wheel D10 A Prime 150,000 mi.

Up to C9 Standard 60 M Sell Yes Yes 12 mos.
Not RV Specialty Drive (3,600 hrs.)
Up to C7 Standard 120,000 mi.

A Prime
School Bus D20 60 no mi. M Sell Yes Yes 60 mos.
Drive C9 Standard
(6,000 hrs.)
Truck, D60 C9-C18 Standard 24 Unlimited M Sell Yes Yes 24 mos.

A Prime
Non-School, D10 500,000 mi..
Yard Jockey D70
Drive C10-C18 Extended2 60 M No No No No
(10,000 hrs.)
A Prime
FMTV D30 3116 Standard 18 12,000 mi. M Sell Yes Yes 12 mos.
Drive
no mi.
Emergency D50 A Prime
Up to C9 Standard 60 (6000 hrs.) M Sell Yes Yes 12 mos.
Drive
Recreational D40 200,000 mi..

C10-C18 Standard 60 200,000 mi. M Sell Yes Yes 60 mos.
Recreational D40 Drive
D15
D17
D35 24 Unlimited
D65 CX28
Trans- D75 A Prime
CX31 Standard M Sell Yes Yes Yes
missions Drive
CX35
D45 60 200,000 mi.
D25
60 Unlimited
D55
3116 1,800 hrs.

Standard 12 12 mos.
3126 100,000 mi.
3126B, 3126E, 3,600 hrs.

Standard 36 12 mos.
C7 Acert 150,000 mi.
2,400 hrs.
Standard 24 Yes
100,000 mi.
3208
3,600 hrs.
Extended1 36 No
150,000 mi.
3176, 3406, 3,600 hrs.

Standard 24 Yes
3406B, 3406C 100,000 mi.
3406E,
C10, C12
A Prime C13 Acert, C16
Reman D Standard 24 Unlimited M Sell Yes Yes Yes
Drive
C15, C15 Acert
(excluding road
train applications)
C15, C15 Acert

used in road train Standard 12 Unlimited Yes
applications**
3176, 3406,
3406B, 3406C,
3406E, C10,
C12, C13 Acert
10,000 hrs.
C16 Extended1 36 No
300,000 mi.
C15, C15 Acert
(excluding road
train applications)
*Claims may include Towing or Travel/Mileage, not both.

**For product sold on/after 01Jan2015.
1 - Covered components include: cylinder block casting, crankshaft, and casting connecting rods.
2 - Covered components include: cylinder block casting, crankshaft, connecting rod assemblies, cylinder head casting, camshaft, main bearing bolts, flywheel housing, oil cooler
housing, water pump housing, air intake housing, and electronic control module.
8 03.01-41 (11/19)
On-Highway Truck - Americas South (Excluding Mexico), APD & EAME

Application Warranty Period Warranty Coverage
Warranty
App. Engine Travel/
Description PWC Type Mos. SMU Parts Labor Misc. Towing*
Code Mileage
D10 Up to C9 Standard 24 Unlimited Sell Yes Yes Yes
D20
A Prime Standard 24 Unlimited Sell Yes Yes Yes
D30 M
Drive C10-C18
D60 500,000 mi. /
Extended2 60 No No No No
D70 10,000 hrs.
A Prime
FMTV D30 3116 Standard 18 12,000 mi. M Sell Yes Yes No
Drive
Recreation D40
Up to C9 24 Unlimited M Sell Yes Yes Yes
Standard
Recreation D40 Drive
C10-C18 60 200,000 mi. M Sell Yes Yes Yes
Emergency D50
D15
D17
D35 24 Unlimited
D65 CX28
Trans-mis- A Prime
D75 CX31 Standard M Sell Yes Yes Yes
sions Drive
CX35
D45 60 200,000 mi.
D25
60 Unlimited
D55
3116 1,800 hrs. /
Standard 12 Yes
3126 100,000 mi.
3126B, 3126E 3,600 hrs. /
Standard 36 Yes
C7Acert 150,000 mi.
2,400 hrs./
3208 Standard 24 Yes
100,000 mi.
3,600 hrs. /
3208 Extended1 36 No
150,000 mi.
3176, 3406 3,600 hrs. /
Standard 24 Yes
3406B, 3406C 100,000 mi.
3406E
C10, C12
A Prime C13 Acert, C16
Reman D Standard 24 Unlimited M Sell Yes Yes Yes
Drive C15, C15 Acert
(excluding road
train applications)
C15, C15 Acert
used in road train Standard 12 Unlimited Yes
applications**
3176, 3406,
3406B, 3406C,
3406E, C10,
C12, C13 Acert 10,000 hrs. /
C16 Extended1 36 No
300,000 mi.
C15, C15 Acert
(excluding road
train applications)
*Claims may include Towing or Travel/Mileage, not both.
**For product sold on/after 01Jan2015.
1 - Covered components include: cylinder block casting, crankshaft, and casting connecting rods.
2 - Covered components include: cylinder block casting, crankshaft, connecting rod assemblies, cylinder head casting, camshaft, main bearing bolts, flywheel housing, oil cooler
housing, water pump housing, air intake housing, and electronic control module.
03.01-41 (11/19) 9
Electric Power Generation*
PWC Owner
Warranty
Type Application Product Class / Dist. Parts Labor Travel Mileage
Period
Type Channel
C0.5 - C18, 3306, 3406 All M Sell
A, D, X 12 mos. / D/N + 15% Cost
EPG
E, H, M, N All other* Unlimited
Prime B, C, E, F, G M Sell
SMU
3600 All 90% M Sell
C0.5 - C18, 3306, 3406 All M Sell
G3.0, G5.7, G8.8
24 mos. /
EPG A, D, X D/N + 15% Cost
F, R 1,000 Yes Yes
Standby All other*
B, C, E, F, G SMU M Sell
3600 All 90% M Sell
C0.5 - C18, 3306, 3406 All M Sell
EPG A, D, X 24 mos. / D/N + 15% Cost
Emergency G All other* 400
Standby B, C, E, F, G SMU M Sell
3600 All 90% M Sell
*This matrix does not cover the following:
1) Olympian Brand Products (refer to Bulletin 3.09)
2) Automatic Transfer Switch (ATS) and Switchgear (refer to Bulletins 3.07 and 3.08, respectively)
3) UPS - (refer to Bulletin 3.10)
4) Warranty for the Caterpillar gas products CG132, CG170 and CG260 is administered through Caterpillar Energy Solutions
(formerly MWM), not the Caterpillar Service Claims System. Refer to the Need Assistance page on Warranty.Cat.Com for
contact information.
5) EPG products manufactured in India on/ after 01JAN2018. (Refer to India Electric Power Generation table)
India Electric Power Generation

(Effective for products manufactured in India and sold and serviced in India, Nepal or Bhutan on/after 01Jan18)
Owner
Warranty
Type PWC Product Class / Dist. Parts Labor Travel Mileage
Period
Channel
EPG Prime, C0.5-C18, 3306,3406 All M Sell

Standby, and 24 mos. /
All Yes Yes
Emergency 5,000 SMU
A, D, X D/N + 15% Cost
Standby All Other
B, C, E, F, G M Sell
10 03.01-41 (11/19)
Oil and Gas

Owner
Warranty
Type Product Class / Dist. Parts Labor Travel Mileage
Period
Channel
Oil and Gas Except 3600 engines M
Applications 12 mos. /
Sell Yes Yes
Except Unlimited hrs.
Emergency Fire 3600 engines 90% M
All
Oil and Gas Except 3600 engines M
24 mos. /
Emergency Fire Sell Yes Yes
Unlimited hrs.
Applications 3600 engines 90% M
Oil and Gas Multi-Engine 12 mos. /

All M Sell Yes Yes
Application Optimizer (MEO) Unlimited hrs.
Oil and Gas New & Remanufactured 12 mos. / Max 4
All M Sell Yes
Application Transmissions* Unlimited hrs hrs.
*Please refer to statement New and Remanufactured Transmissions used in Oil & Gas Applications for models.
Rail (Locomotive)
Owner
Warranty
Product Class / Dist. Parts Labor Travel Mileage
Period
Channel
3003, 3011, 3013, 3014, 3024, 24 mos. / 2,000 hrs.
C0.5, C0.7, C1.1, C1.5, C1.6, All With the first 12 mos. M Sell Max 4 hrs. No
C1.7, and C2.2 engines unlimited hrs.
3034, 3044, 3054, 3056, C3.4, 24 mos. / 3,000 hrs.
C4.4, C6.6, All Wth the first 12 mos. M Sell Max 4 hrs. No
C7 and C7.1 engines. unlimited hrs.
24 mos. / 3,000 hrs.
C9, C9.3, C11, C13, C15, C18,
All Wth the first 12 mos. M Sell Yes Yes
C27, and C32 engines
unlimited hrs.
All other engines not listed All 12 mos. M Sell Yes Yes
C175 and 3500 engines All 24 mos. M Sell Yes Yes
3600 engines All 24 mos. 90% M Sell Yes Yes
Low Usage on new 3034, 3044, 3054, 3056, C0.5, C0.7, C1.1, C1.5, C1.6, C1.7, C2.2, C3.4, C4.4, C6.6 and C7.1 engines:
In cases where the engine use does not exceed 500 hours per year, the warranty period is extended for one additional year or until the
engine use reaches a total of 1500 hours or 36 months, whichever occurs first, after the date of delivery to the first user.
Extended Warranty applies to all new 3000 family, C0.5 to C4.4 and ACERT engines: Cylinder Block Casting, Cylinder Head Casting, Crank-
shaft (excludes bearings), Camshaft and Connecting Rods (excludes bearings) for 36 months / un-limited hours running concurrently with the
standard warranty period.
03.01-41 (11/19) 11
Marine
Application Warranty
Type PW Code Product Parts Labor Travel Mileage
Code Period
New & Reman Max
3056, C7 engines M
Marine A - Propulsion 6 hrs.
A11-A16
Engine B - Pump
A30, A40 All others 12 mos. M Sell Yes
Revenue C - Compresor
A95, A96 Yes
Producing D - Other Drives
3600, C280 engines 90% M
Propulsion
12 mos. / Max
Marine C1.5 & C2.2 engines M
2,000 hrs. 6 hrs.
Engine A11-A16
E - Prime
Revenue A30, A40 All others M Sell Yes
F - Standby
Power A95, A96 12 mos. Yes
Generation 3600, C280 engines 90% M
24 mos. /
3056, C7 engines
New & Reman 1,000 hours Max
Marine A - Propulsion 60 mos. / 6 hrs.
Extended1
Engine B - Pump 2,000 hours
A90 M Sell Yes
Non-Revenue C - Compresor
Producing D - Other Drives All others 24 mos.
Propulsion Yes
Extended1 60 mos
24 mos. /
C1.5 & C2.2 Engines
2,000 hours Max
Marine 6 hrs.
60 mos. /
Engine Extended1
E - Prime 2,000 hours
Non-Revenue A90 M Sell Yes
F - Standby
Power All others 24 mos.
Generation Yes
Extended1 60 mos.
Marine Cat Branded

S - Marine
Controls A90 (Cat Name Plate Installed) 24 mos M Sell Yes Yes
Control
Non-Revenue Marine Control System
Marine Pod Marine Pod Drive 24 mos.
Drives A90
Non Revenue Extended2 60 mos.
Q-Marine Pod
M Sell Yes Yes
Marine Pod Drive
A20, A30,
Drives Marine Pod Drive 12 mos.
A95
Revenue
Marine
Multi-Engine
All All Multi-Engine Optimizer 12 mos. M Sell Yes Yes
Optimizer
(MEO)
1 - Covered components include: Cylinder block casting, crankshaft, connecting rod assemblies, cylinder head casting, cam-
shaft, flywheel housing, flywheel, timing gear cover/housing, timing gears, crankshaft gears, camshaft gears, accessory drive
gears, jacket water pump housing, oil pan, exhaust manifold, intake manifold, and engine oil cooler housing.
2 - Covered components include: Upper housing casting, mid-section casting, lower unit casting, steering motor, and driveshaft
(excluding u-joints).
12 03.01-41 (11/19)
03.01-41 (11/19) 13
SERVICE
Engine
➤
Extended Warranty for Non-Revenue Producing
Pleasure Craft Applications
As of August 28, 2015, contents of this document were merged into Bulletin 3.01.
Overview
This bulletin outlines the extended warranty on specified engine parts and components for non-revenue
producing pleasure craft applications. The extended warranty runs concurrently with the standard warranty
period.
Parts Coverage
New marine propulsion engines, marine auxiliary engines, and marine generator sets used only in non-revenue
producing pleasure craft applications have an extended warranty period that applies solely to the following
engine components:
Cylinder block casting (block wear that requires counter boring cylinders is not included)
 Crankshaft
 Connecting rod assemblies (includes rod bolts / rod cap / pin bore bushing)
Cylinder head casting
Camshaft
 Flywheel housing
 Flywheel
 Timing gear cover / housing
 Timing gears
 Crankshaft gears
 Camshaft gear
Accessory drive gears
 Jacket water pump housing
Oil pan
Exhaust manifold
Intake manifold
 Engine oil cooler housing


1
Warranty Period
The extended warranty period for new 3056 and C7 marine propulsion engines and new C1.5 and C2.2 marine
generator sets used in non-revenue producing pleasure craft applications is 60 months or 2000 hours, whichever
occurs first after date of delivery to the first user.
The extended warranty period for all other new marine propulsion engines, marine auxiliary engines, and marine
generator sets used in non-revenue producing pleasure craft applications is 60 months after the date of delivery
to the first user.
Please refer to Warranty Bulletin 3.01 for the Summary of Reimbursement Practices.
2 03.02-02 (08/15)
SERVICE
Extended Coverage Global
Engines
On-Highway Truck Extended Warranty Coverage

on Specified Parts
New 3300 Series and 10.3 - 18.2 liter On-Highway Vehicle Engines and Remanufactured On-Highway Vehicle Engines
have an extended warranty period for specified engine parts/components. The coverage under extended warranty varies
depending on the delivery date and whether the engine is new or remanufactured.
ON-HIGHWAY VEHICLE ENGINES EXTENDED WARRANTY COVERAGE ON SPECIFIED PARTS

NEW ENGINES / WARRANTY
PERIOD 60 MONTHS OR
REMANUFACTURED
500,000 MILES (810,000 KM),
ENGINES
OR 10,000 HOURS, WHICHEVER
OCCURS FIRST
3300 SERIES & (1) EXCEPT (2) MISC
COMPONENTS/PARTS COVERED 10.3 - 18.1 LITER 3208 3208 LABOR EXP
(3) Cylinder Block Casting YES YES YES NO NO
(4) Crankshaft YES YES YES NO NO

Connecting Rod Assemblies YES NO NO NO NO
(Includes rod bolts/rod cap/pin bore bushing)
(5) Connecting Rod Forging YES YES YES NO NO
Cylinder Head Casting YES NO NO NO NO
Camshaft YES NO NO NO NO
Main Bearing Bolts YES NO NO NO NO
Flywheel Housing YES NO NO NO NO
Oil Cooler Housing YES NO NO NO NO
Water Pump Housing YES NO NO NO NO
Air Intake Housing YES NO NO NO NO
Electronic Control Module YES NO NO NO NO

Any Resultant Damaged Caterpillar Parts YES NO NO NO NO
or Components Associated with Failure


1
Caterpillar may elect to not participate in a repair during the extended warranty period, if one of the above specified parts/
components fails due to lack of required user maintenance or use of improper fuel, oil, lubricant and/or coolant.
Salvage labor (such as cutting, welding, polishing, boring and milling) associated with the salvage of the warranted parts
under extended warranty is reimbursable when the salvage cost is less than the replacement cost of the part.
(1) Remanufactured Engines except 3208 have an extended warranty period of 36 months, 300,000 miles (482,803 km) or
10,000 operating hours, whichever occurs first after date of delivery to the first user.
(2) Remanufactured 3208 On-Highway Vehicle Engines have an extended warranty period of 36 months, 300,000 miles
(486,000 km) or 3,600 hours, whichever occurs first after date of delivery to the first user.
(3) Extended warranty for the cylinder block casting does not cover block wear that requires counter-boring cylinders for
inserts.
When the cylinder block is damaged beyond repair under extended warranty, a remanufactured short block may be used to
satisfy extended warranty. In such cases, Caterpillar approval is required prior to starting the repair. Please contact your
Cat® distributor.
(4) Extended warranty for the crankshaft does not cover rod or main bearings, since bearings are not considered part of a
crankshaft.
(5) Extended warranty for connecting rods covers only a failure of the rod forging and does not cover failures of a rod bolt,
pin bore bushing or a rod bearing. Any warrantable replacement of a damaged or failed connecting rod under extended
warranty will be with a connecting rod assembly, excluding the rod bearing.
2 03.03-02 (08/15)
R
SERVICE
Power Systems
Other Manufacturer’s Peripheral Components

Overview
This bulletin provides claiming instructions and contact information on other manufacturer’s peripheral
components. These components may be factory installed, dealer installed, or installed by the Original Equipment
Manufacturer (OEM) as an attachment to or around Caterpillar products.
Engine Brakes
Labor to remove and reinstall Caterpillar installed engine brakes may be reimbursable in the following situations:
• For accessibility to perform a Caterpillar warranted repair
• When the engine brake has been contingently damaged as a result of a Caterpillar component failure
(Refer to 4.01)
• To repair a manufacturer other than Caterpillar engine brake failure due to factory installation
workmanship
Refer to the Technical Marketing Information (TMI) system or the Parts Book to verify the engines brakes were
installed by Caterpillar.
Battery Chargers
As an attachment, Caterpillar offers Master Control Systems, Inc., Stored Energy Systems (SENS), or
Computronics Controls Ltd. battery chargers to optimize battery life. Master Control Systems and Stored Energy
Systems battery chargers are not warranted or serviced by Caterpillar. For technical support and warranty
questions for these battery chargers, contact the applicable company as indicated below.
Master Control Systems, Inc. Stored Energy Systems

910 North Shore Drive 1840 Industrial Circle
Lake Bluff, Illinois 60044 Longmont, Colorado USA 80501
Telephone: 1-847- 295-1010 Telephone: 1-303-678-7500
Fax: 1-847- 295-0704 Fax: 1-303-678-7504
Internet: http://www.mastercontrols.com Internet: http://www.sens-usa.com
Email: villa@mastercontrols.com E-mail: service@sens-usa.com


1
Computronics Controls Ltd. battery chargers are supported by Caterpillar warranty and should be submitted
using the Caterpillar Service Claims System. Enter “Computronics” in the Comments/Finding field of the claim to
ensure proper processing.
gplink
Caterpillar offers a remote monitoring system branded gplink to provide our customers with remote monitoring
communications on pleasure craft and commercial marine applications. Gplink is not warranted or serviced by
Caterpillar. For technical support and warranty questions, contact gplink directly as indicated below.
gplink
1500 Sensation Weigh
Beaufort, NC 28516
Telephone: 1-252-504-5113
Internet: http://www.gplink.com
Email: warranty@gplink.com or concierge@gplink.com
2 03.04-02 (08/15)
R
SERVICE
Engines
Use of Truck Engines

in Non-Highway Applications
Truck engines (as identified by the truck engine serial number prefix) are subject to the “Engines Used to Power
On-Highway Vehicles” warranty and applicable policies under each of the following conditions:
• When used to power on-highway vehicles (whether or not the vehicles are actually used on-highway).
• When used to power other vehicles capable of being licensed for on-highway use. Example: Railway and
truck terminal yarders.
• When mounted on on-highway vehicles but used to power other devices such as drill rigs and cranes.
Truck engines used in applications not meeting the above criteria are considered industrial applications. Refer
to the appropriate warranty statement for that specific engine application.
It is important that special care be used in determining which warranty applies. The customer should be
given the correct warranty at time of sale to avoid any misunderstanding of coverage. For example, there is a
difference in coverage such as travel and labor reimbursement, etc.
The type of warranty applicable to an engine is also determined by the engine application recorded in the sales
record.
For example, if Caterpillar sells the engine directly to the on-highway vehicle manufacturer, Market Code D10
(truck, except off-highway) is recorded.
In the case of sale by the Dealer, the Dealer should enter the correct information on the Engine Sales Record.
03.05-01 (08/15) Indicates change.


1
2 03.05-01 (08/15)
SERVICE
Power Systems
Caterpillar Electric Power Automatic

Transfer Switches (ATS)
➤ Overview
This bulletin provides the standard warranty reimbursement terms and claiming information for Caterpillar Electric
Power Automatic Transfer Switches (ATS). The ATS units will fall into one of two categories – Group 1 (UL Labeled
ATS, sold by Intelligent Switchgear or Caterpillar Switchgear Americas) and Group 2 (IEC Compliant Automated
Transfer Intelligence/Compact Transfer Intelligence (ATI/CTI) Automated Transfer Switches). For additional
clarification, refer to illustrated examples on page 4 of this bulletin.
➤ Warranty Terms
Automatic Transfer Switches are warranted against defects in material and workmanship for 24 months after date
of delivery to the first user.
➤ Group 1 – UL Labeled ATS

Dealer reimbursement for repair expenses related to Group 1 UL Labeled ATS standard warranty is per the Summary
of Reimbursement Practices chart below, in accordance with reimbursement practices as outlined in Bulletin 1.02,
and with the applicable warranty statement found at https://warranty.cat.com/currstmts.
➤ TABLE 1: The following reimbursement terms are effective for units sold prior to 31MAR2019
ATS Standard Warranty Summary of Reimbursement Practices

Reimbursable at D/N (APD, EAME, Americas South)
Parts
Reimbursable at M (Americas North)
Reimbursable at 50% of dealer cost (APD, EAME,
Repair Labor Americas South)
Reimbursable at sell (Americas North)
Parts Service Charges Reimbursable at cost


Dealer and Dealers are defined as any Cat Authorized Dealer or Cat Authorized Repair Representative. 1
Parts Salvage Labor Not Reimbursable

Overtime Labor Rate, Shop Supplies, Meals and
Lodging, Freight Changes, Hauling Cost and Value Not Reimbursable
Added Tax
➤ TABLE 2: The following reimbursement terms are effective for units sold on/after 01APRIL2019

Repair Expenses Allowance & Rate
Reimbursable at 50% dealer cost (APD, EAME,
Repair Labor Americas South)
Reimbursable at sell (Americas North)
Overtime Labor Rate, Shop Supplies, Meals and Not Reimbursable
Lodging, Freight Changes, Hauling Cost and Value
Added Tax

All claims for warranty repairs on Group 1 UL Labeled ATS products should be submitted through the Caterpillar
Service Claims System. The instructions for completing the claim are the same as for any Caterpillar engine product.
The following outlines the unique claim field information for Group 1 UL Labeled ATS warranty claims.
 Serial number – Enter ATS serial number
 Part Causing Failure – Valid Caterpillar part number or Original Equipment Manufacturers (OEM) part
number. When using the OEM part number, indicate the appropriate Caterpillar SP Number and list the
OEM part number and description in the claim story.
 Claim Story - Detailed breakdown of labor
 Miscellaneous expenses - Supporting documentation must be attached in SIMSi.
Refer to the Service Claim Instruction Handbook for an AUTOMATED TRANSFER SWITCH claim example.
Parts Retention
All defective parts must be retained for a minimum of 30 days after the claim register date. Dealers will be notified
by the ATS Product Support Center if the parts must be returned for failure analysis.
➤ Contact Information
For Group 1 ATS UL Labeled technical and warranty assistance, contact the ATS Product Support Center as
indicated below.
Website: https://www.cat-iso.com
Email: CATSWGRHELPDESK@cat.com
Phone: U.S. Toll Free: 1-866-883-3879, Outside U.S.: 678-746-5020

➤
Group 2 – IEC Compliant ATI/CTI Automated Transfer Switches
Dealer reimbursement for repair expenses related to Group 2 ATS standard warranty is per the Summary of
Reimbursement Practices chart below, in accordance with reimbursement practices as outlined in Bulletin 1.02,
and with the applicable warranty statement found at https://warranty.cat.com/currstmts.
TABLE 3: The following reimbursement terms are effective for units sold on/after 01APRIL2019
(For Group 2 Units sold before 01APRIL2019, the reimbursement terms in TABLE 1 will apply)

Repair Labor Reimbursable at sell
Added Tax

All claims for warranty repairs on Group 2 IEC Compliant ATI/CTI ATS products should be submitted through the
Caterpillar Service Claims System. The instructions for completing the claim are the same as for any Caterpillar
engine product.
The following outlines the unique claim field information for Group 2 IEC Compliant ATI/CTI ATS warranty claims.
 Serial number – Enter ATS serial number

 Part Causing Failure – Valid Caterpillar part number or Original Equipment Manufacturers (OEM) part
number. When using the OEM part number, indicate the appropriate Caterpillar SP Number and list the
OEM part number and description in the claim story.
Refer to the Service Claim Instruction Handbook for an AUTOMATED TRANSFER SWITCH claim example.
Parts Retention
All defective parts must be retained for a minimum of 30 days after the claim register date. Dealers will be notified
by the ATS Product Support Center if the parts must be returned for failure analysis.
For Group 2 IEC Compliant ATI/CTI Automated Transfer Switches technical assistance, contact the Dealer
Solutions Network (DSN). For warranty assistance, contact the Warranty Service Desk at: https://productsupport.
crm.dynamics.com

➤ Additional Information
Group 1 – UL Labeled Automated Transfer Switch Example
LARGE MEDIUM SMALL
Group 2 – IEC Compliant ATI/CTI Automated Transfer Switch Examples
CTI Range Automated ATI Range Automated

Transfer Switch Transfer Switch
63 - 160A 250 - 3200A

SERVICE
Power Systems
Electric Power Cat® Switchgear
Overview
This bulletin provides the standard warranty reimbursement terms and claiming information for Electric Power Cat
Switchgear.

Dealer reimbursement for repair expenses related to Switchgear standard warranty is per the Summary of
Reimbursement Practices chart below and in accordance with the applicable warranty statement found at
Switchgear Standard Warranty Summary of Reimbursement Practices

Reimbursable at 50% of dealer cost (APD, EAME, Americas South)
Repair Labor
Reimbursable (Americas North)

All claims for warranty repairs on Switchgear products should be submitted through the Caterpillar Service
Claims System. The instructions for completing the claim are the same as for any Caterpillar engine product.
The following outlines the unique claim field information for Switchgear warranty claims.
 Serial number – Enter Switchgear serial number
Refer to the Service Claim Instruction Handbook for a Switchgear claim example.
For technical and warranty assistance, contact the Switchgear Product Support Help Desk Center at:
Email: catswgrhelpdesk@cat.com
Phone: U.S. Toll Free: 1-866-883-3879, Outside U.S.: 770-442-9442


1
2 03.08-06 (07/18)
Olympian™ Power Systems Products (OLY)
Olympian
Timothy Mitchell All Regions +44 02890 495 175 MitchT@cat.com
Claims Analyst
Olympian
Customer Services Richard Bell All +1 770 233 5773 Bell_Richard_A@cat.com
Manager
Olympian
Graham Collin All +44 02828 261 027 COLLIGP@cat.com
Claims Manager
SERVICE
Power Systems
➤
Uninterruptible Power Supply Systems (UPS)
Overview
This bulletin provides the standard warranty reimbursement terms and claiming information for Uninterruptible
Power Supply Systems (UPS).

Dealer reimbursement for repair expenses related to UPS products is per the Summary of Reimbursement
Practices chart below and in accordance with the applicable warranty statement found at

Parts, Parts Service Charges, Repair Labor, Travel Time &
Mileage, Meals & Lodging, Freight Charges, Outside Repair Reimbursable
Expenses
Service Items Reimbursable, if made unusable
Salvage Labor Reimbursable, if justified
Overtime Labor Rate Not reimbursable
Hauling Costs N/A
Claiming Instructions
All claims for warranty repairs on UPS products should be submitted through the Caterpillar Service Claims
System. The instructions for completing the claim are the same as for any Caterpillar engine product.
Refer to the Service Claim Instruction Handbook for an UPS claim example.


1
2 03.10-04 (09/15)
SERVICE
Power Systems
Cat® Compact Power Systems Products
NOTICE:
This bulletin applies to products sold to the first user prior to 01Nov14. For products sold
to the first user on/after 01Nov14, refer to Bulletin 3.01.
Overview
This bulletin covers Cat® Compact Power Systems Products, which are less than 200kw (diesel only), for sale
only in North America and the US Territory of Puerto Rico.
Dealer reimbursement for repair expenses related to Cat Compact Power Systems Products is per details below
and in accordance with the applicable warranty statement found at https://warranty.cat.com/currstmts.
• Parts - Parts will be reimbursed at Dealer Net price plus 10%. Effective with sales on or after 01Jan10,
parts reimbursement will be Dealer Net price plus 15%.
• Labor - Standard rate for labor is 81% of approved commercial warranty rate.
• Travel Labor - Standard rate for travel labor is 81% of approved travel rate, four hours maximum.
• Travel Mileage - Standard rate for travel mileage is 85% of approved rate.
Claim Filing Instructions

Claims for warranty repairs are to be submitted through the Caterpillar Service Claims System. The instructions
for completing the claim are the same as for any Cat Engine Product.


1
2 03.11-05 (08/15)
SERVICE
Power Systems
Aged Prime Product Inventory
Overview
This bulletin explains the warranty liability for Caterpillar products in dealer inventory beyond a specified time
period. These products are referred to as “aged inventory.” The following Caterpillar products and the maximum
inventory period are listed in the chart below:
Maximum
➤ Product Description Inventory
Period
Switchgear 6 months
Electric Motors 12 months
Caterpillar Rebuild Electric Power Generation 12 months
Uninterruptable Power Supply (UPS) 18 months
Automatic Transfer Switch (ATS) 36 months
Cat® Energy Storage Systems and Cat Photovoltaic Systems
Commercial Engines
60 months
Generator Sets1
Well Stimulation/Service Pumps (effective for units shipped after 2/1/2014)
1Excluding CG132, CG170, and CG260 Series Power Generation Products - Please reference the warranty statement for
NOTE: Aged inventory does not apply to other Caterpillar products.
Inventory Period
Caterpillar does not consider aged inventory products for new warranty. The inventory period begins on the
“Dealer/Invoiced Ship Date” as found in the Service Information Management System (SIMSi). If a unit is
not sold within the specified time period in the chart above, an aged inventory coverage will be entered by
Caterpillar Global Warranty indicating that the product has no Caterpillar warranty.


1

When a new Caterpillar product not covered by Caterpillar’s new product warranty is sold to the first user, the
selling dealer shall give the customer the Caterpillar Limitation of Liability, SELF5678, rather than a Caterpillar
Limited Warranty Statement. The selling dealer must submit a signed copy of the Caterpillar Limitation of
Liability to Caterpillar Global Warranty using the Warranty Service Desk.
To obtain a copy of SELF5678, visit the Global Warranty website at https://warranty.cat.com/currstmts.

For products sold before November 1, 2015, please use form on page 3.
2 03.12-09 (06/18)
Caterpillar Limitation of Liability - All Regions

User has been informed prior to purchase that this Cat® Engine and/or Well Stimulation and Well Service
Pump was shipped from the Caterpillar factory more than five (5) years before User’s purchase. User
accepts the Cat Engine and/or Well Stimulation and Well Service Pump “AS IS, WITH ALL FAULTS.”
Caterpillar makes NO WARRANTIES, EXPRESS OR IMPLIED WITH RESPECT TO THE CAT ENGINE AND/
OR WELL STIMULATION AND WELL SERVICE PUMP AND CATERPILLAR EXPRESSLY DISCLAIMS ALL
WARRANTIES, INCLUDING ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR
PURPOSE. User acknowledges that Caterpillar has not made and does not hereby make any
representation, warranty or covenant with respect to the merchantability, condition, quality, description,
durability or suitability of the Cat Engine and/or Well Stimulation and Well Service Pump in any respect
or in any connection with or for the purposes and uses of User. CATERPILLAR IS NOT RESPONSIBLE
FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES.
Product Serial No: _____________________

Model: _____________________
Dealer Code: _____________________
Customer Name: _____________________
Address: _____________________
_____________________
Date: _____________________
________________________ __________________________
(Customer Signature) (Dealer Representative Signature)
03.12-09 (06/18) 3
4 03.12-09 (06/18)
SERVICE
Engine
Engine Performance Complaints

(Low Horsepower/High Fuel Consumption)
Effective August 31, 2015, this document was re-written as a job aid.
Caterpillar and/or Dealer participation in costs for investigating low engine horsepower and/or high fuel
consumption complaints is subject to the terms of the warranty. For Caterpillar to approve repairs, it must
be established and documented that a Caterpillar warrantable defect caused improper performance or a
malfunction.
For performance diagnostic information on 3300/3400 on-highway engines, Dealers should refer to the
Truck Performance Diagnostic Guide, Form SEBD0808. In addition, diagnostic information involving either
electronic or mechanical engine control systems is included in many of the Service Manuals for on-highway
vehicle engines. For diagnostic information on the Caterpillar CT11 and CT13 engines Dealers should refer to
Performance Diagnostics VENR1849.
Caterpillar will not approve unnecessary or unsupported fuel system adjustments. Guidelines for performance
repairs are as follows:
Making non-factory-approved setting changes on certified engines may be in violation of Regulatory Agency
law, could carry a civil penalty and would not be claimable. Such changes may lead to engine performance
complaints that are not covered by warranty. Changing fuel settings found to be within specification is not a
reimbursable repair.


1
On all product where it was necessary to check fuel/governor settings, the following table must be included in
the Warranty Claim Story to prevent overlooking any settings that could affect performance. Failure to provide
this information will lead to a delay in processing and may cause non-allowance of associated Warranty Claims.
Refer to the Engine Information Plate/Ultraplate Film and record the correct specifications in the table. The
Engine Information Plate/Ultraplate Film is the most accurate source of this data and must be used as long as
the engine is in its original factory configuration.
Specifications Before Adjustment After Adjustment

Fuel Load Fuel Setting (mm)
Full Torque Fuel Setting (mm)
1 Fuel Ratio Setting (mm)
Set Point (rpm)
High Idle (rpm)
Fuel API @60°F
2 Total HP Correction Factor
Boost (Hg)
1 Fuel ratio control settings for 3300 and 3400 Engines are dynamic.
2 Total HP correction factor (CF) = Inlet Air Temperature CF x Air Pressure CF x Fuel API CF x Fuel
Temperature CF.
2 03.17-02 (08/15)
SERVICE
Engines
Excessive Engine Oil Consumption

Effective August 31, 2015, this document was re-written as a job aid.
Verification of oil use is required before any warranty repair for excessive oil consumption is performed. When a
user contacts a Dealer and registers a complaint about excessive oil use, the Dealer must request that the user
substantiate the oil consumption or participate in an oil consumption test. The Dealer or user must complete an
Oil Consumption Test Report, Form 01-081227. Such reports are required to substantiate Warranty Claims.
Cat Products (Excluding Vocational On-Highway Truck)

Prior to completing an Oil Consumption Test Report, the Dealer should:
 Inspect the vehicle to determine if the complaint is the result of some external problem.
 Question the user to determine that there is nothing unusual about his particular application that could
cause high oil consumption.
After an Oil Consumption Test Report is completed, the fuel-to-oil ratio must be compared to the oil consumption
chart found on page 2 of this bulletin. The chart is for use by Dealer personnel only; it is not intended for
owners or operators.
The chart and the following points will determine if an engine has an oil consumption problem that requires
repair.
1. With the chart, it is Caterpillar’s intention that a defect investigation and repair should be made when a unit
falls within the investigative range, which most oil control complaints do.
2. There are conditions when an engine with oil consumption in the investigative range could have acceptable
oil consumption and thus would not warrant a defect investigation or repair, such as:
 For example: If a fleet of engines all have a low but consistent value, the problem could be the result of
application, driving habits, preventive maintenance, load factors, etc. Neither an investigation nor a repair
would necessarily produce significant improvements.


1
 Another example: A fleet of 3208 units used as city pickup and delivery tractors are shown within the
investigative range at approximately 35 gallons of fuel per quart of oil (140 liters fuel per liter oil) and all
units have approximately 20,000 miles (32,000 km). One other unit, however, is at 18 gallons of fuel per
quart of oil (72 liters fuel per liter oil). This one unit would be the only one requiring an investigation and
repair.
4. If an engine experiences a high deterioration rate, it may require a defect investigation and repair. To
determine deterioration, it is necessary to check oil consumption for at least two consecutive regular
oil change periods. Using the Oil Consumption Test Report, compare the oil consumption data to the
investigation number for the engine in the Oil Consumption Chart. If oil consumption is consistently above
the investigative number it should be repaired. OR, if the oil consumption is consistently trending upwards
for two consecutive oil change periods or more, then the engine should be repaired before oil consumption
falls into the investigative range.
5. Low engine operating temperature can contribute to excessive oil consumption.
6. Blow-by (oil slobber) alone is not enough to justify a warranty claim.
7. Oil consumption repairs should be made only after an engine is confirmed to have an oil consumption
problem. These repairs should be made in accordance with the latest published information on oil
consumption.
Oil Consumption Chart

Investigate (minimum)
Liters of Fuel per 1 Liter of Oil Gallons of Fuel per 1 Quart of Oil
3000 Series, C0.5 - C6.6 200 50
3208 200-80 50-20
3300, 3400, 3500 Series 240 60
3116, 3126, C7, C9 240 60
3176, 3196, C10, C12 240 60
3456, C15, C16 240 60
C11, C13, C15 240 60
C18, C27, C32, C175 240 60
Note: Refer to Bulletin 6.01 for Vocational On-Highway Truck Excessive Oil Consumption
Oil Consumption Claim Story Requirements

For oil consumption claims, the Claim Story must include the following:
 The oil to fuel consumption ratio.
 The cause of the oil consumption.
 The condition of the parts that were inspected for determining the cause of oil consumption.
2 03.18-04 (08/15)
SERVICE
Power Systems
Power Systems Packaged Products
Overview
Packaged Products is the terminology used to describe products produced, assembled and marketed by the Global
Power Solutions Division (Electric Power, Marine and Oil and Gas). These Packaged Products are an assembly
of Caterpillar products and components and may include products or components of other manufacturers. Typical
packages include power modules, generator sets, pump packages, well servicing units and any other associated
components required.
This bulletin addresses warranty administration for Packaged Products. It is organized in 3 business sections,
i.e. Electric Power Diesel, Electric Power Gas and Oil and Gas. Each section contains a table outlining who
administers warranty for various package situations.
Typically a package is identified by a unique serial number, which should be used for warranty administration of
all components covered by Caterpillar Warranty, including serialized components such as engine or generator.
Caterpillar may not warrant all of the components included in a package. Components on the product sold by
Caterpillar that are warranted directly to the user by the respective manufacturer are not covered.
Warranty Terms
Warranty terms for engines in Electric Power, Marine and Oil and Gas applications are outlined in bulletin 3.01.
Reimbursement terms are outlined in bulletin 3.01 and in accordance with applicable reimbursement practices
contained in bulletin 1.02 and other applicable bulletins.


1
Electric Power
Electric Power packaged products are typically composed of a Caterpillar serialized generator set and components
such as acoustic enclosures, cooling systems, control panels, switchgear, and any other associated components
required to complete a customer request. Packages may also include Caterpillar serialized components such as
UPS systems and switchgear or loose items such as control panels, switchgear, remote radiators, pumps, etc.
Electric Power – Diesel
Package Definitions
Package Typical Content
Standard generator set Engine, generator, base, radiator and control panel
Enclosed generator set Engine, generator, base, radiator, control panel and enclosure
Power module Standard generator set with enclosure, possibly a trailer, wheels, etc.
Standard generator set with switchgear Engine, generator, base, radiator and switchgear
High voltage generator set Engine, high voltage generator such as Kato, etc.
Standby generator set Standard generator set, automatic transfer switch
UPS system Standard generator set, flywheel or battery system, transfer switch
Dealer packaged Additional packaging supplied by dealer
Special or customized packaging work performed by Caterpillar or authorized
Custom Power Solutions Package
third party packagers
Claim Instructions
The prime product is identified by a specific Caterpillar serial number. Repairs for failures of parts or components
within the prime product should be claimed against the applicable serial number, by submitting a claim to Caterpillar
or to the OEM, per the following table.
If the Part Causing Failure is part of: Then the warranty administration and process are:
Warranty
Product or component Brand / Supplier Process
administrator
Generator set Caterpillar Caterpillar Submit claim to Caterpillar
Caterpillar/ISO Caterpillar/ISO Submit claim to Caterpillar (see Bulletin 3.08)
Switchgear
Terberg Terberg Submit claim to Terberg
Automatic Transfer Switch Caterpillar Caterpillar Submit claim to Caterpillar (see Bulletin 3.07)
UPS Caterpillar Caterpillar Submit claim to Caterpillar (see Bulletin 3.10)
Kato branded generators Kato Kato Submit claim to Kato
Leroy Somer branded generators Leroy Somer Leroy Somer Submit claim to Leroy Somer
Marelli branded generators Marelli Marelli Submit claim to Marelli
WEG branded generators WEG WEG Submit claim to WEG
Power Module NW Technic (NWT) NW Technic Submit claim to NW Technic
XQ Packages
Caterpillar Caterpillar Submit claim to Caterpillar
Power Modules
If the part causing failure is part of standard serial-
Caterpillar See process ized genset components, submit claim to Cater-
Custom Power Solutions
Enercon on page 3 pillar, otherwise follow the process for Custom
Power Solutions Product.
2 03.19-15 (01/19)
OEM Phone E-mail

1 866 883 3879 (US)
ISO helpdesk@cat-iso.com
+1 678 746 5000 (International)
Kato +1 507 625 4011 katowarranty@mail.nidec.com
Leroy Somer +33 2 38 60 48 56 savorleans.ials@mail.nidec.com
Terberg +31 30 686 9115 service@terberg-cs.nl
Marelli +39 0444 479 775 service@marellimotori.com
WEG 1 800 839 2529 warranty@WEG.com
NW Technic +7 812 606 3620 (ext. 112) warranty@nwtechnic.ru
Enercon 1 800 218 8831 (US) info@enercon-erg.com
Exclusions
This list is intended to define package components not covered under warranty. This list is for reference only, it is
not all-inclusive.
• All fuel and HFO treatment equipment
• All driven equipment (except Caterpillar branded generators) such as pumps and transmission lights
• Power module components: undercarriage, axles, wheels, tires, brakes
• Chiller components: compressor, York control panel, compressor oil pump, high speed coupling guard
• Building and construction components: concrete work, structural, plumbing, wells, paint
• Building and plant systems: HVAC, steam, compressed air, fuel, sheet metal
Claim Process for Electric Power Diesel Custom Power Solutions

Step 1. The dealer determines the origin of the defect in material or workmanship.
• For Cat generator sets identified with a Cat serial number the standard Caterpillar warranty process applies.
• For defects on components that belong to the Package or Solution (excluding the Cat generator set) the
dealer must contact the Global Dealer Solutions Network at +1 309 636-8500 or by submitting a Service
Request through PSCRM (https://productsupport.crm.dynamics.com).
Depending on the nature of the defect, one of the following options will be selected:
A) The supplier of the package components performs the repairs. The EPD Custom Power
Solutions group will arrange for the supplier to perform the repair at their expense within an
agreed time frame with the dealer. In the event that the repair is performed by the supplier at
their own expense, a warranty claim against Caterpillar will not be accepted.
B) The dealer performs the repair. The EPD Custom Power Solutions engineering group will
arrange for the supplier of the package components to provide the appropriate parts or will make
parts available through the Cat parts distribution network to perform the repair.
Step 2. If the outcome of Step 1 is B) and the dealer performs the repair, then the dealer submits a claim to
Caterpillar.
Claim preparation requirements for claims on Electric Power Diesel Custom Power Solutions

• Enter the Caterpillar prime product serial number.
Part Causing Failure
03.19-15 (01/19 3 ➤ Indicates change.

Group Causing Failure

• Use SMCS code 770T as the group number.
Parts Expenses Detail
• Warranty repairs may contain a mix of Cat and non-Cat part numbers. To claim expenses when Cat part
numbers are not available use a parts summary expense line or a miscellaneous expense to combine on
a single expense line of all of the non-Cat parts.
• Cat part numbers
• When Cat part numbers are available, claim Cat PN on detail line.
• Non-Cat part numbers
• Parts summary expense lines: Part uplifts (including T&I) are applied to part summary
expense lines. Do NOT submit a separate expense for parts uplifts when utilizing the part
summary expense line.
• Enter NUDF in the “Description” field for parts at dealer net
• Enter LUDF in the “Description” field for parts at list
• Miscellaneous expense lines: Part uplifts (including T&I) are NOT applied to miscellaneous
expense lines. Therefore a separate miscellaneous line needs to be submitted for T&I and other
parts uplifts. Enter the following “Description“ fields:
• For parts: PKGPRT
• For T&I and other parts uplifts: MISCTI - Misc. Code for Special T & I Situations.
Claim Story Requirements
• Start the claim story with Electric Power Diesel Packaged Product or Electric Power Diesel Custom
Solution Package.
Electric Power – Gas
Package Definitions
Package Typical Content
Standard gas generator set Gas engine, generator, base, control panel
CHP or cogeneration units Standard gas generator set with heat recovery equipment
Enclosed generator set Gas engine, generator, base, control panel, radiator, enclosure
Dealer packaged Additional packaging supplied by dealer
Special or customized packaging work performed by Caterpillar or authorized
Custom Package
third party packagers
Power Module Standard generator set with enclosure
Claim Instructions
within the prime product should be claimed against the serial number, by submitting a claim to Caterpillar or to the
OEM, per the following table.
Product Warranty
Brand / Supplier Process
or component administrator
Caterpillar/ISO Caterpillar/ISO Submit claim to Caterpillar (see Bulletin 3.08)
Switchgear
Terberg Terberg Submit claim to Terberg
Kato branded generator Kato Kato Submit claim to Kato
Leroy Somer branded generators Leroy Somer Leroy Somer Submit claim to Leroy Somer
Marelli branded generators Marelli Marelli Submit claim to Marelli
4 03.19-15 (01/19)
If the part causing failure is part of standard

Frerk See process serialized genset components, submit claim to
Cogeneration equipment
Enercon on page 5 Caterpillar, otherwise follow the process for
Caterpillar Energy Solutions product
If the part causing failure is part of standard
Frerk See process serialized genset components, submit claim to
Custom Package
Enercon on page 5 Caterpillar, otherwise follow the process for
Caterpillar Energy Solutions product
Power Module NW Technic (NWT) NW Technic Submit claim to NW Technic
OEM Phone E-mail

1 866 883 3879 (US)
ISO helpdesk@cat-iso.com
+1 678 746 5000 (International)
Leroy Somer +33 2 38 60 48 56 savorleans.ials@mail.nidec.com
Frerk +49 4257 930 099 service@frerk-aggregatebau.com
Enercon 1 800 218 8831 (US) info@enercon-erg.com
Terberg +31 30 686 9115 service@terberg-cs.nl
Marelli +39 0444 479 775 service@marellimotori.com
NW Technic +7 812 606 3620 (ext. 112) warranty@nwtechnic.ru
Claim Process for Caterpillar Energy Solutions Packages

Step 1. The dealer determines the origin of the defect in material or workmanship.
• For Cat generator sets identified with a Cat serial number the standard Caterpillar warranty process applies.
• For defects on components that belong to the Package or Solution (excluding the Cat generator set) the
dealer must contact the Global Dealer Solutions Network at +1 309 636-8500 or by submitting a Service
Request through PSCRM (https://productsupport.crm.dynamics.com).
Depending on the nature of the defect, one of the following options will be selected:
A. The supplier of the package components performs the repairs. The Caterpillar Energy Solutions group
will arrange for the supplier to perform the repair at their expense within an agreed time frame with the
dealer. In the event that the repair is performed by the supplier at their own expense, a warranty claim
against Caterpillar will not be accepted.
B. The dealer performs the repair. The Caterpillar Energy Solutions group will arrange for the supplier of the
package components to provide the appropriate parts or will make parts available through the Cat parts
distribution network to perform the repair.
Step 2. If the outcome of Step 1 is B) and the dealer performs the repair, then the dealer submits a claim to
Caterpillar.
Claim preparation requirements for claims on Caterpillar Energy Solutions Packages

• Enter the Caterpillar prime product serial number.



Group Causing Failure
• Use SMCS code 770U as the group number.
Parts Expenses Detail
• Warranty repairs may contain a mix of Cat and non-Cat part numbers. To claim expenses when Cat part
numbers are not available use a parts summary expense line or a miscellaneous expense to combine on
a single expense line of all of the non-Cat parts.
• Cat part numbers
• When Cat part numbers are available, claim Cat PN on detail line.
• Non-Cat part numbers
• Parts summary expense lines: Part uplifts (including T&I) are applied to part summary
expense lines. Do NOT submit a separate expense for parts uplifts when utilizing the part
summary expense line.
• Enter NUDF in the “Description” field for parts at dealer net
• Enter LUDF in the “Description” field for parts at list
• Miscellaneous expense lines: Part uplifts (including T&I) are NOT applied to miscellaneous
expense lines. Therefore a separate miscellaneous line needs to be submitted for T&I and
other parts uplifts. Enter the following “Description“ fields:
• For parts: PKGPRT
• For T&I and other parts uplifts: MISCTI - Misc. Code for Special T & I Situations.
Claim Story Requirements
• Start the claim story with Energy Solutions Packaged Product or Energy Solutions Custom Package.
Oil and Gas Packages, Well Service, & Well Stimulation Pumps
Package definitions
Packages typically in the Oil and Gas Industry are rig generator sets, compressor systems, pumping systems, well
servicing pumps and customized solutions packages.
Claim Instructions
within the prime product should be claimed against the serial number, by submitting a claim to Caterpillar or to the
OEM, per the following table.
Warranty
Product or component Brand / Supplier Process
administrator
Power module NW Technic NW Technic Submit claim to NW Technic
National Oilwell National Oilwell
National Oilwell Varco Submit claim to National Oilwell Varco
Varco Varco
Compressors Caterpillar Caterpillar Submit claim to Caterpillar
Well stimulation
Caterpillar Caterpillar Submit claim to Caterpillar (see bulletin 3.24)
Well service pumps
Caterpillar & Caterpillar & Submit claim to Caterpillar or Pyroban,
HazPak
Pyroban Pyroban per Bulletin 3.29.
6 03.19-15 (01/19)
OEM Phone E-mail

New Oilwell Varco +1 281 274 0420
NW Techic +7 812 606 3620 (ext. 112) warranty@nwtechnic.ru
HazPak +44 1273 456837 parts@pyroban.com
Warranty Exclusions
Completion / Stimulation Packaged Products in Oil and Gas Application
This list is not inclusive and is for reference only. It is intended to help define components of Caterpillar Completion/
Stimulation Packaged Products that are not normally covered by Caterpillar warranty. If components do not appear
on the list, it does not necessarily mean that they are covered under the Caterpillar warranty statement. Caterpillar
reserves the right to add, change or delete components on the list at any time. Due to the on-going changes and
the wide variety of components that can make up a Packaged Product, this list of exclusions will change constantly.
If there is a question about a component or it is not shown on the list, contact Oil & Gas Product Support for
assistance.
Caterpillar Packaged Product

Product Description
Sales Model and Reference Warranty Exclusions
and Reference Engine
Package Product S/N
Truck Mounted Stimulating Pumper 1. Frac Pumps

(Well Fracturing Unit) 3512 Engine. One 2. Another Manufacturer’s Transmission
SPF343(S/N 6RZ) engine driving another manufacturer’s 3. Trailer and Trailer Components
pump through a Cat TH48, or other 4. Pump Discharge Bridle and Suction Header
manufacturer’s Transmission. 5. Frac Pump Control (FPC) Components
Truck Mounted Stimulating Pumper 1. Frac Pumps
(Well Fracturing Unit) 3512 Engine. One 2. Another Manufacturer’s Transmission
SPF343C (S/N RTX) engine driving another manufacturer’s 3. Trailer and Trailer Components
pump through a Cat TH48, or other 4. Pump Discharge Bridle and Suction Header
manufacturer’s Transmission. 5. Frac Pump Control (FPC) Components

SERVICE
Power Systems
First Owner Sea Trial for Pleasure Craft

Marine Engines
Overview
This bulletin provides details on the first owner sea trial for Cat marine engines used as primary drive in pleasure
craft applications.
➤ Requirements
The first owner sea trial process and requirements are documented in media number LEGM0003-03, titled “First
Owner Sea Trial.” This publication may be obtained using the Electronic Media Center (EMC) or located at
https://engines.cat.com/en/marine/marine-segment-pages/pleasure-craft.html in the “Other Information” section
under the “Literature” tab.
The following guidelines apply in order to qualify for the first owner sea trial:
 The principle work code must be “A90” and the distribution code or owner class must be a code other than “A”
 Must be performed prior to customer delivery or within 60 days following delivery to the initial user and
must be prior to the engine reaching 500 SMU.
Dealer reimbursement for repair expenses is per the Reimbursement Practices charts below, in accordance with
applicable reimbursement practices as outlined in Bulletin 1.02, and with the applicable warranty statements
found at https://warranty.cat.com/currstmts.
Summary of Reimbursement Practices for OEM Sold Engines

Expense Allowance & Rate
Labor 2.5 hours per engine at sell rate
Travel & Mileage Reasonable and customary
Summary of Reimbursement Practices for Dealer Retail Sold Engines

Expense Allowance & Rate
Labor, Travel & Mileage Not reimbursable


1
Claiming Instructions
The following documents must be completed and uploaded to the “Sea Trial Data” tab in the Marine Service
Interlink at https://serviceinterlink.cat.com and are required to file a sea trial warranty claim:
 General Information (.txt)
 Steady State Data Logger (.ssd)
 Transient Data Logger (.sdf)
 Completed and signed First Owner Sea Trial document (LEGM0003)
The following outlines the unique claim field information required for sea trial claim submission:
Claim Story - Enter SEA TRIAL
PD Code - Enter 56
Group Number - Enter 7590
2 03.20-07 (01/16)
SERVICE
Power Systems
Caterpillar Reimbursed Inspections

Overview
Certain Cat® products are entitled to Caterpillar reimbursed inspections to ensure quality when received by dealers
and/or placed into service. Specific products and covered inspections are listed in the ‘Products & Inspections’
section of this bulletin. Only one covered inspection of each type may be claimed for reimbursement. This bulletin
provides descriptions, allowances and claim instructions.
➤ Products & Inspections
Start Up/
Principle Work Delivery Receiving
Product Owner Class Performance
Code Inspection Inspection
Audit
3176, 3196, 3300, 3400, 3500 B12

G3300, G3400, G3500, G3600 B, E B91 X X
C10-13, C15-32, C175 B92
B12
3600, C280 B, E B91 X
B92
B, E B11, B13, B14

3000, 3126, 3176, 3196, 3300,
B30-35
3400, 3500 A (outside B40-47 X
G3300, G3400, G3500, G3600 selling B50
C1.5-C6.6, C7-C13, C15-32, C175 dealer’s
territory) B85-88
Well Stimulation
B, E B20-B28 X
Well Service Pumps
K62
Certified Fire Pumps All B80 X
B90
Electric Motors All B40-B47 X X
B51, B53, B54, B55,

Transmissions used in
B, E B56, B57, B58, B59, X
Petroleum applications
B60, B61, B62


1
Start Up/Performance Audit

The Start Up Performance Audit inspection ensures that the Cat product is in good operating condition.
For Engines installed on drill rigs, this audit is to be completed at the drill rig yard when installation on rig is
complete, but NOT yet delivered/in-service. For Electric Motors, this audit is to be completed at customer site
when installation is complete, but NOT yet delivered/in-service.
Note: Claims for repair of warrantable defects found during audit must be submitted separately.
Audit Instruction List (Engines)

The audits are to include the following:
1. A check of engine fluid compartments for proper fluid and level.
2. All service points are lubricated.
3. Inspection and if necessary, adjustment of all engine drive belts.
4. Inspection and if necessary, adjustment to the governor.
5. Inspection of engine installations for integrity of mountings and serviceability. Inspection of air induction,
exhaust, fuel supply and cooling systems.
6. Measurement of cold engine alignments to driven equipment. Realignment, if necessary, is covered by
Caterpillar warranty only on Caterpillar factory assembled units. On other units, realignment costs are the
responsibility of the rig manufacturer.
7. Measurement of cold crankshaft deflection on certain V12 and V16 engines.
8. Start and operation of engines.
9. Where possible, verification that all safety warning and shutdown systems function correctly at specified settings.
10. Performance of a load test with the maximum available usable load. This should not be interpreted as a load test
for an extended duration. Load tests of one hour or less will be considered adequate for most installations.
11. A check of parallel operation of engines when it is possible.
12. For electronic engines, download engine parameters from ECM; review the electronic engine configuration
and implications. Provide copy to customer and retain copy in dealer files.
13. Other items deemed necessary by the dealer completing the audits.
Note: Measurements taken and inspections performed are to verify that engines are operating within accepted
parameters. If not within parameters, corrective measures are to be completed at the expense of the responsible
party.
After completion of start-up audits on engines that have Metal Product Information Plates (engines produced
at the Lafayette, IN facility), the Dealer Code followed by the letter “S” is to be stamped in the “Date Delivered”
portion of the plate.
After completion of start-up audits on engines that have Ultraplate Film (decals) as the Product Information Plate
(engines produced at the Mossville, IL facility), stamp the letter “S” and Dealer Code beside the Engine Serial
Number Plate located on the right rear side of the engine.
Audit Instruction List (Electric Motors)
1. Check bearings for proper lubrication; oil level in sleeve bearings and, if applicable, grease in roller
bearings. Record type of oil/grease being used.
2. With proper lubrication in place, check rotor for free rotation
3. Inspect terminal box for correct mounting.
4. Make sure the cooling hood is properly mounted on top of the motor.
5. Review all cables and cable terminations for ratings, spacing and proper torquing. Visually ensure cables
are routed correctly, there are no harsh bends and insulation is not damaged.
6. Review motor mounting for completeness and adequate sizing.
7. Visually inspect surroundings and record any obstacles for safe operation or ease of maintenance, note
any exposure to heat sources and/or risk of flooding.
2 03.21-10 (07/18)
8. Review motor and terminal box grounding system.

9. If the optional oil sump heater control is used, make sure it is installed in a safe zone.
10. Check all sensors and optional equipment and make sure no supports are loose.
Note: Measurements taken and inspections performed are to verify that the products are ready for
commissioning and operation in accordance to the original intent and within acceptable parameters as laid out
in the Application and Installation guidelines. If not within acceptable parameters, corrective measures are to be
completed at the expense of the responsible party.
Claim Allowance
Actual travel time (up to a maximum of 8 hours) and mileage for the round trip from the dealership to the rig
yard or customer site can be claimed. However, if product is located on off-shore rigs, travel will be limited to the
trip from the dealership to and from the dock where other transportation must be taken to get to the site. Other
transportation costs and travel time beyond this point, are for the customer or dealer’s account.
Labor required to perform the audit up to the following limits:
• 3176, 3196, 3300, 3400, G3300, G3400, C10-13, C15-32 Family Engines/Packages - 3 hours
• 3500, 3600, G3500, G3600, C175, C280 Family Engines/Packages - 7 hours
• Electric Motors - 2 hours

Limit each claim to a single engine. Where two or more new engines at one location are to be given a Start Up/
Performance Audit, the work should be arranged to minimize labor, travel, and mileage expenses and make
each claim associated to the other. File a separate claim for any warranty repairs performed at the time of
delivery inspection following proper Standard Warranty procedures.
Dealers will be reimbursed for labor and mileage at their approved warranty rates. Other related expenses will
be reimbursed at the dealer’s acquisition cost. Start-Up and Performance Inspection Audit claim instructions are
the same as other warranty claims except as noted below:
 Part Causing Failure (PCF) - leave blank.
 Group Number - Enter SMCS code 7589.
 Comment/Findings Field - START UP/PRFC AUDIT.
 Product Hr/Mi/Km - Enter a number of 1 or more.
 Description Code - Enter PD Code 56.
 Delivery Date - 00NIS00.
 Customer Credit % - Enter 0 for parts and 100 for labor.
Delivery Inspection
The Delivery Inspection ensures that products are in good operating condition at the time they are moved and
set up at their first revenue-producing site. It should be performed within 30 days following delivery to the initial
user, or as soon as the product is operational. Inspection Services are provided free of charge, with certain
limitations, by the Cat authorized dealer. Any unusual costs, such as travel to a remote location, overtime,
waiting time, etc., are subject to charge. Caterpillar does not reimburse such unusual costs.
➤ Delivery Inspection Instruction List

The inspection is to include, but is not limited to, the following:
1. If the engines and/or Well Stimulation/Service Pumps, and/or Transmissions used in Petroleum applications
are part of a Well Servicing Product (B20) - Determine the serial number to be used for submitting claims and
reporting delivery. See “Packaged Product Identification” and “Well Stimulation Pumps and Well Service Pumps”
for information on serial number identification.
2. Review the warranty statement content and coverage applicable to the engines, Packaged Product, and/
or Well Stimulation/Service Pump, and/or Transmissions used in Petroleum applications with the site
operations manager. See preceding topics for additional information on Packaged Product.

3. Complete warranty information cards for each product to register them for warranty coverage. For each
Cat Packaged Product complete one card. Use the serial number determined in step 1 as the identifying
serial number.
4. Check all fluid compartments to ensure they are filled to safe levels.
5. Check service points to ensure they are properly lubricated.
6. Give instructions to operating personnel on proper starting of the engines and/or Well Stimulation/Service
Pumps, and/or Transmissions used in Petroleum applications.
7. A review of safe operating practices including engine shutdown (normal and emergency), plus safety
alarms and shutdown controls.
8. Visual inspection for leaks, loose bolts, unusual noises and vibrations on engines and/or Well
Stimulation/Service Pumps, Transmissions used in Petroleum applications, and Cat Packaged Product
prior to starting, after starting and after shutdown.
9. Adjust engines and a package with compound drives to ensure loads will be shared.
10. Ensure operating personnel receive an “Operation and Maintenance Guide” for each product engine
installed and review the following items with them:
a. Specifications for correct fuel, oil and engine coolant.
b. The procedure for correct fuel handling during fuel filter changes.
c. Fuel filter requirements (high-efficiency).
d. Oil filter requirements.
11. Procedure for testing and maintaining proper Supplemental Coolant Additive levels.
12. Visually inspect each engine, Well Stimulation/Service Pump, Transmissions used in Petroleum
applications, and/or Cat Packaged Product to ensure all decals and plates are visible and readable.
13. Inspect engine air intake systems for adequate sealing, mounting and air cleaner serviceability. Also
check and charge air cooler and lines if applicable.
14. Inspect all on-engine and Packaged Product wiring and connections for adequate sealing, mounting and
grounding.
15. Other items deemed necessary by the dealer in completing the inspection.
16. For electronic engines, download engine parameters from ECM; review the electronic engine
configuration and implications. Provide copy to customer and retain copy in dealer files.
Note: After the delivery service is completed, the delivering dealer must enter the customer name, address and
delivery date information into the Customer Name & Address Screen in SIMSi. Also make sure the Principle
Work Code (PWC), Owner Class and Application Codes are correct for the application/use of the product.
This ensures factory registration for warranty coverage and expedites warranty claim processing. If any of this
information is missing or incorrect, this will cause a delay in payment or incorrect processing of the claim.
➤ Claim Allowance
Actual travel time (up to a maximum of 8 hours) and round trip mileage from the dealership to the customer site
can be claimed. However, if engines or Packaged Products are located on “off-shore rigs,” travel will be limited
to the trip from the dealership to and from the dock where other transportation must be taken to get to the site.
Other transportation costs, including service person’s travel time, are for the customer or dealer’s account.
Dealers can claim reasonable actual service person’s labor for a Delivery Inspection up to the following limits:
 2 Hours – for all Certified Fire Pump Engines (K62, B80, B90), regardless of engine models and Well
Stimulation/Service Pumps (B20), and Transmissions used in Petroleum applications (B51, B53, B54, B55,
B56, B57, B58, B59, B60, B61, B62).
 3 hours – for 3176, 3196, 3300, 3400, G3300, G3400, C1.5-C6.6, C7-13, C15-32 Engines/Packages.
 4 hours – for 3500, 3600, G3500, G3600, C175, C280 Family Engines/Packages.

Note: If the engines or packages are installed in a drill rig application (B12, B91, B92), then the total allowance
for delivery services, regardless of the number of engines or packages on the rig, cannot exceed a total of 16
hours. If there are multiple Engines, Well Stimulation /Service Pumps or Cat Packaged Products on one OEM
package (B20), then the total allowance for delivery inspection, regardless of the number of covered units on the
package cannot exceed a total of 6 hours.

Limit each claim to a single engine. Where two or more new engines at one location are to be given inspection
services, the work should be arranged to minimize labor, travel, and mileage expenses and make each
claim associated to the other. File a separate claim for any warranty repairs performed at the time of delivery
inspection following Standard Warranty procedures. Dealers will be reimbursed for labor and mileage at their
approved warranty rates. Other related expenses will be reimbursed at the dealer’s acquisition cost.
Delivery Inspection claim instructions are the same as other warranty claims except as noted below:
 Part Causing Failure (PCF) - leave blank.
 Group Number - Enter SMCS code 7590.
 Comment/Finding Field - DELIVERY INSPECTION.
 Product Hr/Mi/Km - Enter a number of 1 or more.
 Description Code - Enter PD Code 56.
 Customer Credit % - Enter 0 for parts and 100 for labor.
Receiving Inspection
The Receiving Inspection ensures that products are in good/complete condition at the time they are received by
the Cat Dealer. Inspection is to be performed within 30 days following delivery to the dealership.
Claims must be submitted within 60 days of receipt of the product by the Cat dealership.
Note: Claims for repair of warrantable defects found during inspection must be submitted separately. Reference
Bulletin 1.28 regarding Shipping Damage and Discrepancies and Bulletin 3.30 for electric motors.
Receiving Inspection Instruction List (Electric Motors)

1. Inspect packaging for standing water marks, broken edges, or any visible damage.
2. Open packaging and inspect motor and all shipped loose items for damage and signs of rust.
3. Review motor connection orientation and insure it corresponds with the order (F1 or F2).
4. The Operation and Maintenance Manual must be included in the shipment, if missing notify immediately.
5. Review motor rating plate and record any deviations from original order, missing information, odd markings.
6. Inspect paint and branding decals for completeness and record any deviations.
7. Review all safety decals and locations, make sure the decal for “No Oil in Sump” is visible and clear on
motors equipped with sleeve bearings.
8. Make sure the shaft locking device is in place and unharmed.
Claim Allowance
Labor required to perform the inspection up to the following limits:
• Electric Motors - 2 hours
03.21-10 (07/18) 5
Claim Instructions
Limit each claim to a single motor.
Receiving Inspection claim instructions are the same as other warranty claims except as noted below:
• Part Causing Failure (PCF) - leave blank
• Group Number - Enter SMCS code 770R
• Comment/Finding Field - RECEIVING INSPECTION
• Product Hr/Mi/Km - Enter a number of 1 or more
• Description Code - Enter PD Code 56
6 03.21-10 (07/18)
SERVICE
Engine
➤
Electronic Control Modules and Flash-files
As of September 4, 2015, contents of this document were moved
to Bulletin 1.29.
Overview
The Electronic Control Module (ECM) is often reported as a cause of failure, when the repair simply involved the
flashing of new software. Therefore, this bulletin provides references for required troubleshooting procedures
and details the claiming practices necessary for ECM replacements and flash-file changes for all Caterpillar®
products.
Replacement of Electronic Control Modules

Troubleshooting guides are available in SIS and are intended to prevent unnecessary replacement of ECMs.
The machine or engine serial number can be used with the fault code number to locate specific documents for
troubleshooting guidance. Dealers should follow all documented troubleshooting steps when handling ECM
repairs, and should work through their TC (Technical Communicator) to contact the DSN or ECM Hotline for
further troubleshooting assistance.
This information also applies to over-the-counter ECM sales. The claiming dealer is responsible for verifying
Caterpillar defects in materials & workmanship.
Note: Dealer TC, DSN and ECM Hotline involvement does not automatically guarantee claim payment. ECM
claims will be processed based upon claim merit.
Claiming Practices
If an Electronic Control Module (ECM) was not replaced during a repair, the ECM part number cannot be
used as the part causing failure on a claim. Claims involving re-flashing should use the flash-file part number
as part causing failure and the group number listed on the chart. Use the chart on page 2 when claiming for
failures on an engine, powertrain, implement, monitoring system electronic control module, flash-file, or when
making flash-file changes.
➤ 03.22-04 (09/15)

1
Part Causing Failure Old Part # Group # DC Code

Engine Control Module ECM Part # Cat Group # 42
Engine Flash-file Flash-file # Cat Group # 37
Transmission Control Module ECM Part # Cat Group # 42
Transmission Flash-file Flash-file # Cat Group # 37
Implement Control Module ECM Part # Cat Group # 42
Implement Flash-file Flash-file # Cat Group # 37
Monitor Control Module ECM Part # Cat Group # 42
Monitor System Flash-file Flash-file # Cat Group # 37
Re-rating Flash-file # Cat Group # 37
Electronic Update Same Flash File used Flash-file # Cat Group # 37
Factory installed flash File incorrect Flash-file # Cat Group # 37
If it is determined that the ECM is the part causing failure, report the part number that is on the failed ECM serial
number plate. In some cases, a new part may have been substituted to fill a remanufactured order. Using the
part number that is on the failed ECM serial number plate will assure that ECM reliability data is accurate.
Dealers should summarize their troubleshooting procedure in the claim story and include the following
information:
• SIS Literature Number used
• ECM harness part number used
• Active codes and results of troubleshooting steps
• DSN Service Request number or ECM Hotline contact name and date, if applicable
Note: When re-flashing software, SP0775 substitute part number will no longer be allowed as part causing
failure. Dealers should use the old software part number as the part causing failure. Do not use the new
software part number as part causing failure.
Note: All claims should use the Cat® Group Number in the claim (i.e. xxx-xxxx), not an SMCS Code.
2 03.22-04 (09/15)
SERVICE
Engine
Alternative Fuel Conversion System Warranty

Dynamic Gas Blending Kit
Contents of this bulletin were updated and moved to new Bulletin 7.03, effective October 21, 2015.
Overview
Caterpillar provides warranty that fulfills manufacturer obligations set by California Air Resources Board (ARB)
for alternative fuel conversion system warranty on Dynamic Gas Blending (DGB) Kits installed on Caterpillar
engines. The purpose of this bulletin is to provide information to dealers regarding the warranty that Caterpillar
provides for DGB kits that are sold by Caterpillar and installed by Caterpillar or a Cat Dealer on Caterpillar
engines operating in the United States. NOTE: Installation of Dynamic Gas Blending Kits on Caterpillar engines
operating outside the United States are covered by New Parts Warranty terms applicable to the Principle Work
Code/Application Code of the Caterpillar engine per bulletins 1.11 and 4.01.
Manufacturer’s Warranty Coverage:

In summary, Caterpillar warrants that Dynamic Gas Blending Kits are:
1. Designed and manufactured to conform with applicable requirements of the California Certification
and Installation Procedures for Systems Designed to Convert Off-Road Vehicles, Engines, and
Equipment to Use Alternative Fuels (“Procedures”) and
2. Are free from defects in materials and workmanship which cause the Dynamic Gas Blending Kit
to fail to conform with the requirements of the Procedures or cause damage to any part on the
converted engine/equipment.
The Dynamic Gas Blending Kit is warranted for the warranty period set forth below. If any part of the kit is
defective, the part will be repaired or replaced by Caterpillar.
Installer’s Warranty Coverage:

Each installer of a Dynamic Gas Blending Kit shall warrant to the ultimate purchaser and to each subsequent
purchaser that the Dynamic Gas Blending Kit will not fail to conform with the applicable requirements of
Caterpillar’s documented installation and maintenance information due to incorrect installation, and that no part
on the converted engine/equipment will be damaged due to incorrect installation.
Each installer of a Dynamic Gas Blending Kit shall warrant for the applicable warranty period listed below and
shall cover the full repair and replacement costs including the costs of diagnosis, labor, and parts (including any
part on the converted engine/equipment that is damaged due to a defect in the Dynamic Gas Blending Kit).


1
Warranty Period
The warranty period is 5 years or 3000 hours of operation, whichever comes first. The warranty period begins at
date of installation of the Dynamic Gas Blending Kit or at the engine/package delivery date when installed pre-
delivery to first user.
• Dealer must enter a SIMS record on the engine/package serial number to indicate:
• Installation of a DGB Kit
• Engine SMU at date of installation
• The begin date of the warranty period
• Caterpillar Inc. supplied parts or assembled components that are replaced under alternative
fuel conversion system warranty are covered only for the remaining warranty period of the original part
or component.
➤ Dealer Reimbursement
Dealer reimbursement for repair expenses related to Alternative Fuel Conversion System Warranty will be per the
following Summary of Reimbursement Practices chart, in accordance with applicable reimbursement practices as
outlined in Bulletin 1.02, and with the applicable warranty statement at https://warranty.cat.com/currstmts.

Repair Labor Warranty Sell Labor Rate
Part Salvage Labor Warranty Sell Labor Rate
Emergency Parts Service Charges Reimbursable, if justified in claim story
Shop Supplies Included in labor rate
Overtime Labor Rate, Travel Time & Mileage, Meals &
Not Reimbursable
Lodging, Freight Charges, Hauling Costs
Additional Warranty Information

• Aftermarket components may be utilized for maintenance and non-warranty repairs. The owner should ensure
that such components are equivalent in design, function and durability to genuine Cat® parts. Use of aftermarket
parts does not invalidate Caterpillar’s alternative fuel conversion system warranty. However, Caterpillar is not
liable for any subsequent failure caused by an aftermarket part.
• Verification of a defect in Caterpillar’s material and/or workmanship may be required before this warranty
coverage applies.
• The user may ask, in writing, for the reasons why a claim was denied and may appeal the decision. Dealers
are encouraged to obtain assistance from Caterpillar in such cases.
• The anti-tampering provision of the Clean Air Act applies regardless of the person performing work on an
engine or vehicle. It is illegal for any person to disconnect or tamper with any emission control component or to
put the engine into an uncertified configuration, other than on a temporary basis for repair purposes.
• During the terms of the alternative fuel conversion system warranty, Caterpillar, through an authorized Dealer,
will provide new, remanufactured, or repaired parts and/or components at Caterpillar’s option. This may include
all other engine components damaged as a result of the failure of a defective Dynamic Gas Blending kit part.
Owners are encouraged to keep adequate maintenance records, but the absence of such does not automatically
invalidate this warranty.


The following outlines the unique claim field information for alternative fuel conversion system (Dynamic Gas
Blending Kit) warranty claims. NOTE: Caterpillar Emissions Warranty does not cover these claims; therefore
they will not have a “CEW” reason code applied.
Product ID / Serial No. – Dynamic Gas Blending Kits are not serialized. Enter the serial number of engine that
the DGB kit is installed on. In some cases such as with EPG products, this may be a “package” serial number.
Parts Start Date - enter the date of the DGB Kit installation or the engine/package delivery date when DGB Kit
was installed pre-delivery to first user. All claims must have a parts start date that reflects the “installation date”
documented in SIMS record.
Parts Hr/Mi/Km - enter the SMU hours since the DGB Kit was installed as determined by SMU of the host
engine.
Part Causing Failure – enter the individual part number that caused the failure
Group Number – enter the SMCS Code 7793
Claiming Practices for DGB Kits covered under other coverage while still
under Alternative Fuel Conversion System (DGB Kit) Warranty
Caterpillar’s alternative fuel conversion system warranty has precedence over any additional coverage that may
apply to the engine or new replacement parts. If the DGB Kit is within the terms of the Caterpillar’s alternative
fuel conversion system warranty, and has a qualified component failure, the claim shall be filed to alternative fuel
conversion system warranty using the steps detailed above.
Required Maintenance
Required maintenance must be completed Caterpillar’s Installation & Maintenance Manual as to avoid risk of
denial of alternative fuel conversion system warranty claims.
Parts Covered by Dynamic Gas Blending Kit Warranty

Dynamic Gas Blending Kit for Engines in Electric Power Generation Applications
The following illustrations can be used for general orientation to parts that are included in the Caterpillar’s
Dynamic Gas Blending Kits for Engines in Electric Power Generation Applications (highlighted parts).
This Alternative Fuel Conversion System Warranty covers specific part numbers that are listed as “parts needed”
in Caterpillar’s installation & maintenance Special Instruction Manuals REHS7407 and REHS7328. Refer to
these Special Instruction Manuals to determine individual part numbers that are covered by the warranty.
03.23-04 (02/16) 3
Dynamic Gas Blending Kit for Engines in Oil and Gas Completion / Stimulation Applications
The following illustrations can be used for general orientation to parts that are included in the Caterpillar’s
Dynamic Gas Blending Kits for Engines in Oil and Gas Completion / Stimulation Applications (parts in black).
This Alternative Fuel Conversion System Warranty covers specific part numbers that are listed as “parts needed”
in Caterpillar’s installation & maintenance Special Instruction Manual REHS7855. Refer to these Special
Instruction Manuals to determine individual part numbers that are covered by the warranty.
4 03.23-04 (02/16)
SERVICE
Power Systems
Well Stimulation Pumps

and
Well Service Pumps
Overview
This bulletin provides warranty reimbursement terms and claiming information for Well Stimulation Pumps and
Well Service Pumps used in Oil and Gas applications.
Well Stimulation Pumps (WS223, WS255, WS273, WS305) and Well Service Pumps have two major components:
a power end and a fluid end, as illustrated in the pictures below. The warranty terms for each end differ.
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1
➤ Pump Electronic Monitoring System (PEMS)

PEMS will adopt the specific warranty term for whichever end the part is attached.
For example: There is a suction pressure sensor installed on the Fluid End. If this part fails it will follow the same
warranty terms and claiming process for fluid ends.
Components installed after the delivery date of the host unit are eligible for Parts Warranty. Refer to Bulletin 4.01 for
Warranty Period
The warranty period for power ends is 12 months / unlimited hours after the date of delivery to the first user.
The warranty period for fluid ends is 3 months / unlimited hours, after the date of delivery to the first user.
To begin the warranty period, the sale/delivery of the Well Stimulation Pumps and Well Service Pumps must be
documented through Caterpillar’s SCORE system or SIMSi.
The Well Stimulation Pumps and Well Service Pumps are identified by serial numbers, which should be used in
determining warranty, submitting claims, entering SIMS data, and verifying the product has been shipped.
The serial number plate on Well Stimulation Pumps and Well Service Pumps are located on the power end. The
photo below shows the location of the serial number plate for Well Stimulation Pumps and Well Service Pumps.
Dealer reimbursement for repair expenses related to Well Stimulation Pumps and Well Service Pumps is per the
Summary of Reimbursement Practices chart below, in accordance with the reimbursement practices as outlined
in Bulletin 1.02, the applicable warranty statement found at https://warranty.cat.com/currstmts.
Well Stimulation Pumps and Well Service Pumps

Parts Salvage Labor Reimbursable at warranty sell labor rate, if justified
Travel Time and Mileage Reimbursable
Overtime Labor Rate, Shop Supplies, Meals
and Lodging, Freight Charges, Hauling Not Reimbursable
Costs, Value Added Tax


Warranty claims for Well Stimulation Pumps and Well Service Pumps used in Oil and Gas Applications sold by
Caterpillar must be submitted to Caterpillar using the Caterpillar Service Claims System.
The following outlines the unique claim field information for Well Stimulation Pumps and Well Service Pumps,
including power ends and fluid ends.

Product ID/Serial Number Enter the pump serial number located on the power end.
Part Causing Failure Enter the part number that caused the failure.
Group Number Enter the group number for the part causing failure.
Note: For new parts warranty, see Bulletin 4.01.
When filing a claim for Cat replacement parts and components used on competitive products on fluid ends,
enter 99Z00400 as referenced in the 99Z Serial Number Alignment Job Aid found at:
https://warranty.cat.com/en/resources0.html
03.24-06 (02/17) 3
4 03.24-06 (02/17)
SERVICE
Power Systems
Cat® Selective Catalytic Reduction System

For Aftertreatment Retrofit
Overview
This bulletin provides warranty reimbursement terms and claiming information for Cat® Selective Catalytic
Reduction (SCR) Systems installed by dealers or customers on Cat or other manufacturer’s engines.
Warranty Period
The warranty period for Cat SCR Systems is 24 months / 8,000 hours of operation, whichever comes first, after
the date of delivery to the first user.
To begin the warranty period, the sale and/or delivery of the Cat SCR System must be documented using
Caterpillar’s SCORE system or SIMSi.
Cat SCR Systems are identified by serial numbers, which should be used in determining warranty, submitting
claims, and entering SIMS data.
The Cat SCR System has a serial number plate located on the right front panel dosing cabinet door or on the
reactor housing. The photo below shows the locations of the serial number plates.
Common
Locations
for
Serial Number
Plates


1
Dealer reimbursement for repair expenses related to Cat SCR Systems is per the Summary of Reimbursement
Practices chart below, in accordance with reimbursement practices as outlined in Bulletin 1.02, and with the
Cat SCR Systems Summary of Reimbursement Practices

Travel Time & Mileage Not reimbursable
Overtime Labor Rate, Shop Supplies,
Meals and Lodging, Freight Charges, Not reimbursable
Hauling Cost, Value Added Tax

Warranty claims for Cat SCR Systems must be submitted to Caterpillar using the Caterpillar Service Claims System.
The following outlines the unique claim field information required for claim submission.

Product ID/Serial Number Enter the SCR System serial number.
Group Number Enter the group number for the part causing failure.
Enter the hours found in the SCR controller located in the dosing
Product Hr/Mi/Km
cabinet. Do NOT enter the engine hours.
NOTE: For new parts warranty, see Bulletin 4.01.
Contact the Caterpillar Emissions Solutions Group for warranty questions including claim settlement assistance,
coverage, and parts return as indicated below.
Sairam Thiagarajan
+1 (309) 578-6807
Thiagarajan_Sairam_P@cat.com

SERVICE
Power Systems
OEM Solutions
Cat® Locomotive Power Train
Overview
This bulletin provides warranty reimbursement terms and claiming information for Cat® Locomotive Power Train
mechanical drive products offered by the OEM Solutions Group for use in Cat locomotives or other manufacturer
locomotives. Cat Locomotive Power Train refers to a mechanical drive product used on a locomotive, and
consists of an engine, transmission, torque converter and an electronics control package. The product is sold by
Caterpillar OEM Solutions direct to customers and also through Cat dealers.
Warranty Period
The warranty period is 24-months/3000 hours, whichever occurs first (with the first 12 months at unlimited hours)
starting from the date of delivery to the first user.
To begin the warranty period, the sale/delivery of the Cat Locomotive Power Train must be documented through
Caterpillar’s SCORE system or SIMSi.
Individual major components may be labeled with serial numbers;
however, the Cat Locomotive Power Train unit is identified by an
overall prime product serial number (PIN) used for sales and service
reporting, including warranty claims.
The Cat Locomotive Power Train prime product identification plate is
located on the right-hand side of the torque converter.
Dealer reimbursement for repair expenses related to Cat Locomotive
Power Train is per the Summary of Reimbursement Practices chart
found on page 2, in accordance with reimbursement practices as
outlined in Bulletin 1.02, and with the applicable warranty statement


1
➤
Cat Locomotive Power Train
Labor Reimbursable at sell rate
Parts Salvage Labor Reimbursable at cost labor rate, if justified
Freight Charges Reimbursable, if justified
Travel Time & Mileage Reimbursable (provide to/from destination)
Meals & Lodging Reimbursable
Overtime Labor Rate, Shop Supplies, Hauling Costs Not reimbursable

The following outlines the unique claim field information required for Cat Locomotive Power Train warranty claims.

Enter the Cat Locomotive Power Train serial number (PIN), located on the
Product ID/Serial Number
righthand side of the torque converter.
Component Serial Number Enter the serial number of the failed component, when applicable
Include major component (engine, transmission, etc.) original s/n and
replacement s/n when repair requires replacement of component.
Claim Story
NOTE: Update the “Product Configuration” tab in SIMSi with the new serial
number information.

SERVICE
Power Systems
HazPak Power Units

Overview
This bulletin provides warranty reimbursement terms and claiming information for Cat® HazPak hazardous
location power units. HazPaks are Cat branded package products consisting of a Cat core engine, explosion
protection components, radiator, skid frame and selected options. Explosion protection parts and components
are Pyroban branded (non-Cat part numbers).
Warranty Period
The warranty period is 12 months/unlimited hours, after the date of delivery to the first user for Cat and Pyroban
brand parts.
To begin the warranty period, the sale/delivery of the HazPak must be documented through Caterpillar’s SCORE
system or SIMSi.
Dealer reimbursement for repair expenses related to HazPak Power Units is per the Summary of Reimbursement
HazPak Summary of Reimbursement Practices

Repair Labor Reimbursable at sell rate
Parts Salvage Labor Reimbursable at sell rate
Outside Repair Expenses Reimbursable at cost*
Travel Time & Mileage Reimbursable*
Overtime Labor Rate, Shop Supplies, Meals & Lodging,
Not reimbursable
Freight Charges, Hauling Costs, Value Added Tax
*NOTE: Expenses associated to Pyroban technicians is not reimbursable.


1

Warranty claims for defective Cat brand parts must be submitted to Caterpillar through the Caterpillar Service
Claims System. Warranty claims for defective Pyroban brand parts (non-Cat part numbers), claims for new prime
product, and replacement parts must be submitted directly to Pyroban.
Repairs that involve both Cat brand and Pyroban brand parts must be submitted in two separate claims, one
to Caterpillar and one to Pyroban. Repair or replacement of Pyroban brand parts must be made by certified
technicians.
The following chart outlines the unique claim field information required for submitting HazPak Power Unit
warranty claims to Caterpillar.
Product ID/Serial Number Enter the Cat HazPak package serial number.
If a Pyroban brand part caused the failure, enter the most appropriate
substitute part (SP) number.
Group Number If a Pyroban brand part caused the failure, enter the most appropriate SMCS code.
Part Detail Enter Cat part numbers only (Pyroban parts must be submitted to Pyroban directly).
Enter Pyroban technician name and if associated claim was submitted to
Claim Story
Pyroban, if applicable.
Pyroban Contact Information

Email: parts@pyroban.com
Phone: +44 1273 456837
Escalation: Darren P. Boiling / +44 1273 456831
2 03.29-02 (02/16)
SERVICE
Power Systems
Electric Motors
Used in Oil & Gas Applications
Overview
This bulletin provides warranty reimbursement terms and claiming information for Electric Motors in Oil & Gas
Applications.
Note: This bulletin does not apply to electric motors used in other applications or as a component of a
machine or engine manufactured by or for Caterpillar. These products are covered by other Caterpillar
warranties.
Warranty Period
The warranty period is 12 months / unlimited hours, starting from date of delivery to the first user.
To begin the warranty period, the sale and delivery of the Electric Motor must be documented using Caterpillar’s
SCORE system or SIMSi.
For Electric Motors sold to OEM’s, the delivery date must be entered in SIMSi as the date the OEM delivers the
unit to the first user.
Example model numbers are CN1566 through CN5086 ranging from 1500 to 5000 HP.


1
New Parts Warranty

For new parts warranty, see Bulletin 4.01.
Aged Inventory
See Bulletin 3.12.
Receiving & Start-up Inspections

See Bulletin 3.21.
Dealer reimbursement for repair expenses is per the Summary of Reimbursement Practices chart below, in
accordance with reimbursement practices as outlined in Bulletin 1.02, and with the applicable warranty statements
Electric Motors Used In Oil & Gas Applications

Repair Labor (excluding disconnect & reconnect) Reimbursable at warranty sell labor rate
Meals and Lodging Reimbursable at cost, if justified
Overtime Labor Rate, Shop Supplies, Freight Changes,
Not Reimbursable
Hauling Cost and Value Added Tax

Warranty claims for Electric Motors used in Oil and Gas Applications sold by Caterpillar must be submitted to
Caterpillar using the Caterpillar Service Claims System.
The following outlines the unique claim field information required:
Product ID / Serial No. Enter the Caterpillar Electric Motor serial number
Part Causing Failure Enter the part number that caused the failure
Group Causing Failure - Enter the group number for the part causing failure
This product does not have an hour meter. Enter a value 1 hour greater
Product/Parts Usage (hours)
than the previous claim.

SERVICE
Power Systems
Cat® Photovoltaic Systems &

Cat® Energy Storage Systems
Overview
This bulletin provides warranty reimbursement terms and claiming information for Cat® Photovoltaic (PV) Systems
excluding the PVT panels and Cat® Energy Storage Systems (ESS). Cat Energy Storage Systems are further
defined for use in grid tied and off grid applications.
Warranty Period
Cat ESS:
• Energy Storage Systems applicable to on and off grid installations – the warranty period is valid for 60 months
starting from date of delivery to the first user for the full scope of supply excluding batteries.
• For systems sold on/after 01September2018:
• The warranty on the energy cells are a negotiated contractual obligation unique to each project.
Revert to the agreed upon 3rd party’s warranty terms and conditions to be found in the end user’s
documentation shipped with equipment.
• Energy Cells / batteries are warranted by the manufacturer, please work with the manufacturer directly.
• For systems sold before 01September2018:
• Energy Cell / Battery Failure Definition – A properly maintained energy cell must fail to meet,
at minimum, 70% of the rated performance at system level as determined through a Caterpillar
approved test. An example of an approved source for failure information would be getting a data/
fault message from Cat-FluidicIQ that shows the energy cell has failed to reach 70% of the rated
performance at system level.
• Please Note: The energy cells are covered under the Cat Energy Storage System warranty
statements and failures are claimable under corresponding product and parts bulletins. Bulletin 4.07
does not apply.


1
Cat PV Systems:
Sold in USA & Canada:
• Cat PVT Panel, (PVT and PVC 365 to 375 products) - 120 months, starting from date of delivery to the first user.
• The warranty period for PV Panel (PVC 395 and larger products) is 300 months, starting from date of delivery to
the first user.
• String Inverter components - 120 months/unlimited hours, starting from date of delivery to the first user.
• Central Inverter components - 60 months/unlimited hours, starting from date of delivery to the first user.
• All other parts and assembled components of Cat PV systems - 12 months/unlimited hours, starting from date
of delivery to the first user.
Sold in regions other than USA & Canada:
• Cat PVT Panel (PVT and PVC 365 to 375 products) - 120 months, starting from date of delivery to the first user.
• The warranty period for PV Panel (PVC 395 and larger products) is 300 months, starting from date of delivery
to the first user.
• String Inverter components and Central Inverter components - 60 months, starting from date of delivery to the
first user.
• All other parts and assembled components of Cat PV systems - 12 months, starting from date of delivery to
the first user.
To begin the warranty period, excluding PVT panels, the sale/delivery must be documented using Caterpillar’s
SCORE system or the Service Information Management System (SIMSi). To register these products, use the
Caterpillar serial number (S/N), found on the product location listed below:
• PV inverter of a PV system (Example: non US, non-China S/N prefix PVSTR)
• Enclosure of each ESS (Example: ESS - PGS250)
Replacement or Non Serialized Product Parts Warranty

Please refer to bulletin 4.01 for parts warranty.
Please note: Most PV Panels are currently purchased through parts and have a parts warranty. If the PV panel
does not have a Caterpillar Serial Number that applies to it, then please refer to bulletin 4.01.
Parts Return for PV Panels

Refer to Warrantable Defect Documentation PVT guide, doc# LEBE0067, for additional requirements and details.
Aged Inventory
See Bulletin 3.12.
Dealer reimbursement for repair expenses is per the Summary of Reimbursement Practices Chart below, in
accordance with reimbursement practices as outlined in Bulletin 1.02 and with the applicable warranty statement
Reimbursement for product sold before 01Sept2018 (chart below)

Cat Photovoltaic Systems
Repair Labor (including disconnect & reconnect) Reimbursable at cost rate
2 03.31-03 (02/19)

Parts Salvage Labor Reimbursable at cost rate
Overtime Labor Rate, Shop Supplies, Freight
Charges, Hauling Cost, Value Added Tax, Travel Not Reimbursable
Time & Mileage, and Meals & Lodging
Cat Energy Storage Systems

Meals and Lodging Reimbursable at cost, if justified
Not Reimbursable
Charges, Hauling Cost and Value Added Tax
Reimbursement for product sold on/after 01Sept2018 (chart below)

Cat Photovoltaic Systems1
Charges, Hauling Cost, Value Added Tax, Travel
Time & Mileage, Meals & Lodging, Repair Labor Not Reimbursable
(including disconnect & reconnect), and Outside
Repair Expenses
1
Applies to parts/components warranted and claimable to Caterpillar, the reimbursement chart does not apply to
items warranted by other manufacturers, please contact those specific vendors directly.
➤ Summary of Reimbursement Practices

Cat Energy Storage Systems (ESS Small) < 100kW1
03.31-03 (02/19) 3

Repair Labor (including disconnect & reconnect) Reimbursable at Warranty Cost Rate
Charges, Hauling Cost, Value Added Tax, Travel
Not Reimbursable
Time & Mileage, Meals & Lodging and Outside
Repair Expenses
1

Cat Master Microgrid Controller
Service Items Reimbursable at D/N + 15% if made unusable
Travel Time & Mileage Reasonable
Meals & Lodging Reimbursable at cost
Charges, Hauling Cost, Value Added Tax, Outside Not Reimbursable
Repair Expenses

Cat Energy Storage Systems (ESS Large) > 100kW1
Service Items Reimbursable at D/N + 15% if made unusable
Charges, Hauling Cost, Value Added Tax, Meals
Not Reimbursable
& Lodging, Travel Time & Mileage, and Outside
Repair Expenses
Repair Labor except HVAC (including disconnect &
Reimbursable at cost rate
reconnect)
1


Specialized Product - Warranty claims for ESS systems with Prime Product Serial Number sold by Caterpillar
must be submitted to Caterpillar using the Caterpillar Service Claims System.
Product ID / Serial Number Enter the Caterpillar ESS S/N

Component Serial Number For ESS battery or ultra-capacitor failures, see OEM’s warranty
statement and claim process
For energy storage inverter failures, enter the Caterpillar S/N for
inverter
Group Causing Failure Enter the group number for the part causing failure
Product Usage For ESS, enter the discharge hours
Non-Serialized Product Sales: These sales are completed through parts sales and receive the applicable
Caterpillar Parts Warranty, please refer to bulletin 4.01 for additional details and claiming instructions.
Vender Supplied Warranty

Product or Component Brand / Supplier Warranty Administrator Process
Li-on Energy Storage Cell LG Chem Eugine Cross Submit claim to: LGChem
Ultra-Caps Loxus Jeff Colton Submit claim to: Loxus
HVAC System or Components Bard Submit claim to: Bard
Vender Supplied Warranty Contact Information

OEM PHONE E-MAIL
Li-on Energy Storage Cell ecross@igchem.com
Ultra-Caps (858) 663-1609 JColton@ioxus.com
HVAC System or Components (419) 636-1194 www.bardhvac.com
03.31-03 (02/19) 5
SERVICE
Power Systems
Marine Propulsion Propeller (MPP),

Marine Propulsion Control (MPC), Marine Thruster
Azimuth (MTA), and Marine Thruster Traverse (MTT)
Former Berg Product Line
NOTE: This bulletin does not apply to other Cat® Marine Propulsion products, such as engines or
transmissions.
Overview
Warranty repairs for products covered in this bulletin are only for Certified Cat Propulsion Product Support dealers.
Only Certified Cat Propulsion dealers can provide repairs on these products. Please contact your Cat Marine
Representative for Certification questions.
Transition of former Berg Product Models into Caterpillar traditional warranty administration policy and process
will take place in controlled phases over time. The purpose of this bulletin is to describe that transition as it takes
place, provide effective dates for change, and outline any unique attributes of warranty or claiming process for
reimbursement.
Traditional Caterpillar: For the purpose of this warranty bulletin, the term “traditional Caterpillar” is used to describe
core Caterpillar policy, process, system, documentation and communication commonly/historically used to administer
warranty for Caterpillar products. The terms “traditional Caterpillar” and “legacy Berg” are used in this bulletin only to
facilitate communication regarding change from one to the other.
Legacy Berg: For the purpose of this warranty bulletin, former Berg product models, claim processes, and terms &
conditions are described as “legacy Berg”. Legacy Berg includes all products sold to end customers under the Berg
or Cat brands, up to the point and effectivity of documented transition to traditional Caterpillar Warranty Statements,
dealer reimbursement policy (per Global Warranty Guide) and claim process, as defined in this bulletin.


1
Product branded Berg or Cat may contain Berg and/or Cat name plate.
Marine Propulsion Propeller (MPP) (pictured on the right)
MPP (former BCP) product is a combination of propeller, stern tube, hydraulics and
controls, and can include products of other manufactures packaged and sold by Caterpillar.
Marine Thruster Azimuth (MTA) (pictured on the left)

MTA (former BAT) product is a combination of propeller, hydraulics and controls, and can
include products of other manufactures packaged and sold by Caterpillar.
Marine Thruster Traverse (MTT) (pictured on the right)

MTT (former BTT) product is a combination of propeller, hydraulics and
controls, and can include products of other manufactures packaged and sold
by Caterpillar.
Marine Propulsion Control (MPC) (pictured on the right)

MTA (former BAT) product is a combination of propeller, hydraulics and controls, and can
include products of other manufactures packaged and sold by Caterpillar.
Warranty Terms
All products sold to end customer prior to 01 July, 2016 are covered by legacy Berg terms
and conditions, as per the original sales contract.
Products sold on/after 01 July, 2016 are covered by traditional Caterpillar terms and conditions. Reference Caterpillar
Limited Warranty statement for products, the Parts and Assembled Components Warranty statement for replacement
parts and assembled components. Applicable statements may be found at: https://warranty.cat.com/currstmts.
Cat Dealer Reimbursement:

All products sold to end customer prior to 01 July, 2016 are covered by legacy Berg dealer reimbursement policy,
as per the original sales contract.
Products sold on/after 01 July, 2016 are covered by this and other applicable bulletins of the Caterpillar’s Global
Service Warranty Guide. Dealer reimbursement for repair expenses related to standard warranty will be per the
Summary of Reimbursement Practices chart below, in accordance with reimbursement practices as outlined in
Bulletin 1.02, and with the applicable warranty statement found at https://warranty.cat.com/currstmts.
Summary of Reimbursement Practices*

Parts Reimbursable at Markup
Repair Labor (including disconnect & reconnect) Reimbursable at marine sell rate
Part Service Charges Reimbursable
Service Items Reimbursable at Markup, if made unusable
Part Salvage Labor Reimbursable at marine sell rate
Meals & Lodging Reimbursable
Overtime Labor Rate Not Reimbursable
Hauling/Towing Cost Not Reimbursable
Value Added Tax Not Reimbursable
Dry-dock fees and labor Not Reimbursable
* Reference bulletin 4.01 for expense reimbursement applicable to replacement parts warranty.
2 03.32-00 (04/16)
Freight: Expense for transportation of warranty repair parts to the point of Cat dealer repair is reimbursable.
Dry Dock Expenses: Labor, fees and other expenses required to facilitate repairs to parts that typically operate
“below the water line” are not reimbursable.
Other Indirect Costs: Costs such as waiting time, towage, docking, crane rental, warping, scaffolding, assistance
by yard personnel and services, etc. are not be reimbursable.
Questions and Claim Process

Warranty (including parts warranty and defective part stock) for all products covered by this bulletin is
administered through the legacy Berg claim process. No claims are to be submitted through the Caterpillar
Service Claim System. Submit all warranty questions and claims to the Caterpillar Marine Propulsions product
group at the following address:
Region/Location Contact Phone number E-mail

Brazil Melisa Mello +55 21 2240 4432 melisa.mello@catpropulsion.com
Italy Andrea Barbieri +39 393 457 72 70 andrea.barbieri@catpropulsion.com
Istanbul Koray Ozturk +90 216 680 4810 koray.ozturk@catpropulsion.com
Middle East Martin Lawrence +971 4 7017615 martin.lawrence@catpropulsion.com
Singapore Damien Ho +65 6377 5251 damien.ho@catpropulsion.com
Shanghai Fang Jize +86 21 5237 4800 fang.jize@catpropulsion.com
For escalation of concerns: Contact your Caterpillar Marine Representative.
03.33-00 (04/16) 3
4 03.32-00 (04/16)
SERVICE
Overview
Parts Parts
Parts Warranty covers customer purchased new and Reman parts or assembled components, found to be defective
during installation (including testing prior to installation) or by the component or product being operated, even if only
for a few minutes. Customer purchased refers to the following customer part sales situations:
 Parts purchased through a dealer’s parts department or authorized Caterpillar distribution channel
 Parts purchased through a dealer’s service department for service repairs (via a customer invoice)
 Parts replaced under a Goodwill settlement, in which the customer paid at least 25% of the total repair
 Parts replaced under a prorated Product Support Program (PSP) settlement, in which the customer paid at
least 25% of the claimable expenses
 Parts installed under the terms of an Extended Service Plan or Protection Plan (Americas North Engines and
Vocational On-Highway Truck Only)
➤ Parts warranty does NOT apply in the following situations:
 Shipping Damage and Discrepancies refer to errors in shipping or packaging. Shipping damage and
discrepancies on products ordered and received through the Caterpillar order fulfillment process should be
filed to Caterpillar as a short shipment claim. Shipping damage and discrepancies on parts ordered from a
Caterpillar Parts Distribution Center should be filed using the ANTARESSM System. Refer to Bulletin 1.28
for further information.
 Pre-Delivery Warranty Repairs are repairs performed due to defects in material or workmanship found in
products prior to delivery to the first user. Refer to Bulletin 2.01 for Machines and Bulletin 3.01 for Commercial
Engines and Generator Sets.
 In-Transit Warranty Repairs are repairs on a new product shipped from Caterpillar, but are located in a
seaport or transportation yard. Refer to Bulletin 2.01 for Machines and Bulletin 3.01 for Commercial Engines
and Generator Sets.
 Defective Parts Stock Warranty applies when new and Reman parts or assembled components are found
to be defective at the time of purchase or prior to installation through a visual inspection. For Defective Parts
Stock Warranty, refer to Bulletin 4.08.
 Mobil-trac™ Belts are not covered by this bulletin. Refer to Bulletin 2.05.
 Yellowmark™, A Caterpillar Brand, parts are not covered by this warranty. Refer to Bulletin 4.14.
 Rubber Track, including Premium, General Duty, and Yellowmark™, on Mini Hydraulic Excavator,
Multi Terrain Loader & Compact Track Loader are not covered by this bulletin. Refer to Bulletin 2.09.
 NEXUS™ Parts are not covered by this bulletin. Refer to Bulletin 4.05.
 Batteries are not covered by this bulletin. Refer to Bulletin 4.07.
 SEM Parts are not covered by this bulletin. Refer to the SEM website and parts warranty documentation for
coverage and claiming instructions.


1
 Caterpillar Gas Products: CG132, CG170, and CG260 Parts are not covered by this bulletin and are
administered through Caterpillar Energy Solutions (formerly MWM), not the Caterpillar Service Claims System.
Refer to the Need Assistance page on warranty.cat.com for contact information.
NOTE: Cat® Classic Parts have the same parts standard warranty as regular Cat parts.
Warranty Period & Reimbursement
The warranty period for new and Reman parts and assembled components is stated on the warranty statement,
beginning on the date the part is purchased or put into service by the first user.
Warranty reimbursement terms vary based on the product and application. For complete reimbursement
information, refer to the Dealer Reimbursement Section of this bulletin, the Reimbursement Charts on pages 7-8,
or the applicable warranty statement.
Dealer reimbursement for repair expenses related to parts warranty is per the Summary of Reimbursement
Parts Warranty Summary of Reimbursement Practices

Parts & Repair Labor See charts on pages 8 and 9.
Travel Time & Mileage See Charts on pages 8 and 9
Overtime Labor Rate, Meals & Lodging, Hauling Costs,
Not reimbursable
Shop Supplies, Freight Charges & Value Added Tax
Warranty for Parts Replaced Under Parts Warranty

Parts replaced under the terms of parts warranty are covered for the remainder of the warranty period on the
original replaced part. The warranty on such parts ceases when the parts warranty period expires for the original
replaced part, regardless of when the parts were replaced.
New and Reman Replacement Engines in Machines

New and Reman replacement engines installed in used Cat machines and other engine installations receive the
same warranty and reimbursement practices as parts and assembled components under parts warranty. Refer to
the applicable warranty statement for additional information.
The machine serial number must be used to submit a warranty claim on new replacement engines in a machine.
Captive engines do not have sales records in SIMSi, therefore it is encouraged to enter a SIMSi record to
document when the new replacement engine was installed. For additional assistance, a job aid for SIMSi Serial
Number Issues may be found at: https://warranty.cat.com/en/resources0.html.
NOTE: If a Cat remanufactured replacement engine is installed in another manufacturer’s machine, it is considered
an industrial engine application.
Replacement of Auxiliary Regeneration Device and Caterpillar Regeneration System
Heads (Americas North Only)
Refer to the troubleshooting guidelines in SIS (RENR9343) to properly diagnose Auxiliary Regeneration Devices
(ARD) and Caterpillar Regeneration System (CRS) head defects in on-highway truck engine applications.
Form REHS7276 may be found in SIS and the box of all new ARD/CRS head replacement parts. The following
information is required for ARD/CRD head claims:
 Stationary regen datalogs and air system verification tests added in SIMSi

 Cat ET ECM download added to SIMSi

 REHS7276 must be completed and returned
NOTE: Claims subject to full debit if the required diagnostic data was not provided or if the Caterpillar failure analysis
determines the part is not defective.

C13, C15, C18 KENR6849 UENR0955
C7 N/A N/A


NOTE: Claims subject to full debit if the required diagnostic data was not provided and if the Caterpillar failure analysis determines
the part is not defective.
04.01-49 (11/19) 3


To properly diagnose High Pressure Fuel Pump failures, refer to the instructions listed in the Fuel Injection Pump-
Tests located on the SIS website at https://sis.cat.com under the following media numbers:
All defective High Pressure Fuel Pumps must be returned to Caterpillar for failure analysis. Refer to the High
Pressure Pump Return Form (REHS9724), located on the SIS website, for specific part return instructions. The
following information must be sent to Caterpillar with the returned part:
NOTE: Claims will be processed based on the merit of the information provided. However, they will be subject to a
full debit upon the returned parts review if:
• Form REHS9724 is incomplete or missing
• Caterpillar failure analysis determines the part is not defective
Repair or Replacement of Hydraulic Components; Pumps, Motors, Control Valves

Please refer to the Hydraulic Component, HEUI & HEP Pump Job Aid at: warranty.cat.com under the Resource tab
for information about locating serial numbers and documentation requirements.
The following claim field information is required when claiming for a repair or replacement of hydraulic components,
pumps, motors, control valves, and HEUI & HEP Pumps:
 Enter the component serial number in the component serial number field in the claim.
 If the component does not have a serial number, follow the steps in the Job Aid to properly document.
Caterpillar Hydraulic Mining Shovel Required Reporting for Claims

Refer to the special instructions in SIS on how to document hydraulic component failures on Hydraulic Mining Shovels,
prior to submitting warranty claims.
For hydraulic component failures on Hydraulic Mining Shovels, please complete required forms (listed below) for
Cylinders, Hoses, and Tubes. The completed form is required to be attached to SIMS prior to submitting claim.
Refer to special instructions for the following:
• EM026968-00 (Cylinders Failures)
• EM026970-00 (Hydraulic Hose Failures)

• EM026972-00 (Hydraulic Tube Failures)
Refer to SIS as your safe source for the most up-to-date troubleshooting information.
NOTE: Claims subject to full debit if the required information form is not attached to the Claim
Hydraulic Mining Shovel Component Serial Number For Repairs On Final Drive And Swing Drive
The component serial number information is required when claiming for a repair/replacement of Final Drives and
Swing Drives.
NOTE: Claims that do not include the required component serial number information as outlined, are subject to full debit.
HazPak Power Units

Parts warranty claims for defective Pyroban brand parts (other than Cat part numbers), must be submitted directly
to Pyroban. For further assistance, contact Pyroban at parts@pyroban.com or by phone at +44 1273 456837. If
escalation is needed, contact Darren Boiling at +44 1273 456831.
Forest Product Models
All parts warranty claims for Cat Forest Products should be filed using the Caterpillar Service Claims System.
To file a parts warranty claims for Cat parts purchased from the Smithfield, North Carolina facility, file the claim using
serial number 99Z00108.
For additional information on Cat Forest Products, refer to Bulletin 2.01 or contact the Warranty Service Help Desk.
Expanded Cat Mining – Longwall Products – Auxiliary Components

Certain Longwall auxiliary components purchased from Caterpillar are not included in the product consist of the
Longwall prime products and are not a prime product themselves. The identified Longwall auxiliary components are
sold and covered by Caterpillar Parts Warranty.
The auxiliary components cannot be identified by a specific serial number that can be used for parts warranty claims.
Claims for the following auxiliary components must be filed using serial number 99Z00034.
• Hydraulic Pump Station for Roof Support
• Electrical Supply Transformers and Switchgears
• Monorail/Cable Handling System
Expanded Cat Mining – Hard Rock Cutting Products – Auxiliary Components

Certain Hard Rock Cutting Products auxiliary components purchased from Caterpillar are not included in the product
consist of the Hard Rock Cutting prime products and are not a prime product themselves. The identified Hard Rock
Cutting auxiliary components are sold and covered by Caterpillar Parts Warranty.
The auxiliary components cannot be identified by a specific serial number that can be used for parts warranty claims.
Claims for the following Hard Rock – Rock Flow auxiliary components must be filed using serial number 99Z00070.
• Hydraulic Pump Station for Feeder
• Automation and Control System
Claims for the following Hard Rock – Rock Straight auxiliary components must be filed using serial number 99Z00071.
• Hydraulic Pump Station for Roof Support
• Automation and Control System
• Cooling System
• Spraying System
04.01-49 (11/19) 5
Cat® Detect for Personnel products Manufactured by SCAN~LINK™

Cat® Detect for Personnel products are sold by Caterpillar and installed and serviced by Cat dealers. These products
are warranted directly by SCAN~LINK™ against defects in material and workmanship. The warranty is published on
a manufacturer’s warranty statement shipped with the product. Defective products must be returned to SCAN~LINK™
for repair or replacement. Questions related to this warranty should be directed to SCAN~LINK™.
Warranty Terms:
Part Name Warranty Terms
Cat® Detect kit, antenna, harness, display, alarm and transmitter 12 months from date of purchase
Hard hat tag, RFID tag and vest 30 days from date of purchase
Warranty Process:
• Customer notifies Cat dealer if product fails to perform per manufacturer’s specifications.
• Dealer attempts to troubleshoot and resolve the issue by using Rapid Pair or antenna/cable repositioning.
• Dealer contacts Caterpillar Global Dealer Solution Network (DSN) for additional support using PSCRM.
• If needed, a Return Material Authorization (RMA) will be provided to the dealer.
• Defective product is shipped to SCAN~LINK™ for repair or replacement.
• If the cause of the product failure is due to a manufacturer defect, SCAN~LINK will repair the unit and ship it
back to the dealer at SCAN~LINK™ cost.
• If the product is damaged due to neglect or environmental factors, SCAN~LINK™ will charge a minimum 4
hour repair charge plus parts cost in addition to return shipping cost to the dealer.
Note: Warranty for Cat® Detect for Personnel products is administered through SCAN~LINK™, not the Caterpillar
Service Claims System.
Contact Information:
SCAN~LINK™ Technologies Inc.
1444 Sandhill Drive, Suite 3
Ancaster, ON, Canada L9G 4V5
Tel: +1(905) 304-6100
Cat Wear Management System

The Cat Wear Management System provides measurement and management of wear components using a mobile
application, web application and new Ultrasonic Wear Indicator 5 (UWI 5). The system includes CTS Pro for the
measurement and management of undercarriage wear components.
Parts Warranty covers material and workmanship defects for UWI 5 hardware including the UWI 5, P/N 518-9401,
and probe, P/N 518-9400.
Claims for these products must be filed to 99Z00110 using specific SMCS Group Number 0729.
Note: Other CTS tooling listed in the Dealer Service Tool Catalog are excluded from Parts Warranty, refer to warranty
bulletin 4.09 for claiming instructions.
Ground Engaging Tools

Parts warranty covers ground engaging tool (GET) components sold after machine delivery, including customer
purchased replacements. Examples of these components include cutting edges, base edges, adapters, teeth, bits, wear
plates, protectors, tips, etc. This also applies to GET products used on Hydraulic Shovels, Draglines, and Electric Rope
Shovels. Hydraulic hammer tool points and compactor plates are not covered by parts warranty or any other warranty,
as they are considered expendable items with service life dependent on operator technique and/or experience.
When the parts warranty period expires, certain designated GET components are warranted for breakage only
throughout their useful life by GET warranty. For additional information, refer to Bulletin 4.03. Please note that GET
normal useful life terms do not apply to GET products used on Hydraulic Shovels, Draglines, and Electric Rope Shovels.
Note: When claiming parts warranty for GET products, enter the serial number of the prime product in which the part
or assembled component is installed. If Serial Number of prime product does not exist you must use 99Z00015 for
Competitive Products (Parts – D/N).
6 04.01-49 (11/19)
Caterpillar Emissions Solutions (CES) Aftermarket Products

The following chart outlines the unique claim field information required for CES aftermarket parts warranty claim
submission:
Serial Number Description Market Group Number

Diesel Particulate Filters (DPF) and Diagnostic Regulated
99Z01928 Modules (CRTdm) for Non-Road Engines in and Non- Standard Cat Part Group #
regulated and non-regulated markets Regulated
99Z01928 DPF and CRTdm for Truck Engines Regulated 7772
On-Highway Diesel Oxidation Catalyst (DOC) for

99Z01929 Regulated Standard Cat Part Group #
Non-Road Engines
99Z01929 DOC for On-Highway Truck Engines Regulated 7772
Non-Road Catalyzed Converter Muffler (CCM) for

99Z01930 Regulated Standard Cat Part Group #
Non-Road Engines
NOTE: Refer to Bulletin 7.02 for claiming information on products in regulated markets under emission warranty coverage.
Parts Warranty Claim Field Information

Please be aware, claim requirements outlined in standard warranty bulletins still apply. Please refer to the main
standard warranty bulletin(s) to review additional claim requirements for the product in which you are filing a parts
warranty claim. The following chart outlines the unique claim field information required for parts warranty claim
submission:

Prime Products with Caterpillar serial number and PACCAR Winch – Enter prime product
serial number.
 Prime Product with No Caterpillar S/N or Other Manufacturer Products - enter the
Product ID/Serial
appropriate 99Z number as outlined in the 99Z Serial Number Job Aid at https://warranty.
Number
cat.com/en/resources0.html.
Serialized Components – Enter serial number of the machine for which the component is
installed.
Enter the Cat part number (PN) for the part that caused the failure. The following
Hose Assemblies – Lowest part number in the hose assembly, if applicable, or the
Part Number Causing hose assembly number.
Failure • If the part number that caused the failure is not a Cat part number, use a
substitute part number that best represents the part causing failure.
NOTE: If Part Causing Failure is Reman or Part Causing Failure is part of a Reman
Group, please refer to Bulletin 1.02.
Enter the Cat group number. The following require an entry other than the Cat group
number:
• If the Cat group number is not available, enter the applicable group SMCS code
available at https://servicedata.cat.com/home/smcsinquiry.
Group Number • Machine Control and Guidance Product – Enter SMCS code 795X.
• Cat Water Delivery Systems – Enter 778B
• Hose Assemblies – Enter the hose assembly number or group number of the hose
assembly, dependent upon the part causing failure used.
• Cat Wear Management System Hardware - Enter SMCS Code 0729.
04.01-49 (11/19) 7
• Expanded Mining Products – When using a substitute part number as

Comments/Findings the part causing failure, enter the legacy Bucyrus part number causing
failure as follows “BU_ Legacy Bucyrus PN” (Example: BU_ 400879).
Enter the prime product hours.

Product SMU(H/M/K) • For products with no hour meters, enter a number greater than the hours in the
previous repair.
The following require such fields:
Related Serial Number
• Other manufacturer’s product – Enter the serial number of the product.
• Forestry Heads – Enter the machine serial number.
• Paving Screed – Enter the Screed serial number.
• Underground Mining Work Tools – Enter the work tool serial number.
Related Equipment • Machine Control and Guidance Products – Enter the serial number of the failed
Fields component (i.e. MC0Q000706, 2123J009DM, etc.).
• HPU300 - Enter the serial number for 300.9D VPS Excavator.
• OEM / Make
• For other manufacturer’s product, enter NONE.
• For Caterpillar product, enter CAT.
• Cab Type – Enter NO for all products.
Component Serial Number
• For repair or replacement of Hydraulic Components, enter the component S/N.
Refer to the Repair or Replacement of Hydraulic Components section in this bulletin
Component
• For ESS energy cell failures, enter the supplier S/N for individual
Information Fields
• For PV panel failures, enter the supplier S/N for individual panel
• For PV inverter failures, enter the supplier S/N for inverter
• HPU300 - Enter the serial number of the HPU300.
Enter the sales date of the failed part for over-the-counter purchases, or the last day
Parts Start Date
of labor for Caterpillar dealer performed repairs.
Parts Expense Detail Expanded Mining Product: Refer to 2.01 and 2.13 Bulletins for instructions.
Forest Product - All parts with Cat Forest Products part numbers must be
claimed on one expense detail line as a miscellaneous expense using
description code “CFPPRT.”
Miscellaneous Expanded Mining Products: Refer to 2.01 and 2.13 Bulletins for instructions.
Expense Detail Line • Use Description Code:
• For T&I and other parts uplifts: MISCTI - Misc. Code for Special T&I
Situations.
8 04.01-49 (11/19)
In addition to the repair information following the four Cs format (complaint, cause,
correction, and complication), the following must also be provided when applicable:
 Percentage (%) of part customer paid on invoice.
 Indicate “new replacement engine in machine” in the first line of the claim story to
ensure the claim is processed under the new replacement engine in machine terms.
 Miscellaneous Parts – Enter the part numbers, quantities, part cost at
reimbursable expense, and part names for all parts claimed in miscellaneous
Claim Story  Miscellaneous Expenses, Outside Invoices, etc. – justify all claimed
expenses.
 PACCAR Winch – include the service hours on the machine, winch model
number, and winch serial number.
 Machine Control and Guidance Products - Refer to 2.01 Bulletin.
 Repair or Replacement of Hydraulic Components: Pumps, Motors, Control
Valves
 If the component does not have a serial number, follow the steps in the
Hydraulic Component, HEUI & HEP Pump Job Aid to properly document.
Note: Do NOT mark resultant damage parts as “RD” in claim detail
04.01-49 (11/19) 9
➤
Replacement Parts
(Sold on or after 01JUL15)
Parts data includes resultant damaged parts.
Warranty
Travel/
Product Period Parts Labor
Mileage
(months)
 Commercial Engines and Generator Sets in Oil & Gas, Marine
Applications
 Multi-Engine Optimizer (MEO)
 On-Highway Truck Engines/Transmissions
 Branded Marine Controls/Transmissions
 New and Remanufactured Transmissions in Oil & Gas Applications*
 Well Stimulation/Service Pump Power Ends in Oil & Gas
Applications
 Any part of Pump Electronic Monitoring System (PEMS) kit 12 M Sell No
attached to power end.
 Cat Selective Catalytic Reduction Systems for Aftertreatment
Retrofit
 HazPak (including Pyroban brand parts) in Oil & Gas Applications
 Electric Motors (sold on or after 01NOV2015) in Oil & Gas
Applications
 Vocational On-Highway Trucks and Glider Kits
 Dynamic Gas Blending™ Kits in Oil & Gas Applications
 Electric Power Generation Products (excluding Marine, Oil & Gas,

Gas Compression and Cat Switchgear)
 Industrial Engines (excluding Marine, Oil & Gas, and Gas
Compression)
12 D/N + 15% Cost No
 Locomotive Engines (excluding OEM Solutions Cat Locomotive
Power Train)
 Dynamic Gas Blending Kits in Electric Power Generation
Applications
 Well Stimulation/Service Pump Fluid Ends in Oil & Gas Applications

 Any part of Pump Electronic Monitoring System (PEMS) attached to 3 M Sell No
fluid end.
D/N (3600’s
 All other products covered in this bulletin 12 No No
90% M)
Note: Do NOT mark resultant damage parts as “RD” in claim detail

*Please refer to statement New and Remanufactured Transmissions used in Oil & Gas Applications for models.
*This matrix does not cover Parts Warranty for parts sold to support Caterpillar gas products CG132, CG170, CG260. Warranty is administered
through Caterpillar Energy Solutions (formerly MWM), not the Caterpillar Service Claims System. Refer to the Need Assistance page on
warranty.cat.com for contact information.

Cat Photovoltaic System & Energy Storage System Replacement Parts

(Policy in effect for parts sold before 01SEPT18)
Warranty
Travel/
Mileage
(months)
 Cat Energy and Storage Systems D/N +
*Heavy Duty ESS (with HD model number suffix) 12 months or 6000 discharge hours; 12* Cost Yes
15%
all other ESS 12 months or 2000 discharge hours
PV Panel, Panel Mounting System and String

120
Inverter components
 Cat Photovoltaic
Sold In USA & Central Inverter components 60
Canada
All other parts and assembled components of Cat
12
PV systems
D/N +
Cost No
Cat PV Panel, and Panel Mounting System 15%
120
components
Sold In Regions String Inverter components and Central Inverter
Other Than USA & 60
components
Canada
All other parts and assembled components of Cat PV
12
systems
Cat Photovoltaic System & Energy Storage System Replacement Parts

(Policy in effect for parts sold on or after 01SEPT18)
Warranty
Travel/
Mileage
(months)
D/N +
 Cat Energy and Microgrid Energy Storage Systems 12 Cost No
15%
PV Panel (PVT and PVC 365 to 375 products),

120
and String Inverter components
PV Panel (PVC 395 and larger products) 300
Sold In USA &
Canada
Central Inverter components 60
All other parts and assembled components of Cat

12
PV systems D/N +
No No
15%
Cat PV Panel (PVT and PVC 365 to 375 products) 120
 Cat Photovoltaic PV Panel (PVC 395 and larger products) 300

Sold In Regions
Other Than USA & String Inverter components and Central Inverter
60
Canada components
All other parts and assembled components of Cat PV

12
systems
Note: Ultra-caps, HVAC and Li-ion Energy Storage Cells (batteries) are not warranted by Caterpillar. Please see bulletin 3.31
for vendor contact information.
04.01-49 (11/19) 11
12 04.01-49 (11/19)
SERVICE
Parts
Global Warranty Parts Return Handling

& Freight Charges
Overview
This bulletin provides dealers with guidelines for handling failed part return requests in support of failure analysis, CPI
projects, Caterpillar Service claims, field follow projects, Service Letter programs, and defective parts stock.
Return only those parts which are requested by a specific “Parts Return Request” (PRR), Information Request
through the Send It Back (SIB) system, or as specified by a Service Letter.
When using remanufactured products to replace a failed part or component, the failed part or component will
become Reman Core.
Refer to Caterpillar Remanufacturing Division’s website at https://dealer.cat.com/en/ps/parts/reman.html for
Reman core policies, procedures, management, refund claiming, shipping, return packaging, etc.
This bulletin contains information on:
Process overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 1
Export control considerations & other country shipping restrictions . . . . . . . . . . . . . . . . page 1
Marking and protecting parts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 2
Retention requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 3
Responding to part return and information requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 4
Reman Core Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 7
US EPA with Reman Core . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 8
US EPA without Reman Core . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 10
Packaging & Handling Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 12
Shipping guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 14
Freight Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 14
Non-allowed or debited claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 15
U.S. Export Controls - Embargoed Countries

• U.S. Export control laws regulate or prohibit the transfer of certain goods services, information and
technology to certain entities, individuals and locations. These laws apply inside and outside the
United States.


1
• Caterpillar employees should not request parts from embargoed countries. Caterpillar employees
may contact their Regional Export Compliance Program Manager for additional assistance and
guidance on compliance risk or concern areas. The contact list is available on
https://codeofconduct.cat.com/en/ethics-compliance/export-controls.html – Under “Guidance
Material” click on “Countries of Concern & General Prohibitions” for the latest information concerning
embargos and concerns.
NOTICE
If your dealership is in a country that has regulatory or governmental restrictions preventing you from
shipping a failed part to a final destination, please mark the PRR request as “No Part” and provide a
comment in the field, “part cannot be shipped because of regulatory or governmental restrictions”.
Mark & Identify Warranty Parts

On the warranty parts, highlight defects such as cracks, sand holes, porous castings, defective welds, brazes, and
etc. Felt marking pens, metal dye or fluorescent paint from a spray can are excellent ways to mark the material.
The identifying mark should encircle the defect, rather than cover or fill it. Failure to comply with this request may
result in returned parts being scrapped and/or claim credit being denied.
Global Warranty Parts Return Handling & Freight Charges

Connecting rod bearings must be marked according to cylinder number and taped together in sequential order for
shipment. Main crankshaft bearings must be marked and taped together in sequential order from front to rear for
shipment.
The blue Warranty Tag (Order # 01-003883-14 (4804), found at https://catpublications.com, (using 01-003883 to
search) is used by dealers to identify removed warranty claim parts that are to be held for possible parts return
request by Caterpillar (see Illustration #1). Fill out the tags, using a waterproof ink marker to prevent blurring should
the tags get wet. List the Caterpillar Claim Number, Core Credit Request number (CCR), if applicable, to a Reman
core transaction, dealer code, dealer name, quantity, part number, work order-claim no. and serial number on the
tag.
Illustration #1
NOTE: For Reman core see additional Reman information –
Reman Core Management
2 04.02-17 (08/18)
➤ Protect Held Warranty Parts

All removed parts (part causing failure and related parts) that are being held according to the Retention Schedule
must be protected against damage during the holding period. Until the claim is paid, the dealer owns these
parts. Until the holding period has expired Caterpillar owns the parts. Thus, dealers should protect their and our
investment. The following are storage guidelines that Caterpillar expects dealers to follow:
• Parts must be cleaned (unless this destroys evidence of the cause of failure) and protected from the
elements. All fluids should be drained according to Hazmat Regulations.
• Coat machined surfaces with anti-rust compound. This preserves parts so a technical analysis of the
cause of failure can be made.
• Engine crankshaft main and connecting rod bearings must be marked according to cylinder number &
taped together in sequential order.
• All components that are disassembled for determining cause of failure must be reassembled for
storage. Bolts and nuts only need to be finger tight.
• Protect defective radiator cores and coolers by using adequate crating and proper hoisting equipment.
Do not bend the header plates on radiator cores.
• After disassembly of turbochargers, inspection and determination of the cause of failure, dealers must
reassemble the unit. It is necessary to tighten the nuts and bolts a little more than finger tight. Clamps
must be properly installed and tightened.
• Use protective caps and plugs on fuel injection nozzles and injectors.
Hold & Store Warranty Parts
In some cases, Caterpillar may request additional information, digital photographs or the return of held warranty
claim parts. Removed warranty claim parts that must be retained should be systematically stored in a secured
and limited access area. Good control of held warranty claim parts will allow dealers to promptly respond to
return or information requests or to promptly dispose of parts not requested for return, thereby minimizing costs.
Retention Schedule
Warranty Parts without Core Value
The following is the time schedule that dealers must retain (hold) removed warranty claim parts for possible
shipment to Caterpillar.
Product Improvement Program (PIP) and/or Product Support Program (PSP) claim parts that are replaced do not
have to be held by dealers, unless the specific Service Letter indicates that they are to be retained. These parts
should be rendered useless and scrapped at the completion of the repair.
All other warranty claim parts must be held in storage for 30 days from the claim receive date. If a Parts Return
Request (PRR) is issued in Send It Back (SIB) for a warranty claim part within the 30 day period, the dealer is to
process the PRR request and return the warranty claim part. Do not wait 30 days before returning the warranty
claim part for failure analysis.
Note: Warranty claim parts for JLG products sold prior to January 1, 2014, must be held in storage for 90 days.
Refer to Bulletin 2.07.
Dealers can generate a weekly “Retention Report” in SIB. Warranty claim parts listed on the report should be
checked for registration dates, and once the 30 day hold period has expired the parts should be destroyed,
rendered useless, and scrapped by the dealer. Scrapped metal or other material can then be sold by the dealer,
unless another disposition has been authorized by Caterpillar. Such parts may not be used or sold (except for
scrap) without the agreement of Caterpillar.
➤ Warranty Parts with Core Value
Reman parts and parts with core value must be held for 15 days after the claim receive date.
• If a Parts Return Request (PRR) is issued for a warranty claim Reman part in Send It Back (SIB)
within a 15 day period, the dealer is to process the PRR request and follow the shipping instructions
in the REMAN Core Management section of this bulletin. Do not wait 15 days before returning the
warranty claim part for analysis.

• If no PRR is received by the dealer within 15 days, the part can be returned for Core Value.
A core involved in a Goodwill settlement can be returned as soon as it is verified that the Goodwill Claim has
been settled. The 15 day period does not apply to cores involved in Goodwill settlements. (Refer to Warranty
Philosophy, Bulletin 1.01, at https//warranty.cat.com/wtyguide for additional information.)
Parts Return Request Notification: Send It Back (SIB)

Caterpillar will scan service claims promptly after receipt for compliance with basic and special requirements,
and to determine if Caterpillar will require parts to be returned. When removed warranty claim failed parts are
requested for return, the dealer will be notified through SIB.
PRRs will be generated daily and added to the Send It Back website at https://senditback.cat.com/. Dealers should
check SIB regularly for new parts and information return requests. SIB is the required method of communicating
parts and information requests.
➤ Dealer Responsibilities for Parts Return Requests
Americas – North Dealers
There are a few steps in the parts return process that each dealer must perform after having been notified of a
PRR:
• Locate the parts before responding. If part is not available respond in SIB using appropriate reason.
• Respond to every Part Return Request or Information Request promptly within 14 days.
• Respond individually for each pickup location.
• If the part has a Reman core value, create a Core Credit Request (CCR) in CMIS 2 system (Dealer
system) and add the PRR number in the appropriate field for core credit. (See Dealer Procedures for
Returning Parts Return Request Cores – page 7/8)
• Package parts using the documents obtained through Caterpillar.
• Blue Warranty Tag (Order # 01-003883-14 (4804)) (Refer to link on page 2 to order.)
• PRR Label
• Ensure that each part is individually labeled.
• Dealers provide packaged parts to the specified carriers by the Caterpillar schedule.
Dealer responsibilities for Parts Return Requests - Bundled Shipments: Individual returns can be consolidated
into one large container when multiple failed parts are being called back to the same location and they are utilizing
the same carrier. Print two PRR labels, one for the individual shipping package and the other for placement in a
see-through envelope and attached to the larger shipping container.

Americas – South / Asia Pacific / EAME Dealers

There are a few steps in the parts return process that each dealer must perform after having been notified of a PRR:
• Locate the parts before responding.
• Respond individually to each request within 14 days.
• If part has core value, prepare paper CCR and transmit to or manually enter into CMIS 2. Indicate
core is a PRR and create a unique shipment in CMIS 2.
• Package parts using the documents obtained through Caterpillar.
• PRR labels (2 outside box, 1 inside box)
• Include paper CCR form (when applicable)
• Ensure that each part is individually labeled.
• Dealers schedule the packaged parts for shipment back to Caterpillar, providing shipping and
tracking information in SIB within 14 days.
• Refer to “Shipping Instructions” for “Dealers in Americas South/Asia Pacific/EAME – For Parts with
No Core Value”, pg. 14.
• If part is not available respond to SIB request using ”Not Available” then provide appropriate reason.
Canada Dealers (When Shipping Engines Direct to Peterborough, UK)
• There are a few steps in the parts return process that each dealer must perform after having been
notified of a PRR:
• Locate the parts before responding.
• Respond individually to each request within 14 days.
• Package engine appropriately, provide shipping label, all export and import documentation.
• Tag Engine with PRR number
• Dealers schedule the engine for shipment back to Caterpillar, providing shipping and tracking
information in SIB within 14 days.
• Refer to “Dealers In Americas South/Asia Pacific/EAME - For Parts with No Core Value” on page 13
for shipping instructions.
• Refer to “Dealers in Americas South/Asia Pacific/EAME/Canada” on page 14 for freight
reimbursement instructions.
• If part is not available, respond to SIB request using “Not Available” and then provide appropriate
reason.
All Dealers
Caterpillar will dispose of all returned parts immediately after inspection and claim decision, unless a dealer has
requested a part be returned to them. If a dealer wants the part returned to them, they must check the “return to
dealer” box in SIB when processing the Parts Return Request. The PPR label will show a “Yes” indicator that the
dealer has requested the part back. The dealer is responsible for the returned shipping charges.
Parts are not available for return to the dealer under the following conditions, even if the SIB “return to dealer” box
is checked:
• Parts are involved in an open warranty claim, and Reman core value is involved
• Part is involved in a paid warranty claim
• Part is involved in a warranty claim that was 100% non-allowed, and Reman core value is involved
• Part is NOT involved in a warranty claim, but Reman core value is involved
04.02-17 (08/18) 5
Parts Return Request Response

Return of removed warranty claim parts to Caterpillar should only be made when specifically requested by
Caterpillar via a request in SIB system. Parts received without adequate identification will be scrapped or returned
at the dealer’s expense.
Dealers should respond to each PRR or Information Request promptly in the SIB system within 14 days.
There are two types of responses: a part ‘Not Available’ response and a ‘Process’ response. When using Part “Not
Available”, the dealer will record the reason the part is not available for return in SIB. The dealer will then close
the request and end the return process. No further action is necessary.
More than one part may be processed at the same time, but only if the parts are at the same location, and will be
shipped to the same final destination.
In Americas South, EAME, and APD; the PRR shipping preference should be marked as ocean, air, or ground.
Dealers should coordinate shipments based on the preference indicated on the PRR.
Information Request Response

Dealers may receive Information Requests PRRs. If an Information Request is received, it means more information
must be provided to Caterpillar. The information to be provided could include one or any combination of the
following: providing a digital photo, the component serial number, a date code, contact the engineer or include
additional details. Information Requests must also be responded to within the 14 day time line requirement. The
parts used to fulfill the request are required to be held until the 30 day retention period has expired, or the part can
be returned for core credit after the 15 day retention period.
Urgent Requests
Dealers may see a red flag icon to the left of their part return or information request. The red flag indicates an
Urgent Request. When a request is marked as Urgent, it takes priority over all other requests, and needs to be
responded to immediately. In Americas North, some requests may get special handling for shipment scheduling
and are shipped using an expedited method. If special handling is required, requestor should notify LPC_FPRP_
Support@cat.com, to discuss shipping details when PRR request is created.
Parts Return Requests From Service Engineers

In some cases, a Caterpillar Service Engineer may request the return of failed parts, without any knowledge of a
pending service claim. Such parts should be returned according to the Service Engineer’s instructions via SIB. In
these cases the request must include a dealer work order number or a dealer claim number.
For parts being returned in response to a Service Engineer’s request, dealers should include a copy of the PRR
Label and indicate if a service claim is to be submitted. The opportunity for a duplicate request when/if a warranty
claim is submitted will be minimized when the Service Engineer uses the SIB system.
NOTICE
If a SIB request has been made on any part that is known to have been contaminated with a health
or transportation hazardous material: (e.g. parts exposed to high levels of battery acid, or radioactive
material, or other hazardous waste):
• Notify the SIB Support Line (senditback_support@cat.com) prior to returning failed part
• Contact the Requestor to provide details, and determine if the failed part is needed even
though it is contaminated.
• If contaminated part is needed, do not ship the part via standard SIB process
• Collaborate with SIB requestor to determine and comply with appropriate
special shipping precautions/requirements for the specific hazard.
Reman Core Management
6 04.02-17 (08/18)
Warranty Parts Return Request Procedure for Cores

Dealers are requested to ship cores to Caterpillar on a request basis for warranty claim verification and quality
analysis using the Parts Return Request (PRR) process enabled by Send It Back (SIB) system. The movement of
a “core” represents both a physical and financial transaction flow. Therefore, Parts Return Request must flow from
the dealer to their responsible financial organization and then to the final requesting destination in order to assure
that appropriate financial transactions will take place:
1. Dealers are properly paid for the core. Contact your local Reman representative for additional assistance
regarding core credits.
2. Entitlements for the dealer and the responsible financial organization are properly recorded.
3. Account for Inter-company invoicing between the legal entities making the shipment of core to the final
destination.
U.S. and Canadian dealers, as well as Americas South Dealers (excluding Brazil), and Mexican dealers not
sourcing parts from Monterrey Distribution Center, can return core directly to the SIB requestor’s address when
shipment is not via ocean freight. For all other dealers, PRR cores should be returned to the dealer’s normal
Reman/core processing facility.
Reference SELD0039 Shipping Instructions; SELD0122 Reman Policy and Core Management; SELD0040 Core
Management Systems and Operations Procedures; and SELD0300 Reman Core Return Packaging Instructions
and Guidelines and Best Practices for all core return or warranty core return transactions located on the Reman
website: https://dealer.cat.com/en/ps/parts/reman/core.html
Dealer Procedures for Returning Part Return Request (PRR) Cores

This procedure applies to dealers that have as their assigned stocking facility as Grimbergen (GDC),
Russian Federation Distribution Center (RFDC), Johannesburg Distribution Center (JDC), Asia Distribution
Center (ADC), China Distribution Center (CDC), Melbourne Distribution Center (MeDC), Piracicaba
Distribution Center (PDC), Caterpillar Japan LTD or San Luis Distribution Center (SLP).
1. Caterpillar Engineer issues PRR to dealer via SIB.
2. Dealer to issue CCR in their dealer business system, indicates that the core is a PRR, and transmits to
CMIS 2 or directly enters the CCR in CMIS 2 as appropriate.
3. Dealer creates a unique shipment for the PRR item in CMIS 2 shipment processing application (required for
all dealer shipments).
4. Dealer physically tags the PRR core with a blue Warranty Tag (Order # 01-003883-14 (4804) - refer to link
on page 2 to order) and includes a completed paper CCR for the item (dealer retains yellow CCR copy).
5. Dealer sends an email to the core processing contact indicating that PRR item(s) have been shipped to their
facility for expediting. Dealer will ship the core with a blue Warranty Tag attached to the component, and one
PRR Label inside the shipping box. Two PRR Labels on the outside of the box in a waterproof envelope or
bag with the bar codes showing.
6. Dealer will ship the core to the designated inspection facility.
7. Cat inspection facility upon receipt will recognize that it is a PRR since it is tagged properly with a blue
Warranty Tag, the paper CCR, and the PRR Labels. The inspection facility will perform inspection and
payment functions (when applicable) and other entries in CMIS 2 and ship failed part(s) to the designated
requestor facility, OR to another Reman facility/Caterpillar facility for cross-docking to the designated
requestor facility, complying with normal export and import customs procedures. Inspection facility will retain
pink copy of CCR.
Note: If this request is within CHINA, the Reman Shanghai inspector will complete the CCR as being received.
Then inspection facility will process a manual Bill of Lading and ship the core to the China requesting engineer
or requestor.
04.02-17 (08/18) 7
8. When the component arrives in the US or China, the engineer must complete the paper CCR as received
and disposition it. Engineer will keep the green copy of CCR and return the white copy of CCR to the attention
of Core Services Supervisor in (US) Corinth, MS or (China) Reman Shanghai. The physical core is then
returned to the Reman Core processing facility (Corinth or Shanghai) for final disposition to scrap, salvage, or
forward for outbound export shipment to Corinth or local Reman Shanghai plant for use, as appropriate.
8A. When the component arrives at the regional destination, the engineer performs the failure analysis. After
the analysis is complete, the part will be returned with the paper CCR to the regional inspection facility. If the
part is destroyed during testing, the engineer must return the paper CCR with the word “scrap” marked on
the paper CCR to the Attention of the regional inspection facility handling the failed part.
➤ This procedure applies to dealers that are assigned a stocking facility located in the
United States and assures for proper core payment to dealer.
1. Caterpillar Engineer issues PRR to dealer via Send It Back at https://senditback.cat.com/.
2. Dealer to issue CCR in their dealer business system, indicates that the core is a PRR, and transmits to CMIS
2 or directly enters the CCR in CMIS 2 as appropriate.
3. Any dealer outside of continental USA returning engine long or short block cores directly to the United States
(via Canada) to US Caterpillar facility must complete EPA form.
4. Dealer physically tags the PRR core with a blue Warranty Tag (Order # 01-003883-14 (4804) - refer to link
on page 2 to order) and ships failed core with blue Warranty Tag to final destination shown on PRR request.
5. After analysis, the physical core is then returned to the Corinth Core processing facility for final disposition to
scrap or salvage as appropriate.
If the PRR involves the return of an Engine Core, Short Block, or Long Block, use the following procedure
(also refer to Reman website for policy SELD0039 Shipping Instructions regarding ENGINE CORE
RETURN PROCESSING AND SHIPPING INSTRUCTIONS EPA FORM 3520-21 AND EMISSION CONTROL
INFORMATION LABEL.)
Dealer Instructions for Shipping Engine Cores, Short Block, or Long Block
These instructions are for all dealers shipping engine cores to any Caterpillar facility.
1. All dealers to perform normal CCR instructions assign case and create a shipment in (Core Management
Information System) CMIS 2. The returning engine core serial number must be on the CCR for all engines.
This applies to all dealers worldwide. If the serial number for the returning engine core is not on the block, use
the original engine serial number in the machine.
2. U.S. dealers within the 48 contiguous states are excluded from the Emission Control Information Label and the
EPA form 3520-21 requirement and, at this time, creating a shipment within CMIS 2. However, the returning
engine core serial number must be on the CCR.
3. For all engine, long and short block returns, dealers/subsidiaries must complete the following;
• Engines will require an Emission Control Information Label which will contain the failed engine serial
number and CCR number, this label MUST be affixed to the engine prior to shipping. Caterpillar will supply
the labels to the dealers/subsidiaries for all engine cores that are imported directly into the U.S. Contact the
Corinth Core Services Group mentioned below for labels.
• Engine, long and short blocks will also require an EPA Form 3520-21. Dealers/subsidiaries must not ship
any engine, long or short block until an email is received from the Corinth Core Services Group with a
completed EPA Form 3520-21. This form must accompany all other documents which go to the forwarders
for shipment. We expect each dealer/subsidiary to submit a request for the EPA Form 3520-21 to Caitlin
Moon (Moon_Caitlin@cat.com) for Canada, and all international subsidiary locations. Contact Andrew
Turcu (Turcu_Andrew@cat.com) for all EPA forms for Mexico, South America and the Caribbean. The
email requests must include the CCR number, case number, part number being returned, and failed serial
number for engines or repaired serial number for long and short blocks.

4. Dealers making shipments directly to a non U.S. Core Inspection Facility are not required to affix the label on
the returning engine core. This will be done at their assigned Core Inspection Facility since they will prepare the
appropriate documents for importation into the U.S. (See illustration #2, for the Emission Control Information
label). These labels will be tracked by engine serial number and CCR processed by each dealer and inspection
facility. These labels must not be used for any other purpose or affixed to any other Reman core.
Illustration #2
Advanced Core Credit for Part Return Requests Involving Core Returns
Only Americas North and South dealers (excluding Brazil) and Mexican dealers not facing San Luis Distribution
Center qualify to receive an advance core credit for all PRRs when they follow the prescribed PRR procedures
as stated above. Other dealers do not qualify for this program since there are special core buyback programs for
local regulations that restrict using this practice.
Flow of Failed Parts Returns with Core Value

Please refer to SELD0122-13 (https://dealer.cat.com/en/ps/parts/reman/core.html - Under PARTS - Search
Policies for media documents) “Flow of Failed Parts Returns with Core Value” table to understand the flow of
a failed part requested back for failure analysis that has Reman core value. The table shows the Distribution
Services Division, Caterpillar legal entity, the dealer locations, the location of designated inspection facilities, and
the possible destinations for failed parts with core value. Requestors must follow these procedures for all Failed
Part Return Requests that involve parts with a core value. Dealers are expected to adhere to these instructions
and cannot be overridden by the Requestor.
Establish Cause of Failure on Failed Cores

When using remanufactured products to replace a failed part or component, the failed part or component will be
returned to Caterpillar as a core return for remanufacturing. Prior to return of the failed core, the dealer must
establish the cause of failure to determine if warranty applies.
The failed core should be disassembled enough to determine the cause of failure and the extent of damage to the
parts. The core must then be completely reassembled for return to Caterpillar.
04.02-17 (08/18) 9
Return Engine/Machine to US no Core Value

RETURN OF FIELD ENGINES/MACHINES FOR EVALUATION AND TESTING - SHIPPING INSTRUCTIONS
INCLUDING EPA DECLARATION FORM 3520-21 AND APPROPRIATE EMISSIONS CONTROL LABELING
U.S. Environmental Protection Agency (EPA) and U.S. Customs Border Protection (Customs) regulations require
EPA Declaration Form 3520-21 (Declaration Form) to be completed at the time of entry into the United States
for all imported bare engines and engines installed in equipment, including non-road, marine, on-highway, and
generator set applications. The importer of record must provide the Declaration Form promptly upon request by
EPA and/or Customs.
Failure to comply with EPA and Customs requirements for importing engines may result in engines being detained
at the border, denied entry, seized, exported, or destroyed. Penalties may also be assessed, up to $44,539 per
engine or $270,000 per incident.
General rule: for an engine or piece of equipment to gain entry, it must either be: (1) EPA certified and labeled
accordingly; (2) EPA exempted and labeled accordingly; or (3) excluded from EPA emission standards.
Step-by-Step Instructions for Returning an Engine to the U.S.

These instructions are for all Service Engineers/Requestor and Dealers that will be returning engines to any U.S.
based Caterpillar facility for evaluation, testing and/or eventual disposal.
1. If a Caterpillar Service Engineer/Requestor is (1) requesting an engine to be returned for failure analysis, or
(2) has agreed, upon dealer’s request, to allow a dealer to return an engine (and not the requested failed
engine parts) to the U.S., then Caterpillar Service Engineer/Requestor will create an “Information” Parts
Return Request (PRR) in Send It Back (SIB). The Service Engineer/Requestor shall request from the dealer
a photograph of all of the engine’s labels. If the photographs reveal that the engine does not have an EPA
Emissions Controlled Label, the Service Engineer/Requestor must request an EPA Exemption label, and
must instruct the dealer not to ship the engine until the engine has been labeled/re-labeled with the proper
Exemption Label.
For questions concerning interpretation of labels, contact “Engine Certification/0A/Caterpillar” (See
below for instructions for obtaining an EPA Exemption Label.)
To request an exemption please visit: https://largepower.cat.com/en/erc/compliance/exemptions.html
2. Upon confirming, through photographs provided by the dealer, that the engine has an EPA Exemption label
affixed to it, the Service Engineer/Requester must complete the Declaration Form. (See below for instructions
for completing the Declaration Form).
3. When the Declaration Form has been completed, the Service Engineer/Requestor shall create a “Parts Return
Request” and attach a .PDF file of the Declaration Form in the Send It Back (SIB) Parts Return Request (PRR)
for the Dealer responsible for shipping the engine to the U.S. The Service Engineer/Requestor must retain
the completed Declaration Form for five years and must be able to promptly provide a copy upon request. It
is recommended that a copy of the photograph of the applied EPA engine labels be kept with the copy
of the declaration form. Upon receipt of the completed Declaration Form, the dealer will print one copy of the
Declaration Form and include it in the shipping paperwork that the dealer provides to the freight forwarder. It
is recommended that a copy of the photograph of the applied EPA engine labels be sent with the copy
of the declaration form to the freight forwarder.
The dealer will also retain a copy of the Declaration Form to keep on file. It is recommended that a copy of
the photograph of the applied EPA engine labels be kept with the copy of the declaration form.
4. All shipments destined for the U.S. must include certain shipping documents to be allowed entry into the
U.S. Refer to “Dealers In Americas South/Asia Pacific/EAME - For Parts with No Core Value” on page 13 for
shipping instructions.
10 04.02-17 (08/18)
Instructions for Completing the Declaration Form

• The Declaration Form can be found at: https://www.epa.gov/sites/production/files/2017-08/documents/
form3520-21-2017-08-secured-enabled.pdf
• Step-by-Step Instructions for completing the Declaration Form can be found at: https://codeofconduct.
cat.com/en/ethics-compliance/product-regulatory-emissions.html
• Service Engineer/Requestor is responsible for ensuring that the Declaration Form is filled out
correctly. The Service Engineer/Requestor may ask Justin P. Hartzell, (Hartzell_Justin_P@cat.com) of
LPSD Emissions Regulations & Conformance to review the completed Declaration Form.
Instructions for Obtaining an EPA Exemption Label

The Caterpillar Service Engineer/Requestor is responsible for providing the shipping dealer with a manufacture-
owned exemption label, if an appropriate EPA emissions label is not available on the engine, and completing the
Declaration Form before the engine/ vehicle is packaged for shipping.
• To obtain an exemption label, the Service Engineer/Requester needs to submit an exemption request
through the online Exempt Engine Management System (EEM). There is a registration process to be
followed to obtain access to the EEM system.
• Please refer to the following weblink in the process to register for EEM, and subsequently request an
exemption.
• https://largepower.cat.com/en/erc/compliance/exemptions.html
• For assistance in the exemption process, you may contact Chris Rajkumar (309) 636-5507 or
Dayletta Chaney (309) 578-7793, or email emissions_compliance@cat.com
Below is an example of what the label would look like.
For additional information and assistance:

If you have questions, please call Chris Rajkumar with LPSD Emissions Regulations & Conformance (309-636-
5507); or email Jeremy J. Ott with Logistics Compliance at Trade_Compliance_Help@cat.com or Legal Services
Division at EPA_Legal_Support@cat.com.
04.02-17 (08/18) 11
Packaging & Handling Guidelines

There are packaging requirements that dealers must follow for shipping parts that have been requested for failure
analysis via Send It Back. For Americas South/Asia Pacific/EAME dealers, each Parts Return Request (PRR)
will state the Requestor’s preference for the method of shipment, air, ocean or ground. For Americas North and
Canadian dealers, the shipping is scheduled by Caterpillar. (Exception - when Canadian dealer ships engine
directly to Perkins, UK)
Correctly packaged parts are less likely to be damaged during shipment. The following are general guidelines for
correct packaging of all Caterpillar requested parts returns:
• When possible, use the crate or box from which the new part or component was removed for returning
the damaged or defective part.
• Pack containers properly. Use containers that have adequate strength and attach them to a pallet.
For loose parts use dividers between items in cartons, or bag individually to preserve the physical
evidence of the failure. Always pack heavier items at the bottom. Packing foam, Styrofoam pieces,
paper or other packing material should be used generously to protect and stabilize the part.
• Electrical circuit boards should be placed in electrostatic bag.
• Palletize large, heavy items. Items not suitable for containers should be banded to pallets.
• Cover all part openings and protect exposed part surfaces. When possible, package larger material
so it can be handled with a lift truck. This greatly reduces handling time and minimizes potential
damage. When loading the truck, do not stack heavy items on crushable items.
• All fluids should be drained according to Hazmat Regulations.
• Radiator core assemblies and other easily damaged parts should be loaded carefully. They can easily
be damaged by load shift.
• Assign one specific individual to be responsible for the packing of all parts returns for shipment.
Identification & Consolidation for Shipment

Keep all requested parts for a PRR together. Each box must be identified by its PRR Labels containing the PRR
for that specific PRR Request.
Each part must be individually labeled with a PRR Label and country of manufacture (country of origin) regardless
of the mode of shipment. Each PRR Label should be in a waterproof envelope or bag on the outside of the box
with the bar codes showing. Make sure to capture the actual weight for each part.
For Dealer scheduled shipments: When parts are to be shipped to the same location, dealers are requested to
consolidate parts from several parts return requests into a single container or pallet. Do not delay part returns for
consolidation. When returned parts are consolidated in the same container or pallet, it is imperative that parts associated
with the same service claim or work order be individually packaged and identified with the corresponding PRR Labels,
tags, and are packaged or boxed together. In addition, copies of Caterpillar’s PRR Label and other associated
documentation, such as CCRs, must be inserted in a waterproof envelope or bag with the requestor’s name
showing. The waterproof envelope or bag must be affixed to the related package or container.
Returned parts that are received without corresponding PRR Label will be scrapped or returned collect to the
dealer at Caterpillar’s discretion. Dealers located in Asia Pacific, EAME, & Americas South should include an
additional copy of the PRR Label within the shipping box.
When more than one container is needed for all the returned parts associated with a specific service claim or work
order, all of the containers must be individually labeled and tagged with one of the containers identified as having
the documentation included.
• Note Dealers: In situations where the Comments field indicates a different address than shown on the PRR
label, dealers should contact Senditback support email address for additional assistance.
12 04.02-17 (08/18)
Dealers in Americas North

All requested parts must be shipped to the destination indicated on the request.
Caterpillar will group all parts into loads based on the location, destination and weight of the parts. Cat Logistics will
then schedule all shipments with the carriers. The shipping documents, known as the Dealer Pak, will be created
by Caterpillar and delivered to dealers via email and SIB.
Each Dealer Pak will contain one part label per part in the shipment and, depending on the mode of shipment,
additional documents may be required. Each common carrier shipment will contain two copies of the Bill of Lading
with a detailed packing list of each part, a container label and the individual part labels.
Parts will be returned to final delivery location indicated on the Parts Return Request (PRR) label.
Documentation for Surface and Air Shipments from Canada

The following documents are required and will be provided to dealers for surface and air shipments from Canada:
• Two (2) copies of the Invoice for Customs.
• Two (2) copies of the Bill of Lading: one copy should be placed with the shipment; the other copy
should be given to the driver.
• Include one (1) original copy of EPA form 3520-21 for all engines shipped into the USA. (Includes
those engines in machines, gen-sets or stand alone.)
• For Engines with Reman Core value refer to “Dealer Instructions for Shipping Engine Cores” on page 8.
• For Engines/Machines without Reman Core value refer to “Return Engine/Machine to US no Core
Value” for detailed instructions on page 10.
On the Invoice, for Customs purposes, dealers are required to complete the unit value and extended value for
each part included in the shipment. Dealers must also complete the country of origin, which can be obtained by
inspecting the parts. If no country of origin is specified on the part, dealers should specify their current location as
the country of harvest. Dealers should specify the currency units used to determine the part value.
For Surface Shipments from Canada
Fax the Bill of Lading with the carrier Pro Number and Commercial Invoice to:
Danielle Matschiner (Formally Brogdon)
National Account Manager
Licensed Custom House Broker
NCBFAA Certified Customs Specialist
Fax: 1-309-673-4133
For Air Shipments from Canada

DHL Global Forwarding is Caterpillar’s U.S. broker for air shipments. Copies of all shipping documents (including
commercial invoices) should be sent to Caterpillar.ord@DHL.com.
Dealers in Americas South/Asia Pacific/EAME - For Parts with No Core Value

Dealers will group all parts into loads based on the location, destination and weight of the parts. Dealers in
Americas South, Asia Pacific, and EAME will schedule all shipments with the carrier. Dealers should refer to the
following links for shipping instructions:
• For final destinations going to the US – follow instructions found:
https://cat.app.box.com/s/jvwwywo2b0e1dt2m74stq4cairdc5cd2/file/76921567409
https://cat.app.box.com/s/cjinlnqoi3t04m3srwhffxjeco48yy1w/file/42493082309 (FPRP shipping
instructions located on page 19)
• For final destinations to non-US destinations:
https://cat.app.box.com/s/jvwwywo2b0e1dt2m74stq4cairdc5cd2
Dealers should refer to Requestor comment field for additional instructions given at the time the request was
created in SIB. Dealers are responsible for entering shipping and tracking information in SIB.
04.02-17 (08/18) 13
Dealers will add the PRR number in the Shipping Document (Proforma Invoice). If the PRR number is not associated
with the customs (Proforma) invoice, then the freight forwarder will not accept the shipment. Use the PRR number as
the Customs Invoice Number in the shipping document.
An example of a Proforma Invoice may be found below.
Example of Proforma Invoice
When returning a failed part, Country of Origin (COO) must be identified. The COO should be indelibly marked on the
part. Depending on the condition of the failed part, it may be necessary to use a bright light to locate COO.
If the COO for the part is not stamped on the part, or designated on the outer most container (box) then use Country
of Harvest.
Example: When a dealer removes a failed part from a machine or higher assembly and the COO cannot be
identified then, the Country of Origin becomes the Country where the part was removed from said machine or
higher assembly
For instance, if a piston fails in an engine located in Japan, and is requested back for failure analysis, and the failed piston
does not have the Country of Origin (COO) indelibly marked on the piston then the Country of Harvest would be Japan.
In the case of unused parts on the shelf in Caterpillar packaging, the COO would be the COO noted on the carton.
Shipping Instructions
Instructions for arranging part return shipments are available on https://dealer.cat.com/en/bt/it/software/c/fprp.html >
FPRP Shipping Instructions. Refer to these instructions to provide the shipping instructions, Incoterms, and contact
information for each destination.
Freight Claims
Dealers in Americas North
Parts shipments are scheduled by Caterpillar and prepaid so dealers will not be reimbursed for the cost of freight to
return parts. Internal dealer parts handling costs will not be reimbursed. Claims related to PRR incidents can be subject
to reprocessing at any time. Caterpillar retains the option of debiting the dealer for credit previously extended, if the
analysis of the returned parts justifies it, or if parts regarding a specific Warranty Claim were not returned.
Dealers In Americas South/Asia Pacific/EAME/Canada

Caterpillar will reimburse the dealer for the shipping charges to return a failed part according to the PRR instructions.
Americas South, Asia Pacific and EAME dealers should submit a Freight Charge Claim to receive reimbursement
for usual and customary shipping charges. Usual and customary shipping charges include:
• Freight, custom duties and taxes (if applicable)
• Caterpillar will not reimburse cost for fines, demurrage fees, or cost associated with incorrect shipping documents.
• Internal dealer parts handling costs will not be reimbursed.
When submitting a Freight Charge Claim, indicate in the “Claim Comments Field”:
• The characters “PRR” followed by the request number (e.g. PRR SIB1070059)
14 04.02-17 (08/18)
In the “Claim Story” include the following information:

• Shipping Invoice, Issuer Name, Date, and Number, and Date of PRR
• Submit the Freight Charge Claim as Miscellaneous Code: “PRRFRT”
Note: Dealer is required to keep the shipping invoice on file for Warranty review if asked.
Six different situations may exist when claiming for Parts Return Request freight charges:
1. The PRR freight charges are known prior to the submission of related incident claim.
Include all claimable freight charges on the related Incident Claim under Miscellaneous expenses with the usual
required explanation and documentation in the claim story.
2. The PRR freight charges are only known after the related Incident Claim has already been submitted.
Submit an Additional Information Claim (PD 20) to the one related to the actual incident. Indicate in the Claim Comments
Field the characters “PRR” followed by the request number. List under Miscellaneous expenses all claimable freight
charges with the usual required explanation and documentation. Do not include any previously listed item. Submit the
Additional Information Claim only after the receipt of the related Incident Claim Settlement Notice.
3. The PRR is not related to any claimable incident, but probably linked to a SIMS report.
Submit a standard Claim with the standard heading including all information as if it was the related Incident Claim,
but use a Part Description (PD) code of 56. Indicate in the Claim Comments Field the characters “PRR” followed
by the request number. List under Miscellaneous expenses, all claimable freight charges with the usual required
explanation and documentation.
4. The PRR concerns Parts Stock items for which a Parts Stock Claim has not yet been submitted.
Include the claimable Freight charges on the related Parts Stock Incident. Claim under Miscellaneous expenses
with the usual required explanation and documentation.
5. The PRR freight charges are only known after the related Parts Stock Claim has already been submitted.
Submit a Supplemental, Additional Information, Claim (PD 20) to the one related to the actual Parts Stock incident.
Indicate in the Claim Comments Field the characters “PRR” followed by the request number if applicable. List under
Miscellaneous expenses all claimable freight charges with the usual required explanation and documentation. Do
not include any previously listed item. Submit the Additional Information Claim only after the receipt of the related
Parts Stock Incident Claim Settlement Notice.
6. Several PRRs related to several different incidents, claims, etc. are SHIPPED TOGETHER to the SAME
DESTINATION and result in ONE SINGLE PRR one single PRR freight charge/invoice.
All PRRs included in such a shipment can be consolidated in one single PRR Freight Charge Claim. Select the
Incident Claim which produces the major part of the shipping costs (consider Weight, Volume and possible Invoice
details) and list all PRR claimable freight charges on this claim under Miscellaneous expenses. List in the Claim
Story all other PRR Numbers and related Incident Claims. A consolidated PRR Freight Charge Claim must be an
Additional Information Claim (PD 20). Indicate in the Claim Comments Field the characters “PRR” followed by the
request number of the part with the most freight.
Claims related to PRR incidents can be subject to reprocessing at any time. Caterpillar retains the option of
debiting the dealer for credit previously extended, if the analysis of the returned parts justifies it or if parts regarding
a specific Warranty Claim were not returned.
Claim Timeliness
All PRR Freight Claims must be submitted within 60 days from shipment/return of the part(s).
Denied or Non-Allowed Debited Claims

If responses are not recorded in SIB within 14 days after issuance of the PRR or Information Request, any
associated service claims may be denied or non-allowed, depending on the specifics of the service claim.
04.02-17 (08/18) 15
Caterpillar retains the option of debiting dealers for service claim credit previously paid. The following are examples
of when debits may be issued as a result of warranty parts returns, but this is not a complete list:
• PRRs without a response within 14 days.
• PRR response part “Not Available” without a valid reason why it could not be returned.
• Parts damaged due to incorrect handling or packaging by dealer.
• Parts that should have been repaired.
Policy Requirements Non-Compliance

All dealers provide more information/photos in 14 days Associated service claim may be denied.
after information request.
Americas North dealers: 14 days to respond to part If no response within 14 days, associated service
request by making part available/ready to ship. claim may be denied.
APD/Americas South/EAME dealers: 14 days to ship Associated service claim may be denied and penalties
part and provide tracking information in SIB. related to shipping method may apply. Considerations
may be given based on International shipping
variances and Second Level Dealer requests.
Information Requests requiring dealer to contact  If no response within 14 days, associated service
Service Engineer: dealer has 14 days to respond to claim may be denied.
Requestor. Requestor to provide alternate contact
 If no response from Service Engineer to dealer’s
information as needed.
reply within 14 days, dealer is to save email
request file and then close the request. No further
information is needed.
• Assemblies that should have been rebuilt.

• Parts inspection indicates failure not Caterpillar’s responsibility.
• Parts replacement not justified.
• Part replaced was not a Cat part.
The debit process policy requirements and non-compliance actions are specified in the chart below.
Any subsequent claims for partially or totally non-allowed claims due to requested parts not being returned will not
be considered for warranty.
Contesting Debited Claims of “Parts Not Received as Requested”

A contact name (debit requestor) and phone number is provided in many debit claim stories. When this contact
information is provided, the process to contest begins with contacting that person directly by phone or email. Do
not submit a new claim. Dealer must initiate contest action for the debited claim within the Contested Claims time
limit set forth in Bulletin 1.13. For debits that result from not returning parts requested via Send-It-Back, proof of
the shipment on a date prior to debit action may be provided to the Cat debit requestor for consideration. Additional
information regarding the claim may be required to contest debit issued for other reasons. If the debit requestor
agrees that debit was incorrect they will initiate a debit reversal (credit claim).
➤ Second Level Dealer Warranty Part Returns
Second Level Dealers will conduct warranty part returns through their Cat dealer. It is the Cat dealer’s responsibility
to ensure timely part return to Caterpillar. Second Level Dealers will receive PRRs through the Send it Back (SIB)
system. Please refer to Bulletin No. 4.02T for complete Global Warranty Parts Return Handling guidelines for
Second Level Dealers.

SERVICE
Parts
Warranty Parts Handling
➤ NOTE: This revision of the bulletin details changes to the parts retention policy for Second Level Dealers as well as information
for the implementation of the Send It Back (SIB) system in place of WPRI. Beginning January 1, 2019, the updated retention
policy takes effect and the WPRI system will be retired.
➤ Overview
This bulletin provides Second Level Dealers (SLD) with guidelines for handling failed part return requests from
Caterpillar. Return only those parts which are requested by a specific Parts Return Request (PRR), an Information
Request through the Send It Back (SIB) system, or as specified by a Service Letter.
Parts removed during warranty repairs, as well as defective parts from stock, may be required for support of
Warranty Claims, to provide engineering information, or for supplier warranty recovery.
➤ Mark & Identify Warranty Parts
Clearly mark all defects such as cracks, sand holes, porous castings, defective welds, and brazes, etc. Felt
marking pens, metal dye or fluorescent paint from a spray can are excellent ways to mark the material. The
identifying mark should encircle the defect, rather than cover or fill it.
Parts not properly identified can result in parts being scrapped and/or claim credit being denied.
Use Caterpillar warranty tags to identify parts that are held for a warranty claim. Warranty tags are available for
order through the Caterpillar dealer: order # 01-003883-14 (404)
➤ 04.02-03T (10/18) ➤ Indicates change.


1
Notice
Main crankshaft and connecting rod bearings must be marked according to cylinder number and taped
together in sequential order for shipment.
➤ Protect Held Warranty Parts

All removed parts (part causing failure and related parts) that are being held according to the Retention Schedule
must be protected against damage during the holding period. Until the claim is paid, the dealer owns these
parts. Until the holding period has expired Caterpillar owns the parts. Thus, dealers should protect their and our
investment. The following are storage guidelines that Caterpillar expects dealers to follow:
• Parts must be cleaned (unless this destroys evidence of the cause of failure) and protected from the
elements. All fluids should be drained according to Hazmat Regulations.
• Coat machined surfaces with anti-rust compound. This preserves parts so a technical analysis of the cause
of failure can be made.
• Engine crankshaft main and connecting rod bearings must be marked according to cylinder number &
taped together in sequential order.
• All components that are disassembled for determining cause of failure must be reassembled for storage.
Bolts and nuts only need to be finger tight.
• Protect defective radiator cores and coolers by using adequate crating and proper hoisting equipment. Do
not bend the header plates on radiator cores.
• After disassembly of turbochargers, inspection and determination of the cause of failure, dealers must
reassemble the unit. It is necessary to tighten the nuts and bolts a little more than finger tight. Clamps must
be properly installed and tightened.
• Use protective caps and plugs on fuel injection nozzles and injectors.
➤ Hold & Store Warranty Parts

In some cases, Caterpillar may request additional information, digital photographs, or the return of held warranty
claim parts. Removed warranty claim parts that must be retained should be systematically stored in a secured and
limited access area. Good control of saved warranty claim parts will allow dealers to promptly respond to requests,
or to promptly dispose of parts not requested for return, thereby minimizing dealer costs.
➤
Parts Return Request (PRR) Notification: Send It Back (SIB)
Caterpillar will scan service claims promptly after receipt for compliance with basic and special requirements, and
to determine if Caterpillar will require parts to be returned, or if additional Information is needed. When removed
warranty claim failed parts are requested for return, or additional information, the dealer will be notified through
SIB.
PRRs will be generated daily and added to the Send It Back website at https://senditback.cat.com/, Second Level
Dealer. Dealers should check SIB regularly for new parts and information return requests. SIB is the required
method of communicating parts and information requests
➤ Information Request Response

Dealers may receive Information Requests PRRs. If an Information Request is received, it means more information
must be provided to Caterpillar. The information to be provided could include one or any combination of the
following: providing a digital photo, the component serial number, a date code, contact the engineer or include
additional details. Information Requests must also be responded to within the 14 day time line requirement. The
parts used to fulfill the request are required to be held until the 30 day retention period has expired, or the part can
be returned for core credit after the 15 day retention period

➤ Parts Return Request from Service Engineers

In some cases, a Caterpillar Service Engineer may request the return of failed parts, without any knowledge of a
pending service claim. Such PRR request should be handled the same way as warranty parts if they are available
for return. In these cases, the request must include a dealer work order number or a dealer claim number.
For parts being returned in response to a Service Engineer’s request, dealers should include a print out of the
Requestor Information screen, and indicate if a service claim is to be submitted. The opportunity for a duplicate
request when/if a warranty claim is submitted will be minimized when the service engineer uses the SIB system.
➤ All PRR Request Requirements

Cat Dealer must meet the policy requirements in the chart below for parts requested for return. Second Level
Dealers must work with their assigned Cat Dealer to ensure the requirements are met or non-compliance actions
may occur.
Policy Requirements Non-Compliance
All dealers provide more information/photos in 14 days Associated service claim may be denied.
after information request.
Americas North dealers: 14 days to respond to part If no response within 14 days, associated service
request by making part available/ready to ship. claim may be denied.
APD/Americas South/EAME dealers: 14 days to ship Associated service claim may be denied and penalties
part and provide tracking information in SIB. related to shipping method may apply. Considerations
may be given based on International shipping
variances and Second Level Dealer requests.
Information Requests requiring dealer to contact  If no response within 14 days, associated service
Service Engineer: dealer has 14 days to respond claim may be denied.
to requestor. Requestor to provide alternate contact
 If no response from Service Engineer to dealer’s
information as needed.
reply within 14 days, dealer is to save email
request file and then close the request. No further
information is needed.
➤ Retention Schedule
Warranty Parts Without Core Value
The following is the time schedule that dealers must retain (hold) removed warranty claim parts for possible
shipment to Caterpillar.
Product Improvement Program (PIP) and/or Product Support Program (PSP) claim parts that are replaced do not
have to be held by dealers, unless the specific Service Letter indicates that they are to be retained. These parts
should be rendered useless and scrapped at the completion of the repair.
All warranty claim parts must be held in storage for 30 days after the claim receive date. If a PRR is issued in SIB
for a warranty claim part within the 30 day period, the dealer is to process the PRR request and return the warranty
claim part. Do not wait the full 30 days before returning the warranty claim part for analysis.
➤ Warranty Parts With Core Value

Reman parts and parts with core value must be held for 15 days after the claim receive date.
• The dealer is to process the PRR request.
• Identify the part has Reman core value with SIB.
• Return warranty claim parts(s) to Caterpillar Dealer for processing.
Do not wait 15 days before returning the warranty claim part for analysis.
04.02-03T (10/18) 3 ➤ Indicates change.

NOTICE
When service claims are canceled/denied and then resubmitted, the hold period for any removed warranty
claim parts starts over.
For dealers who use Claimsi, the Claim Register/Received date can be obtained by viewing on-line the individual
warranty claim itself.
If a warranty claim involving saved warranty claim parts is canceled and later resubmitted, dealers should adjust
their files to indicate the resubmission date. Parts must be held for an additional 15 days or 30 days, whichever
applies, from the resubmission date of the claim.
Saved warranty claim parts that are not requested by Caterpillar for return and not involved in core credit must be
rendered useless and should be scrapped after the 30 day retention period has lapsed.
Your Caterpillar distributor may supply you with specific guidelines for handling Second Level Dealer warranty
claim parts.
A warranty claim will not be denied for unreturned parts if parts were not requested within the published retention
period. It is our responsibility at Caterpillar to ensure that we request parts within those time periods. For contested
supplemental claims (description code 98) parts will not be requested since in most cases the original hold period
has expired. However, on additional supplemental claims (description code 20) previously unclaimed parts may
be requested for return.
Packaging Parts Returns For Shipment

When returning warranty parts, the following are shipping requirements for specific parts/components:
• Crankshafts and camshafts - Brush a thin coat of grease on machined surfaces to keep them from
rusting.
• Bearings - Main and rod bearings must be marked according to cylinder number and taped together in
sequential order for shipment.
• Turbochargers - After disassembly, inspection, and determination of the cause of failure, dealers must
reassemble the unit. It is necessary to tighten the nuts and bolts only “finger tight.” This will assure that
as parts are shipped, further damage in handling is prevented.
• Fuel Nozzles/Injectors - Use the protective caps and plugs removed from new and remanufactured
nozzles/injectors to protect the nozzles/injectors that are to be returned. The caps and plugs will protect
the tips from breakage and will prevent entry of foreign material.
Correctly packaged parts are less likely to be damaged during shipment. The following are general guidelines for
correct packaging of all Caterpillar requested parts returns:
• When possible, use the crate or box in which the new part or component arrived for returning the damaged
or defective part.
• Pack containers properly. Use containers that have adequate strength and attach them to a pallet. Use
dividers between items in cartons and between loose items. Always pack heavier items at the bottom.
• Palletize large, heavy items. Items not suitable for packaging in containers should be banded to pallets
Cover all openings and protect exposed surfaces.
• Package for lift truck handling. Whenever possible, pack material so it can be handled with a lift truck. This
greatly reduces handling time and minimizes potential damage. When loading the truck, don’t stack heavy
items on crushable items.
• Assign responsibility. Make one specific individual responsible for the packaging of parts returns for
shipment.

➤ Disposition of Returned Parts

Caterpillar will dispose of all returned parts immediately after inspection and claim decision, unless a dealer has
requested a part be returned to them. If a dealer wants the part returned to them, the parent dealer must check the
“return to dealer” box in SIB when processing the Parts Return Request. The PRR label will show a “Yes” indicating
that the dealer has requested the part back. The dealer is responsible for the returned shipping charges.
Parts are not available for return to the dealer under the following conditions, even if the SIB “return to dealer” box
is checked:
• Parts are involved in an open Warranty claim, and Reman core value is involved
• Part is involved in a paid Warranty claim
• Part is involved in a Warranty claim that was 100% non-allowed, and Reman core value is involved
• Part is NOT involved in a Warranty claim, but Reman core value is involved
Supplier Recovery Warranty Parts

Claims received with a turbocharger or air compressor part number listed as the part causing failure will have a
parts request issued upon receipt of the claim.
Note: Do Not remove the metal shipping tag from Remanufactured Turbochargers, which identifies the
ship date from the turbocharger manufacturer. Claims may be debited if tag is removed.
➤ Debited Claims Resulting From Parts Returns

If the requested parts are not returned to Caterpillar within 45 days after issuance of the Parts Return Request or if
response is not provided in Send-It-Back per the chart in the PRR notification section on page 3, then the warranty
claim may be denied, non-allowed or debited depending on the specifics of the warranty claim. In such cases, any
parts received by Caterpillar after this action will not be considered for warranty, and any subsequent claims will
not be considered for warranty.
Whenever possible, warranty claims will continue through Caterpillar claim processing and be credited, even
though parts returns are requested. Caterpillar retains the option, however, of debiting the dealer for credit
previously extended. The following are examples of when debits may be issued as a result of parts returns:
• Response not provided in Send-It-Back per Policy Requirements in chart on page 3.
• Parts not returned per Caterpillar request within 45 days after issuance of the Parts Return Request.
• Parts damaged due to incorrect handling or packaging by dealer.
• Parts that should have been repaired.
• Assemblies that should have been rebuilt.
• Parts inspection indicates failure not Caterpillar’s responsibility.
• Parts replacement not justified.
• Parts not returned to the designated location identified on the parts return request.
• Parts not returned to Caterpillar Dealer within time frame to meet SIB Policy Requirements in chart on
page 3
Contesting Debited Claims Of Parts Not Received As Requested

When a debit is received by a dealer for parts not returned as requested, and the dealer maintains that the parts
were properly shipped, the dealer may contact the debit requestor listed in the claim story of the debit claim. IF the
dealer shows proof of the shipment, and/or debit requestor agrees the debit was incorrect, then the debit requestor
will initiate a debit reversal (credit claim). Do not submit a new claim.
04.02-03T (10/18) 5 ➤ Indicates change.

6 04.02-03T (10/18)
SERVICE
Parts
Ground Engaging Tools

Overview
This bulletin provides warranty reimbursement terms and claiming information for Ground Engaging Tools (GET),
which are replaceable steel components bolted, pinned or welded to buckets, blades, rippers, scarifiers, etc., on
earthmoving and construction equipment. The components include cutting edges, base edges, adapters, tips, bits,
wear plates, protectors, etc. and are designed to resist high wear and breakage.
Warranty Terms
Ground Engaging Tool Warranty is an extended breakage warranty for certain GET components and is only
applicable after the expiration of Standard Machine Warranty, Work Tool Warranty and Parts Warranty. All GET
components (except hydraulic hammer tool points and compacting plates) are initially warranted for defects in
material and workmanship by one of the following:
 GET components sold with a new work tool or machine prior to delivery are warranted initially by the
applicable Standard Machine Warranty or Work Tool Warranty.
 GET components sold after the Standard Machine Warranty or Work Tool Warranty expires are warranted
initially by Parts Warranty.
Once the Standard Machine Warranty, Work Took Warranty, or Parts Warranty expires, certain designated GET
components are warranted for breakage throughout their useful life by the Ground Engaging Tool Warranty, without
a time limitation. Breakage of worn-out GET components is not warranted.
New Parts Warranty

➤ GET Warranty Not Applicable
 See Bulletin 2.02 in the following situations:
 For GET failures occurring within the Work Tool Warranty period.
 For Global Work Tools and Services (GWTS) bucket base edge assemblies that crack at the weld-on adapter
and/or the base edge to bucket floor weld seam and are outside the initial 12 months Work Tool Warranty.
 If the serial number tag for certain Track Type Tractor (TTT) rippers, Power Angle Tilt (PAT) blades and
rock drill tips includes Cat® Work Tools Services (CWTS).
 For Defective Parts Stock Warranty, see Bulletin 4.08. This warranty applies when new and Reman parts or assembled
components are found to be defective at the time of purchase or prior to installation through a visual inspection.
 Yellowmark™, A Caterpillar Brand parts, are not eligible under GET warranty, refer to Bulletin 4.14.


1
Covered GET Components

The following GET components are covered by Ground Engaging Tool Warranty:
Bucket GET  Base edges and base edge assemblies

 Bolt-on flat plate / half-arrow segments and cutting edges
 Loader bucket base edge corner components Corner Guard System (CGS)
 Bolt-on wear plates and sole plates
 Side cutters and sidebar protectors
 Tips and adapters
 Unitooth components
 Cat Lip Protection System, including bucket lips, tips, adapters, lugs and shrouds
 Mining Edge Guard System (MEGS) components, including adapters, adapter noses,
couplers, tips, protective covers or lugs
 Modulok and Heavy Duty Mining System components, including adapters, tips,
protective edge covers, mounting lugs, sidebar protectors, corners, wear plates and
support assemblies.
 Mechanically Attached Adapter (MAA) Systems that are not worn beyond any of the
built-in wear steps on the adapter.
 Mechanically Attached Wear Plates (MAWPS) that are not worn beyond any of the
built-in wear indicators on the wear plate.
 Caterpillar supplied GET components with Abrasion-Resistant Material (ARM).
Compactor GET  Earthmoving compactor feet
 Landfill chopper tips
 Landfill compactor tips
Dozer GET  Cutting edges
 End bits
 Pin-on router bits
 Mechanically Attached Wear Plates (MAWPS)
Motor Grader  GraderBit, Mining Bit and rotating bit adapters.
GET  GraderBit and Mining Bit assemblies (with the whole carbide missing, and with over
half of the flat mounting surface remaining).
 Rotating bit assemblies (with whole carbides missing from mounting surface).
 MG carbide cutting edge assemblies (with whole carbides missing and with over half of
the flat mounting surface remaining).
 Cutting edges (except high carbon).
 Moldboard end bits and overlay end bits.
Ripper and  Protectors
Scarifier GET  Ripper tips and adapters
 Scarifier tips
 Abrasion Resistant Material (ARM) tips
Scraper GET  Cutting edges
 Tips and adapters
 Router Bits
Miscellaneous  Parent metal coverage, for above listed GET components that have Abrasion
GET Items Resistant Material (ARM) applied by a Cat dealer.
2 04.03-09 (10/18)
➤ Not Covered GET Components & Failures

The following GET components and failures are not covered by Ground Engaging Tool Warranty:
 Any GET part failure caused by the attachment of competitive parts to Cat components.
 Any GET part failure in which a crack or break started at the weld of either weld-on
wear-plating, or hardfacing (not ARM-supplied by Caterpillar or a Cat dealer).
 Any GET part failure where that part is worn beyond its useful life.
Non-Specific
 Multiple failures at same location without evidence that the customer attempted to
Failures
change GET option or alter their operation. Dealer should verify customer is not using
an undersized work tool for the application.
 Any GET part failures due to worn mating components, improper welding (see
RESH0597 for correct weld procedures) or installation.
 Breakage of bolts, nuts, pins, retainers and washers, even when used with warranted
GET Hardware GET components.
 Base edges and edge assemblies that crack or break due to improper welding of wear
plating to its surface.
Bucket GET
 Mechanically attached adapters and wear plates that are worn beyond any of the built-
in wear steps or wear indicators on the component.
 GET Products used on Hydraulic Shovels, Draglines, and Electric Rope Shovels.
 Follow traditional material defects and workmanship. If installed prior to delivery of new
Large Mining
product, refer to Machine Bulletin 2.01. If purchased or installed after machine delivery,
including customer purchased replacement, refer to Parts Warranty Bulletin 4.01
Compactor GET  Loss of Landfill Compactor Tips due to excessively worn outer wheel rims.
Custom Made  Custom parts Made As Ordered (MAO) by GET Product Center at the request of
GET dealers or customers.
 Cutting knives and crushing teeth used on mechanical or hydraulic shears, crushers or
Demolition GET pulverizers.
Hammer Tool  Hydraulic hammer tool points and compacting plates.
GET
Paving GET  Cutter bits.
 High carbon cutting edges.
 GraderBit assemblies with only pieces of the carbide chipped from the bottom or side of
Motor Grader the bit assembly.
GET  MG carbide cutting edges that have chipped carbide squares from impact with hard
objects (brazed surfaces not visible).
 Rotating Bit assemblies that have chipped carbide tips but no visible brazed surface.
Ripper and  Ripper and scarifier shanks other than those that can be repaired with a nose adapter
Scarifier GET or adapter.
 Weld-on wear plates (e.g. bulldozer reinforcing plates & push plates or excavator
Miscellaneous bucket wear plates).
GET  Any products sold by Caterpillar that are warranted by another manufacturer.
 Auxiliary Equipment Manufacturer’s (AEM) products equipped with Cat GET.
 Cat chocky bars, wear buttons, rollbars, wear blocks, and Base Edge End Protectors
Miscellaneous (BEEPs).
Rotary Drill GET  Tricone Drill Bits
Yellowmark, A
Caterpillar Brand  All Yellowmark, A Caterpillar Brand Parts
Parts

Dealer reimbursement for repair expenses related to GET are per the Summary of Reimbursement Practices
chart below, in accordance with the summary reimbursement practices as outlined in Bulletin 1.02, and with the
GET Summary of Reimbursement Practices

Parts Service Charges (Emergency Orders only) Reimbursable
Salvage Labor and Materials (Note: Removing and
Labor Reimbursable at Cost Labor Rate, Materials
installing a welded-on adapter is not considered
Reimbursable at Dealer’s Acquisition Cost
salvage labor.)
Service Items, Repair Labor, Overtime Labor Rate,
Travel Time and Mileage, Meals and Lodging, Freight
Not reimbursable
Charges, Hauling Costs, Shop Supplies, and Outside
Repair Expenses

The following outlines the unique claim field information required for GET warranty claims.
Related Serial Number Enter the machine serial number, if applicable.

Part Number Causing
Enter the GET part number.
Failure
Group Number Enter 6800
Enter a detailed description of the failure as well as the usual complaint,

cause, correction and complication. If the Dealer Solution Network (DSN) was
contacted, include DSN ticket number. For Ripper Shanks, include the ripper
Claim Story shank ID tag information.
NOTE: If claiming multiple parts for monthly GET claim, list each part number
with brief description.
 Attach pictures of base edge and ripper shank failures in SIMSi and
reference the pictures to the Caterpillar claim number, not the 99Z number.
 For base edge assembly replacement claims, attach pictures of failure and
location of failure. Include picture of overall edge with close up picture of
Photo Requirements
failure. If possible, include a picture of any open fracture (fracture face).
 For ripper shanks, attach pictures of failure and location of failure. Include
picture of overall ripper shank with close up picture of failure. If possible,
include a picture of any open fracture (fracture face).
4 04.03-09 (10/18)
SERVICE
Parts
Cat Certified Rebuild Programs
Overview
This bulletin provides warranty reimbursement terms, enrollment instructions, and claiming information for Cat
Certified Rebuild Programs. These programs are developed by Caterpillar for dealers to rebuild Cat® machines,
commercial engines (prime products), and individual major components to like-new condition. Certified Rebuild
Programs are only available for specific models and components. For additional information, refer to URL
https://dealer.cat.com/en/ps/repair-options.html.
➤ Warranty Terms
The warranty period for each Certified Rebuild Program is listed in the chart below.
Product Certified Rebuild Programs Warranty Period

Cat Certified Rebuild (CCR)
Prime Product
Cat Certified Rebuild Upgrade (CCRU)
Rebuild
Cat Certified Commercial Engine Rebuild (CER)
Cat Certified Power Train (CPT) – consists of

multiple components 12 months
Component Rebuild
Cat Certified Hydraulic Rebuild (CHR) - consists of
multiple components
Cat Certified Machine Component Rebuild
(CMCR) – includes: captive engines, differential,
final drive, transmissions, torque converters, and
drive axles


1
Dealer reimbursement for repair expenses related to certified rebuilds is per the Summary of Reimbursement
Practices Chart below, in accordance with reimbursement practices as outlined in Bulletin 1.02, and with the

Parts replaced during certified rebuild Reimbursable at D/N
Parts reused during certified rebuild Not reimbursable
Parts – resultant damaged 100% of D/N on new and reused parts replaced at rebuild
Parts Salvage Labor (if part was placed during
Reimbursable at labor cost rate, if justified
certified rebuild)
Repair Labor, Overtime Labor Rate, Shop
Supplies, Hauling Costs, Freight Charges, Travel Not Reimbursable
Time and Mileage, Meals & Lodging
Enrollment Requests
For dealers to perform certified rebuilds, they must be authorized under the terms of an agreement with Caterpillar.
Prior to commencing a certified rebuild of a machine, commercial engine or component, dealers must submit a
Certified Rebuild Enrollment Request to Caterpillar by visiting URL
https://dealer.cat.com/en/ps/repair-options/certified-rebuild.html.
Serial Number Assignment / Warranty Coverage

CCR, CCRU and CER products are assigned a new serial number (certified rebuild number) by Caterpillar as
explained in the chart below. CPT, CHR, and CMCR products are registered with a special warranty coverage
against the original machine serial number.
Program New Serial Number Assignment / Warranty Coverage

Contains machine’s original 3-digit serial number prefix, followed by a new 5-digit
CCR number beginning with 75 (Americas North), 76 (EAME), 77 (APD) or 78 (Americas
South). The numbers 75, 76, 77 or 78 indicate a CCR machine.
Assigned a new 3-digit serial number prefix indicating the machine has been upgraded,
CCRU followed by a new 5-digit number that begins with 70 (Americas North), 71 (EAME), 72
(APD) or 73 (Americas South). The numbers 70, 71, 72 or 73 indicate a CCRU machine.
Contains engine’s original 3-digit serial number prefix, followed by a new 5-digit number
CER beginning with 80 (Americas North), 81 (EAME), 82 (APD) or 83 (Americas South). The
numbers 80, 81, 82, or 83 indicate a CER engine.
Products are registered with a special warranty coverage against the original machine
CPT, CHR, CMCR
serial number.
NOTE: In some instances, Caterpillar may choose not to assign a new serial number.
2 04.04-10 (01/17)
Rebuild Delivery Notice

After the CCR, CCRU, or CER, a Rebuild Delivery Notice must be completed for the new serial number. Caterpillar
will enter a sales record for the new serial number using the delivery date for the build, ship date, and sale date
of the machine. After the sales record has been entered, the dealer must enter the delivery date and customer
information in SIMSi at https://sims.cat.com. This delivery date entered by the dealer in SIMSi is used as the start
date for the standard parts warranty period.
After the CPT, CHR, or CMCR, a Rebuild Delivery Notice must be completed against the original machine serial
number. Caterpillar will enter a registered warranty coverage for the original machine serial number using the
rebuild delivery date to begin the parts warranty period.
The Rebuild Delivery Notice may be found at https://forms.cat.com/cda/components/fullArticleNoNav?id=4860508.
Verifying Coverage
The rebuild coverage may be verified in Caterpillar’s Service Information Management System (SIMSi) at
https://simsi.cat.com. The product coverage and/or customer information tabs show the new delivery date,
coverage details, and the customer name and address for CCR, CCRU and CER products. For CPT, CHR
and CMCR components, the rebuild coverage may be found under the original machine serial number.
Parts Replaced Under Standard Parts Warranty

Parts replaced under the terms of the standard parts warranty are covered for the remainder of the specific
coverage period. The warranty on such parts ceases when the original parts warranty coverage period expires,
regardless of when the parts were replaced.
Product Improvement Programs (PIPs) and Product Support Programs (PSPs)

All PIPs and PSPs announced after the CCR, CCRU, or CER will be supported by Caterpillar only to the extent that
the new serial numbers (certified rebuild numbers) are included as ‘Affected Products’ in the Service Letter. For
PSPs with prorated Caterpillar participation based on machine age or service hours, the certified rebuild delivery
date and/or service hours since the rebuild are used for determining the amount of Caterpillar participation.

The following outlines the unique claim field information required for parts warranty claims associated with certified
rebuild machines, engines, and components.

Delivery Date Leave blank
Parts Start Date Leave blank
 CCR, CCRU, CER - enter the new Certified Rebuild serial number, not the
Product ID/Serial machine’s original serial number
Number  CPT, CHR, CMCR- (certified rebuilds that do not have new s/n assigned) -
enter original product serial number
 CCR, CCRU, CER - enter the service hours on the certified rebuild machine
or engine. This number should be the same number entered in the Product
Parts Hr/Mi/Km Hr/Mi/Km field
 CPT, CHR, CMCR - enter hours on part or component
Product Hr/Mi/Km Enter total hours on product
In addition to the usual description of the complaint, cause, correction, and

complication (if applicable), the first line of the claim story should state: “This
Claim Story
product has a Certified Rebuild Coverage” or “This product has a Certified
Rebuild Upgrade Coverage.”
04.04-10 (01/17) 3
4 04.04-10 (01/17)
SERVICE
Parts
Nexus™ New Parts & Assembled Components
Overview
This bulletin provides warranty reimbursement terms and claiming information for Nexus new parts and assembled
components used on machines made by manufacturers other than Caterpillar.
Warranty Terms
The warranty period is for 12 months, starting on the date the part is purchased or put into service by the first user.
Nexus Replacement Parts Warranty

Nexus Parts replaced under the terms Nexus Parts Warranty are covered by the Nexus Parts Warranty for the
remainder of the warranty period. The warranty on such parts ceases when the Nexus Parts Warranty period
expires, regardless of when the parts were replaced.
Dealer Reimbursement for Nexus Parts

Dealer reimbursement for repair expenses related to Nexus Parts are per the Summary of Reimbursement
Practices chart below, in accordance with applicable reimbursement practices as outlined in Bulletin 1.02, and
with the applicable warranty statement found at https://warranty.cat.com/currstmts.
Nexus Parts Summary of Reimbursement Practices

Service Items, Repair Labor, Salvage Labor,
Overtime Labor Rate, Travel Time and Mileage,
Not reimbursable
Meals and Lodging, Freight Charges, Hauling Costs,
Shop Supplies, and Outside Repair Expenses


1
Claim Field Information for Nexus Parts

The following outlines the unique claim field information required for Nexus Parts warranty claims.

Parts Start Date Enter the date of purchase or the last day of the original repair.
Enter the hours on the part since installation. This number should be less
Parts Hr/Mi/Km
than the number entered in the Product Hr/Mi/Km field.
In addition to the complaint, cause, correction, and complication (if
applicable), the following must also be provided:
Claim Story  Invoice number of the part causing failure purchase.
 Percentage (%) of part customer paid on the invoice.
 Serial number, model, and manufacturer of the competitive machine.
Defective Parts Stock Warranty

Defective Parts Stock Warranty applies when new and remanufactured parts or assembled components are
found to be defective at the time of purchase or prior to installation through a visual inspection. The defect may
be the result of a manufacturing material or workmanship issue, improper Nexus packaging, or when a defective
parts stock part of component was replaced or salvaged as instructed on a Nexus Parts Stock PIP Service
Letter. In such cases, a separate PIP service claim is required.
Dealer Reimbursement for Nexus New Parts Defective Parts Stock Claims
Dealer reimbursement for claims related to Nexus New Parts Defective Parts Stock is per the Summary of
Reimbursement Practices chart below, in accordance with applicable reimbursement practices as outlined in
Bulletin 1.02, and with the applicable warranty statement found at https://warranty.cat.com/currstmts.
Nexus New Parts Defective Parts Stock Summary of Reimbursement Practices

Parts Service Charges, Service Items, Repair
Labor, Salvage Labor, Overtime Labor Rate,
Travel Time and Mileage, Meals and Lodging, Not reimbursable
Freight Charges, Hauling Costs, Shop Supplies,
and Outside Repair Expenses
Claim Field Information for Nexus New Parts Defective Parts Stock Claims
The following outlines the unique claim field information required for Nexus New Parts Defective Parts Stock
warranty claims.

Repair Date Enter the date of claim submission
Description Code Leave blank
Group Number Enter 7752
Comments/Finding Enter “Parts Stock”
For each part with a dealer net price greater than $250 USD, enter a
Claim Story
description of the defect and the location of the defect.
2 04.05-01 (01/16)
SERVICE
Parts
Tires
Overview
This bulletin provides warranty reimbursement terms and claiming information for Cat® Tires. This bulletin also
provides warranty information on tires made by manufacturers other than Caterpillar.
Warranty Terms
The warranty period is 12 months for all Cat Tires sold with the machine to the first user or purchased through
the Caterpillar Parts Distribution Center. This warranty period begins on the delivery date to the first user for new
machines or on the date of sale for parts replacement.
If proof of the original purchase is not provided, the tire date of manufacture (DOT code) will be used to
determine warranty as explained below. The DOT code is a six character code found on the sidewall of the tire
(e.g. C4 x 45 9 or CF 30 01).
Code
Plant of Manufacture C4 or CF
Placeholder for year below 2000 X for 98 or 99
Week of Year (e.g. 45th week) 45 or 30
Year of Manufacture 9
If year is 2000 or more (2 digits) 01
Warranty for New Tires Replaced

Cat tires replaced under the terms of Parts Warranty are covered by the Parts Warranty for the remainder of the
original tire warranty period. The warranty on such tires ceases when the original tire warranty period expires,
regardless of when the tire was replaced.


1

The following causes of Cat tire failure are not reimbursable under Parts Warranty:
 Misuse or misapplication.
 Excess speed, rim, or chain damage or mechanical condition of vehicle.
 User’s delay in making the product available after being notified of a potential product problem.
 Road hazards such as cuts, breaks, bruises, separations, snags, machine damages, wreck, collision, fire,
improper inflation, impact, puncture, etc.
 Improper mounting procedures.
 Improper repairs or repairs not made in accordance with RMA-approved procedures.
 Overloading.
 Spinning on slippery surfaces.
 Improper application, such as when the size and/or load range of the tire does not conform to the vehicle
manufacturer’s placard and owner’s manual recommendations.
 Damage caused by abuse, neglect, collision, fire, storage or vandalism.
 Product used on rims not conforming exactly to Tire and Rim Association standards.
 Tire and rim combinations of different sizes.
 Beads have been damaged or broken due to non-RMA approved mounting procedures or incorrect rims.
 Tires adjusted under Caterpillar limited warranty.
 Any tire that has failed as a result of adding material to that tire (e.g., tire filler, sealant, balancing
substances, ballast, etc.) that is not originally supplied by Caterpillar.
 Re-tread tires.
NOTE: See media number REHS1140 for additional information on tire failure evaluation and warranty coverage.
Dealer reimbursement for repair expenses related to Cat® Tires are per the Summary of Reimbursement
Practices chart below and in accordance with the applicable warranty statement found at

Service Items, Repair Labor, Salvage Labor, Overtime Labor Rate,

Travel Time and Mileage, Meals and Lodging, Freight Charges, Not reimbursable
Hauling Costs, Shop Supplies, and Outside Repair Expenses
2 04.06-04 (12/15)

The following outlines the unique claim field information required for tire warranty claims.
Product ID/Serial  Cat tires - enter Caterpillar machine number

Number  Other - enter “99Z00015”
 Cat tires – enter Caterpillar part causing failure
 Other – enter substitute part number “SP0855”
 Cat tires – enter Caterpillar group number
Group Number
 Other – enter “4203”
In addition to the complaint, cause, correction, and complication (if applicable), the
following must be included:
• Cat tires - machine model, serial number, delivery date, service meter units
(SMU), tire make, size, ply rating, tread type, how Caterpillar caused the failure,
Claim Story and why it was necessary to replace the tire rather than repair it.
• Other manufacturer’s tires - list the size, ply rating, tread type, and explanation
how Caterpillar caused the failure.
• Other manufacturer’s machine - list the make, model, serial number, and delivery
date.
Other Tire Manufacturers

The warranty process is handled differently for tires made by manufacturers other than Caterpillar on Cat
machines as provided below.
 For tires made by manufacturers other than Caterpillar, the warranty process is handled directly between
the other manufacturer and user.
 If the tire damage is caused by Caterpillar, warranty claims should be submitted to Caterpillar in the
following situations:
 Damage caused at the factory by incorrect handling, accidents, etc.
 Damage caused during shipment due to incorrect machine handling or shipment preparation by
Caterpillar.
 Damage resulting from a Cat product failure under warranty.
 If the tire damage is due to negligence of the shipping carrier or parties other than the manufacturer,
claims should be submitted to the shipping carrier or other party.
04.06-04 (12/15) 3
4 04.06-04 (12/15)
SERVICE
WARRANTY BULLETIN Global Excluding Japan
Parts
Batteries
➤ Overview
This bulletin provides the warranty period and reimbursement terms for Cat® brand batteries. The Caterpillar
Battery Warranty Statement applies to batteries that are original equipment therefore part of a Cat prime product,
other manufacturer’s product, or customer purchased as replacement.
NOTE: Excludes Yellowmark™, A Caterpillar Brand batteries.
Warranty Period
The warranty period is determined by the battery type and application per the Caterpillar Battery Warranty
Statement found at https://warranty.cat.com/currstmts and begins on the sale date or the documented in-service
date. If applicable, the total battery warranty period is divided into a “replacement-free” warranty period, followed
by a “prorated” warranty period for customer participation.
Replacement-free period - If a defect occurs within this period, the battery will be replaced with a new battery
free-of-charge to the customer. Batteries replaced during this period are warranted for the remainder of warranty
of the original (defective) battery.
Proration period - Once the “replacement free” warranty period expires, the “proration” warranty period begins, if
applicable. If a customer participates in any portion of the cost of a replacement battery, the replacement battery
has its own warranty as if originally purchased. The cost charged to the customer for replacement of the defective
battery should be calculated using the formula in the Caterpillar Battery Warranty Statement.
Warranty claims should not be submitted to Caterpillar for defective in-service or installed batteries. Instead,
Caterpillar automatically reimburses dealers for battery warranty expenses by issuing quarterly warranty credit
claims. The allowance provided in the claim is 3% of the total dealer net (D/N) value of all batteries ordered by the
dealer during the previous quarter. This credit is issued to cover expenses (parts, labor, etc.) for all in-service or
installed batteries, including prime product inventory.
No action is needed to generate the Quarterly Battery Settlement Notice, as this is an automatic Caterpillar
process. The dealer claim number on such notices begins with the letters “BATT.”
EXCEPTION: If the battery warranty costs for a given year exceed the 3% allowance and can be adequately
substantiated, contact the Warranty Service Desk.


1
Special Instructions for Batteries

Batteries must be maintained (recharged, conditioned, or stored) per Special Instruction SEHS9031. Potentially
defective batteries, excluding obvious defects such as a cracked case, should be tested according to the Battery
Test Procedure SEHS7633.
Non-Warrantable Failures
The following causes of battery failure are not reimbursable under warranty:
 Batteries that have exploded are not considered to be a defect in material or workmanship. Explosions
typically result from a spark or fire caused by a loose connection between a post and a cable. Therefore the
battery was not the cause of failure.
 Cracked battery that has been in-service more than 30 days.
 Discharge of an in-service battery does not establish the presence of a defect.
 Failures that result from installations with mixed battery types, Maintenance Free Battery (no access to
electrolyte) and Low Maintenance or Conventional battery (with access to electrolyte). In such an installation,
neither will charge properly and will fail.
 Failures resulting from inadequate battery maintenance.
Disposition of Failed and Defective Batteries

Batteries should not be returned to Caterpillar for inspection. Dealers are encouraged to sell all “spent” and
defective batteries to ensure recovery of the lead content.
2 04.07-08 (04/19)
SERVICE
Parts
Batteries
➤ Overview
This bulletin provides the warranty period and reimbursement terms for Cat® brand batteries. The Caterpillar
Battery Warranty Statement applies to batteries that are original equipment therefore part of a Cat prime product,
other manufacturer’s product, or customer purchased as replacement.
NOTE: Excludes Yellowmark™, A Caterpillar Brand batteries.
Warranty Period
The warranty period is determined by the battery type and application per the Caterpillar Battery Warranty
Statement found at https://warranty.cat.com/currstmts and begins on the sale date or the documented in-service
date. If applicable, the total battery warranty period is divided into a “replacement-free” warranty period, followed
by a “prorated” warranty period for customer participation.
Replacement-free period - If a defect occurs within this period, the battery will be replaced with a new battery
free-of-charge to the customer. Batteries replaced during this period are warranted for the remainder of warranty
of the original (defective) battery.
Proration period - Once the “replacement free” warranty period expires, the “proration” warranty period begins, if
applicable. If a customer participates in any portion of the cost of a replacement battery, the replacement battery
has its own warranty as if originally purchased. The cost charged to the customer for replacement of the defective
battery should be calculated using the formula in the Caterpillar Battery Warranty Statement.
TEPS, MEPS, AMD and ISD dealers are reimbursed for defective parts stock and failed batteries by returning them
to their Cat dealer for exchange or reimbursement.



typically result from a spark or fire caused by a loose connection between a post and a cable. Therefore the
battery was not the cause of failure.
 Failures that result from installations with mixed battery types, Maintenance Free Battery (no access to
electrolyte) and Low Maintenance or Conventional battery (with access to electrolyte). In such an installation,
neither will charge properly and will fail.

2 04.07-03T (04/19)
SERVICE
Parts
Defective Parts Stock

Overview
Defective Parts Stock Warranty applies when new and remanufactured parts or assembled components sold by
Caterpillar are found to be defective at the time of purchase or prior to installation through a visual inspection. The defect
may be the result of a manufacturing material or workmanship issue, improper Caterpillar packaging, or receipt of an
aged battery from a Caterpillar Parts Distribution Center.
➤ Defective parts stock does NOT apply in the following situations:

 Shipping Damage and Discrepancies refer to errors in shipping or packaging. Shipping damage and
discrepancies on prime products ordered and received through the Caterpillar order fulfillment process
should be filed to Caterpillar as a short shipment claim. Shipping discrepancies on parts ordered from a
Caterpillar Parts Distribution Center should be filed using the ANTARES System. Refer to Bulletin 1.28
Errors in Shipment Decision Model for further information.
 Pre-Delivery Warranty Repairs are repairs performed due to defects in material or workmanship found in products
prior to delivery to the first user. Please refer to the appropriate product bulletin. For Machines, refer to Bulletin 2.01,
and for Engines, refer to Bulletin 3.01.
 In-Transit Warranty Repairs are repairs on a new product shipped from Caterpillar, but are located in a seaport
or transportation yard. Please refer to the appropriate product bulletin. For Machines, refer to Bulletin 2.01, and for
Engines, refer to Bulletin 3.01.
 Parts Warranty applies when new and remanufactured parts or assembled components are found to be defective
during installation (including testing prior to installation) or by the component or product being operated. This
includes defective parts found during any form of prime product or component testing. For Parts Warranty, refer to
Bulletin 4.01.
 Defective Service Tools and Supplies are not covered by this bulletin. Refer to Bulletin 4.09.
 Product Improvement Programs (PIP) and Product Support Programs (PSP) for removal of parts from dealer
parts inventory are not covered by this bulletin. Refer to Bulletin 1.16.
 Parts acquired under legacy Bucyrus part numbers are covered in this bulletin. Refer to page 5 for details.
• Cat® Detect for Personnel Products manufactured by SCAN~LINK™ are not covered by this bulletin. Refer to
Bulletin 4.01.


1
Defective parts stock applies when:

 A defective parts stock part or component was replaced due to a manufacturing defect found by a visual inspection
prior to installation.
 A defective parts stock part or component was replaced due to damage caused by improper Caterpillar packaging.
 A defective parts stock part that arrived with missing or damaged tamper evident closure, where tamper evident
closure is required for return under Parts Policy No. 5.
 The defective parts stock part or component is salvaged.
 Aged or discharged batteries are received from a Caterpillar Parts Distribution Center with the following criteria:
 Low maintenance battery more than 6 months from date of manufacture
 All other batteries more than 12 months from date of manufacture
 A discharged battery has an open circuit voltage of less than 12.00 volts for 12 volt batteries, 8.00 volts for
8 volt batteries, and 6.00 volts for 6 volt batteries
 Reference PELJ0336 and SEHS7633 for addition information on battery shelf life and inventory requirements
 Dry charged batteries or aged dealer inventory batteries do not qualify
NOTE: Parts stock warranty does not coverage damage resulting from improper warehousing practices, per the Dealer
Warehouse Guidebook, including rust due to outside storage.
Defective Part / Component Salvage

A defective part or assembled component may be salvaged if the item can be restored to like-new condition at a cost
more economical than replacement. In such cases, reimbursement for salvage may include:
 Disassembly and assembly labor
 Parts salvage labor, including the time to perform salvage operations such as machining, cutting, burning,
trimming, bending, heating, welding or rust removal
 Any parts or materials required for the salvage operation
Service Items Sold by Caterpillar

Cat brand coolants, lubricants, additives and other service items sold by Caterpillar are guaranteed to be free from defects
in material and workmanship at the time of sale. Caterpillar will replace, without charge to the user, any service items
that do not meet Caterpillar’s specifications in effect at the time of sale to the user.
Dealer Reimbursement for Defective Parts Stock Claims

Dealer reimbursement for repair expenses related to defective parts stock warranty is per the Summary of Reimbursement
Practices chart below and in accordance with the applicable warranty statement found at:
Defective Parts Stock Summary of Reimbursement Practices

Parts Reimbursed at D/N price in effect at time of repair date
Salvage Materials Reimbursed at dealer’s acquisition cost
Labor Reimbursed at dealer’s warranty labor rate
Labor to evaluate parts, Parts Service

Charges (Emergency Order), Freight, Not reimbursable
Shop Supplies (itemized expense)
2 04.08-18 (08/16)

The following chart outlines the unique claim field information required when submitting Defective Parts Stock claims to
Caterpillar:

Product ID/Serial Number Machines & Batteries – 99Z00001
Commercial Engines – 99Z00002
Truck Engines – 99Z00007
Third Party Brand On-Highway Trucks sold by Caterpillar – 99Z00107
Part Causing Failure Leave Blank
Group Number 7752
Description Code Leave Blank
*Use 56 for Parts Stock Action Service Letters
Repair Date Enter date of claim submission
Claim Story For damaged, mislabeled, excessively aged or discharged batteries received
from a Caterpillar Parts Distribution Center:
 PSO number for verification of the order date of the batteries
 Last charge date of the battery
 Date received from the Caterpillar Parts Distribution Center
 Open circuit voltage for discharged battery claims
 Description of the damage
Effective 01 JUNE 2013, defective parts with a D/N price greater than $50
(USD) require the following information in the claim story:
 Thorough description of the defect
 Exact location of the defect
 Possible root cause of the problem
 Prime PSO (for Direct Ship)
Including the following information in the claim story is helpful, but not required:
 Date code from the part identification label (found just under the part
description).
 Caterpillar Parts Distribution Center or Direct Ship supplier from where
parts were shipped.
 Method, mode and carrier of shipment including PRO number (e.g.
dealer stock truck / sea van, parcel, LTL, UPS, Con-way air, surface,
etc.).
 Photographs of the failed part showing the defect as well as
photographs of the packing, including the part identification label and
any additional labels.
Parts Expense Lines For each defective part number being claimed:
 Desc Code - enter in the first 2 digits of the appropriate 2-digit parts
stock description code from the available codes listed in the Parts
Defect Description Codes chart below. Multiple parts may be listed per
claim. For batteries, use code 99.
Contact Information
For assistance in determining if the defective parts stock items were directly shipped from a supplier or shipped from a
Caterpillar Parts Distribution Center, contact the Direct Ship Support Team at direct_ship@cat.com or 1-800-566-7782.
For assistance with other defective parts stock claim settlements, questions on claim requirements, or requests to debit
settled defective parts stock claims, contact the Defective Parts Stock Team at D7_Quality_PSW_Claims@cat.com
04.08-18 (08/16) 3
Part Defect Description Codes

Code Description Code Description
01 Pitted, Spalled, or Eroded 51 Seizes or Sticks
02 Scratched, Nicked, Scored, or Burred 56 Before Failure PIP/PSP
03 Rusted or Corroded 58 Loose or Slips
04 Plating Omitted or Defective 59 Seats or Fits Poorly
05 Rough, Uneven, Dented or Chipped 62 Dirty, Foreign Material
06 Paint Burned, Wrinkled, Blistered or Peeling 76 Packaging
07 Material Transfer, Pick-Up 78 Concealed Damage
10 Broken 79 Interference or Insufficient Clearance
11 Cracked 81 Operation Omitted
12 Bent 82 Wrong or Missing Part
13 Worn 83 Weld Defective or Omitted
14 Collapsed or Sagged 84 Oversized or Too Long
15 Burst, Split or Ruptured 85 Undersized or Too Short
17 Leaks Oil or Lubricant 88 Out of Round or Run Out is Excessive
21 Threads/Splines Stripped 89 Improper Lubrication
22 Fastener Loose, Missing, Damaged or Broken 90 Casting Defect (Porous, Inclusions, Sand Holes)
23 Separated 92 Improperly Machined
24 Stretched or Elongated 93 Incorrectly Positioned or Assembled
25 Cut 94 Transit Damage
26 Bruised 95 Damaged At or Prior To Assembly
34 Damaged Terminal 99 Defect Undefined (See Claim Story)
4 04.08-18 (08/16)
Defective Part Stock – Expanded Mining Products
NOTICE:
For parts originally acquired under traditional Cat part number:
Claim using serial number 99Z00001, per pages 2-4 of this bulletin. This section of the
bulletin does NOT apply.
For parts originally acquired under legacy Bucyrus part number:

The interim EMP claim process requires that an individual claim must be submitted for each legacy Bucyrus part number.
Please direct questions utilizing the Expanded Mining Contacts found in Bulletins 2.01 and 2.13.
Claim per the following instructions, pages 2-4 of bulletin 4.08 do NOT apply.
Overview
Defective Parts Stock Warranty covers New and Cat Reman parts or assembled components discovered to be defective
at the time of purchase, or prior to installation:
• Through visual inspection that showed obvious defect
• Defects can be the result of manufacturing material/workmanship, or improper Caterpillar packaging
Refer to Bulletin 1.16, for information and claim filing instructions on Product Improvement Program (PIP) and Product
Support Program (PSP) for removal of parts from dealer parts inventory. For Parts Stock action service letters involving
Legacy Bucyrus parts, use serial number 99Z00580.
Do NOT submit Defective Parts Stock Warranty claims for:
• Parts or components that have been installed or found to be defective during installation or by the product being
operated (even if only for a few minutes). The parts are covered by New Parts Warranty terms.
• Error in parts shipment such as wrong part or incorrect quantity shipped. These claims must be submitted via the
associated parts ordering process.
• Other manufacturer parts that are not sold nor warranted by Caterpillar.
• Batteries - refer to Bulletin 4.07
• Service Tool and Shop Products - refer to Bulletin 4.09
Note: Parts stock warranty will not cover damage resulting from improper warehousing practices per the Dealer Ware-
house Guidebook. This may include damage caused by improper parts storage practices, such as rust caused by storing
parts affected by adverse weather conditions outside.
Service Items Sold by Caterpillar

Cat brand coolants, lubricants, additives and other service items sold by Caterpillar are guaranteed to be free from defects
in material and workmanship at the time of sale. Caterpillar will replace, without charge to the user, any service items that
do not meet Caterpillar’s specifications in effect at the time of sale to the user.
Defective Part / Component Salvage

Dealers can salvage a defective part or assembled component if the item can be restored to like-new condition at a cost
that is more economical than replacement. In such cases, Caterpillar will reimburse dealers for:
• Disassembly and assembly labor associated with salvage of an assembled component (must contact DSN for repair
process instructions)
• Parts salvage labor. This includes only the time to perform salvage operations such as machining, cutting,burning,
trimming, bending, heating, welding or rust removal.
• Parts or materials required for the salvage operation.
04.08-18 (08/16) 5
Parts - Defective parts or components will be reimbursed at the Dealer Net (D/N) price in effect for the date entered in the
Repair Date field.
Salvage Materials - Materials used to perform the salvage of a part or component are reimbursable at the dealer’s
acquisition cost.
Labor - Labor to salvage a part or component and disassembly/assembly labor required to salvage an assembled
component are reimbursable at the dealer’s warranty labor rate. No other labor is reimbursable.
The following expenses are not reimbursable for defective parts stock claims:
• Part Service Charges (for parts obtained on an emergency parts order)
• Labor to evaluate parts
• Freight Charges
• Shop Supplies (as an itemized expense)

The following outlines the unique claim field information that is required when submitting Defective Parts Stock claims for
Expanded Mining Product parts that were originally acquired under a legacy Bucyrus part number.
General Information: An individual claim must be submitted for each legacy Bucyrus part number.
Repair Date - enter the date that the part is found to be defective
Product ID/Serial Number - enter 99Z00580
Desc. Code - leave blank
Part Causing Failure - leave blank
Group Causing Failure - enter 7752
Comments / Findings - enter the defective legacy Bucyrus part number as follows “BU_ Legacy Bucyrus PN” (Example:
BU_ 400879)
Parts Expenses Detail - There are two options based on functionality of local dealer business system; 1) enter a “parts
summary expense” line (preferred), or 2) enter “miscellaneous expense” line.
Do not attempt to enter Legacy Bucyrus part numbers on expense detail lines.
Use of Parts summary expense line:
• Enter NUDF in the ‘Description’ field and the amount of part expense.
Note: Part uplifts (T&I, etc.) are system applied to part summary expense lines. Do not submit a separate expense
for parts uplifts when utilizing the part summary expense line.
Use of Miscellaneous expense lines:
• Enter BUPRTS - (Bucyrus Legacy Parts) in the ‘Description’ field and the amount of part expense. Note: Part uplifts
(T&I, etc.) are NOT system applied to miscellaneous expense lines, therefore a separate miscellaneous line needs
to be submitted to claim (T&I etc.) uplifts.
• For uplifts - enter MISCTI - Misc. Code for Special T&I along with claimed amount.
Parts summary line and miscellaneous expense “Total’ field has an 8 position limit (999999.99) and the “Rate” field has a
7 position limit (99999.99). The parts summary lines can be repeated, as needed, up to 9 times and the miscellaneous
expense line can be repeated, as needed, up to 48 times to achieve the desired claim amount. Take into consideration
parts uplift and currency exchange to determine the parts summary line and miscellaneous expense amount.
Claim Story - enter the following information in the claim story:
1. Thorough description of the defect
2. Location of the defect on the part
3. Possible root cause of the problem
4. Component S/N, if applicable
6 04.08-18 (08/16)
SERVICE
Parts
Overview
Defective Parts Stock Warranty applies when new and remanufactured parts or assembled components sold by
Caterpillar are found to be defective at the time of purchase or prior to installation through a visual inspection. The
defect may be the result of a manufacturing material or workmanship issue, improper Caterpillar packaging*, or
receipt of an aged battery from a Caterpillar Parts Distribution Center.
*For defects due to improper Caterpillar packaging, contact your TEPS, MEPS, AMD, ISD dealer or Parts Manager
at your local Cat dealer for assistance.
Defective Parts Stock Warranty Does Not Cover

 Pre-Delivery Warranty Repairs are repairs performed due to defects in material or workmanship found in
products prior to delivery to the first user. Please refer to the appropriate product bulletin. For Machines,
refer to Bulletin 2.01, and for Engines, refer to Bulletin 3.01.
 In-Transit Warranty Repairs are repairs on a new product shipped from Caterpillar, but are located in
a seaport or transportation yard. Please refer to the appropriate product bulletin. For Machines, refer to
Bulletin 2.01, and for Engines, refer to Bulletin 3.01.
 Parts Warranty applies when new and remanufactured parts or assembled components are found to be
defective during installation (including testing prior to installation) or by the component or product being
operated. This includes defective parts found during any form of prime product or component testing. For
Parts Warranty, refer to Bulletin 4.01.
 Defective Service Tools and Supplies are not covered by this bulletin. Refer to Bulletin 4.09T.
 Product Improvement Programs (PIP) and Product Support Programs (PSP) for removal of parts from
dealer parts inventory are not covered by this bulletin. Refer to Bulletin 1.16.
TEPS, MEPS, AMD, and ISD dealers are reimbursed for defective parts stock by returning the defective parts or
components to their Cat dealer for replacement. Defective parts stock that involves salvage labor should also be
returned to the Cat dealer for replacement.
➤ 04.08T-04 (01/16) ➤ Indicates change.


1
2 04.08-04T (01/16)
SERVICE
Parts
Cat® Service Tools and Supplies
Overview
Caterpillar merchandises various service tools and supplies, which are available through the parts distribution
system. Some examples of these products include:
• Cat specific product tools / diagnostic tools / capital and shop tools
• Lifting / blocking equipment
• Cleaning / reconditioning / salvage equipment
• General tools
• Tool boxes
• Shop supplies
The warranty varies depending on the warranty category assigned to the tool or product. The warranty
categories are identified as follows:
• Items with a warranty category code of 6 Months, 12 Months and Lifetime - are covered by the
Shop Supplies, Tools, Contractor Products and the Cat Service Tools Warranty statement, with
varying warranty periods based on the warranty category code. This warranty covers defects in
material or workmanship for products that have not been altered or abused.
• Manufacturer’s Warranty - are warranted by the Original Product Manufacturer, not by Caterpillar.
• Original Product Manufacturer’s Warranty - warranties published on a manufacturer’s warranty card
shipped with the product. Contact information for products covered by this type of warranty is provided
in NPR, or may be obtained by contacting the Tools and Supplies Hotline, as indicated on page 2.
• Date of Purchase by 1st User Warranty - are guaranteed to be free from defect in material and
workmanship at the time of sale.
Refer to one of the following to find the assigned warranty code:
• Numerical Part Record (NPR) - https://sis.cat.com
• NENG2500 - Dealer Service Tool Catalog
• PECJ0003 - Cat Hand Tools and Supplies Catalog
These two catalogs can be found at the following link: https://dealer.cat.com/en/ps/service-tools.html
Note: Cat Wear Management System with UWI 5 Hardware is excluded from Cat Service Tools warranty, refer to
bulletin 4.01 for claim instructions. This hardware is not listed in the Dealer Service Tool Catalog.


1
Damage Due to Improper Packing

It is the dealer’s responsibility to check and inspect the product upon delivery. Caterpillar is not responsible for
in transit damage caused by negligence of shipping carriers or other parties. A claim should be submitted only
if the tool was damaged during transit as a result of improper packing at a Caterpillar facility or packager. The
claim story must include an explanation of the circumstances and photographs of the damaged tool must be
kept on file.
Repair vs. Replace

Service tools and supplies should be repaired if the repair is expected to restore the product to its operating
condition just prior to failure and if the repair cost is less than the replacement cost. For example, the use of a
repair kit for repairing a failed ratchet wrench is less costly than the complete replacement of the wrench. Before
deciding to repair, dealers must determine if:
• Tool is beyond repair
• Repairing the tool will provide equal value to the customer
Dealers must contact the Tools and Supplies Hotline for failed or defective tools and supplies covered by
Caterpillar warranty with a Dealer Net (D/N) of $500 (USD) or more. In such cases, the Tools Supplies Hotline
will instruct the dealer whether to repair, replace, or send the product to the manufacturer to repair.
When applicable, the Tools and Supplies Hotline will provide an authorization code that must be indicated in the
claim story.
➤ Tools and Supplies Hotline Contact Information:

• Call USA: 1-800-542-8665, Option 1 • International: +1-309-578-7372
Staffed hours of operation are Monday-Friday; 6 a.m. - 6 p.m. (U.S. Central Time) or
• Create a Parts Tech - Parts Identification Service Request (SR) using PSCRM at https://
productsupport.crm.dynamics.com.
• To request PSCRM access, visit the PSCRM-DPSS community at https://dealerconnect.cat.com.
Disposition of Failed and Defective Tools and Supplies

Dealers must hold the defective tool or supply for 30 days in case Caterpillar issues a Send-It-Back (SIB) request.
Freight expense will be prepaid by Caterpillar or reimbursed as outlined in Bulletin 4.02. If the item is not requested
for return to Caterpillar after the 30 day period, the dealer is to destroy or dispose of the defective item(s).
Dealer Reimbursement for Tool Product Warranty

Dealer reimbursement for repair expenses related to tool product claims will be per the Summary of
Reimbursement Practices chart found below and in accordance with applicable reimbursement practices as
outlined in Bulletin 1.02.

Salvage Materials Reimbursable at dealer’s acquisition cost
Salvage Labor Reimbursable at warranty cost rate
Service Items, Repair Labor, Overtime Labor Rate, Travel Time
& Mileage, Meals & Lodging, Freight Charges, Hauling Costs, Not reimbursable
Shop Supplies & Outside Repair Expenses

Dealer Reimbursement for Defective Service Tool Stock Product Warranty

Dealer reimbursement for repair expenses related to Defective Service Tool Stock claims will be per the
Summary of Reimbursement Practices chart found below and in accordance with applicable reimbursement
practices as outlined in Bulletin 1.02.

Parts Service Charges, Service Items, Repair Labor, Salvage Labor,
Overtime Labor Rate, Travel Time & Mileage, Meals & Lodging, Freight Not reimbursable
Charges, Hauling Costs, Supplies and Outside Repair Expenses

The following outlines unique claim field information for warranty claims. A single claim may be used for multiple
tool products.
Product ID / Serial No. - enter 99Z00025

Group No. - enter 7753
Findings / Comments - enter Service Tool or Defective Service Tool Stock
Claim Story - enter the part number and failure information for each part on the claim.
For failed or defective products covered by Caterpillar warranty with a D/N price of $500 (USD) or more, indicate
the authorization code provided by the Tools and Service Hotline.
Note: All parts quality inquiries must include pictures attached to the Service Request.
04.09-11 (03/18) 3
4 04.09-11 (03/18)
Confidential Green Bulletin No. 4.09T
SERVICE
Parts
Cat® Service Tools and Supplies
TEPS, MEPS, AMD, and ISD dealers should not submit warranty claims for Cat® Service Tools or Supplies. TEPS,
MEPS, AMD, and ISD dealers are reimbursed for defective or failed Cat Service Tools and Supplies by returning
the product to their administering Cat dealer for repair or replacement. The Cat dealer will then be reimbursed for
the repair or exchange as outlined in the Global Warranty Guide.


1
Bulletin No. 4.09T Confidential Green
2 04.09-01T (01/16)
SERVICE
Parts
New and Remanufactured
Third Party Brand Name Aftermarket
On-Highway Truck Parts Sold by Caterpillar
Not Installed On Caterpillar Brand Prime Products
Overview
This bulletin addresses warranty coverage for new and remanufactured aftermarket on-highway truck parts and
assembled components, which are marketed by Caterpillar through Cat® dealers under various third party brand
names for use on product other than Caterpillar brand. The bulletin does not apply to product sold under Perkins
brand. The purpose of this bulletin is to provide Cat dealers with guidance for administrating warranty and to
outline reimbursement practices applicable to such items. This bulletin is effective with sales to first user on/or
after January 1, 2012.
These parts are not branded Cat but will be assigned Caterpillar part numbers. All claims to Caterpillar are to be
submitted against the Caterpillar part number.
These new and remanufactured third party brand parts and assembled components are warranted by Caterpillar
to be free from defect in material and workmanship for the period of 12 months, starting from the date the part is
purchased or put into service by the first user. In some cases, additional warranty terms beyond the 12 month
period that is provided by Caterpillar, may be available direct from the manufacturer (third party brand). Contact
that manufacturer directly to determine if additional coverage is available and for instructions of how to submit
claims to them.
Under this new parts and assembled components warranty, the customer (end user) receives parts and
reasonable and customary labor provided by a Cat dealer to correct the defect, including resultant damage to
other parts sold by Caterpillar. Labor includes time to disconnect the product from and reconnect the product to
its attached equipment, mounting and support systems, if required. Correction of resultant damage to parts sold
by other manufacturers is not covered by this warranty and is the responsibility of the customer.
Recall Programs
When Caterpillar is notified of a manufacturer recall, a copy of the manufacturer’s notification will be transmitted
to all affected Cat dealers. Caterpillar Product Improvement Programs (PIP) will not be issued regarding these
third party brand parts. Dealers will work directly with the third party manufacturer regarding requirements and
completion of such recall programs and claims for reimbursable expenses as defined by that manufacturer.
Caterpillar will not maintain any customer or sales records regarding these parts. Do not submit claims to
Caterpillar for expense related to these recall programs.
➤ 04.12-04 (01/18)

1

If a part or component is discovered to be defective either at the time of purchase or prior to installation, it is
eligible for Defective Parts Stock Warranty. This includes defects that resulted from supplier manufacturing or
packaging issues. Reference applicable reimbursement practices as outlined in Bulletins 1.02 and 4.08.
• Submit Defective Parts Stock Claims under Product ID/Serial No. – 99Z00107 and Group number 7752.
Defects discovered after installation, even prior to operation are eligible for New Parts Warranty, and are not to
be considered Defective Parts Stock.
Parts Replaced Under Warranty

Parts replaced under the terms of this Third Party Brand New Parts Warranty provided by Caterpillar are covered
for the remainder of the warranty term of the original (defective) part. The warranty on such parts ceases when
Caterpillar’s Third Party Brand Parts Warranty period expires, regardless of when the parts were replaced.
• Parts replaced under the terms of this warranty become the property of Caterpillar.
• Requirements for protection and retention of failed parts is as described in bulletin 4.02.
• All requests to return failed parts will be made through Caterpillar’s Send It Back (SIB) system.
Dealer reimbursement for repair expenses related to New Parts Warranty will be per the following Summary of
Reimbursement Practices chart, in accordance with applicable reimbursement practices as outlined in Bulletin
1.02, and with the applicable warranty statement at https://warranty.cat.com/currstmts.
Third Party Brand Aftermarket On-Highway Truck Parts

New Parts Warranty
Repair Labor Reimbursable at sell rate (for repair parts installed by
Cat dealer)
Service Items, Overtime Labor Rate, Travel Time & Not Reimbursable
Mileage, Meals & Lodging, Freight Charges, hauling
Costs, Shop Supplies, Outside Repair Expenses
Dana Driveline parts and components used on non-Caterpillar prime product

After troubleshooting has been completed and before a warranty repair is started where a Dana driveline part or
component is suspect in a warranty failure, the following steps must be performed before completing the repair.
1. Contact Dana Corporation at:

a. 800-621-8084 or
b. dananorthamericadc@dana.com
2. Provide the following information:
a. Date of Failure
b. Installation Date (Date on invoice/receipt)
c. Axle Serial Number
d. Vehicle VIN
e. Mileage at time of failure
f. Lubrication used (was Spicer Lube utilized per invoice/receipt)
g. Primary use of truck (application)
h. Detail Failure description
i. Images of failure
2 04.12-04 (01/18)
3. Dana will review the request and assign an AFA number.

4. When submitting a warranty claim to Caterpillar, this AFA number must be referenced in the claim story.
Failures in the first 12 months are covered by Caterpillar. Any coverage by Dana past the 12 month Caterpillar
coverage is administered directly by Dana Corporation.
Further information relating to this product can be found at:
https://dealer.cat.com/en/products/on-highway-truck/oht/aftermarket-truck-parts.html
Meritor Parts and Components Used On Non-Caterpillar Prime Product

After troubleshooting has been completed and before a warranty repair is started where a Meritor part or
component is suspect in a warranty failure, the following steps must be performed before completing the repair.
Contact Meritor Corporation at:

aftermarketwarranty@meritor.com or phone: (888) 723-9355 option # 7
Provide the following information:

• Installation Date and Mileage (From invoice/receipt)
• Date and Mileage of Failure
• Vehicle VIN
• Primary use of truck (application)
• Detail Failure description
• Images/Photos of failed parts
Meritor will review the request and respond with one of the three options:
• A request for the parts to be returned to Meritor, Inc. in Florence KY may be required for further
evaluation. Should Meritor, Inc. request that parts be returned a Return of Goods Authorization (RGA#)
will be issued along with shipping instructions, including UPS 3rd party billing,
• Failure is not covered by warranty, or
• The failure is warrantable and Meritor will issue a Scrap in Field (SIF) for the failed parts. A parts
warranty claim will be filed to Caterpillar for reimbursement following the instructions found in this
bulletin.
Note: SIB will not be used for these claims. Bulletin 4.02 will not apply to this product.
Further information relating to this product can be found at:

https://dealer.cat.com/en/products/on-highway-truck/oht/aftermarket-truck-parts.html
➤ Horton Fan Drive Products

Horton Fan Drive Products have been added to the list of products available to dealers by Caterpillar. These
products will carry the Caterpillar 12 month parts warranty. When warranty claims are filed to Caterpillar, you will
follow all the normal parts warranty policy and procedures as stated in this bulletin.
Several critical Horton Fan Drive Product documents have been posted on dealer.cat.com under Products >
On-Highway Truck, click on the “Aftermarket Truck Parts” heading.
Additional Horton Fan Drive Product documents are available at: https://www.hortonww.com under Tools and
Resources.


Product ID / Serial No. – enter 99Z00711
Parts Start Date - enter either the sale date of the failed part for over-the-counter purchases, or the last
day of the original repair for service department purchases.
Parts Hr/Mi/Km - enter the hours on the part, since it was installed. This number should be less than
the number entered in the Product Hr/Mi/Km field.
Claim Story - In addition to usual description of the complaint, cause, correction and, if applicable,
complication, the claim story must contain the following:
• Percentage (%) of part customer paid on invoice.
• When applicable include the 17 digit truck VIN
• For claims pertaining to a serialized component, include the supplier’s component serial
number.
• When submitting a warranty claim to Caterpillar for Dana Driveline parts and components, this
AFA number must be referenced in the claim story.
Defective Parts Stock Claims:

Product ID / Serial No. – enter 99Z00107
Group number – enter 7752.
4 04.12-04 (01/18)
SERVICE
Parts
Landfill Compactor Tips
Overview
This bulletin provides warranty reimbursement terms and claiming information for landfill compactor tips, welded
to the perimeter of the Cat® Landfill Compactor wheels to assist in traction. Caterpillar offers a variety of tips that
provide superior compaction and traction.
➤ Warranty Terms
The warranty period for Step, Plus and Paddle Tips is 10,000 hours or 48 months of service life, whichever comes
first, starting from the date of sale to the first user. This is divided into a replacement-free usage period followed by
a prorated usage period for landfill compactor tip wear out.
A separate warranty period exists for Diamond Tips installed on Cat Landfill compactors and have a warranty of
15,000 hours unlimited years and 10,000 hour full replacement credit. From 10,001 – 15,000 offers a prorated
customer credit.
Landfill compactor tips are initially warranted for defects in material and workmanship by one of the following
warranties, based on when they were sold:
 Landfill compactor tips sold with a new machine prior to delivery are warranted initially by the applicable
Standard Machine Warranty.
 Landfill compactor tips sold after machine delivery are warranted initially by Parts Warranty.
Once the Standard Machine Warranty or Parts Warranty expires, breakage of a Step, Plus, and Paddle Tips are
covered by the Ground Engaging Tool Warranty outlined in Bulletin 4.03.
New Parts Warranty

Dealer reimbursement for repair expenses related to Landfill Compactor Tips is per the Summary of Reimbursement
Practices chart on page 2, in accordance with the reimbursement practices as outlined in Bulletin 1.02, and with
the applicable warranty statement found at https://warranty.cat.com/currstmts.


1
Landfill Compactor Tips Warranty Summary of Reimbursement Practices

Parts Service Charges (Emergency Orders Only) Reimbursable
Service Items, Repair Labor, Salvage Labor, Overtime
Labor Rate, Travel Time & Mileage, Meals & Lodging,
Not Reimbursable
Freight Charges, Hauling Costs, Shop Supplies, Outside
Repair Expenses
➤ Compactor Tip Wear Measurements

To calculate the compactor tip wear measurement, refer to the Special Instructions listed below. These guidelines
may be found in SIS at https://sis.cat.com.
 SEHS9442 for Plus Tips
 REHS4175 for Step Tips, Paddle Tips and Diamond Tips
Step, Plus and Paddle Tip Proration

Based on the chart below, the dealer should determine if the service hours on the worn tips is within the prorated
usage period. If so, the customer is credited for the unused service life and Caterpillar’s reimbursement is prorated
for only the actual used service life. Step, Plus and Paddle Tips are considered worn out when they are at a height
of 4.5 inches (114 mm).
Step, Plus and Paddle Tip Proration Allowance

Caterpillar Participation Customer Credit
Machine or Tip Hours
% of Parts at D/N % of Parts at C/L
0-2500 100% 100%

2501-3000 67% 75%
3001-3500 60% 70%
3501-4000 55% 65%
4001-4500 50% 60%
4501-5000 45% 55%
5001-5500 40% 50%
5501-6000 35% 45%
6001-6500 30% 40%
6501-7000 25% 35%
7001-7500 20% 30%
7501-8000 16% 25%
8001-8500 12% 20%
8501-9000 8% 15%
9001-9500 5% 10%
9501-10000 2% 5%
10000+ 0% 0%
➤ Example: If worn out compactor tips are replaced under the Landfill Compactor Tip Warranty with 5100 hours
on the machine, the customer’s credit for unused service life would be 50% of the tip’s markup. Caterpillar’s
participation would be 40% of the dealer net (D/N) price of the tips.


The following outlines the unique claim field information required for wear-out claims under Landfill Compactor Tip
Warranty.
NOTE: Claim field information specific to Step, Plus and Paddle Tips. Diamond Tips have separate requirements
listed on page 4.

Related Serial Number Enter the machine serial number.
Product Hr/Mi/Km Enter the total hours on the machine.
Parts Hr/Mi/Km For customer purchased replacement tips, enter the hours on the tips from the
time of installation. This number should be less than the number entered in the
Product Hr/Mi/Km field.
Group Number Enter 6800 for Step, Plus and Paddle Tips
Claim Story  A statement indicating the tips were replaced due to wear-out under Landfill
Compactor Tip Warranty.
 The amount of wear on the tip(s). To determine percent (%) of wear refer to
REHS4175 for StepTips and Paddle Tips and refer to SEHS9442 for Plus Tips.
 The expected prorated Caterpillar parts participation percent (%) and the
prorated customer parts participation percent based on the chart above.
Photo Requirements  Attach pictures of worn tips in SIMSi. Reference the pictures to the Caterpillar
claim number, not the 99Z number.
NOTE: File the claim for 100% of the dealer net price. The claimed parts dollar amount will be adjusted by
Caterpillar when the claim is processed.
➤ Diamond Tip Proration

Based on the chart below, the dealer should determine if the service hours on the worn tips is within the prorated
usage period. If so, the customer is credited for the unused service life and Caterpillar’s reimbursement is prorated
for only the actual used service life. Diamond Tips are considered worn out when they are at a height of 4.25
inches (108mm).
Diamond Tip Proration Allowance

Caterpillar Customer Credit % of
Machine or Tip Hours
Participation % of D/N Parts at C/L
0-10000 100% 100%
10001-15000 5% 10%
15001+ 0% 0%
If wear out occurs after 15,000 hours / unlimited years warranty period, no participation is applicable.
04.13-00 (03/16) 3
➤ Claim Field Information Specific to Diamond Tip Warranty

The following outlines the unique claim field information required for wear-out claims Specific to Diamond Tips
under Landfill Compactor Tip Warranty.
NOTE: Claim field information specific to Diamond Tips. Step, Plus and Paddle Tips have separate requirements
listed on page 2.
Product ID/Serial Number Enter the machine serial number.
Product Hr/Mi/Km Enter the total hours on the machine.

Parts Hr/Mi/Km For customer purchased replacement tips, enter the hours on the tips from the
time of installation. This number should be less than the number entered in
the Product Hr/Mi/Km field.
Group Number Enter 770Y for Diamond Tips

Claim Story  A statement indicating the tips were replaced due to wear-out under Landfill
Compactor Tip Warranty.
 The amount of wear on the tip(s). To determine percent (%) of wear refer
to REHS4175 for Diamond Tips.
Photo Requirements  Attach pictures of worn tips in SIMSi. Reference the pictures to the
Caterpillar claim number, not the serial number.
NOTE: File the claim for 100% of the dealer net price. The claimed parts dollar amount will be adjusted by
Caterpillar when the claim is processed.

SERVICE
Parts
Yellowmark™, A Caterpillar Brand

Parts Warranty
➤ Overview
Yellowmark™, a Caterpillar Brand, parts warranty covers customer purchased Yellowmark™ new parts, assembled
components and batteries found to be defective during installation (including testing prior to installation) or by the
component or product being operated, even if only for a few minutes. Customer purchased refers to the following
customer part sales situations:
• Yellowmark Parts purchased through a dealer’s parts department or authorized Caterpillar distribution
channel
• Yellowmark Parts purchased through a dealer’s service department for service repairs (via a customer
invoice)
• Yellowmark Parts replaced under a Goodwill settlement, in which the customer paid at least 25% of the
total repair
Yellowmark parts warranty does NOT apply in the following situations:
• Shipping Damage and Discrepancies refer to errors in shipping or packaging. Shipping damage and
discrepancies on products ordered and received through the Caterpillar order fulfillment process should
be filed to Caterpillar as a short shipment claim. Shipping damage and discrepancies on parts ordered
from a Caterpillar Parts Distribution Center should be filed using the ANTARESSM System. Refer to
Bulletin 1.28 for further information.
• Defective Parts Stock Warranty applies when new and Reman parts or assembled components are
found to be defective at the time of purchase or prior to installation through a visual inspection. For
Defective Parts Stock Warranty, refer to Bulletin 4.08 for further information
• Yellowmark rubber track used on Mini Hydraulic Excavator, Multi Terrain Loader and Compact Track
Loader. Refer to Bulletin 2.09 for further information.
Note: Yellowmark parts should not be used in place of genuine CAT® parts (new or Reman) for Cat warranty
repairs or EPP/ESC repairs. Yellowmark parts should only be used for Yellowmark parts warranty repairs.
Warranty Period
The warranty period for Yellowmark parts, assembled components and batteries is 12 months, unlimited hours,
beginning on the date the part is purchased or put into service by the first user.


1

Dealer reimbursement for repair expenses related to Yellowmark parts warranty is per the Summary of Reimbursement
Practices chart below and with the applicable warranty statement found at https://warranty.cat.com/currstmts.
Parts Warranty Summary of Reimbursement Practices

Yellowmark Part including the necessary seals, gaskets &
Part at D/N
hardware*
Parts Salvage Labor & Outside Repair Expenses Reimbursable at cost labor rate, if justified
Repair Labor, Travel Time & Mileage, Overtime Labor Rate,
Meals & Lodging, Hauling Costs, Shop Supplies, Freight Not Reimbursable
Charges & Value Added Tax
*NOTE: Resultant damage is not covered under Yellowmark Parts warranty
Warranty for Yellowmark Parts Replaced Under Parts Warranty

Parts replaced under the terms of parts warranty are covered for the remainder of the warranty period on the
original replaced part. The warranty on such parts ceases when the parts warranty period expires for the original
replaced part, regardless of when the parts were replaced.
Repair or Replacement of Hydraulic Components, Pumps, Motors, Control

Valves
complete and accurate root cause investigation critical to product problem management. The following claim field
information is required when claiming for a repair or replacement of hydraulic components, pumps, motors, and
control valves:
ο Enter the component serial number in these situations:
• If component has an attached serial number tag
• If component is the part causing failure
• If the most economical solution is to repair and the part causing failure is the service part
• If the component was replaced as resultant damage
ο Claim Story – in addition to the repair information following the four Cs format (complaint, cause,
correction, and complication, the following must be provided when applicable:
•
If the component does not have an attached serial number tag, specify in the claim story.
•
If the component was replaced as resultant damage, include the component part number in
the claim story.

2 04.14-03 (11/19)
typically result from a spark or fire caused by a loose connection between a post and a cable. Therefore
the battery was not the cause of failure.
 Failures that result from installations with mixed battery types, Maintenance Free Battery (no access
to electrolyte) and Low Maintenance or Conventional battery (with access to electrolyte). In such an
installation, neither will charge properly and will fail.

Parts Warranty Claim Field Information

Prime Products with Caterpillar serial number – Enter prime product
serial number.
• Prime Product with no Caterpillar S/N or other manufacturer products
- enter the appropriate 99Z number as outlined in the 99Z Serial Number
Product ID/Serial Number Job Aid at https://warranty.cat.com/en/resources0.html.
• Serialized Components – Enter the prime product serial number of the
product for which the component is installed.
• Yellowmark batteries enter 99Z09000.
Part Number Causing

Enter the part number (PN) for the part that caused the failure.
Failure
Group Number Causing
Enter the Cat group number. The following require an entry other than the Cat
Failure
group number:
• If the Cat group number is not available, enter the applicable group SMCS
code available at https://servicedata.cat.com/Home/SMCSInquiry.
Enter the prime product hours.

Product SMU(H/M/K) • For products with no hour meters, enter a number greater than the hours in
the previous repair.
Parts SMU(H/M/K) Enter Part Hours
The following require such fields:
Related serial number
 OEM / Make
Related Equipment Fields  For other manufacturer’s product, enter NONE.
 For Yellowmark batteries, enter the prime product serial number.
Component Informations
Fields Component serial number – Refer to Page 2
04.14-03 (11/19) 3
Enter the sales date of the failed part for over-the-counter purchases, or the
Part Start Date
last day of labor for Cat dealer performed repairs.
In addition to the repair information following the four Cs format (complaint,

cause, correction, and complication), the following must also be provided when
applicable:
 Percentage (%) of part customer paid on invoice
 Miscellaneous Expenses, Outside Invoices, etc. – justify all claimed
expenses
 Repair or Replacement of Hydraulic Components: Pumps, Motors,
Claim Story Control Valves - Refer to Page 2
 If the component does not have an attached serial number tag, specify
in the claim story.
 If the component was replaced as resultant damage, include the
component part number in the claim story.
 For Yellowmark Batteries, include the following:
 List the tests conducted and provide test results
 Include the invoice number
4 04.14-03 (11/19)
SERVICE
EXTENDED COVERAGE Global
Machine
Undercarriage Assurance
Genuine and Classic Programs
*Classic Undercarriage Assurance Program Only - Discontinued
with Sales On/After March 1, 2016
Effective for Undercarriage sales on/before 31DEC2018
Overview
Undercarriage Assurance Genuine and Classic are leakage and breakage programs developed by Caterpillar for
specific undercarriage components on certain track-type machines with steel track. The programs are primarily
designed to assure users of structural integrity and sealability.
They are used by dealers, when necessary, to obtain new machine or parts sales by offering product support
enhancements. These additional product support offerings go beyond the Standard New Machine or Parts
Warranties. The cost of the offerings is shared between Caterpillar and the dealer.
Coverage Details
Undercarriage Assurance - Genuine and Classic Coverage
Coverage Coverage Coverage
Program In Years1 In Hours1 In Percent Worn1
Genuine 4 4,000 100%
Classic* 3 4,000 100%
1 Coverage ends with the stated years, hours, or percent worn, whichever occurs first.
This coverage begins at the same time as the Standard New Machine Warranty or New Parts Warranty term and
terminates per age, hours, or wear, whichever occurs first, as shown in the table above.
This coverage only applies after all other applicable coverages for the failed component have expired
(i.e. New Machinery Warranty, New Parts Warranty, Product Support Program (PSP)).
Covered Undercarriage Components
• New Cat machines and replacement undercarriage on Cat or competitive-brand machines.
• Product Types: Small Track-Type Tractors, Medium Track-Type Tractors, Large Track-Type
Tractors (excluding D11), Track-Type Loaders, Pipelayers, Small Hydraulic Excavators, Medium
Hydraulic Excavators, Large Hydraulic Excavators
• Genuine Undercarriage: Heavy Duty Track (HD), Positive Pin Retention (PPR, PPR2), Grease
Lubricated Track (GLT), and Sealed and Lubricated Track (SALT)
• Classic Undercarriage: Cat Classic undercarriage*
➤ 05.01-16 (09/19)

1
• In addition to Bulletin 1.02, rebuilt components must have 100% Cat new, remanufactured or
Caterpillar approved parts; other manufacturer parts are not allowed. Repairs must be made at an
authorized Caterpillar dealer.
Covered Undercarriage Failures
• Oil leaks and breakage on link assemblies, track rollers, carrier rollers, and idlers
• Breakage under normal use of track shoes, sprockets/sprocket segments, and end caps
• Loosening or breakage of factory-installed track shoe and sprocket hardware (nuts and bolts)
• During a normal bushing turn on sealed and lubricated track, link assembly components that are ordinarily
reusable but do not meet Caterpillar’s reuse guidelines (reference SEBF8558 Guideline for Reusable Track
Parts) - specifically includes bushings with end grooving that exceed reuse guidelines
• When dry joints are repaired outside a normal bushing turn, in addition to failed components (pins, bushings,
sleeve bearings, thrust rings, links and/or master links), normal maintenance parts are reimbursable - this
includes hardware, oil, seals, stoppers, plugs, and thrust rings used to make the repair
• Oil leaks and breakage on dealer rebuilt rollers (reshelled) and rebuilt idlers (reshelled, resealed or welded)
• Severe heavy link spalling that affects 30% or more of a link rail surface
• Program coverage continues after bushing turns, provided the turn is performed within the applicable coverage
period -the coverage period DOES NOT start over after the bushing turn
Not Covered Undercarriage Components
• Product Types: Track-type Log Skidders, Track Feller Bunchers, (including Timberking™ and Cat®
500 Series), Compact Track Loaders with steel undercarriage
• 5-Tooth Master Link assembly components on D10N/R/T & D11N/R/T link assemblies and track groups
• NEXUS™ Undercarriage
• SystemOne™ Undercarriage - see Bulletin 5.02 for coverage
• General Duty Undercarriage - see Bulletin 5.05 for coverage
• Gold Undercarriage (D11) - see Bulletin 5.10 for coverage
• Undercarriage components that have a brand other than Caterpillar
• Classic Undercarriage Assurance Program - with sales on/after March 1, 2016
Not Covered Undercarriage Failures
• During a normal bushing turn, link assembly maintenance parts including hardware, oil, seals, stoppers,
plugs, and reusable thrust rings
• Loss of grease in hydraulic excavator link assemblies is normal and is not covered
• Rebuilt track link assemblies with track link “build-up” (welded rails)
• Rebuilt (welded wear surfaces) track rollers
• Regrousered or dealer modified track shoes
• Dry track joints with ice lugged shoes where ice lug centerline is greater than 2 inches outside track bolt
hole centerline. Effective with ice lug installation after July 31, 2018, refer to Service Magazine Media
Number-M0096345.
• D10N/R/T & D11N/R/T Master Joints on link assemblies and track groups containing 5-tooth master links
Enrollment Qualifications
• Undercarriage can be enrolled without prior Caterpillar approval.
• Effective with machine or parts sales on or after January 1, 2018, machines must be enrolled into either CTSi
or Cat Wear Management System® with CTS Pro to be qualified for Undercarriage Assurance.
• Enrollment must be completed prior to repairs being performed.
• The machine must have a functioning hour meter.
• The minimum purchase for a machine is at least one link assembly, or all track rollers on one track roller
frame, or all idlers on one track roller frame.
2 05.01-16 (09/19)
Exception: If a component is replaced within the Undercarriage Assurance coverage period AND the customer pays a
proration amount of 25% or more of the component markup, then the Undercarriage Assurance coverage period starts
over for that component. The New Parts Warranty does not apply to components replaced under this exception.
• Link assemblies and track groups must be installed on the machine prior to the link assembly or track
group install-by date. The install-by date can be found on the parts label attached to the link assembly or
track group. If the parts label is missing or damaged, the install-by date is four years past the assembly
date. The assembly date can be identified through IRM UC03-04 (PELJ0151).
Documentation/Enrollment
• For every Undercarriage Assurance Program enrollment, dealers must keep on file the following
documentation:
• The completed agreement between the dealer and the customer
• Undercarriage Assurance Enrollment Certificates are located in the Sales Library
• Genuine: PEEP5026, PFEP5026, PGEP5026, PSEP5026
• Classic: PEDJ0079, PFDJ0079, PGDJ0079, PLDJ0079, PSDJ0079
• Customer invoice of original machine or replacement parts sale
• Custom Track Service (CTS) report at the time of breakage or leakage
• Customer credit invoices
• Recommended practice - Dealer should submit informational SIMSi entry indicating date of enrollment.
Definitions of Replace vs. Repair:
• Replace: Installing a new link assembly, track group, track roller group, carrier roller group, sprocket,
shoe, idler, and/or track shoe or sprocket hardware.
• Repair: Replacing individual components to reuse an assembly, including links, bushings, pins, seals,
thrust rings, roller shells, idler shells, and/or shafts.
• The maximum amount of Caterpillar’s reimbursement to the dealer is determined by the least costly
method.
• Any link assembly with 80% or greater link wear must be replaced and not repaired.
• Refer to Table 2 for coverage details.
Component Proration - Is intended for the dealer to credit the customer’s account for unused life on link
assemblies, track rollers, carrier rollers or idlers that are replaced rather than repaired. The following formula
calculates the parts price that is claimed to Caterpillar:
• Caterpillar reimbursement to dealer = D/N Price - (% Worn x (Markup))
For undercarriage where the expectation is to turn bushings, the proration of the link assembly is based on the
track link percent worn.
For undercarriage where the expectation is NOT to turn bushings, but to replace the undercarriage when the bushings
are worn out, the proration of the link assembly is based on the most worn component (bushing or track link).
For track rollers, carrier rollers, or idlers, proration is based off the % worn of the component being replaced.
Example 1: D6T not at bushing turn time has 2500 hours and link wear is 30%. 3 joints are dry. Dealer Net Price
of link assembly is $4000.
• Calculate the cost for replacement versus repair
• Replace: Dealer Reimbursement = $4000 - (30% x (1.36 x $4000)) = $2368
• Repair: Dealer Net Price of repair parts plus D&A labor = $1000.
• Repair is the least costly method.
• Maximum amount of Caterpillar’s reimbursement to dealer = $1000
Example 2: D6T not at bushing turn time has 2500 hours and link wear is 30%. 30 joints are dry. Links are
damaged and cannot be reused. Dealer Net Price of link assembly is $4000.
05.01-16 (09/19) 3

• Repair: Dealer Net Price of repair parts plus D&A labor = $9000
• Replace is the least costly method
OK and can be reused. Track repair can be made with new pins, bushings, and seals. Dealer Net Price of
link assembly is $4000.
• Replace: Dealer Reimbursement = $4000 - (30% x 1.36 x $4000) = $2368
• The decision to repair or replace in this situation should be discussed between the dealer and the
customer to determine the best overall value for the customer.
*NOTE: Failures during the New Machine Warranty or New Parts Warranty periods must be filed against these
warranty programs, not against Undercarriage Assurance. If there is an undercarriage Product Support Program
(PSP) in effect that covers the component failure, dealers must claim under the PSP.
Undercarriage Assurance applies when all other available coverages have expired.

Parts If reimbursable, reimbursed at D/N or per proration.
Repair Labor (per Table 2) If reimbursable, at Warranty Cost Labor rate.
Emergency Parts Service Charges Reimbursable, if justified in claim story.
Removal & Installation (R&I) Labor, Overtime Labor Rate,
Salvage Labor, Travel Time & Mileage, Meals & Lodging, Not reimbursable.
Freight Charges, Hauling Costs and Outside Repair Expenses
Table 2
Classic and Genuine Assurance Component Coverage
Undercarriage Component Repair/Replace Description Reimbursement Claim
Amount Group No.
Track Link Assemblies Repaired - due to seal leaks or failed pins, 100% Parts at D/N* Genuine 774X
bushings, thrust rings, or links. 100% D&A Labor* Classic 774J
Repaired - same as above but at bushing 100% Parts at D/N* Genuine 774X
turn time, with less than 80% link wear. No Labor Classic 774J
Replaced - If UC is not at bushing turn, Prorated Parts* Genuine 774Y

the link assembly can be replaced if No Labor Classic 774K
replacement is more economical than repair.
Track Rollers, Carrier Repaired - due to seal leaks or broken 100% Parts at D/N* Genuine 774X
Rollers and Idlers shaft or shell. 100% D&A Labor* Classic 774J
Replaced - if more economical than Prorated Parts* Genuine 774Y
repairing. No Labor Classic 774K
4 05.01-16 (09/19)
Dealer Reshelled Track Repaired - due to seal leaks. 100% Parts at D/N* Genuine 774X
Rollers 1/3 D/N Used Parts Classic 774J
100% D&A Labor*
Dealer Rebuilt, Reshelled Replaced - if more economical than Prorated Parts* Genuine 774Y
and Resealed Idlers repairing. No Labor Classic 774K
Repaired or Replaced - due to breakage None None
of rebuilt (welded wear surface) idler shell.
Sprockets, Sprocket Replaced - due to breakage under normal 100% Parts at D/N* Genuine 774Y
Segments, Track Shoes usage. No Labor Classic 774K
and Track Roller End Caps
Factory Installed Hardware Replaced - due to breakage or loosening. 100% Parts at D/N* Genuine 774Y
For Track Shoes and No Labor Classic 774K
Sprockets
*Resultant damaged parts are reimbursable at Dealer Net, no additional labor allowance.

Product ID / Serial Number:
• Cat machines - Enter the Cat machine serial number for all new machine sales and parts replacement sales.
• Competitive machines - For parts replacement sales enter 99Z00015.
Group Number – Enter appropriate group number - reference Table 2, Component Coverage, on page 4.
Parts Start Date – For over-the-counter purchases enter the failed part sale date, OR for dealer installed enter
the original repair’s last day of labor.
Parts Hr/Mi/Km – If a parts start date was entered, enter the part hours since it was installed. (Note this number
should be less than the number entered in the Product SMU (Hr/Mi/Km) field.)
Claim Story - In addition to complaint, cause and correction, include the following:
1) Include the Genuine date of enrollment
2) The applicable Custom Track Service (CTS) measurements
3) The machine’s track shoe width, if available
4) The track link assembly’s serial numbers, if available
5) The link assembly or track group install by date, if available
6) Information about whether or not the repair was done during bushing turn time for repair to track link
assemblies, as this will indicate if Caterpillar or the customer is responsible for the D&A labor
05.01-16 (09/19) 5
6 05.01-16 (09/19)
SERVICE
Machine
SystemOne™
Undercarriage Assurance Programs
Overview
The SystemOne™ Undercarriage Assurance Leakage & Breakage Program and the SystemOne Undercarriage
Assurance Wear Life Program are programs developed by Caterpillar for specific undercarriage components on certain
track-type machines with steel track. They are used by dealers, when necessary, to obtain new machine or parts sales
by offering product support enhancements. These additional product support offerings go beyond the Standard New
Machine or Parts Warranties. The cost of the offerings is shared between Caterpillar and the dealer.
Leakage & Breakage Coverage Program

Overview
The Leakage & Breakage Program is primarily designed to assure users of structural integrity and sealability.
Coverage Details
terminates in 4 years, 6000 hours, or 100% wear, whichever occurs first.
This coverage only applies after all other applicable coverages for the failed component have expired (i.e.
New Machine Warranty, New Parts Warranty, Product Support Program (PSP)).
• New Cat machines and replacement undercarriage on Cat track-type tractors and track-type loaders
• Machines are not required to be equipped with Center Tread Idlers
• Loosening or breakage of factory-installed track shoe and sprocket hardware (nut and bolts)
• Oil leaks and breakage on dealer rebuilt idlers (reshelled, resealed or welded) if they have been re-sealed
and are installed with less than 50% wear
• Severe heavy link spalling that affects 30% or more of an individual link rail surface
• Track-type Excavators, Track-type Log Skidders , Track Feller Bunchers, including Timberking™ and Cat®
500 Series


1
• Other Manufacturers than Cat Machines

• Undercarriage covered under Genuine and Classic - see Bulletin 5.01 for coverages
• General Duty Undercarriage - see Bulletin 5.05 for coverages
• Gold UC Assurance - see Bulletin 5.10 for coverage
Number-M0096345.
• Effective with machine or parts sales on or after January 1, 2018, machines must be enrolled into either CTSi or
Cat Wear Management System® with CTS Pro to be qualified for Undercarriage Assurance.
Exception: If a component is replaced within the Undercarriage Assurance coverage period AND the customer pays
a proration amount of 25% or more of the component markup, then the Undercarriage Assurance coverage period
starts over for that component. The New Parts Warranty does not apply to components replaced under this exception.
• Link assemblies and track groups must be installed on the machine prior to the link assembly or track group
install-by date. The install-by date can be found on the parts label attached to the link assembly or track group.
If the parts label is missing or damaged, the install-by date is four years past the assembly date. The assembly
date can be identified through IRM UC03-04 (PELJ0151).
documentation:
 The completed agreement between the dealer and the customer - enrollment to Caterpillar is not required
• The Undercarriage Assurance Enrollment Certificate (PEDJ0024, PFDJ0024, PGDJ0024, PLDJ0024,
PSDJ0024) - located in the Sales Library
 Customer invoice of original machine or replacement parts sale
 Custom Track Service (CTS) report at the time of breakage or leakage
 Customer credit invoices
 Replace: Installing a new link assembly, track group, track roller group, carrier roller group, sprocket, shoe,
idler, and/or track shoe or sprocket hardware
 Repair: Replacing individual components to reuse a link assembly or idler, including links, link box sections,
idler shells, and/or shafts
• The maximum amount of Caterpillar’s reimbursement to the dealer is determined by the least costly method.
Component Proration - is intended for the dealer to credit the customer’s account for unused life on link assemblies,
track rollers, carrier rollers or idlers that are replaced rather than repaired. The following formula calculates the parts
price that is claimed to Caterpillar:
• For SystemOne products enrolled prior to 01Nov14:
• Caterpillar reimbursement to dealer = D/N Price - (%Worn x (Markup))
• For SystemOne products enrolled on/after 01Nov14:
• Caterpillar reimbursement to dealer = D/N Price - (Proration % x (Markup))
• The % Worn and Proation is based on the most worn component (brushing or track link)
2 05.02-17 (09/19)
• SystemOne products enrolled on/after 01Nov14 will use Table 1 to calculate the Proration %. This is based
upon % Wear and Part Hours.
Example 1: D6T has 2500 hours and link wear is 30%. 2 joints are dry. Undercarriage was enrolled prior to
01Nov14. Dealer Net Price of link assembly is $5000.
• The decision to repair or replace in this situation should be discussed between the dealer and
the customer to determine the best overall value for the customer.
Example 2: D6T has 2500 hours and link wear is 30%. 30 joints are dry. Undercarriage was enrolled after
01Nov14. Dealer Net Price of link assembly is $5000.
warranty programs, not against Undercarriage Assurance.
If there is an undercarriage Product Support Program (PSP) in effect that covers the component failure, dealers
must claim under the PSP.
05.02-17 (09/19) 3
Table 1
Undercarriage Assurance – SystemOne Proration Table
Over 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100
95 - 99.9 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 100
90 - 94.9 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 95 100
85 - 89.9 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 90 95 100
80 - 84.9 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 85 90 95 100
75 - 79.9 75 75 75 75 75 75 75 75 75 75 75 75 75 75 75 75 80 85 90 95 100
70 - 74.9 70 70 70 70 70 70 70 70 70 70 70 70 70 70 70 75 80 85 90 95 100
65 - 69.9 65 65 65 65 65 65 65 65 65 65 65 65 65 65 70 75 80 85 90 95 100
60 - 64.9 60 60 60 60 60 60 60 60 60 60 60 60 60 65 70 75 80 85 90 95 100
55 - 59.9 55 55 55 55 55 55 55 55 55 55 55 55 60 65 70 75 80 85 90 95 100
% Wear
50 - 54.9 50 50 50 50 50 50 50 50 50 50 50 55 60 65 70 75 80 85 90 95 100
45 - 49.9 45 45 45 45 45 45 45 45 45 45 50 55 60 65 70 75 80 85 90 95 100
40 - 44.9 40 40 40 40 40 40 40 40 40 45 50 55 60 65 70 75 80 85 90 95 100
35 - 39.9 35 35 35 35 35 35 35 35 40 45 50 55 60 65 70 75 80 85 90 95 100
30 - 34.9 30 30 30 30 30 30 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
25 - 29.9 25 25 25 25 25 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
20 - 24.9 20 20 20 20 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
15 - 19.9 15 15 15 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
10 - 14.9 10 10 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
5 - 9.9 5 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
0 - 4.9 0 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
3900 – 4199
1200 - 1499
1500 - 1799
1800 - 2099
2100 - 2399
2400 - 2699
2700 - 2999
3000 - 3299
3300 - 3599
3600 - 3899
4200 - 4499
4500 - 4799
4800 - 5099
5100 - 5399
5400 - 5699
5700 - 5999
900 - 1199
Over 6000
300 - 599
600 - 899
0 - 299
Part Hours
4 05.02-17 (09/19)
Dealer reimbursement repair expenses - for repair expenses related to this SystemOne™ Undercarriage
Assurance Program will be per the Summary of Reimbursement Practices chart found below, per Table 2 on
page 6, in accordance with applicable reimbursement practices as outlined in Bulletin 1.02, and per exceptions
listed below.
Parts - In addition to Bulletin 1.02, rebuilt components must have 100% Cat new, remanufactured or Caterpillar
approved parts; other manufacturer parts are not allowed.

Removal & Installation (R&I) Labor, Overtime Labor
Rate, Salvage Labor, Travel Time & Mileage, Meals &
Not reimbursable.
Lodging, Freight Charges, Hauling Costs and Outside
Repair Expenses

Product ID / Serial Number - Enter the Cat machine serial number for all new machine sales and parts
replacement sales.
Group Number – Enter appropriate group number - reference Table 2, Component Coverage, on page 5.
Parts Hr/Mi/Km – If parts start date entered, enter the part hours since it was installed. (Note this number should
be less than the number entered in the Product SMU (Hr/Mi/Km) field.)
Claim Story - In addition to complaint, cause and correction, please include the following:
1. The SystemOne Enrollment date
2. The applicable Custom Track Service (CTS) measurements and percent worn
3. The machine’s track shoe width, if available
4. The track link assemblies serial numbers, if available
5. The link assembly or track group install-by date, if available
6. When a related undercarriage PSP also exists, include a statement indicating that a PSP exists and the
PSP Reference Number
05.02-17 (09/19) 5
Table 2
Component Coverage
Undercarriage Component Repair/Replace Description Reimbursement Claim Group
Amount No.
Track Link Assemblies Repaired - due to leaking or failed 100% Parts at D/N* 774R
cartridges or failed links. 100% D&A Labor*
Replaced - if more economical than Prorated Parts* 774S
repairing. No Labor
Track Rollers and Carrier Replaced Prorated Parts* 774S
Rollers No Labor
New Idlers Repaired - due to seal leaks. 100% Parts at D/N* 774R
1/3 D/N Used Parts
Dealer Rebuilt, Reshelled and 100% D&A Labor*
Resealed Idlers Replaced - if more economical than Prorated Parts* 774S
repairing. No Labor*
Repaired or Replaced - due to None None
breakage of rebuilt (welded wear
surface) idler shell.
Sprockets, Sprocket Segments, Replaced - due to breakage under 100% Parts at D/N* 774S
Track Shoes, and Track Roller normal usage. No Labor
End Caps
Factory Installed Hardware For Replaced - due to breakage or 100% Parts at D/N* 774S
Track Shoes and Sprockets loosening No Labor
*Resultant damaged parts are reimbursable at Dealer Net, no additional labor allowances.
6 05.02-17 (09/19)
Wear Life Coverage Program

Program Discontinued March 1, 2016
Overview
The Wear Life Program was primarily designed for the introduction of SystemOne™ to assure users of extended
wear life for link assemblies, track rollers, and Center Tread Idlers. Effective March 2010, the program is only
available for new machines.
Coverage
The program coverage period is 4 years or a dealer-calculated number of hours (6,000 hours maximum),
whichever occurs first. Reference the following coverage details section to calculate the hours coverage period.
Machines Sold After 01Mar10

Coverage Details
 New Cat track-type tractors with factory-installed SystemOne undercarriage
• Machines must be equipped with Center Tread Idlers
 Machines that are converted from conventional to SystemOne undercarriage are not covered
 Replacement undercarriage is not covered
 Only link assemblies, track rollers, and Center Tread Idlers are included
 If a covered machine is sold, coverage may be transferred to the new customer only within a dealer
territory - this transfer option is at the discretion of the dealer
 Use the following steps to calculate Assurance Life:
1. Determine ‘Baseline Life’ hours - the Baseline Life is the life in hours from one of the following three
scenarios for the machine model being quoted:
a. The actual life of a previous conventional Cat undercarriage for this customer
b. Projected life to 100% of the Link-Roller System for the previous Cat undercarriage for this customer
c. If the customer has no previous Cat undercarriage experience, calculate the average life for 3 Cat
machines of the same model in similar applications and underfoot conditions
2. Determine the ‘Improvement Factor’ from the following list:
a. D6N, D6T, D8T – up to 1.5
b. D5K, D6K – up to 1.3
c. D3K, D4K – up to 1.5
3. Determine the Assurance Life by multiplying [Baseline Life x Improvement Factor].
  The maximum coverage supported by Caterpillar is 6,000 hours
Dealers may choose to offer a coverage period less than the calculated Assurance Life for
commercial reasons
Machines and Undercarriage Sold Before 01Mar10
 New Cat machines and replacement undercarriage on Cat track-type tractors and track-type loaders
 Machines are not required to be equipped with Center Tread Idlers
 Only link assemblies, track rollers, and Center Tread Idlers are included
 To qualify for program enrollment, customers must install all covered components new at the time of enrollment
• Center Tread Idlers that are installed with less than 50% wear and are re-sealed can also be included
at the time of enrollment.
 If a covered machine is sold, coverage may be transferred to the new customer only within a dealer
territory - this transfer option is at the discretion of the dealer
05.02-17 (09/19) 7
 Use the following steps to calculate Assurance Life:

1. Determine ‘Baseline Life’ hours. The Baseline Life is the life in hours from one of the following three
a. The actual life of a previous conventional Cat undercarriage for this customer
b. Projected life to 100% of the Link-Roller System for the previous Cat undercarriage for this customer
c. If the customer has no previous Cat undercarriage experience, calculate the average life for 3 Cat
machines of the same model in similar applications and underfoot conditions
2. The ‘Improvement Factor’ is up to 1.5
3. Determine the Assurance Life by multiplying [Baseline Life x Improvement Factor]. The maximum
coverage supported by Caterpillar is 6,000 hours. Dealers may choose to offer a coverage period less
than the calculated Assurance Life for commercial reasons.
For every Undercarriage Assurance Program enrollment, dealers must keep on file the following documentation:
 The completed agreement between the dealer and the customer
 Undercarriage Assurance Enrollment Certificates - located in the Sales Library
• English PEDJ0025
• Portuguese PPDJ0025
• Spanish PSDJ0025
 Machines must be enrolled at Caterpillar within 30 days of the machine sale
 Enrollments can be made through the following:
• Custom Track Service (CTS)
• Undercarriage Information System (UCIS) at https://ucis.cat.com
 The calculations for Assurance Life
 Customer Invoice of original machine sale
 Custom Track Service (CTS) reports annually or every 1,000 hours, whichever period is shorter
Examples:
• Machines that operate less than 1,000 hours per year will need one inspection each year
  Machines that operate more than 1,000 hours per year will need an inspection every 1,000 hours
 Custom Track Service reports must be submitted to Caterpillar electronically through the CTS program
 Customer credit calculations and invoices if a proration is given

 The completed agreement between the dealer and the customer
• Undercarriage Assurance Enrollment Certificates - located in the Sales Library
• English PEDJ0025
• Portuguese PPDJ0025
• Spanish PSDJ0025
8 05.02-17 (09/19)
 Machines must be enrolled at Caterpillar by 31Mar10

• Enrollments can be made through the following:
• Custom Track Service (CTS)
• Undercarriage Information System (UCIS) at https://ucis.cat.com
 The calculations for Assurance Life
 Custom Track Service (CTS) reports every 1,000 hours or once a year
 Custom Track Service reports must be submitted to Caterpillar electronically through the CTS program
 Customer credit calculations and invoices if a proration is given
Component failures must be filed against the New Machine Warranty, the New Parts Warranty or the
Undercarriage Assurance Leakage and Breakage Program; only short wear out parts are claimed under the
Wear Life Coverage Program.
Defining the End of Usable Life for SystemOne Undercarriage:
 For the link assembly and track rollers, the End of Usable Life is when the Link-Roller System reaches
120% worn
• This is calculated by the CTS computer program, but can also be determined manually for each side
with the formula [(Link percent worn + Worst Track Roller percent worn)/2]
 For the idler, the End of Usable Life is when it reaches 100% wear determined by CTS measurements
If a covered component reaches the end of its usable wear life before the end of the coverage period, Caterpillar
will share 50% of the proration with the dealer at Consumer List according to the following formula:
 Caterpillar participation = [Markup - (Markup x Actual Life /Assurance Life)] x 0.5
Example: The Link-Roller System reached 120% worn at 5,400 hours. Consumer List price for the link
assemblies and track rollers is $10,000. Assurance Hours are 6,000.
[$10,000 - $10,000 x (5,400/6,000)] x 0.5
[$10,000 - ($10,000 x 0.9)] x 0.5
[$10,000 - ($9,000)] x 0.5
[$1,000] x 0.5
$500 is the Caterpillar reimbursement

Parts Customer Amount Paid per proration.
Rate, Salvage Labor, Travel Time & Mileage, Meals
& Lodging, Freight Charges, Hauling Costs, Shop Not reimbursable.
Supplies, Emergency Parts Service Charges, Service
Items and Outside Repair Expenses

Component failures must be filed against the New Machine Warranty, the New Parts Warranty or the
Undercarriage Assurance Leakage and Breakage Program; only short wear out parts are claimed under the
Wear Life Coverage Program.
05.02-17 (09/19) 9
Defining the End of Usable Life for SystemOne Undercarriage:

 For the link assembly and Track Rollers, the End of Usable Life is when the Link-Roller System reaches
120% worn
• This is calculated by the CTS computer program, but can also be determined manually for each side
with the formula [(Link percent worn + Worst Track Roller percent worn)/2]
 For the idler, the End of Usable Life is when it reaches 100% wear determined by CTS measurements
For APD, Americas North and Americas South, if a covered component reaches the end of its usable wear
life before the end of the coverage period, Caterpillar will share 50% of the proration with the dealer based on
Customer Amount Paid according to the following formula:
 Caterpillar participation = [Markup - (Markup x Actual Life /Assurance Life)] x 0.5
Example: The Link-Roller System reached 120% worn at 5,400 hours. The Customer Amount Paid for the Link
Assemblies and Track Rollers is $10,000 and the Assurance Hours are 6,000.
[$10,000 - $10,000 x (5,400/6,000)] x 0.5
[$10,000 - ($10,000 x 0.9)] x 0.5
[$10,000 - ($9,000)] x 0.5
[$1,000] x 0.5
$500 is the Caterpillar reimbursement
For EAME, Caterpillar participation = D/N Price x (1-% worn)

APD, Americas North and Americas South:
Parts Customer Amount Paid per proration.
EAME: D/N per proration.
Rate, Salvage Labor, Travel Time & Mileage, Meals
& Lodging, Freight Charges, Hauling Costs, Shop Not reimbursable.
Supplies, Emergency Parts Service Charges, Service
Items and Outside Repair Expenses

The following outlines the unique claim field information that is required when submitting a SystemOne
Undercarriage Assurance Wear Life Coverage Program service claim:
Product ID / Serial Number - Enter the Cat machine serial number for all new machine sales and parts replacement sales.
Group Number – Enter component code 774T when replaced.
Parts Start Date – For over-the-counter purchases enter the failed part sale date, OR for dealer installed enter the
original repair’s last day of labor.
Parts Hr/Mi/Km – Enter the part hours since it was installed. (Note this number should be less than the number
entered in the Product SMU (Hr/Mi/Km) field.)
Claim Story - In addition to complaint, cause and correction, please include the following:
1. Information indicating the machine is enrolled in the SystemOne™ Undercarriage Assurance Wear Life Program.
2. The applicable Custom Track Service (CTS) measurements.
3. The machine’s track shoe width.
4. The track link assembly’s serial numbers.
5. The link assembly or track group install-by date
6. The program coverage period is 4 years or x hours, whichever occurs first. (“x hours” are equal to the
coverage hours calculated by the dealer when the machine was originally enrolled in the program.)
10 05.02-17 (09/19)
SERVICE
Engines
PM Inspections for C175 Package Generator

Sets Sold into Electric Power Applications
Effective for units in service prior to October 1, 2014.
Overview
This bulletin covers reimbursement procedures on Preventative Maintenance (PM) Inspection services
performed on new C175 package generator sets sold into Electric Power applications.
PM Inspection
The Electric Power Division is providing (4) PM Inspections within the first 24 months of delivery on each C175
package generator set sold into Electric Power applications. Caterpillar suggests the dealer perform the first PM
Inspection within the first 6 months of delivery and 6 months thereafter. However, the PM Inspections can be
performed at the dealer’s discretion anytime within the first 24 months of delivery.
The PM Inspections are intended to allow your dealership an opportunity to educate your customer on the
importance of preventive maintenance, the benefits of your dealer services and expertise, and the opportunity to
up-sell your service offerings to either a Preventive Maintenance or Total Maintenance & Repair CSA during the
PM Inspection period.
Reimbursable Expenses
Reimbursement includes: (1) Caterpillar Scheduled Oil Sampling (S·O·SSM ) engine oil analysis, 2 standard labor
hours, reasonable and actual travel time (up to 4 hours) and round trip mileage expenses (up to 160 miles) from
your dealership to the customer’s job site per each PM Inspection performed.
Note: Other than the Caterpillar S·O·S engine oil analysis, no additional parts or fluids expenses will be
reimbursable. Additional parts, fluids, required travel time and/or related expenses are the sole responsibility of
the customer or dealership.

The PM Inspection is only reimbursable on C175 package generator sets with serial number prefix WYB made
payable through the Caterpillar warranty system.
The following are unique claim field requirements when submitting a claim.


1
Delivery Date - enter actual delivery date.

Product Hour - enter actual SMU.
Part No. - enter “318-4550.”
Group No. - enter “775A.”
Comments/Findings Field - enter “Inspection - PM.”
➤ The PM inspection form can be found at the on the Power Net website. Click on the following link:
https://engines.cat.com/en/electric-power/products-diesel/Sourced-in-USA/Diesel-Genset-C175-201.html
Then navigate to the “Parts and Service” tab and click on the link titled “Maintenance: C175-16 Genset
Preventative Maintenance Inspection.pdf.”

SERVICE
Machine
“General Duty”
Overview
Undercarriage Assurance General Duty Program support, is a leakage and breakage program developed by
Caterpillar for specific undercarriage components on certain track-type machines with steel track. The program is
primarily designed to assure users of structural integrity and seal ability.
The program is used by dealers, when necessary, to obtain new machine or parts sales by offering product
support enhancements. This additional product support offering goes beyond the standard new machine or parts
warranties. The cost of the offering is shared between Caterpillar and the dealer.
Coverage Details
This coverage begins at the same time as the standard new machine or new parts warranty term and terminates
in 4 years or 3,000 hours or 100% wear, whichever occurs first.
Undercarriage Assurance General Duty

Program Coverage in Years Coverage in Hours Coverage in % Worn
General Duty 4 3000* 100%*
* Coverage is prorated to 100% component wear life or 3,000 hours. (Refer to the Dealer Reimbursement section of this
bulletin.) Note that there is a 35% reduction for wide shoes. This includes shoes that are 28” or wider for TTT, and 710
mm or wider for Hex. Coverage ends with the stated years, hours, or percent worn, whichever occurs first.
This coverage only applies after all other applicable coverages for the failed component has expired (i.e.

• New Cat machines and replacement undercarriage on Cat or competitive-brand machines.
• Product Types: Small Track-Type Tractors, Medium Track-Type Tractors, Large Track-Type Tractors
(excluding D11), Track-Type Loaders, Pipelayers, Small Hydraulic Excavators, Medium Hydraulic
Excavators, Large Hydraulic Excavators
• In addition to Bulletin 1.02, rebuilt components must have 100% Cat new, remanufactured or Caterpillar
approved parts; other manufacturer parts are not allowed. Repairs must be made at an authorized
Caterpillar dealer.


1

• Oil leaks and breakage on link assemblies, track rollers, carrier rollers and idlers
• Breakage under normal use of track shoes, sprockets/sprocket segments and end caps
• Loosening or breakage of factory-installed track shoe hardware (nuts and bolts)
• When dry joints are repaired outside a normal bushing turn, in addition to failed components (pins, bushings,
thrust rings, links and/or master links), normal maintenance parts are reimbursable. This includes hardware,
oil, seals, stoppers, plugs and thrust rings used to make the repair.
• Severe link spalling that affects 30% or more of a link rail surface

• Track-type Log Skidders, Track Feller Bunchers, including Timberking™ and Cat® 500 Series
• SystemOne™ Undercarriage - refer to Bulletin 5.02 for coverages
• Undercarriage covered under the Genuine and Classic assurance programs - refer to Bulletin 5.01 for coverages

• Gold Undercarriage - see Bulletin 5.10 for coverages
• Bushing replacement due to end grooving at turn time
• Rebuilt (welded wear surfaces) track rollers and idlers
• Dry joint coverage after bushing turn
Number-M0096345
• D10N/R/T & D11N/R/T Master Joints on link assemblies and track groups containing 5-tooth master links
• Undercarriage can be enrolled without prior Caterpillar approval
• Enrollment must be completed prior to repairs.
• The machine must have a functioning hour meter
frame, or all idlers on one track roller frame
Exception: If a component is replaced within the Undercarriage Assurance coverage period AND the customer pays
a proration amount of 25% or more of the component markup, then the Undercarriage Assurance coverage period
starts over for that component. The New Parts Warranty does not apply to components replaced under this exception.
install-by date. The install-by date can be found on the parts label attached to the link assembly or track
group. If the parts label is missing or damaged, the install-by date is four years past the assembly date. The
assembly date can be identified through IRM UC03-04 (PELJ0151).
2 05.05-10 (09/18)
documentation:
• The completed agreement between the dealer and the customer - enrollment to Caterpillar is not required
• Undercarriage Assurance Enrollment Certificates - they are located in the Sales Library
• General Duty - PEEP9277
• Recommended practice - Dealers should submit informational SIMSi entry indicating date of enrollment.
shoe, idler, and/or track shoe or sprocket hardware
and thrust rings
method.
Component proration - is intended for the dealer to credit the customer’s account for unused life on link
assemblies, track rollers, carrier rollers or idlers that are replaced rather than repaired. The following formulas
calculate the parts price that is claimed to Caterpillar:
• Caterpillar reimbursement to dealer = [D/N Price - (Proration % x (Markup))]*
*Reimbursement is reduced by 35% if machine is equipped with wide shoes - this includes shoes that
are 28” or wider for TTT, and 710 mm or wider for Hex
Note: For undercarriage where the expectation is to turn bushings, the proration of the link assembly is based
on the track link percent worn.
For undercarriage where the expectation is NOT to turn bushings, but to replace the undercarriage when the
bushings are worn out, the proration of the link assembly is based on the most worn component (bushing or
track link).
Dry joint repair or track replacement after bushing turn is not covered.
05.05-10 (09/18) 3
Table 1
Undercarriage Assurance – Classic/General Duty Proration Table
Over 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100
95 - 99.9 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 100
90 - 94.9 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 95 100
85 - 89.9 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 90 95 100
80 - 84.9 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 85 90 95 100
75 - 79.9 75 75 75 75 75 75 75 75 75 75 75 75 75 75 75 75 80 85 90 95 100
70 - 74.9 70 70 70 70 70 70 70 70 70 70 70 70 70 70 70 75 80 85 90 95 100
65 - 69.9 65 65 65 65 65 65 65 65 65 65 65 65 65 65 70 75 80 85 90 95 100
60 - 64.9 60 60 60 60 60 60 60 60 60 60 60 60 60 65 70 75 80 85 90 95 100
55 - 59.9 55 55 55 55 55 55 55 55 55 55 55 55 60 65 70 75 80 85 90 95 100
% Wear
50 - 54.9 50 50 50 50 50 50 50 50 50 50 50 55 60 65 70 75 80 85 90 95 100
45 - 49.9 45 45 45 45 45 45 45 45 45 45 50 55 60 65 70 75 80 85 90 95 100
40 - 44.9 40 40 40 40 40 40 40 40 40 45 50 55 60 65 70 75 80 85 90 95 100
35 - 39.9 35 35 35 35 35 35 35 35 40 45 50 55 60 65 70 75 80 85 90 95 100
30 - 34.9 30 30 30 30 30 30 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
25 - 29.9 25 25 25 25 25 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
20 - 24.9 20 20 20 20 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
15 - 19.9 15 15 15 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
10 - 14.9 10 10 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
5 - 9.9 5 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
0 - 4.9 0 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
1050 - 1199
1200 - 1349
1350 - 1499
1500 - 1649
1650 - 1799
1800 - 1949
1950 - 2099
2100 - 2249
2250 - 2399
2400 - 2549
2550 - 2699
2700 - 2849
2850 - 2999
900 - 1049
3000 - up
150 - 299
300 - 449
450 - 599
600 - 749
750 - 899
0 - 149
Part Hours
4 05.05-10 (09/18)

Parts If reimbursable, reimbursed at D/N per proration
Parts Service Charges Reimbursable, if justified in the claim story
Repair Labor If reimbursable, at Warranty Cost Labor rate - refer to Table 2
Overtime Labor Rate, Salvage Labor, Travel Time &
Mileage, Meals & Lodging, Freight Charges, Hauling Not reimbursable.
Costs and Outside Repair Expenses
Table 2
Component Coverage
Undercarriage Repair/Replace Reimbursement Claim
Components Description Amount Group Number
Repaired - due to seal leaks or failed 100% Parts at D/N*
773G
pins, bushings, thrust rings, or links. 100% D&A Labor*
Repaired - same as above but at
100% Parts at D/N*
Track Link Assemblies bushing turn time, with less than 773G
No Labor
80% link wear.
Replaced - if more economical Prorated Parts*
773H
than repairing. No Labor
Repaired - due to seal leaks or 100% Parts at D/N*
773G
Track Rollers, Carrier broken shaft or shell. 100% D&A Labor*
Rollers and Idlers Replaced - if more economical Prorated Parts*
773H
Sprockets, Sprocket
Replaced - due to breakage
Segments, Track Prorated Parts*
under normal usage. 50% 773H
Shoes and Track No Labor
proration for wide shoes.
Roller End Caps
Factory Installed Replaced - due to breakage or
Prorated Parts*
Hardware for Track loosening. 50% proration for wide 773H
No Labor
Shoes and Sprockets shoes.

• Cat machines - Enter the Cat machine serial number for all new machine sales and parts replacement
sales
• Competitive machines - For parts replacement sales enter 99Z00015
Group Number: Enter appropriate group number - reference Table 2, Component Coverage
Parts Start Date: For over-the-counter purchases enter the failed part sale date, OR for dealer installed enter
05.05-10 (09/18) 5
Parts Hr/Mi/Km: If a parts start date is entered, enter the part hours since it was installed. (Note this number
should be less than the number in the Product SMU (Hr/Mi/Km) field.)
Claim Story: In addition to complaint, cause, and correction, include the following:
1. The General Duty enrollment date
2. The applicable Custom Track Service (CTS) measurements
3. The machine’s track shoe width, if available
4. The track link assembly’s serial numbers, if available
6. Information about whether or not the repair was done during bushing turn time for repairs to track link
assemblies, as this will indicate if Caterpillar or the customer is responsible for the D&A labor.
6 05.05-10 (09/18)
SERVICE
➤
EXTENDED COVERAGE USA, Canada, Japan, ANZP, Thailand
Machine
➤ Structural Components (Booms and Sticks)

Assurance Program for D, E and F Series Excavators
USA & Canada
E-Series Excavator models (312E, 314E, 316E, 318E, 320E, 324E, 329E, 336E, 349E)
sold to users between: 01 Jan 2011 and 31 Dec 2017
F-Series Excavator models (311F, 313F, 315F, 316F, 318F, 320F, 323F, 325F, 326F, 329F, 330F, 335F,
336F, 349F, 352F, 374F, 390F) sold to end users between: 01 April 2014 and 31 Dec 2017.
Japan & ANZP (Australia, New Zealand & Pacific Islands)
E-Series Excavator models (312E, 314E, 316E, 318E, 320E, 324E, 329E, 336E, 349E)
sold to end users between: 01 Jan 2011 and 30 Sep 2017
F-Series Excavator models (311F, 312F, 313F, 315F, 316F, 318F, 320F, 323F, 325F, 326F, 329F, 330F,
335F, 336F, 349F, 352F, 374F, 390F) sold to end users between: 01 Jan 2015 and 31 Dec 2018
➤ EXCLUSIVE TO THAILAND ONLY
D-Series Excavator models (320D2 GC)
sold to end users between: 01 Oct 2016 – 30 Sep 2018
*Excludes forest land clearing, and forestry applications
Overview
The Structural Components Assurance Program for certain E and F Series Excavators is a specific
merchandising program developed by Caterpillar to reinforce confidence in E and F Series Excavator structures.
Caterpillar is offering assurance coverage to structures for 36 months or 10,000 hours, whichever occurs first. This
coverage begins at the same time as the original equipment’s “Standard Warranty” term and terminates in 36 months
or 10,000 hours, whichever occurs first.
Another offering for the Structural Components Assurance Program covers only the D Series model 320D2 GC,
specifically those in Thailand. The assurance coverage is for 24 months or 5,000 hours, whichever occurs first.
This coverage runs coherently with the equipment’s “Standard Warranty” term. At the end of either 24 months
or 5,000 hours, whichever occurs first this assurance coverage terminates.
This coverage applies only to booms and sticks, listed by part number, that were installed at the time of manufacture.
Please reference the Component Coverage Charts for the specific part numbers by model that are included
under this coverage.


1
Participation Requirements
Support is available through an authorized Cat® dealer when the customer follows the participation guidelines.
Dealer must provide the customer a certificate describing the coverage they are offering.
➤ Participation Guidelines
• The failure must be documented and repaired by a Caterpillar dealer.
• Caterpillar reserves the right to repair or replace covered components as required.
• Repairs can be made in the field if the customer and servicing dealer so desire.
• This coverage is applicable for repairs in USA and Canada on or after 01 May 2013 for E-Series & 01 April
2014 for F-Series.
• This coverage is applicable for repairs in Japan and ANZP on or after 01 September 2014.
• This coverage is applicable for repairs specific to model 320D2 GC only in Thailand sold on or after 01
October 2016.
• This coverage only applies after all other applicable coverages for the failed component has expired.
• Reimbursement during Standard Warranty or EPP period is limited to reimbursement provided by those
coverages.
• Refer to Bulletin Number 1.16 for Service Letter claiming practices involving product covered by
other coverages.
Examples:
• Service Letter repairs must be claimed under the appropriate PIP/PSP, even if the product has
additional coverage.
• If a failure occurs during the Standard Warranty Period, then it is covered by Standard Warranty and
should be filed against Standard Warranty. Reimbursement will be limited to standard warranty per
applicable bulletin.
• If the unit has an Extended Coverage offered by Cat Financial Insurance Services that covers the
failed component, then the failure should be filed under Cat Financial Insurance Services.
Note: Claims for failures under Standard Warranty and Cat Financial Insurance Services should use the
Caterpillar 7 digit group number in the group number field. Claims filing under the Excavator Structural
Components Assurance Program utilize SMCS Code 770B in the group number field on the claim.
Dealer reimbursement for repair expenses related to the Excavator Structural Components Assurance Program
will be per the Summary of Reimbursement Practices Chart found below and in accordance with applicable
Reimbursement Practices as outlined in Bulletin 1.02.
➤
Excavator Structural Components Assurance Program
Parts Reimbursable at M.
Repair Labor Reimbursable at warranty sell labor rate.
Service Items Reimbursable at M, if made unusable.
Parts Salvage Labor Reimbursable at warranty sell labor rate, if justified.
Outside Repair Expenses Reimbursable at cost.
Travel Time & Mileage Not Reimbursable.
Overtime Labor Rate, Shop Supplies, Meals & Lodging,
Not Reimbursable.
Freight Charges, Hauling Cost and Value Added Tax.


The following is the only unique claim field information that is required when submitting an Excavator Structural
Components Assurance Program claim:
Coverage Type - Leave Blank.
Group Number - Enter SMCS code 770Z for 320D2 GC machines located in Thailand. All others that qualify for
the program are to be filed using SMCS code 770B
Claim Story - in addition to the usual description of the complaint, cause, correction and complications the claim
story should also contain the following:
• State in first line of story one of the following:
• Structural Components Assurance Program claim.
• The machine application and worktool(s) specification(s) must be noted.
General Exclusions & Limitations

The Excavator Structural Components Assurance Program does not cover the following:
• Operator abuse or neglect, including but not limited to the failure to perform any recommended
preventative maintenance as specified in the machine O&M Manual.
• Applications not approved by Caterpillar.
• Damage resulting from improper/poor maintenance weld repairs, lack of lubrication, lack of inspections,
and failures resulting from delays in repairing cracking identified during inspections.
• Improper use or abuse of machine or component.
• Operation beyond the design and/or capacity of the machine or component.
• Wear-out and normal deterioration in the performance, including but not limited to seal leaks.
• Chemical corrosion and physical or mechanical erosion of the parts.
• Modifications, unless the modifications were authorized at the request of Caterpillar, and performed at an
approved repair facility.
• Operating at performance settings other than the standard Caterpillar specification.
• Accelerated wear-out of components due to operating technique or application.
• Physical damage.
• Any repairs if the service meter has been stopped or altered or misrepresents the equipment’s actual usage.
• Acts of war, vandalism, riot, theft, explosion, collision, fire and/or any other act of nature, person or vermin.
• Operating equipment with modified or improper implements.
Customer’s Responsibilities
The customer is responsible for assuring all recommended preventative maintenance is performed at the
specified service intervals as described in the O&M Manuals. Preventative maintenance includes, but is not
limited to the servicing, adjusting and/or replacing of specified components.
Customer is responsible for giving timely notice of a structural failure and promptly making the product available
for repair.
Wear-out and Extent of Coverage

Wear-out and/or deterioration are not covered by the Excavator Structural Components Assurance Program.
The intent is not to restore the product to like-new condition, but rather to restore the product to its operating
condition just prior to the covered failure.
The Excavator Structural Components Assurance Program covers only the repair or replacement of the failed
component and any resultant-damaged parts. Other parts removed in the process of repair will be reinstalled as
is, unless the customer authorized the additional cost for their account.
Excavator Structural Components Coverage Chart

Reference the charts for covered parts.

➤ D-Series Structural Components Coverage Chart (only applies in Thailand)

Model Structure Group No Part No Model Structure Group No Part No
320D2 BOOM 290-9192 290-9193 320D2 STICK 399-5223 399-5224
Serial Prefix: ZBH
E-Series Structural Components Coverage Chart

*Part/group numbers being discontinued and replaced with updated part/group numbers. These are listed for claiming purposes only.

312E BOOM 350-6340 350-6562 312E STICK 357-5531 357-5559
Serial Prefix: MJD, GAC 350-6341 367-1430 357-5532 376-1854
350-6342 376-1850 357-5533 357-5560
350-6389 371-5483 357-5534 367-1469
390-5566 390-5567 357-5535 376-1888
436-0234 357-5536 376-1901
390-5569 390-5570 364-5079 371-5486
436-0232 371-5604 371-5605
390-5572 390-5573 390-5579 390-5580
390-5573 436-0290 390-5582 390-5583
390-5575 376-1850 390-5588 390-5589
390-5576 390-5577 390-5591 390-5592
436-0236 390-5597 390-5598
390-5600 390-5601
390-5603 390-5604
390-5609 390-5610
393-7995 393-7996
314E BOOM 364-5085 364-5089 314E STICK 357-5534 367-1469
Serial Prefix: ZJT, YCW, 364-5084 364-5086 357-5533* 357-5560*
ECN, GMD 367-1609 423-3035 357-5535 376-1888
367-1610 383-2423 359-5767 381-5329
381-5301 381-5302 390-5579 390-5580
381-5305 381-5306 357-5532* 376-1854*
359-5765 203-7290 390-5582 390-5583
390-5585 390-5586
390-5588 390-5589
390-5591 390-5592
390-5597 390-5598
390-5600 390-5601
390-5603 390-5604
390-5609 390-5610
393-7972 393-7973
393-7995 393-7996
463-8768 457-2757


316E BOOM 348-0533 348-0633 316E STICK 346-7171 359-5790
Serial Prefix: DZW, 348-0634* 346-7176 363-1123
F32, WZY 428-8111 346-7179 371-5608
348-0607 348-0608 357-5781 363-0876
428-8109 357-5784 359-5804
357-5785 371-5611
357-5788 363-1105
359-5742 376-1840
357-5782* 376-1710*
318E BOOM 359-5711 428-8133 318E STICK 357-5784 359-5804
Serial Prefix: DZF, WZS 359-5713 367-1708 357-5788 363-1105
367-1653 367-1654 367-1657 367-1658
367-1673 367-1674 367-1661 367-1662
428-8115 367-1665 367-1666
428-8117 367-1669 367-1670
367-1676 367-1677
367-1679 367-1680
320E BOOM 339-4149 346-7225 320E STICK 350-4118 350-4119
Serial Prefix: WBK, TNJ, 423-2508 357-5683 376-1731
TFX, REE, TEX, LHN, MEW, 339-4150 348-0555 357-5684 376-1759
KLT, AWS, SXE, LAK
423-2512 357-5685 357-5797
339-4152 350-6384 357-5686 359-5674
428-8119 357-5687 357-5766
339-4153 376-1774 357-5688 371-5577
428-8123 357-5689 359-5644
346-7190 350-6486 357-5690 376-1778
423-2510 357-5692 376-1768
346-7191 371-5587 357-5693 363-0914
423-2515 423-3030
348-0782 376-1772 357-5694 363-0916
428-8121 423-3032
348-0783 376-1776 357-5695 350-6489
428-8125 363-0883 376-1711
350-4256 423-3013 393-8014 393-8015
356-5681 423-2527 393-8018 393-8019
357-5681 359-5658 461-5965 457-9889
357-5682 359-5669 461-5966 457-9891
371-5470 371-5471
423-2536
05.06-06 (10/16) 5
320E Continued from pg 5

380-6457 348-0555
423-2512
380-6459 380-6460
428-8127
380-6462 380-6463
428-8129
324E BOOM 339-4088 339-4089 324E STICK 344-4292 367-1567
Serial Prefix: PNW, KTE,JCZ 423-2485 350-6462 350-6463
339-4093 339-4094 355-1942 355-1943
423-2489 357-5802 364-5077
339-4098 339-4099 357-5803 363-1125
423-2491 359-5601 359-5602
341-5113 341-5114 359-5605 359-5813
423-2487 359-5616 359-5617
350-4070 367-1564 350-6462* 350-6463*
423-2495
329E BOOM 339-4104 339-4105 329E STICK 344-4292 367-1567
Serial Prefix: PLW, ZCD, 423-2498 348-0622 348-0623
RDX, PTY, WJK 339-4109 339-4110 357-5549 357-5558
423-2504 357-5552 357-5557
339-4114 339-4115 357-5804 359-5624
423-2506 359-5606 359-5607
344-4336 367-1557 359-5620 359-5621
350-6555 350-6556 359-5627 359-5628
423-2502 423-3015 423-4016
423-3019 423-3021
423-3039
423-3020 423-3023
428-8104
336E BOOM 315-1079 324-0931 336E STICK 315-1087 343-9456
Serial Prefix: BZY, KDL, YEP, 315-1083 343-9448 315-1088 343-9459
BZD, FJH, JRJ, RZA, BMH,
315-1085 341-5046 315-1093 343-9474
KED,HDW, GTJ,CMR JEA,
TEG 343-9442 324-0931 315-1090 343-9465
343-9441 315-1092 343-9471
343-9448 339-4145 343-9478
393-7978 341-5048 343-9481
418-0599 343-9455 343-9457
418-0601 367-1522
6 05.06-06 (10/16)
336E Continued from pg 6

343-9443 343-9445 343-9458 367-1534
418-0607 343-9460*
343-9449 343-9451 343-9464 343-9466
393-7986* 343-9467 343-9469
418-0601* 343-9470 343-9472
343-9473 343-9475
343-9446 343-9447 343-9476 367-1570
393-7978* 343-9478*
343-9448 343-9479 343-9481
393-7981 367-1572
418-0603 346-7259 367-1561
371-5525 371-5534 346-7260*
393-7989 346-7261 346-7262
418-0605 346-7265 346-7267
465-4582 465-4583 367-1642
475-4784 475-4785 371-5497 371-5498
475-7214 475-7215
349E BOOM 330-2844 330-2845 349E STICK 330-2870 330-2871*
Serial Prefix: TFG, MPZ, 418-0614 332-4938 367-1527
KCN, DGE, RGH, SPG, 330-2849 330-2850 332-4943 332-4939
WHZ, FJB, FEJ, ETC
330-2853 330-2854 332-4947 332-4944
418-0611 332-4968 332-4948
330-2857 330-2858 332-4971 367-1574
423-2480 350-6530 367-1576
332-4965 332-4966 350-6565 367-1470
418-0616 358-4631 367-1551
343-9301 343-9302 387-3383 358-4630
358-4627 358-4626 487-4997 387-3384
387-3377 387-3378 350-6530* 488-5041
418-0609 332-4968* 350-6531*
350-6565* 332-4969*
332-4971* 350-6566*
332-4972*
05.06-06 (10/16) 7
F-Series Structural Components Coverage Chart

311F BOOM 367-1486 367-1487 311F STICK 367-1482 371-5240
Serial Prefix: KCW, JFT 367-1488 428-8131 367-1483 441-0032
367-1503 428-8150 367-1484 441-0033
423-3034 367-1487 367-1491 371-5466
367-1494 428-8133
312F BOOM 367-1503* 428-8150* 312F STICK 367-1491* 371-5466*
Serial Prefix: KMK. FKE 367-1486* 367-1487* 367-1482* 371-5240*
367-1488* 428-8131* 367-1483* 441-0032*
423-3034* 367-1487* 367-1484* 441-0033*
449-9951 449-9952 367-1494* 428-8133*
450-3483 454-3911 393-4026 393-4028
393-4054 393-4055
393-7972 393-7973
313F BOOM 364-5085* 364-5089* 313F STICK 390-5579* 390-5580*
Serial Prefix: HDK, DJE, GJD, 436-0238* 390-5585* 390-5586*
WBS, DJE 364-5084* 364-5086* 357-5532* 376-1854*
436-0240* 390-5591* 390-5592*
367-1609* 423-3035* 357-5534* 367-1469*
367-1610* 383-2423* 357-5533* 357-5560*
436-0242* 393-7972* 393-7973*
367-1609* 423-3035* 393-7998* 393-7999*
381-5301* 381-5302* 390-5606* 428-8107*
381-5305* 381-5306* 359-5767* 381-5329*
436-0245* 390-5597 390-5598
359-5765* 203-7290* 390-5600 390-5601
390-5566 436-0234 390-5603 390-5604
390-5576 436-0236 390-5609 390-5610
449-9951 449-9952 463-8768 457-9894
315F BOOM 364-5084* 436-0240* 315F STICK 390-5597 390-5598
Serial Prefix: TDY, SFM 367-1601* 367-1602* 390-5600 390-5601
367-1610* 436-0242* 390-5612 390-5613
367-5071* 436-0292* 459-2845 459-2846
348-0607* 428-8109* 346-7171* 359-5790*
348-0533* 428-8111* 346-7176* 363-1123*
346-7179* 371-5608*
357-5784* 359-5804*
8 05.06-06 (10/16)
315F Continued from pg 8
357-5785* 371-5611*
359-5742* 376-1840*
357-5781* 363-0876*
357-5782* 376-1710*
357-5788* 363-1105*
316F BOOM 348-0607 348-0608* 316F STICK 346-7171 359-5790
Serial Prefix: YDL, ZCR, XAD 428-8109 346-7176 363-1123
348-0533* 348-0633* 346-7179 371-5608
428-8111* 357-5784 359-5804
357-5785* 371-5611*
359-5742* 376-1840*
357-5781 363-0876
357-5782* 376-1710*
357-5788* 363-1105*
491-3648 491-3649
491-3660 491-3661
491-3663 491-3664
318F BOOM 367-1653 367-1654* 318F STICK 367-1657 367-1658
Serial Prefix: FFT, GNX 428-8115 367-1676* 367-1677*
367-1673 367-1674* 367-1665 367-1666
428-8117 367-1679* 367-1680*
367-1661* 367-1662*
367-1669* 367-1670*
463-8771 461-5983
491-3669 491-3670
491-3677 491-3678
320/323F BOOM 339-4149 346-7225* 320/323F STICK 357-5684* 376-1759*
Serial Prefix: XCF, YEJ,YBM 423-2508 357-5683* 376-1731*
LMK, MDL, REW,
346-7190 350-6486* 393-8018 393-8019
423-2510 357-5686* 359-5674*
339-4150 348-0555* 357-5685 357-5797
423-2512 357-5693* 363-0914*
423-2515 423-3030*
346-7191* 371-5587* 357-5687 357-5766
357-5681 359-5658* 357-5694* 363-0916*
423-2527 423-3032*
371-5470 371-5471* 357-5695* 350-6489*
05.06-06 (10/16) 9
423-2536 363-0883* 376-1711*

380-6457* 348-0555* 357-5692* 376-1768*
423-2512* 357-5688 371-5577
378-2168* 378-2169* 357-5689* 359-5644*
350-4256 350-4257 350-4118 350-4119
423-3013* 393-8014 393-8015
364-5099 364-5100 459-9553 459-9554
364-5094 423-3011 461-5965 457-9889
452-2190 451-2191 461-5966 457-9891
478-3088 478-3089
325F BOOM 451-2190 451-2191 325F STICK 357-5685 357-5797
Serial Prefix: XAA 478-3088 478-3089 461-5965 457-9889
339-4088* 339-4089* 357-5802 364-5077
423-2485* 359-5601 359-5602
341-5113* 341-5114* 350-6462 350-6463
423-2487* 357-5803 363-1125
339-4093* 339-4094* 359-5605 359-5813
423-2489* 355-1942 355-1943
339-4098* 339-4099* 359-5616 359-5617
423-2491* 344-4292 344-4293*
350-4070* 350-4071* 367-1567
367-1564*
423-2495*
326F BOOM 339-4088 339-4089* 326F STICK 357-5802 364-5077
Serial Prefix: TPG, WGL, 423-2485* 359-5601 359-5602
TMR, SGK 341-5113* 341-5114* 350-6462 350-6463
423-2487* 357-5803 363-1125
339-4093* 339-4094* 359-5605 359-5813
423-2489* 355-1942 355-1943
339-4098* 339-4099* 359-5616 359-5617
423-2491* 344-4292 344-4293*
350-4070* 350-4071* 367-1567
367-1564*
423-2495*
329/330F BOOM 339-4104 423-2498 329/330F STICK 344-4292 367-1567
Serial Prefix: ERL, GKK, 339-4109 423-2504 348-0622 348-0623
MBX, RCN,YHA,
NCG, LCG, KDW 339-4114 423-2506 357-5549 357-5558
350-6555 350-6556 357-5552 357-5557
10 05.06-06 (10/16)
329/330F Continued from pg 10

423-2502 357-5804 359-5624
423-3019 423-3039 359-5606 359-5607
423-3020 428-8104 359-5620 359-5621
359-5627 359-5628
423-3015 423-3016
335F BOOM 393-8010 393-8011 335F STICK 359-5606 359-5607
Serial Prefix: KNE, JJR 359-5620 359-5621
423-3015 423-3016
336F BOOM 343-9442 324-0931* 336F STICK 343-9455 367-1522
Serial Prefix: RKB, SSN, TZA, 418-0599 343-9458 367-1534
KGH, LTP, DFY, PFL, NBL,
343-9443 343-9441* 343-9464 343-9466
LCL, DSW, YFD, NAJ
418-0607 343-9470 343-9472
343-9446 393-7978* 343-9473 343-9475
418-0603 343-9476 367-1570
343-9449 418-0599* 343-9479 367-1572
418-0601 343-5497 371-5498
371-5525 341-5046* 444-2065 440-3516
343-9451* 444-2066 444-2067
393-7986* 444-2069 440-2070
418-0601* 444-2073* 444-2074*
343-9448* 444-2076 444-2077
393-7981* 444-2079 444-2080
418-0603* 444-2082 444-2083
371-5534* 444-2086* 444-2087*
393-7989* 444-2090 444-2091
418-0605 444-2094* 444-2095*
343-9445* 444-2098 444-2099
393-8004* 444-2104 444-2105
465-4582 465-4583 465-4585 465-4586
475-4784 475-4785 465-4588 465-4589
483-8174 468-4629 468-4630
475-7214 475-7215
475-8419 475-8420
476-2951 476-2952
05.06-06 (10/16) 11

349F/352F BOOM 387-3377 387-3378 349F/352F STICK 387-3383 387-3384
Serial Prefix: A9J, BZ2, HPD, 418-0609 350-6530 350-6531*
KEA, YEG, SFG, HLB, TEW, 330-2853* 330-2854* 367-1470
WNA
418-0611* 332-4968 332-4969*
330-2844 330-2845* 367-1574
418-0614 350-6565* 350-6566*
332-4965 332-4966 367-1551*
418-0616 330-2870 330-2871*
343-9301* 343-9302* 367-1527
358-4627 358-4626 332-4971 332-4972*
330-2857 330-2858 367-1576
423-2480 332-4938* 332-4939*
441-0057 461-7210 332-4943 332-4944
461-7203 461-7202 332-4947 332-4948
465-4594 465-4595 358-4631 358-4630
465-4598 465-4599
493-8708 493-8709
374F BOOM 376-1863 376-1864* 374F STICK 363-1054 363-1055*
Serial Prefix: DNM, EBF 376-1863 447-3589
363-1044* 436-0284 363-1059 363-1060*
376-1858 447-1760 447-3599
363-1045* 363-1062 363-1063*
436-0280* 447-3601
447-3586* 363-1070 363-1071*
376-1859*
428-8140 428-8141* 447-3608
447-2633 363-1075 363-1076*
447-3613
297-7338 297-7339
297-7342 297-7343
297-7347 297-7348
447-3614 447-3615
390F BOOM 363-0999 363-1000* 390F STICK 363-1016 363-1017*
Serial Prefix: LNL, MGF, FEH, 451-6194 451-6203
TYE 363-1003 363-1004* 363-1033 363-1034*
451-6198 452-5680
363-1013 363-1014* 363-1020 363-1021*
452-2416 451-6206
363-1008 363-1009 363-1036 363-1037*
12 05.06-06 (10/16)
390F Continued from pg 12
452-4807
363-1024* 363-1025*
451-6209*
308-8714* 308-8715*
451-6213 451-6214
308-8718* 308-8719*
451-6217 451-6218
308-8725* 308-8726*
451-6221 451-6222
308-8730* 308-8731*
441-0047 441-0048
332-4961* 393-7994*
451-6225 451-6226
05.06-06 (10/16) 13
SERVICE
EXTENDED COVERAGE Americas North (U.S. and Canada)
Machine
7495HF Electric Rope Shovel Cast Crawler Shoe
Assurance Program
125 Inch Shoes Used in Oil Sands Application
➤ Effective with sales to the first user between Jan. 1, 2014 and Dec. 31, 2019.
Overview
The 7495HF Electric Rope Shovel Cast Crawler Shoe Assurance Program, is a wear and breakage program
developed by Caterpillar specifically for the 125 - inch cast crawler shoe in oil sands application (Cat part
numbers: 453-2496 or 535-9960 right shoe and 453-2495 or 535-9961 left shoe). This shoe is for the high flotation
configuration of the 7495HF Electric Rope Shovel. The program is primarily designed to assure structural integrity
of the shoe and the wear life of the shoe - to - roller wear pad.
This assurance program applies only to the 125 - inch cast crawler shoe used in oil sands applications only.
All other moving undercarriage components for the 7495HF Electric Rope Shovel undercarriage, such as shoe
connecting pins, front idlers and support shafts, lower rollers and support shafts, drive tumblers, and top support
plates for track are not covered by this program.
The program is used by dealers, when necessary, to obtain new machine or parts sales by offering product support
enhancements. This additional product support offering goes beyond the standard machine warranty or new parts
warranty. The cost of the offering is shared between Caterpillar and the dealer.
➤ Coverage
For products sold prior to January 1, 2017 this coverage begins at the same time as the standard machine
warranty or new parts warranty term and terminates in 4 years, 24,000 part hours, and travel adjustment hours.
(see Dealer Reimbursement Tables 1&2), whichever occurs first.
For 453-2495/453-2496, sales on/after January 1, 2017 this coverage begins at the same time as the standard
warranty or new parts warranty term and terminates in 4 years, 24,000 part hours, or 1,200 propel hours (see
Dealer Reimbursement Table 3), whichever occurs first.
For 535-9960/535-9961, sales on/after May 1, 2018 this coverage begins at the same time as the standard
warranty or new parts warranty term and terminates in 4 years, 24,000 part hours, or 2,400 propel hours (see
Dealer Reimbursement Table 4), whichever occurs first.
The coverage is prorated to 24,000 hours. Hour adjustments may apply prior to proration to account for machine
travel. (Refer to the Dealer Reimbursement section of this bulletin for details.) Coverage ends with the stated
years or hours, whichever occurs first.


1
This coverage only applies after all other applicable coverages for the failed component have expired.
Reimbursement during standard warranty is limited to reimbursement provided by that coverage. For example, if
a failure occurs during the standard warranty period, and the failure is covered by standard warranty, the claim
must be filed following the instructions in Bulletin 2.01. Reimbursement in this case follows standard warranty
reimbursement practices.
Coverage Details
COVERED
• Cat part numbers: 453-2496 / 535-9960 right shoe and 453-2495 / 535-9961 left shoe
• Breakage of the cast crawler shoe resulting from a defect in material or workmanship
• Premature wear out of shoe - to - roller wear pad on the cast crawler shoe
NOT COVERED
• Shoe connecting pins, front idlers and support shafts, lower rollers and support shafts, drive tumblers,
top support plates for the track
• Shoe damage caused by neglected trimming of any material flow or extrusion of the shoe wear pad
surface causing shoe - to - shoe interference
• Pitch extension of the cast shoe track joints causing wear from the normal motion of the track
• Accelerated wear of the shoe - to - roller wear pad caused by improper setting of the track sag (track
that is too tight)
• Shoe damage caused by improper maintenance (grading or leveling) of the operating floor surface
especially in, but not limited to, frozen conditions
• Shoe damage caused by dipper strikes of the bucket against the shoes
• Machines with propel hours from the date of shoe installation as a percent of total part hours
exceeding 8% (refer to the dealer reimbursement section of this bulletin for details)
➤ Enrollment Qualifications
• The 125 - inch cast crawler shoes can be enrolled without prior Caterpillar approval.
• All new undercarriage components must be installed as a system, including the shoes, connecting
pins, idlers and support shafts, lower rollers and support shafts, tumblers, and top support plates for
the track.
• The machine must have a functioning hour meter installed for the machine propel system.
• Effective with machine or parts sales on or after January 1, 2019, machines must be enrolled into Cat
Wear Management System® with CTS Pro to be qualified for Undercarriage Assurance
• CTS inspections must be completed every 6 months and recorded in CTS Pro. Maintenance activities
must be performed as a result of the inspections to maximize component life
For every 7495HF Electric Rope Shovel Cast Crawler Shoe Assurance Program enrollment, dealers must keep
on file the following documentation:
• The completed agreement between the dealer and the customer – enrollment to Caterpillar is not
required
• 7495HF Electric Rope Shovel Cast Crawler Shoe Assurance Enrollment Certificates located in the
Caterpillar Media Information Center
• 125 - inch cast crawler shoe – PEDJ0153


• Custom Track Service (CTS) shoe wear pad measurement document at the time of breakage or wear
out of the shoe - to - roller wear pad
• Customer credit invoices towards purchase of new 125 - inch cast crawler shoes
Failures during the standard machine warranty or new parts warranty periods must be filed against these warranty
programs, not against the 7495HF Electric Rope Shovel Cast Crawler Shoe Assurance Program.
Cast crawler shoe proration – The prorated 7495HF Electric Rope Shovel Cast Crawler Shoe Assurance
coverage is intended to credit the customer’s account towards the purchase of cast crawler replacement shoes.
Proration under this program varies based upon the sales date of the product. Refer to the following sections for
proration details.
The following formula calculates dealer parts reimbursement
• Dealer Reimbursement: D/N Price – (Proration % Factor x Markup)
The prorated coverage for 7495HF Electric Rope Shovel Cast Crawler Shoe Assurance is shown in Table 1, 3 & 4.
Effective for Product sold before 01JAN17

Table 1
Part Hours + Travel Adjustment Proration Percentage

(See Table 2 for travel adjustment) Factor
0 - 10,000 0%
10,001 - 11,555 10%
11,556 - 13,111 20%
13,112 - 14,666 30%
14,667 - 16,222 40%
16,223 - 17,777 50%
17,778 - 19,333 60%
19,334 - 20,888 70%
20,889 - 22,444 80%
22,445 - 24,000 90%
24,001 - up 100%
Adjustment for machine travel: Machine movement or propelling negatively affects crawler track life. The travel
adjustment is based on the propel hours from the date of shoe installation as a percent of the part hours. If the
machine propel hours from the date of shoe installation, exceeds 5% of the part hours, a travel adjustment is
applied before the prorated dealer reimbursement formula is calculated.
The travel adjustment calculation yields an hour value (if any), which is then added to the part hours in Table 1.
The travel hour adjustment is shown in Table 2.

Table 2
Propel hours from the date of shoe installation
Travel Adjustment
as a percent of the part hours
5.1% to 6.0% 4,000 hours
6.1% to 7.0% 8,000 hours
7.1% to 8.0% 12,000 hours
8.1% and up 24,001 hours - exceeds program limits
Travel Adjustment Calculation Example:
A failure occurs with 17,000 hours accumulated on the cast crawler shoes that are 3 years old. The propel hours
from the date of installation is 1,000. Therefore the propel hours from the date of installation as a percent of the
part hours is 5.9% (1,000/17,000). From this information, Table 2 shows a travel adjustment of 4,000 hours. This
travel adjustment is added to the accumulated hours on the cast crawler shoes for a total of 21,000 hours (17,000
parts hours plus 4,000 adjustment hours). Applying this to Table 1, the proration factor is 80%.
Effective for 453-2495 / 453-2496 Product sold on/after 01JAN17

Table 3
Part Hours from the shoe Propel hours from the shoe Proration Percentage Factor
installation date installation date
0 - 10,000 0 - 524 0%
10,001 - 11,555 525 - 599 10%
11,556 - 13,111 600 - 674 20%
13,112 - 14,666 675 - 749 30%
14,667 - 16,222 750 - 824 40%
16,223 - 17,777 825 - 899 50%
17,778 - 19,333 900 - 974 60%
19,334 - 20,888 975 - 1,049 70%
20,889 - 22,444 1,050 - 1,124 80%
22,445 - 24,000 1,125 - 1,199 90%
24,001 - up 1,200 - up 100%
Proration is determined by the part or propel hours, whichever would have a higher proration percentage factor.
Example 1 - A failure occurs with 12,500 hours accumulated on the cast crawler shoes that are 3 years old and
has 555 propel hours. Proration would be 20% as the Part hours results in the higher proration percentage factor.
has 785 propel hours. Proration would be 40% as the propel hours results in the higher proration percentage factor.
Dealer Reimbursement Repair Expenses – for repair expenses related to the 7495HF Electric Rope Shovel Cast
Crawler Shoe Assurance Program will be per the Summary of Reimbursement Practices Chart found below and in
accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02.
4 05.08-07 (02/19)
Effective for 535-9960 / 535-9961 Product sold on/after 01MAY18

Table 4
0 - 20,000 0 - 2000 0%
20,001 - 21,000 2,000 - 2,100 20%
21,001 - 22,000 2,101 - 2,200 40%
22,001 - 23,000 2,201 - 2,300 60%
23,001 - 24,000 2,301 - 2,400 80%
24,001 - up 2,401 - up 100%
has 2,155 propel hours. Proration would be 60% as the Part hours results in the higher proration percentage factor.
Example 2 - A failure occurs with 22,500 hours accumulated on the cast crawler shoes that are 3 years old and has
2,350 propel hours. Proration would be 80% as the propel hours results in the higher proration percentage factor.
Dealer Reimbursement Repair Expenses – for repair expenses related to the 7495HF Electric Rope Shovel Cast
Crawler Shoe Assurance Program will be per the Summary of Reimbursement Practices Chart found below and
in accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02.
7495HF Electric Rope Shovel Cast Crawler Shoe Assurance

Parts If reimbursable, reimbursed at D/N per proration.
Parts Service Charges Reimbursable, if justified in the claim story.
Cranes / Lifts Not reimbursable.
Repair Labor Not reimbursable.
Overtime Labor Rate, Salvage Labor, Travel Time
& Mileage, Meals and Lodging, Freight Charges, Not reimbursable.
Hauling Costs and Outside Repair Expenses.
Resultant damaged parts are not reimbursable and there is no labor allowance.

The following outlines the unique claim field information required. Refer to Bulletin 2.01 for additional claiming
instructions for the Expanded Cat Mining Products.
Product ID / Serial Number: Enter the Caterpillar machine serial number (S/N) for all new machine sales and
parts replacement sales OR Cross reference S/N. (Lists are found on the Caterpillar Media Information Center web
site at https://dealer.cat.com/en/ps/industry/mining/c/integration/serial-number-cross-reference.html.)
Part Causing Failure: Enter the Cat part number that caused the failure, when available.
Group number: Enter 770C.
Parts Start Date: For dealer - installed replacement parts, enter the repair date (last day of labor).
05.08-07 (02/19) 5
Parts Hr/Mi/Km: If a parts start date is entered, enter the parts hours since it was installed. (Note this number
Claim Story: In addition to complaint, cause and correction, please include the following:
(1) That the machine is enrolled in the 7495HF Electric Rope Shovel Cast Crawler Shoe Assurance Program.
(2) Enter the former Bucyrus S/N, if utilizing cross - reference S/N to submit the claim.
(3) The propel hours from shoe installation.
(4) The Custom Track Service (CTS) shoe wear pad measurement.
(5) The cast crawler shoe serial numbers.
Contact Information
Claim Settlement Help: Dealers should contact Caterpillar Electric Rope Shovel for claim settlement help such
as why the claim is not paid fully, why the claim is rejected, why the claim is partially paid, warranty coverage and
warranty parts return questions. Contact information is as follows:
• Michele Nice Phone: +1 (414) 768 - 4871
6 05.08-07 (02/19)
SERVICE
Machine
7495HR & 7495HD Electric Rope Shovel

Cast Crawler Shoe Assurance Program
79” & 84” Cast Crawler Shoes
Effective with sales to the first user between Jan. 1, 2014 and Dec. 31, 2019.
➤ Overview
The Electric Rope Shovel Cast Crawler Shoe Assurance Program, is a wear and breakage program developed by
Caterpillar specifically for the:
 79 inch cast crawler shoe (Cat part number: 453-2498/571-1452 shoe and assembled wear bushings) used
on the 7495 HR
 84 inch cast crawler shoe (Cat part number: 465-8366 shoe and assembled wear bushings) used on the
7495 HD
All other moving undercarriage components for the 7495HR or 7495HD Electric Rope Shovel undercarriage, such
as shoe connecting pins, front idlers and support shafts, lower rollers and support shafts, drive tumblers, top support
plates (where applicable), and top support rollers (where applicable) are not covered by this program.
➤ Coverage
For products sold prior to January 1, 2019 this coverage begins at the same time as the standard machine warranty or
new parts warranty term and terminates in 4 years, 16,000 part hours, or 1,000 propel hours, whichever occurs first.
For products sold on/after January 1, 2019 this coverage begins at the same time as the standard machine warranty
or new parts warranty term and terminates in 4 years, 20,000 part hours, or 2,000 propel hours, whichever occurs
first.
The coverage is prorated. (Refer to the Dealer Reimbursement section of this bulletin for details.) Coverage ends
with the stated years or hours, whichever occurs first.
Reimbursement during standard warranty is limited to reimbursement provided by that coverage. For example,
if a failure occurs during the standard warranty period, and the failure is covered by standard warranty, the claim


1
➤ Coverage Details
COVERED
 Cat part number: 453-2498/571-1452 shoe
 Cat part number: 465-8366 shoe
 Breakage of the cast crawler shoe resulting from a defect in material or workmanship
 Premature wear out of shoe-to-roller wear pad on the cast crawler shoe
NOT COVERED
 Shoe connecting pins, front idlers and support shafts, lower rollers and support shafts, drive tumblers,
top support plates for the track (where applicable), top support rollers for the track (where applicable)
 Shoe damage caused by neglected trimming of any material flow or extrusion of the shoe wear pad
surface causing shoe-to-shoe interference
 Wear of the shoe bushings or retention of the shoe bushings, which are maintenance items
 Pitch extension of the cast shoe track joints causing wear from the normal motion of the track
 Accelerated wear of the shoe-to-roller wear pad caused by improper setting of the track sag (track that
is too tight)
 Shoe damage caused by improper maintenance (grading or leveling) of the operating floor surface
 Shoe damage caused by dipper strikes of the bucket against the shoes
 The 79 inch or 84 inch cast crawler shoes can be enrolled without prior Caterpillar approval.
 All new undercarriage components must be installed as a system, including the shoes, connecting pins,
idlers and support shafts, lower rollers and support shafts, tumblers, top support plates for the track
(where applicable), top support rollers for the track (where applicable)
 The machine must have a functioning hour meter.
 The machine must have a functioning hour meter installed for the machine propel system.
 Effective with machine or parts sales on or after January 1, 2019, machines must be enrolled into Cat
Wear Management System® with CTS Pro to be qualified for Undercarriage Assurance
 Enrollment must be completed prior to repairs being performed.
 CTS inspections must be completed every 6 months and recorded in CTS Pro. Maintenance activities
must be performed as a result of the inspections to maximize component life.
For every 7495HR or 7495HD Electric Rope Shovel Cast Crawler Shoe Assurance Program enrollment, dealers
must keep on file the following documentation:
 The completed agreement between the dealer and the customer – enrollment to Caterpillar is not
required
 7495HR or 7495HD Electric Rope Shovel Cast Crawler Shoe Assurance Enrollment Certificate located
in the Caterpillar Media Information Center 79 inch and 84 inch cast crawler shoe – PEDJ0159
 Customer invoice of original machine or replacement parts sale
 Custom Track Service (CTS) shoe wear pad measurement document at the time of breakage or wear
out of the shoe-to-roller wear pad
 Customer credit invoices towards purchase of new 79 inch cast crawler shoes (where applicable) or new
84 inch cast crawler shoes (where applicable)
programs, not against the 7495HR or 7495HD Electric Rope Shovel Cast Crawler Shoe Assurance Program.

Cast crawler shoe proration – The prorated 7495HR or 7495HD Electric Rope Shovel Cast Crawler Shoe
Assurance coverage is intended to credit the customer’s account towards the purchase of cast crawler
replacement shoes. Proration under this program varies based upon the sales date of the product. Refer to the
following sections for proration details.
 Dealer Reimbursement: D/N Price – (Proration % Factor x Markup)
The prorated coverage for 7495HR or 7495Hd Electric Rope Shovel Cast Crawler Shoe Assurance is shown in
Table 1, 3 & 4:
Effective for Product sold before 01Jan17

Table 1
Part Hours + Travel Adjustment Proration Percentage
(See Table 2 for travel adjustment) Factor
0 – 10,000 0%
10,001 – 10,667 10%
10,668 – 11,333 20%
11,334 – 12,000 30%
12,001 – 12,667 40%
12,668 – 13,333 50%
13,334 – 14,000 60%
14,001 – 14,667 70%
14,668 – 15,333 80%
15,334 – 16,000 90%
16,001 - up 100%
Adjustment for machine travel: Machine movement or propelling negatively affects crawler track life. The travel
adjustment is based on the propel hours from the date of shoe installation as a percent of the part hours. If the
machine propel hours from the date of shoe installation, exceeds 5% of the part hours, a part hour adjustment is
applied before the prorated dealer reimbursement formula is calculated.
The travel adjustment calculation yields an hour value (if any), which is then added to the part hours in Table 1.
The travel hour adjustment is shown in Table 2:
Table 2
Propel hours from the date of shoe installation
Travel Adjustment
as a percent of the part hours
5.1% to 6.0% 1500 hours
6.1% to 7.0% 3000 hours
7.1% to 8.0% 4500 hours
8.1% and up 16,001 hours – exceeds program limits
An example is given as to how the travel adjustment is applied to the cast crawler shoe proration:
A failure occurs with 12,000 hours accumulated on the cast crawler shoes that are 2 years old. The propel hours
from the date of installation is 650. Therefore the propel hours from the date of installation as a percent of the part
hours is 5.4% (650/12,000). From this information, Table 2 shows an hour adjustment of 1,500 hours. This hour
adjustment is added to the accumulated hours on the cast crawler shoes for a total of 13,500 hours (12,000 parts
hours plus 1,500 adjustment hours). Applying this to Table 1, the proration factor is 60%.

➤ Effective for Product sold on/after 01Jan17 - 31DEC18

Table 3
0 - 10,000 0 - 549 0%
10,001 - 10,667 550 - 599 10%
10,668 - 11,333 600 - 649 20%
11,334 - 12,000 650 - 699 30%
12,001 - 12,667 700 - 749 40%
12,668 - 13,333 750 - 799 50%
13,334 - 14,000 800 - 849 60%
14,001 - 14,667 850 - 899 70%
14,668 - 15,333 900 - 949 80%
15,334 - 16,000 950 - 999 90%
16,001 - up 1,000 - up 100%
has 555 propel hours. Proration would be 40% as the part hours results in the higher proration percentage factor.
785 propel hours. Proration would be 50% as the propel hours results in the higher proration percentage factor.
➤ Effective for Product sold on/after 01JAN19

Table 4
0 - 15,000 0 - 1,500 0%
15,001 - 16,000 1,501 - 1,600 75%
16,001 - 17,000 1,601 - 1,700 80%
17,001 - 18,000 1,701 - 1,800 85%
18,001 - 19,000 1,801 - 1,900 90%
19,001 - 20,000 1,901- 2,000 95%
20,001 - up 2,000 - up 100%
Dealer Reimbursement Repair Expenses - for repair expenses related to the 7495HR or 7495HD Electric
Rope Shovel Cast Crawler Shoe Assurance Program will be per the Summary of Reimbursement Practices
Chart found below and in accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02.

7495HR or 7495HD Electric Rope Shovel Cast Crawler Shoe Assurance

Service Items Reimbursable at D/N, if made usable
Cranes / Lifts Not reimbursable
Repair Labor Not reimbursable
Overtime Labor Rate, Salvage Labor,
Travel Time & Mileage, Meals and Lodging,
Not reimbursable
Freight Charges, Hauling Costs and
Resultant damaged parts are not reimbursable at Dealer Net, no labor allowance.
parts replacement sales OR Cross reference S/N (Lists are found on Caterpillar Media Information Center web
site at https://dealer.cat.com/en/ps/industry/mining/c/integration/serial-number-cross-reference.html.)
Group number:
• Enter 771R For products sold prior to 01JAN19
• Enter 77A1 For products sold on/after 01JAN19
Parts Start Date: For dealer-installed replacement parts, enter the repair date (last day of labor).
(1) That the machine is enrolled in the 7495HR or 7495HD Electric Rope Shovel Cast Crawler Shoe
Assurance Program
(2) Enter the former Bucyrus S/N, if utilizing cross-reference S/N to submit the claim
(3) The propel hours from shoe installation
(4) The Custom Track Service (CTS) shoe wear pad measurement
(5) The cast crawler shoe serial numbers
Contact Information
Claim settlement help: Dealers should contact Caterpillar Electric Rope Shovels for claim settlement help. This
includes why the claim is not fully paid, why the claim is partially paid, why the claim is rejected, any additional
standard warranty or Undercarriage Assurance questions, and any parts returns questions. Contact information
is as follows:
 Michele Nice Phone: +1 (414) 768-4871

SERVICE
Machine
Gold Program
Overview
Undercarriage Assurance Gold is a leakage and breakage programs developed by Caterpillar for specific
undercarriage components on certain track-type machines with steel track. The program is primarily designed to
assure users of structural integrity and sealability.
It is used by dealers, when necessary, to obtain new machine or parts sales by offering product support
Coverage Details
Undercarriage Assurance - Gold Coverage
Coverage Coverage Coverage
Program In Years1 In Hours1 In Percent Worn1
Gold2 4 6,000 100%
2 The Gold program only covers D11 Sleeve Bearing Link Assemblies, including link assemblies contained within
the Made-to-Order track group program. Other D11 components, including track shoes, sprockets, track rollers,
carrier rollers, track idlers, and hardware for tracks and sprockets, are covered under the Genuine program.
This coverage only applies after all other applicable coverages for the failed component have expired (i.e.

• New Cat machines and replacement undercarriage on Cat or competitive-brand track-type tractors
• Undercarriage covered: D11 Sleeve Bearing Link Assemblies
• Loosening or breakage of factory-installed track shoe and sprocket hardware (nuts and bolts)
➤ 05.10-07 (09/19)

1
• During a normal bushing turn, on sealed and lubricated track, link assembly components that are ordinarily
Parts) - specifically includes bushings with end grooving that exceed reuse guidelines
• When dry joints are repaired outside a normal bushing turn, in addition to failed components (pins,
bushings, sleeve bearings, thrust rings, links and/or master links), normal maintenance parts are
reimbursable - this includes hardware, oil, seals, stoppers, plugs, and thrust rings used to make the repair
• Oil leaks and breakage on dealer rebuilt rollers (reshelled) and rebuilt idlers (reshelled, resealed or welded)
• Severe heavy link spalling that affects 30% or more of a link rail surface
• Program coverage continues after bushing turns, provided the turn is performed within the applicable
coverage period - the coverage period DOES NOT start over after the bushing turn
• NEXUS™ Undercarriage
• SystemOne™ Undercarriage - see Bulletin 5.02 for coverages
• General Duty Undercarriage - see Bulletin 5.05 for coverages
• Genuine and Classic Undercarriage - see Bulletin 5.01 for coverages
• Rebuilt (welded wear surfaces) track rollers
Number-M0096345
• D10N/R/T & D11N/R/T Master Joint on link assemblies and track groups containing 5-tooth master links
• Effective with machine or parts sales on or after January 1, 2018, machines must be enrolled into either CTSi or
Cat Wear Management System® with CTS Pro to be qualified for Undercarriage Assurance.
• Enrollment must be completed prior to repairs.
Exception: If a component is replaced within the Undercarriage Assurance coverage period AND the customer
pays a proration amount of 25% or more of the component markup, then the Undercarriage Assurance coverage
period starts over for that component. The New Parts Warranty does not apply to components replaced under
this exception.
track group. If the parts label is missing or damaged, the install-by date is four years past the assembly
2 05.10-07 (09/19)
 The completed agreement between the dealer and the customer - enrollment to Caterpillar is not required
 Undercarriage Assurance Enrollment Certificates are located in the Sales Library
• Gold: PEDJ0005, PFDJ0005, PGDJ0005, PSDJ0005
 Custom Track Service (CTS) report at the time of breakage or leakage
 Customer credit invoices
shoe, idler, and/or track shoe or sprocket hardware
thrust rings, roller shells, idler shells, and/or shafts
• Caterpillar reimbursement to dealer = D/N Price - (% Worn x (Markup))
on the track link percent worn. For undercarriage where the expectation is NOT to turn bushings, but to replace
the undercarriage when the bushings are worn out, the proration of the link assembly is based on the most worn
component (bushing or track link).
The maximum amount of Caterpillar’s reimbursement to the dealer is determined by the least costly method.
Any link assembly with 80% or greater link wear must be replaced and not repaired.
Example 1: D11T not at bushing turn time has 2500 hours and link wear is 30%. 3 joints are dry. Dealer Net
Price of link assembly is $25,000.
• Replace: Dealer Reimbursement = $25,000 - (30% x (1.36 x $25,000)) = $14,800
• Repair: Dealer Net Price of repair parts plus D&A labor = $2,000.
• Maximum amount of Caterpillar’s reimbursement to dealer = $2,000
damaged and cannot be reused. Dealer Net Price of link assembly is $25,000.
• Repair: Dealer Net Price of repair parts plus D&A labor = $27,000
OK and can be reused. Track repair can be made with new pins, bushings, and seals. Dealer Net Price of
link assembly is $25,000.
• Repair: Dealer Net Price of repair parts plus D&A labor = $9,000
• Repair is the least costly method
• The decision to repair or replace in this situation should be discussed between the dealer and the customer
to determine the best overall value for the customer.
05.10-07 (09/19) 3

Removal & Installation (R&I) Labor, Overtime Labor Rate,
Salvage Labor, Travel Time & Mileage, Meals & Lodging, Not reimbursable.
Freight Charges, Hauling Costs and Outside Repair Expenses
Table 1
Component Coverage - Gold
Undercarriage Repair/Replace Description Reimbursement Claim Group No.
Component Amount
Track Link Repaired - due to seal leaks 100% Parts at D/N* Gold 774E
Assemblies or failed pins, bushings, thrust 100% D&A Labor*
rings, or links.
Repaired - same as above but 100% Parts at D/N* Gold 774E
at bushing turn time, with less No Labor
than 80% link wear.
Replaced - if more economical Prorated Parts* Gold 774F
Dealer reimbursement repair expenses - for repair expenses related to these Undercarriage Assurance Programs
will be per the Summary of Reimbursement Practices chart and per Table 1, in accordance with reimbursement
practices as outlined in Bulletin 1.02, per the exceptions listed on page 4, and with the applicable warranty statement
at https://warranty.cat.com/currstmts.
4 05.10-07 (09/19)

sales.
• Competitive machines - For parts replacement sales enter 99Z00015.
Group Number – Enter appropriate group number - reference Component Coverage information in Table 1 on page 4.
Parts Hr/Mi/Km – If a parts start date was entered, enter the part hours since it was installed. (Note this number
should be less than the number entered in the Product SMU (Hr/Mi/Km) field.)
Claim Story - In addition to complaint, cause and correction, include the following:
For the Gold Program:
1. Information indicating that the machine is enrolled in the Program for SBT
5. The machine serial number on which the link assemblies are installed
6. Information about whether or not the repair was done during bushing turn time for repairs to track
link assemblies, as this will indicate if Caterpillar or the customer is responsible for the D&A labor
05.10-07 (09/19) 5
SERVICE
EXTENDED COVERAGE USA and Canada
Machine
Structural Components (Booms and Sticks)

Assurance Program for MH3000 Series
Material Handlers
Material Handlers models (MH3037, MH3049, MH3059)
sold to end user between 01 Jan 2013 and 31 Dec 2016
Overview
The Structural Components Assurance Program for certain MH3000 Series Material Handlers is a specific
merchandising program developed by Caterpillar for MH3037, MH3049, MH3059 models sold to end users
between 01 Jan 2013 and 31 Dec 2016.
To reinforce confidence in MH3000 Series Material Handler structures Caterpillar is offering assurance coverage
to structures for 36 months or 10,000 hours, whichever occurs first. This coverage begins at the same time as
the original equipment’s “Standard Warranty” term and terminates in 36 months or 10,000 hours, whichever
occurs first.
This coverage applies only to booms and sticks, listed by part number, that were installed at the time of
manufacture.
Please see page 3 to reference the Component Coverage Chart showing the specific part numbers by model
that are included under this coverage.
Participation Guidelines
• The failure must be documented and repaired by a Caterpillar dealer.
• This coverage is applicable for repairs on or after 01 Sept 2014.
• This coverage only applies after all other applicable coverages for the failed component have expired.
coverages.


1
• Refer to Bulletin Number 1.16 for Service Letter claiming practices involving product covered by other
coverages.
Examples:
• If this unit has an Extended Coverage offered by Cat Financial Insurance Services that covers the failed
component, then the failure should be filed under Cat Financial Insurance Services.
Dealer reimbursement for repair expenses related to the Material Handler Structural Components Assurance Program
will be per the Summary of Reimbursement Practices chart found below, in accordance reimbursement practices as
Material Handler Structural Components Assurance Program

Overtime Labor Rate, Shop Supplies, Meals
& Lodging, Freight Charges, Hauling Cost Not reimbursable
and Value Added Tax

The following is the only unique claim field information that is required when submitting a Material Handler
Structural Components Assurance Program claim:
Group Number - Enter special component code (Code 770D).
Claim Story - In addition to the usual description of the complaint, cause, correction and complications the claim
• Structural Components Assurance Program claim.
• The machine application and worktool(s) specification(s) must be noted.

The Material Handler Structural Components Assurance Program does not cover the following:
preventative maintenance as specified in the machine O&M Manual.

Caterpillar: Confidential Green Bulletin No. 5..11

limited to the servicing, adjusting and/or replacing of specified components.
for repair.

Wear-out and/or deterioration are not covered by the Material Handler Structural Components Assurance Program.
The Material Handler Structural Components Assurance Program covers only the repair or replacement of
the failed component and any resultant-damaged parts. Other parts removed in the process of repair will be
reinstalled as is, unless the customer authorized the additional cost for their account.
Material Handler Structural Components Coverage Chart

Reference the charts below for covered parts.
Serial Serial
Model Structure Group No. PartNo. Model Structure Group No. Part No.
Prefix Prefix
MH3037 KPM BOOM 436-4278 395-5260 MH3037 KPM Stick 436-4329 395-5261
436-4357 395-5634
Serial Serial
Prefix Prefix
MH3049 HPB BOOM 395-9410 395-9329 MH3049 HPB Stick 395-9411 395-9359
Serial Serial
Prefix Prefix
MH3059 RBR BOOM 395-7565 395-7170 MH3059 RBR Stick 395-7571 395-7176
05.11-01 (02/16) 3
4 05.11-01 (02/16)
SERVICE
EXTENDED COVERAGE USA & Canada
Machine
Wheel Loader Structural Components

Assurance Program
For Front Frame, Rear Frame and Lift Arm
Applicable to new 986H, 988K, 990K models sold to end user between Sept.1, 2015 and Aug. 31, 2016
Overview
The Structural Components Assurance Program for certain Wheel Loader models is a specific merchandising
program developed by Caterpillar for machines sold to end users in the USA or Canada between Sept. 1, 2015
and Aug. 31, 2016. This program reinforces customer confidence in wheel loader structures and is used by
Cat® dealers, when necessary, to obtain new machine sales by offering product support enhancements. This
additional product support offering goes beyond the Standard New Machine Warranty. Repair expenses
pertaining to this VA coverage are shared between Caterpillar and the customer.
Subject to the limitations of this program, Caterpillar assures that Front Frame, Rear Frame and Lift Arm
components will remain repairable for the following terms:
 986H - 84 months / 20,000 hours (whichever occurs first)
 988K - 84 months / 20,000 hours (whichever occurs first)
 990K - 84 months / 26,000 hours (whichever occurs first)
Note: This program applies only to covered components that were originally installed by Caterpillar at the time of
machine manufacture. The term of the program begins at new machine delivery date, however coverage applies
only after all other applicable coverages for the failed component have expired.
 Reimbursement during Standard Warranty or EPP period is limited to reimbursement provided by those
coverages.
 Service Letter repairs must be claimed under the appropriate PIP/PSP, reimbursement is limited to
provision of the service letter program allowances.
 Claims during Standard Warranty, EPP or Service Letter terms must be submitted against those
coverages.
 Machines can be enrolled by Cat dealers without prior Caterpillar approval
 The machine must have a functioning hour meter


1
 The machine must be enrolled in Cat EM Solutions Level 3 – 5

 Enrollment is available only at time of new machine sale
Enrollment Documentation
 Dealer must provide the customer a certificate describing the coverage they are offering
 Enrollment Certificates are located in the Sales Library – media # AEXQ1833
 Dealer must keep signed copy of certificate on file
 Dealer must enter a SIMS record on the machine serial number
 Enter comment; “VA Enrollment” and upload a copy of customer/dealer signed certificate
 Machine is operated and maintained in compliance with the Caterpillar Operation & Maintenance Manual
for the product.
 Documented periodic inspections of covered components by a Cat dealer at 500 hour intervals, in
compliance with Special Instruction SEHS0270.
 Cracks found during inspection are repaired by a Cat dealer before machine is returned to service, in
compliance with General Welding Procedures REHS1841.
 Detailed photographs of any claimable defects will be required via SIB.
Coverage Details
This merchandising program coverage assures customers that the Front Frame, Rear Frame and Lift Arm
components will remain repairable for specified terms. If it is determined by Caterpillar that a covered component
is not weld repairable during the term, subject to customer and dealer fulfillment of “Participation Requirements”,
Caterpillar will provide a replacement component. Expense for labor to install replacement components is the
customer’s responsibility.
Note: All expense to inspect, weld repair cracks found during inspection, replace sub-components of the Front
Frame, Rear Frame or Lift Arm (such as cross members or individual castings) as necessary, is the customer’s
responsibility.
Dealer reimbursement for repair expenses related to this merchandising program is per the Summary of
Reimbursement Practices chart below.
Wheel Loader Structural Components Assurance Program

Parts (covered major component only) Reimbursable at D/N
Repair Labor Not Reimbursable
Outside Repair Expenses Not Reimbursable
Travel Time & Mileage Not Reimbursable
Overtime Labor Rate, shop Supplies, Meals and Lodging,
Not Reimbursable
Freight Changes, Hauling Cost and Value Added Tax
2 05.12-00 (11/15)
Caterpillar: Confidential Green Bulletin No. 5..12

The following is the only unique claim field information that is required when submitting a Wheel Loader
Structural Components Assurance Program claim:
Coverage Type - Leave blank.
Group Number - Enter special SMCS Code 770J.
 State in the first line of story the following:
 Structural Components Assurance Program claim.
 The machine application and work tool(s) specification(s) must be noted.

The Wheel Loader Structural Component Assurance Program does not cover the following:
 Operator abuse or neglect, including but not limited to the failure to perform any recommended preventive
maintenance as specified in the machine O&M Manual.
 Applications not approved by Caterpillar.
 Damage resulting from improper/poor maintenance weld repairs, lack of lubrication, lack of inspections,
 Improper use or abuse of machine or component.
 Operation beyond the design and/or capacity of the machine or component.
 Wear-out and normal deterioration in the performance, including but not limited to seal leaks.
 Chemical corrosion and physical or mechanical erosion of the parts.
 Modifications, unless the modifications were authorized at the request of Caterpillar, and performed at an
 Operating at performance settings other than the standard Caterpillar specification.
 Accelerated wear-out of components due to operating technique or application.
 Physical damage.
 Any repairs if the service meter has been stopped or altered or misrepresents the equipment’s actual
usage.
 Acts of war, vandalism, riot, theft, explosion, collision, fire and/or any other act of nature, person or vermin.
 Operating equipment with modified or improper implements.
The customer is responsible for assuring all recommended preventive maintenance is performed at the specified
service intervals as described in the Caterpillar Operation & Maintenance Manuals. Preventive maintenance
includes, but is not limited to the servicing, adjusting and/or replacing of specified components.
for repair.
05.12-00 (11/15) 3
4 05.12-00 (11/15)
SERVICE
Machine & Engine
Reuse and Salvage Assurance Program

Overview
This bulletin provides information on the program coverage, qualification process, dealer reimbursement, and
claiming instructions for the Reuse and Salvage Assurance Program.
➤ Program Coverage
This program covers reused or salvage part replacement and resultant damage when the reused or salvaged
part is the part causing failure. This applies to major components (engine, transmission, final drive, etc.) and
sub-components (turbo, cylinder head, etc.) rebuilt by a dealer technician trained on the Caterpillar Reuse
and Salvage processes and inspected, measured, and tested based on the Caterpillar Reuse and Salvage
Guidelines.
The program is for 12 months and begins on the date of installation of the reused or salvaged part.
The repair completed should bring the component back to the condition immediately prior to the failure. The
parts replaced in the repair are covered for the remainder of the assurance period on the original reuse and
salvage part and does not “restart” the warranty period. The warranty on such parts cease when the assurance
period expires for the original repair.
Note: Reused parts that do not have a published Reuse and Salvage guideline are not eligible for this Reuse
and Salvage Assurance Program. Cat Classic™ and Yellowmark® parts are not covered under this Assurance
Program.
Qualifications
In order to qualify for the Reuse and Salvage Assurance Program, the following must apply:
 The qualification process has been completed and approved; and
 Caterpillar’s Reuse and Salvage Guidelines were utilized by the dealer technician in the original rebuild.
Qualification Process
Please refer to https://dealer.cat.com/en/ps/repair-options/c/dealer-implementation.html for the Reuse &
Salvage Assurance Program - Dealer Qualification Process located under the Dealer Capability Tab.


1
Dealer reimbursement for repair expenses related to the Reuse and Salvage Assurance Program is per the
Summary of Reimbursement Practices chart found below.

Parts Parts at D/N
Major castings and structures (engine blocks, cylinder head castings,
transmission cases, structural frames, etc.) damaged due to reused Reimbursable at 33% of D/N
or salvage part failures
Overtime Labor Rate, Travel Time and Mileage, Meals and Lodging,
Not reimbursable
Hauling Costs, Shop Supplies, Freight Charges and Value Added Tax

The following outlines the unique claim field information required for Reuse and Salvage Assurance Program claims.
Serial Number Enter 99Z00091
Comments/Findings Enter only the Serial Number of the Prime Product.
Enter the hours on the reuse and salvage part, since the original repair date. This number
Parts/Hr/MI/Km
should be less than the number entered in the Product SMU field.
Start Date Enter the last day of labor for Cat dealer performed repairs.
Part Causing Failure Enter the part number of the failed reused or salvaged part.
Group Number Enter the 7-digit group number.

In addition to the usual complaint, cause, and correction and, if applicable, complication, the
claim story must contain the following:
 Indicate “Reuse and Salvage Assurance Program” in the first line of the claim story to
ensure the claim is processed correctly.
 Indicate the date of the original repair, and work order number.
Claim Story  Indicate if the part is a major casting or structure and include the part number.
 List the media number of the Caterpillar Reuse and Salvage Guideline referenced in the
original repair and the details of the reuse and salvage decision, including measurements
of the failed part selected for reuse – when applicable based on the guidelines.
 Name and contact information of the Technical Communicator (TC) or Service Manager.
Note: Additional failure information related to repair must be retained and available upon request to
Caterpillar. Refer to bulletins 1.03 and 4.03 for additional information.
2 05.13-04 (12/17)
SERVICE
Machine
Armored Face Conveyors,

Beamed Stageloaders,
Roof Supports, Shearers, Plows
Used in Longwall Mining Applications
Overview
This Caterpillar merchandising program is for Caterpillar and dealer use, when necessary, to obtain new machine
sales for Armored Face Conveyors, Beamed Stageloaders, Roof Supports, Shearers, and Plows used in longwall
mining applications. For these design-to-order machines, this wear and performance program assures that new
machines will conform to certain performance and component life specifications designated by Caterpillar and
pertaining to specific new machine sales agreements.
The program does not cover replacement of parts due to wear or machine performance that has been degraded
due to modification, neglect or product use that is not approved by Caterpillar.
Value assurance is not an extension of Cat® machine warranty. This program does not cover defects in material
or workmanship, and therefore, no resultant damage. It is designed to be a Caterpillar supported wear and
performance dealer program to enhance new machine sales opportunity.
Enrollment of machines in this program may be initiated by Caterpillar or dealer, however is available only at the
time of new machine sale to first user. Coverage is not transferable to subsequent users. For units enrolled in
this program, coverage begins at the date of new machine delivery to customer and expires after specified tons/
terms/cycles have been produced. This program does not apply to replacement part sales.
This coverage may be applied during or after standard warranty period, limited to the terms of machine sales
contract. Special claiming requirements are provided in other sections of this bulletin.
All parts replaced under this program become the property of Caterpillar Inc.
Parts replaced under this program are covered for the remaining term of the original failed part.
Note: The coverage does not start over for replaced parts.
Covered Components
Covered components and applicable terms are defined within specific machine sales contracts and may include
various combinations of the following machine components.
➤ 05.14-00 (05/16)

1
Armored Face Conveyors:

 Drive frames
 Line Pan PF3, PF4, PF5, PF6 & PF7
 Line Rack Bars
 Shafts Assembly
 Gearboxes (excluding bearings, seals and cooler)
 Sprockets
 Face End & Re-routing Pans
Beamed Stageloaders:
 Stageloader - Drive Frames
 Stageloader - Shaft Assembly
 Stageloader - Fixed Structure (convex, concave, straight)
 Stageloader - Gradient Pan
 Stageloader - Mini Pans
 Stageloader - Gearbox (excluding bearings, seals and cooler)
 Crusher - Structure
 Crusher - Rotor & Bearing
 Crusher - Gearbox (excluding bearings, seals and cooler)
Roof Supports:
 Structural Steel Fabrications
 Hydraulic cylinders
 Hydraulic valves
 Electro-Hydraulic components
Shearers:
 Mainframe Structure
 Major Electrical Unit Structure
 Ranging Arms
 Haulage Gearbox
 Downdrives & Gears
 Hydraulic Pump
 Hydraulic Valves
 Hydraulic Cylinders
 Main Transformer
 Electrical Control
 AC Drives
 Cutter Drums
 Skid and Trapping Shoes Inserts
 Haulage Sprockets
Plows:
 All major components; excluding Plow Chain, Chain Connectors, Pulling Sledge, Motors, Electronic
Components (PMC-D/-D20/-V/-R)
 Caterpillar authorization for use and details of coverage.
 The machine sales contract must define specific machine performance criteria, components, and terms
of this coverage that goes beyond standard machine warranty.
 Repairs must be documented and completed by a dealer.
 Dealer must bear the expense of repair labor, may not pass repair labor expense to customer.
2 05.14-00 (05/16)
 SIMS entries are also required for EVERY intervention and repair – and for replacement of covered
components that reach the applicable Component Life Term, even though a claim will not be filed. This
includes situations when the dealer is notified of replacements completed by the customer.
 Applied Failure Analysis (AFA) reports are required and must be available upon request to Caterpillar.
Where applicable, the AFA reports should include photos to better explain and/or capture/document the
failure information.
Enrollment
 Dealers initiate enrollment by obtaining agreement from the Caterpillar product group.
 Following Caterpillar and dealer agreement of terms (via the Customer Sales Contract), the product group
will forward authorization and detail to Global Warranty for entry into the Caterpillar Coverage Verification
System.
 Following enrollment, coverage and reimbursement details will be accessible in Caterpillar’s on-line
coverage verification system (Claimsi https://claims.cat.com).
Expense reimbursement is considered only when the part causing failure is a component covered by this VA program.
Dealer reimbursement for repair expenses related to this VA program will be per the Summary of Reimbursement
Practices chart found below and in accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02.
Armored Face Conveyors, Beamed Stageloaders,

Roof Supports, Shearers, Plows
Value Assurance Summary of Reimbursement Practices
Parts Reimbursable at D/N or prorated per individual sales contract.
Repair Labor Not Reimbursable.
Parts Salvage Labor Reimbursable at warranty cost labor rate, if justified.
Travel Time & Mileage Not Reimbursable.
Overtime Labor Rate, shop Supplies,
Meals and Lodging, Freight Changes, Not Reimbursable.
Hauling Cost and Value Added Tax

The following outlines unique claim field requirements when submitting claims under this value assurance program.
Product ID / Serial Number - Enter the prime product serial number.
Part Causing Failure –
• Enter the Cat part number (PN) that caused the failure, when available.
Group Number - Enter SMCS code 770K.
Product Hours/Miles/Kilometers
• Enter the machine/engine hours/miles/kilometers.
05.14-00 (05/16) 3
Comments/Findings - When using a substitute part number, enter the legacy Bucyrus part number causing failure
as follows “BU_ Legacy Bucyrus PN” (Example: BU_ 400879).
• Repairs may contain a mix of Cat and legacy Bucyrus part numbers. To claim expenses when Cat part
numbers are not available use a “parts summary expense line” OR “miscellaneous expense” to combine on
a single expense line of all of the claimed parts.
• Parts summary line and miscellaneous expense “Total” field has an 8 position limit (999999.99) and the
“Rate” field has a 7 position limit (99999.99). The parts summary lines can be repeated, as needed, up to 9
times and miscellaneous expense lines can be repeated, as needed, up to 48 times to achieve the total claim
amount. Take into consideration parts uplift and currency exchange to determine the part summary line and
miscellaneous expense amount.
• Cat part numbers:
• When Cat part numbers are available, claim Cat PN on a detail line
• Legacy Bucyrus part numbers
• Parts summary expense lines:
• Part uplifts (including T&I) are applied to part summary expense lines. Do NOT submit a separate
expense for parts uplifts when utilizing the part summary expense line.
• Enter NUDF in the “Description” field
• Miscellaneous expense lines:
• Part uplifts (including T&I) are NOT applied to miscellaneous expense lines. Therefore a separate
miscellaneous line needs to be submitted for T&I and other parts uplifts.
• Enter in the “Description” field:
Claim Story – In addition to complaint, cause, correction and complication, include the following information:
• State in the first sentence of the claim story the following:
• Longwall Wear and Performance Program Claim.
• List serial numbers for components included in the repair.
• For Service Letter issued via the legacy Bucyrus process, provide the Service Letter identifying program
number or name.
• Include tons for products measuring warranty term in tons.
4 05.14-00 (05/16)
SERVICE
Extended Coverage NACD (U.S. and Canada)
Machines
Value Assurance Level 2
There are two levels of Value Assurance, Level 1* and Level 2. This bulletin only addresses Value Assurance
Level 2 practices and procedures. Value Assurance Level 2 may be referenced either as VA2 or VL2, which are
one in the same.
* The Value Assurance I, VA1 & VL1 Merchandising Program was discontinued Dec. 31, 2005.
Overview
Value Assurance Level 2 requires Caterpillar authorization prior to any machine enrollment sold on/or after
September 1, 1999.
Note: For large mining machines sold on/or after September 1, 1999, the only Value Assurance coverage available
is Level 2.
Value Assurance Level 1 and Level 2 are Caterpillar merchandising programs for dealer-sold product. Dealers use
these programs, when necessary, to obtain new machine sales by offering extended coverage enhancements. They
provide to the customer added product value through additional extended coverage offerings, beyond standard Cat®
machine warranty. Caterpillar will pay for parts, the dealer is responsible for labor costs. Labor must be supplied by
the dealer in order for Caterpillar to participate in the repair reimbursement.
Value Assurance is not an extension of standard Cat machine warranty. It is designed to be a Caterpillar-
supported dealer program.
There are no published VA2 extended coverage offerings. VA2 coverage can be virtually any type of extended
coverage offering that the dealer and Caterpillar agree to provide. Coverage can be a combination package of
several individual coverages.
Typically VA2 is an extension of a VA1 Dealer extended coverage. There are also additional dealer extended
coverages available under VA2 for components such as hydraulics or electrical. Under any VA2 Dealer extended
coverage for components on machines, Caterpillar will reimburse the dealer for parts only if the failure was determined
to be caused by defect in material or workmanship. The dealer is responsible for reimbursement of labor. Dealers
can purchase insurance for certain extended coverages offerings through Cat Financial Insurance Services, which
reimburses dealers for reasonable labor.
At the point of VA enrollment, S·O·SSM sampling must begin at the first recommended interval and continue throughout
the remainder of the VA Coverage.


1
Enrollment
To start the enrollment process and obtain the required approvals, use the form on the Global Warranty website at
https://warranty.cat.com/wtyforms. Make sure all required fields are populated.
Enrollment of machines in VA2 requires approval from Caterpillar sold on/or after September 1, 1999.
After receiving written Caterpillar approval, enrollment registration is then completed by Caterpillar. Enrollment in
VA2 must be done at the time of sale. Dealers must keep on-file a copy of the customer signed Dealer Extended
Agreement or Services / Guarantee Agreement, for verification if requested by Caterpillar.
VA2 Coverage Period

The stated coverage period for all VA2 coverage options starts from the product delivery date, since it includes
the standard warranty period. Coverage under VA2 expires when the length of time and/or usage limit is reached,
whichever occurs first.
Dealer Expense Reimbursement

For expense reimbursement under dealer extended agreements, the part causing the failure must be a component
covered by the applicable VA2 coverage.
The reimbursement allowance and rate practices for various dealer expenses can vary for each VA2 coverage,
depending on the dealer agreement with the local Caterpillar District Office. Since expense reimbursement practices
vary for VA2 coverages, dealers must view the coverage / reimbursement details in Caterpillar’s on-line coverage
verification system (Claimsi https://claims.cat.com).
If the coverage verification screen information does not indicate otherwise, the expense reimbursement allowance and
rate practices for VA2 apply, as outlined below:
For dealer reimbursement under Value Assurance, the part causing the failure must be a component covered by the
applicable VA2 coverage option.
The following outlines the specifics for various dealer repair expenses associated with VA2 repairs. Some of these
repair expenses are dealer reimbursable from Caterpillar, and others are not.
Parts
All parts needed to correct the defect, including gaskets, seals, salvage materials, and any resultant damaged Cat
parts are dealer reimbursable at the Dealer Net (D/N) price in effect on the date of repair.
The replacement parts or components may be either new, remanufactured, or Caterpillar approved repaired, at
Caterpillar’s choice. When there is a Caterpillar remanufactured part offered that is at standard dimensions, dealers
must always use the remanufactured part.
For an emergency Class 1 Parts Order (warranty with machine down) of a remanufactured part that is not-in-stock,
the dealer will be shipped the equivalent new part and invoiced at the remanufactured price, plus the standard core
charge. This Parts Department practice is not applicable for major components (i.e. engines, transmissions).
Parts reimbursement includes only those Cat parts needed to restore the product to its operating condition just prior to the
Value Assurance covered failure. t does not include reimbursement for parts to restore the product to a like-new condition.
Service Items
Lubricants, filters, antifreeze, and other service items made unusable due to contamination by the failure are dealer
reimbursable. Such items are reimbursed at the Dealer Net (D/N) price in effect on the date of repair. Service items not
affected by the failure, which are replaced in the normal course of the warranty repair are not dealer reimbursable.
Repair Labor
The dealer is responsible for all repair labor. This includes labor to inspect, test, diagnose, remove, disassemble,
clean, assemble, and install.
The dealer may internally accumulate their labor, but not transfer the costs to any other insurance program. If it is
determined that the dealer is not meeting the provisions of the VA program any parts reimbursed by NACD for the
dealer extended VA coverage, will be debited back to the dealer.
2 05.16-04 (03/16)
Parts Salvage Labor

Parts salvage labor is dealer reimbursable, if the Caterpillar part can be satisfactorily repaired for a cost that does
not exceed 50% of the Dealer Net (D/N) price for a new or remanufactured part. Salvage labor includes only the time
to perform salvage operations such as machining, cutting, burning, trimming, bending, heating, welding, etc. It does
not include the labor to disassemble and assemble the part or component associated with performing the salvage
operation. Such labor is the responsibility of the repairing dealer.
Labor reimbursement is at the dealer’s NACD warranty labor rate. Materials such as steel, that are used to perform
the salvage operation are dealer reimbursable at the dealer’s acquisition cost.
Overtime Labor Rate

Reimbursable labor that is performed after normal working hours will not be reimbursed at the dealer’s premium
overtime labor rate. All reimbursable labor is reimbursed only at the dealer’s NACD warranty labor rate.

Travel time labor and vehicle mileage to and from field service repair sites are not dealer reimbursable. Such expenses
are the responsibility of the dealer or customer.
Meals & Lodging

Mechanic’s meals and lodging associated with field service repairs are not dealer reimbursable. Such expenses are
the responsibility of the dealer or customer.

Caterpillar Service Department service charges for parts obtained on an emergency order are dealer reimbursable.
The service charge is a percentage of the Dealer Net (D/N) price of the part, as per the following:
• 0 % for slow moving parts
• 5 % for medium moving parts
• 8 % for fast moving parts
Freight Charges
Inbound surface or air freight charges for parts shipped from a Caterpillar Parts Distribution Center to the dealer are not
dealer reimbursable. Dealer shuttle service expenses between a Caterpillar Parts Distribution Center and the dealer,
or between the dealer’s stores are also not reimbursable.
Hauling Costs
Costs associated with transporting or hauling a machine for repairs, are not dealer reimbursable.
Shop Supplies
Shop supplies are not dealer reimbursable as an itemized parts expense line or parts summary (NLOW) expense line.
However, allowance for shop supplies is included in the dealer’s warranty rate. Examples of shop supplies includes,
shop towels, welding rod, wire ties, gasket maker, sealants, solvents, adhesives, primers, paint, assembly lubricants,
anti-seize compounds, buffing discs & pads, emory cloth, grinding discs, etc.

Outside repair expenses are dealer reimbursable, if the expense is justified and reasonable. Such expenses are
reimbursed at the dealer’s actual cost. These expenses are for parts and/or labor from an outside vendor. Examples
of labor expenses for sublet repairs include, machining, cylinder head milling, or radiator repair.
It is the dealer’s responsibility to ensure that invoice charges for outside repair expenses are reasonable, to insure full
Caterpillar reimbursement.
05.16-04 (03/16) 3

The following chart summarizes the reimbursement practices for expenses associated with Value Assurance Level
1 repairs.

(Without VA Labor Insurance)
Repair Labor Not Reimbursable.
Parts Salvage Labor Reimbursable at warranty labor rate, if justified.
Meals & Lodging Not Reimbursable
Hauling Costs Not Reimbursable
Shop Supplies Not Reimbursable as an itemized expense.
VA Coverage for Resold Machines

When machines having non-governmental Value Assurance are resold to another customer, the following guidelines
are recommended to prevent possible dealer disputes:
• If the resold machine remains in the selling dealer’s territory, it is recommended that the selling dealer arrange
to transfer the Value Assurance to the new user.
• If the resold machine does not remain in the selling dealer’s territory and the selling dealer, is aware of the sale,
it is recommended that the selling dealer cancel the Value Assurance.
• For cancellations of VA extended coverage, submit a ticket to the Warranty Service Desk.
• The repairing dealer should always contact the selling dealer before honoring any of the Value Assurance
services claimed by the user of a resold machine. For any VA repairs by the repairing dealer, the repairing
dealer must submit the VA service claim to Caterpillar. Specifics involving the repair expenses that are not
reimbursable from Caterpillar should be worked out between the two dealers.
Resold Machines with Governmental VA Coverage

Machines with governmental Value Assurance coverage that are resold to a non-governmental owner for operation
in the selling dealer’s territory, can not have the Value Assurance transferred to the new owner. Governmental VA
coverage is only applicable as long as the machine is owned by a governmental agency. Rarely is a governmental
machine traded before the Value Assurance has expired, but if it happens, dealers can elect to downgrade the
coverage to a non-governmental VA coverage and pass the downgraded coverage to the non-governmental new
owner.
Wear Out and Extent of Coverage

Wear out and normal deterioration may be considered by the user to be covered by VA extended coverage.
However, such occurrences are not due to defects in the material or workmanship and therefore are not covered
by VA Dealer extended coverage.
Example: While performing a VA Dealer extended coverage repair for a piston ring failure, the dealer serviceman
notices the vee belts and coolant hoses are worn and deteriorated. He also notices some wear (within acceptable
4 05.16-04 (03/16)
limits) on the cylinder head valve guides. In addition to the piston ring failure repair, the service technician replaced
the vee belts and coolant hoses, and reconditioned the valve guides to avoid future downtime.
In this example, the vee belts, hoses, and valve guide reconditioning cannot be claimed to Caterpillar
because they did not have a defect, nor were they damaged as a result of the piston ring failure. They
were repaired or replaced only as a precautionary measure.
The intent of Value Assurance is not to restore the product to a like-new condition, but rather to restore the product
to its operating condition just prior to the VA covered failure. Value Assurance covers only the repair or replacement
of the covered failed component and any associated resultant damaged parts.
➤
Frame / Structures Repairability Guarantees (Large Mining Product)
NOTICE:
This VA coverage is not applicable for product sold to first user on or after 5/1/2016.
When offered on designated large mining machine models, this extended coverage guarantees weld repairability
of the main frame or designated structure component(s). If it is determined that the covered component(s) are
not weld repairable due to a defect in material or workmanship, the covered component(s) may be replaced. To
maintain this coverage, the covered component(s) must have scheduled and documented crack inspections as
per the Operation And Maintenance (O&M) Manual. Any cracks found during these inspections must be veedout
and welded promptly at the customer’s expense, as part of normal maintenance. When claiming for covered
component repairability failures, enter 7051 in the Group No. field of the claim heading.
Cat Work Tool Extended Coverage

Effective with 2002 NACD Merchandising Programs for Nomenclatured/Non-nomeclatured Cat Work Tools do not
qualify for individual enrollment into VA1 or VA2, however, new non-nomenclatured work tools sold with a new
host machine could qualify for VA2 as part of a total machine offering under VA2. These Cat Work Tools would be
considered part of the host machine.
S·O·S Fluid Analysis

For eligibility under any VA2 extended coverage, the machine must be promptly enrolled in a Cat dealer’s S·O·S
Fluid Analysis program upon enrollment in Value Assurance, and remain enrolled in S·O·S throughout the entire
Value Assurance coverage period(s).
The cost of the oil sampling cannot be claimed to Caterpillar, but the dealer may elect to charge the customer.
Samples must be taken, processed, and analyzed at prescribed intervals. For the prescribed oil sample intervals,
dealers should reference the machine’s Operation and Maintenance Manual. Records of the analysis must be kept
on-file for verification, if requested by Caterpillar.
Claiming Practices for PIP / PSP on Machines Covered By VA

All Product Improvement Programs (PIP’s) and Product Support Programs (PSP’s) performed on machines covered
by VA, must be claimed under the appropriate PIP or PSP. Do not claim these repairs under VA.
For PSP’s that are performed after-failure on VA covered machines, refer to Bulletin 1.16 for the PSP claiming
practices on VA covered machines.

The following is the only unique claim field information that is required when submitting Value Assurance Level 2 claims:
Coverage Type - Leave this field blank.
Group No. - for claims involving non-warranty VA2 Services or Guarantees, enter the special component code of 7903.
Story - Detail extended coverage

6 05.16-04 (03/16)
SERVICE
EXTENDED COVERAGE NACD (U.S. and Canada)
Machines
Structural Components & Hitch Assurance

Program for Wheel Skidders
(525C, 535C and 545C Skidders with sales transactions dated 01Jan07 through 31Dec14.)
Overview
The Structural Components & Hitch Assurance Program for Wheel Skidders is a specific merchandising program
developed by Caterpillar for 525C, 535C and 545C Skidders with sales transactions dated 01Jan07 through
31Dec14.
To reinforce confidence in C-Series Skidder structures Caterpillar is offering an assurance coverage to
structures for a full three (3) years or 10,000 hours, which ever occurs first. This coverage begins at the same
time as the original equipment’s “Standard Warranty” coverage and ends in three (3) years or 10,000 hours.
This coverage applies only to the following structural components, listed by part number, that were installed at
the time of manufacture: engine-end frame, non-engine end frame, grapple arch, articulation hitch, and grapple
boom.
Please see pages 5-7 to reference the Component Coverage Chart showing the specific part numbers by model
that are covered under this program.
For Units Delivered on or After January 1, 2013:
• This coverage only applies when the dealer has made inspection to the covered components
between 2000 and 3000 hours. If a structure requires repair after an inspection, the failure must be
documented and repaired by a Cat dealer.
• Claims outside of these guidelines will be denied with exceptions for prior inspections performed
before August 1, 2008.
• It is the customer’s obligation to inform the Cat dealer when the machine has reached the 2000 to
3000 hour interval or to notify the dealer immediately, should he find any structural issue.


1
For Units Delivered Before January 1, 2013:

• This coverage only applies when the dealer has made inspections to the covered components at 1000
and 4000 hours. If a structure requires repair after an inspection, the failure must be documented and
repaired by a Cat dealer.
• The 1000 hour Inspection Claims need to be conducted from 900-1400 hours to remain eligible
for program benefits. Claims outside of these guidelines will be denied, with exceptions for
prior inspections performed before August 1, 2008.
• The 4000 hour Inspection Claims need to be conducted from 3900-4400 hours to remain eligible for
program benefits. Claims outside these parameters will be denied.
• It is the customer’s obligation to inform the Cat dealer when the machine has reached the 1000 and
4000 hour intervals or to notify the dealer immediately, should he find any structural issue.
Dealer reimbursement for repair expenses related to the Structural Components & Hitch Assurance Program
will be per the Summary of Reimbursement Practices chart below, per the following additionally noted expense
information, in accordance with reimbursement practices as outlined in Bulletin 1.02, and with the applicable
Travel Time & Mileage - Travel time labor and vehicle mileage to and from field service repair sites are not
dealer reimbursable. Such expenses are the responsibility of the dealer or customer. Exceptions to this are the
1000 and 4000 hour inspections on units delivered before January 1, 2013 and the 2000 to 3000 hour inspection
for units delivered on or after January 1, 2013. For these inspections, Travel Time & Mileage is covered. See
Claim Field Information section for proper claiming.
Structural Components & Hitch Assurance Program

Repair Labor Reimbursable at warranty sell labor rate.
Reimbursable at allowed hour inspection as defined
Travel Time and Mileage
above; all other times not reimbursable.
Overtime Labor Rate, Shop Supplies, Meals and
Lodging, Freight Charges, Hauling Costs and Value Not reimbursable.
Added Tax
Claiming Procedure
Inspection Claims are to be filed separately using PD code 56 (Factory Requested work).
Inspection Claims should be filed against the Front Frame Part # per model:
• 525C: 252-4484
• 535C: 251-9734
• 545C: 251-9734
2 05.18-12 (06/17)

The following is the only unique claim field information that is required when submitting a Structural Components
& Hitch Assurance Program claim:
Group Number - Enter special component code 772G.
 State in first line of story one of the following:
• Structural Components & Hitch Assurance Program claim.
• Structural Components & Hitch Assurance Program claim - 1000 Hour Inspection.
• Structural Components & Hitch Assurance Program claim - 4000 Hour Inspection.
• Structural Components & Hitch Assurance Program claim - 2000-3000 Hour Inspection.
Claiming Practices for PIP / PSP with Extended Coverage

All Product Improvement Programs (PIPs) and Product Support Programs (PSP’s) performed on 525C, 535C
and 545C machines, must be claimed under the appropriate PIP or PSP. Do not claim these repairs under the
Structural Components & Hitch Assurance Program.
For PSP’s that are performed after-failure on components covered by the Structural Components & Hitch
Assurance Program, refer to Bulletin 1.16 for the PSP claiming practices involving product covered by VA or
other coverages.
General Exclusions and Limitations

The Structural Components & Hitch Assurance Program does not cover the following:
 Operator abuse or neglect, including but not limited to the failure to perform any recommended
preventative maintenance as specified in the Operation and Maintenance Manual
 Applications not approved by Caterpillar
 Improper use or abuse of machine or component
 Operation beyond the design and/or capacity of the machine or component
 Wear-out and normal deterioration in the performance, including but not limited to oil consumption and
gasket and seal leaks
 Chemical corrosion, and physical or mechanical erosion
 Unauthorized fuel setting changes
 Acts of war, vandalism, riot, theft, explosion, collision, fire and/or any other act of nature, person or vermin
 Operating equipment with improper levels or contaminated fuel, fluids or filters
 Modifications, unless the modifications were authorized at the request of Caterpillar, and performed at an
approved repair facility
 Operating at performance settings other than the standard Caterpillar specification
 Accelerated wear-out of components due to operating technique or application
 Physical damage
 Any repairs, if the service meter has been stopped or altered or misrepresents the equipment’s actual
usage
05.18-12 (06/17) 3
limited to the servicing, adjusting, and/or replacing of specified components.

Wear-out and/or deterioration are not covered by the Structural Components & Hitch Assurance Program.
The Structural Components & Hitch Assurance Program covers only the repair or replacement of the failed
component and any resultant-damaged parts. Other parts removed in the process of repair will be reinstalled as
is, unless the customer authorized the additional cost for their account.
4 05.18-12 (06/17)
Bulletin No. 5.18 Caterpillar: Confidential Green Caterpillar: Confidential Green Bulletin No. 5.18

Component Coverage Chart
Model 525C - Covered Components
252-4484 Front Frame
251-7853 Rear Frame
353-5777 Frame As.
352-8475 Frame As.
264-5203 Boom.
356-6918 Boom As.
276-6559 Arch
264-5149 Boom - Single Function
246-6008 Hitch Gp.
095-1207 Nut-Hex 355-1285 Pin-Lower
106-4175 Bolt 357-6992 Shim-Pack
118-8271 Pin 3B-8485 Adapter-Elbow
118-8272 Cap 3B-8489 Adapter-Str
118-8273 Cap 3F-5950 Cone-Roller Brg
118-8275 Shim-Pack 4K-7463 Seal-Lip Type
134-3079 Plate-Lock 5K-0984 Bearing-Sleeve
143-7356 Bearing As. 5P-1076 Washer-Hard
1B-3925 Cup-Roller Brg. 7G-8839 Spacer
250-3522 Bearing-Sleeve 7K-9392 Spacer
257-8529 Bolt-Hex Head 7P-2288 Pin As.
259-2627 Bolt-Hex Head 7V-8632 Spacer
295-0143 Bearing-Sleeve 7X-0515 Washer-Hard
295-1369 Nut 7X-2550 Bolt-Hex Head
299-5530 Pin-Lower 8T-4123 Washer-Hard
308-7303 Plate 8T-4139 Bolt-Hex Head
318-4911 Pin As. 8T-4183 Bolt-Hex Head
323-5950 Shim-Pack 8T-4223 Washer-Hard
342-4678 Nut 9X-8257 Washer-Hard
05.18-12 (06/17) 5

251-7853 Rear Frame
353-5777 Frame As.
352-8475 Frame As.
264-5203 Boom.
356-6918 Boom As.
276-6559 Arch
264-5183 Boom ( Extended Reach)
246-6008 Hitch Gp.
095-1207 Nut Hex 355-1285 Pin-Lower
106-4175 Bolt 357-6992 Shim-Pack
6 05.18-12 (06/17)
➤ Structural Components & Hitch Assurance Program

251-4320 Rear Frame
246-6003 Rear Frame
246-6004 Rear Frame
246-6005 Rear Frame
360-2620 Rear Frame
360-2621 Rear Frame
360-2622 Rear Frame
264-5194 Boom
332-4730 Boom As.
277-8040 Arch
246-6008 Hitch Gp.
095-1207 Nut Hex 355-1285 Pin-Lower
106-4175 Bolt 357-6992 Shim-Pack

8 05.18-12 (06/17)
SERVICE
EXTENDED COVERAGE India
Machine
➤
320D2 Excavator Value Assurance Program
for Major Key Components
Machines Built and Sold in India
(320D2/320D2L/320D2 GC Excavators sold and delivered to end
user between 01 Jan 2016 to 31 Dec 2016.)
➤ Overview
This is a merchandising program developed by Caterpillar for 320D2, 320D2L, and 320D2 GC excavators sold
and delivered in India to end users between 01 Jan 2016 and 31 Dec 2016.
To reinforce confidence in 320D2, 320D2L, and 320D2 GC excavator and support sales, Caterpillar is offering
assurance coverage for major components for 24 months or 6,000 hours, whichever occurs first.
The major components covered under this program are listed on pages 4 and 5.
The following components commonly mistaken by dealers as a major components. The components listed
below not covered under this program.
Program is discontinued with sales on/after 01 Jan 2017.
Exclusions Under this Program:

• All seals, O-rings, gaskets and seal kits - including major compartment seals
• Hydraulic lines, hose tubes and rubber components
• Undercarriage and GET - wear and tear components
• All electrical components, ECM’s switches, sensors, wiring harness, battery, alternator, starter & air
conditioner components
• All structural components and cylinders
• The failure must be documented and repaired by a Cat® dealer.
➤ 05.20-02 (08/16)

1
• Reimbursement during standard warranty period is limited to reimbursement provided by that coverage.
For example, should a failure occur during the standard warranty period, then it is covered by standard warranty and
should be filed against standard warranty. Reimbursement will be limited to standard warranty per applicable bulletin.
Dealer reimbursement for repair expenses related to the 320D2/320D2L/320D2 GC Excavator Value Assurance
Program will be per the Summary of Reimbursement Practices Chart found below, in accordance with reimbursement
practices as outlined in Bulletin 1.02, and with the applicable warranty statement at https://warranty.cat.com/currstmts.
320D2 Excavators Value Assurance Program

Travel Time & Mileage Not reimbursable.
Overtime Labor, Shop Supplies, Meals & Lodging,
Not reimbursable.

All Product Improvement Programs (PIPs) and Product Support Programs (PSP’s) performed on 320D2 machines
must be claimed under the appropriate PIP or PSP. Do not claim these repairs under the 320D2 Value Assurance
Program.
For PSP’s that are performed after-failure on components covered by the 320D2 Excavator Value Assurance Program.
Refer to Bulletin 1.16 for the PSP claiming practices involving product covered by Value Assurance (VA) or other
coverages.

The following outlines claim requirements for submitting an Excavator Value Assurance Program claim:
Product ID / Serial Number Enter the prime product serial number

Group Causing Failure Enter SMCS Code: 770X
Claim Story In addition to the usual description of the complaint, cause, correction and
complications, the claim story should include one of the following on the first line:
• 320D2 Excavator Value Assurance Program
• The machine application and attached worktool(s)
• Claims requires enclosure of detailed failure analysis reported through the
service forms 0415MHEX.

The 320D2 Excavators Value Assurance Program does not cover the following:

preventative maintenance as specified in the machine Operation & Maintenance Manual.

• Unauthorized fuel settings changes.
• Any repairs if the service meter has been stopped or altered or misrepresents the equipment’s actual
usage.
• Operating equipment with improper, contaminated, or improper levels of fuel or fluids, or the use of
improper filters.
The customer is responsible for assuring all recommended preventative maintenance is performed at the specified
service intervals as described in the Operation & Maintenance (O&M) Manuals. Preventative maintenance
for repair.

Wear-out and/or deterioration are not covered by the 320D2 Excavator Value Assurance Program.
Parts Book Component Codes

At the bottom of each page on all Caterpillar parts books (paper or electronic), is printed a four-digit numeric
SMCS component code. These component codes are used to describe the area of primary use for the parts and/
or components listed on that page.
NOTE: Sometimes a parts book page with an acceptable component code will include parts that are not covered,
or may include parts that are broken out on another parts book page. Additionally, there may be instances of a non-
acceptable component code containing parts that may qualify for this program. For clarification regarding coverage,
please submit a ticket to the Warranty Service Desk.
NOTE: Refer to Bulletins 1.06 and 1.09 for proper group number and labor line SMCS Code usage. On the following
pages are the SMCS component codes in numeric order that Caterpillar considers part of this program.
The component code listed on the parts book page should be compared to this list of acceptable components. The
SMCS component codes can be used as a guide for helping to determine if a failed part may be considered part
of the program.
05.20-02 (08/16) 3
SMCS Code Description SMCS Code Description

I. BASIC ENGINE Cooling System
Engine 1374 Hydraulic Oil Cooler
1014 Engine & Output Drive Assembly 1378 Engine Oil Cooler
1020 Long Block Final Drive
Air Induction & Exhaust System 4050 Final Drive & Torque Hub
1052 Turbocharger 4051 Final Drive & Wheel
1058 Inlet Manifold 4054 Final Drive Hub
1059 Exhaust Manifold 4055 Final Drive Gears
1063 After cooler Group 4056 Final Drive Shaft
1064 After cooler Core 4057 Final Drive Pinion Flange
106A After cooler Air Temp Control 4074 Final Drive - Outer Section
1071 Airline/Pipe 4075 Final Drive - Inner Section
1079 After cooler Intake Manifold 4084 Final Drive Planet Carrier Ring Gear
Cylinder Head Assembly 4091 Final Drive Pinion
1101 Cylinder Head Casting 4092 Planetary Final Drive Carrier
1102 Rocker Shaft Assembly 4093 Final Drive Planet Carrier Thrust Surface
1103 Valve Seat/Insert 4094 Final Drive Pinion & Flange
1104 Valve Guide 5060 Swivel
1105 Inlet/Exhaust Valve Hydraulic System
1107 Valve Cover 5051 Hydraulic Control Valve
1108 Valve Spring 5056 Hydraulic Tank
1109 Valve Rotator 5059 Pilot Control Valve
1110 Camshaft 5060 Swivel
1111 Camshaft 5067 Check Valve
1112 Camshaft Bearing 5069 Main System Relief Valve
1113 Camshaft Housing Assembly 506G Gear Pump & Motor
1117 Threaded Insert 5070 Hydraulic Pump - Piston Type
1123 Rocker Arm 5071 Hydraulic Oil Cooler Bypass Valve
1126 Cylinder Head Manifold 5072 Pilot System Relief Valve
Front and Rear Covers 5073 Hydraulic Pump - Gear Type
1150 Front & Rear Covers 5074 Thermal Bypass Valve
1151 Cover/Housing (Use 1162 or 1166) 5076 Hydraulic Tank Valve
1156 Flywheel 5077 Hydraulic Accumulator
1157 Flywheel Housing 5078 Hydraulic Actuator
1158 Flywheel Ring Gear 5079 Shuttle Valve
1162 Timing Gear Housing 507G Piston & Gear Pump
1163 Timing Gear Housing Plate 507V Piston & Vane Pump
1164 Engine Output Transfer Gear 5080 Make-Up Valve
1165 Engine Power Take off Drive 5081 Hydraulic Accumulator Charging Valve
1166 Timing Gear Housing Cover 5084 Implement Pump
Short Block 5085 Pilot Pump
1200 Short Block 5086 Pressure & Flow Compensator Valve
1201 Cylinder Block 5087 Cooling & Test Manifold
4 05.20-02 (08/16)
1202 Crank shaft 5093 Hydraulic Filter By-Pass Valve

1204 Crank shaft Gear 5111 Crossover Valve
1205 Crankshaft Damper/Pulley 5143 Drift Reduction valve
1206 Timing/Accessory Gears Excavator, Implement Controls
1208 Push Rod 5453 Check & Relief Valve
1209 Camshaft Roller/Follower/Lifter 5454 Swing Relief Valve
1210 Camshaft 5455 Pump Signal Pressure Control Valve
1212 Camshaft Gear 5459 Swing Drive
1218 Connecting Rod 5472 Load Check Valve
Fuel System 5487 Slow Return Valve
1251 Fuel Injection Pump 5705 Joystick
Lubrication System Other Implements & Machine Components
1304 Engine Oil Pump 7063 Swing Gear
1313 Oil Pump Drive
1315 Oil Pressure Relief Valve
1331 Piston Cooling Tube
05.20-02 (08/16) 5
6 05.20-02 (08/16)
SERVICE
EXTENDED COVERAGE Indonesia
Machine
313D2 LGP Excavators - Front Structure
Assurance Program (Boom / Stick)
Machines Sold in Indonesia
(Applicable only for 313D2 LGP Excavators sold to end user between 01Sep18 to 31Dec18)
Overview
The Front Structure Assurance Program for 313D2 LGP products sold and serviced in Indonesia is a specific
merchandising program developed by Caterpillar to reinforce the confidence in 313D2 LGP Excavators
structures.
Caterpillar is offering assurance coverage to structures for 24 months or 5000 hours, whichever occurs first, to
the first purchaser of the equipment on certain major structures (Boom / Stick). This coverage runs concurrently
with the equipment’s “Standard Warranty” term.
Note: All covered failures that occur during the Standard Warranty period should be filed to Standard Warranty.
The following major structures are covered under this program:
SMCS Code Description

6536 Boom GP
6520 STICK GP-HOE
• The failure must be documented and repaired by a Cat dealer.
coverages.
should be filed against Standard Warranty. Reimbursement will be limited to Standard Warranty per
➤ 05.21-00 (10/18)

1
Dealer reimbursement for repair expenses related to the 313D2 LGP Excavator Front Structure Assurance
Program will be per the Summary of Reimbursement Practices Chart found below, and in accordance with
applicable Reimbursement Practices as outlined in Bulletin 1.02.
313D2 LGP Excavators, Front Structural Assurance Program

Not reimbursable.

All Product Improvement Programs (PIPs) and Product Support Programs (PSP’s) performed on 313D2 LGP
machines must be claimed under the appropriate PIP or PSP. Do not claim these repairs under the 313D2 LGP Front
Structure Assurance Program.
For PSP’s that are performed after-failure on components covered by the 313D2 LGP Excavator, Front Structure
Assurance Support Program. Refer to Bulletin 1.16 for the PSP claiming practices involving product covered by Value
Assurance (VA) or other coverages.

The following is the only unique claim field information that is required when submitting a Front Structure
Assurance Program claim:

Group Causing Failure Enter special component code (779H)
Claim Story In addition to the usual description of the complaint,
cause, correction and complications, the claim story
should include the following on the first lines:
• 313D2 LGP Excavator Structure Assurance Program

• The machine application and attached work tool(s)
Documentation Requirement • 0415MHEX Component Failure Analysis Report

must be attached in SIMS. The form is available in
the Service Forms section of SIS.
2 05.21-00 (10/18)

The 313D2 LGP Excavators Front Structure Assurance Program does not cover the following:
• Operator abuse or neglect, including but not limited to the failure to perform any recommended preventative
maintenance as specified in the machine Operation & Maintenance Manual
usage.
improper filters.
for repair.

Wear-out and/or deterioration are not covered by the 313D2 LGP Front Structure Assurance Program.
05.21-00 (10/18) 3
4 05.21-00 (10/18)
SERVICE
Machine
Cat® GET Assurance Program for Cat Advansys™
Adapters for Large Wheel Loaders
(Applicable only for product sold to end user between 01Dec2018 to 31Dec2019.)
Overview
The Cat® GET Assurance Program applies to Cat Advansys™ Adapters for Large Wheel Loaders (130, 150, 170,
200 and 220 sizes) sold and serviced by Cat Dealers globally. This program was primarily developed by Caterpillar to
reinforce the confidence in Cat Advansys GET adapter life over similar hammerless systems.
Coverage Details
Caterpillar is offering an assurance coverage for Advansys Adapters for 24 months or 125% of the previous
adapter baseline life (12,000 hours maximum), whichever occurs first, for the first purchaser. This coverage runs
concurrently with Parts Warranty.
Caterpillar and the Cat Dealer assure improved adapter wear life for Customers who convert to the new Cat
Advansys GET solution from similar hammerless design solutions.
In the event Cat Advansys adapter wear life does not exceed 125% of the previous adapter baseline, Caterpillar
will prorate replacement adapter cost and the dealer will support installation costs.
Use the following steps to calculate Assurance Life:
1) Determine “Baseline Life” hours - the Baseline Life is the life in hours from one of the following three
a. The actual life of a previous adapter for this customer
b. Projected life to 100% for the previous Cat adapter for this customer
c. If the customer has no previous adapter experience, calculate the average life for 3 Cat machines
of the same model in similar applications and conditions
2) Determine the Assurance Life by multiplying [Baseline Life x Improvement Factor]. Improvement factor = 1.25
Here are two example scenarios:
a. Baseline Life = 9,000 hours, Improvement Factor = 1.25 = 11,250 hours. Coverage is written for
11,250 hours by dealer.
b. Baseline Life = 11,000 hours, Improvement Factor = 1.25 = 13,750 hours. Coverage is written for
12,000 hours by dealer, which is the maximum coverage supported by Caterpillar under this program.
Note: All covered failures that occur during the Parts Warranty period should be filed to Parts Warranty.


1
Support is available through an authorized Cat dealer when the customer follows the participation guidelines.
• Cat Advansys GET Solution is purchased from and installed by a Cat Dealer.
• Cat Dealer and Customer register new system in Cat BucketPro.
• Cat Dealer and Customer regularly manage Cat Advansys GET system using Cat BucketPro.
• Wear measurements to be taken every 500 hours including end of life.
• Reimbursement during Parts Warranty or EPP period is limited to reimbursement provided by those
coverages.
• If a failure occurs during the Parts Warranty Period, then it is covered by Parts Warranty and should be filed
against Parts Warranty. Reimbursement will be limited to Parts Warranty per applicable bulletin.
Dealer reimbursement for repair expenses related to the Cat GET Assurance Program for Cat Advansys
Adaptors for Large Wheel Loaders will be per the Summary of Reimbursement Practices Chart found below, and
in accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02
Cat GET Assurance Program for Cat Advansys Adapters for Large Wheel Loaders
Parts Reimbursable at prorated rate found below.
Service Items Not reimbursable.
Parts Salvage Labor Not reimbursable.
Outside Repair Expenses Not reimbursable.

Not reimbursable.
Freight Charges, Hauling Costs and Value Added Tax
Component Proration- Is intended for the dealer to credit the customer’s account for 50% of a purchase of new
Adapters.
• Caterpillar reimbursement to dealer = D/N Price - (50% x (Markup))
o *Markup represents D/N x 1.36

All Product Improvement Programs (PIPs) and Product Support Programs (PSP’s) performed on Cat Advansys
Adaptors for Large Wheel Loaders must be claimed under the appropriate PIP or PSP. Do not claim these repairs
under the Cat GET Assurance Program for Cat Advansys Adaptors for Large Wheel Loaders.
2 05.22-00 (12/18)
For PSP’s that are performed after early wear out on components covered by the Cat GET Assurance Program
for Cat Advansys Adaptors for Large Wheel Loaders, refer to Bulletin Number 1.16 for the PSP claiming practices
involving product covered by Value Assurance (VA) or other coverages

The following is the only unique claim field information that is required when submitting an Assurance Program claim:

Product ID / Serial Number Enter the prime product serial number.
Group Causing Failure Enter special component code (772M)
Claim Story In addition to the usual description of the complaint,
cause, correction and complications the claim story
should also contain the following:
• State in the first sentence of the claim story the
following: “Cat GET Assurance Program for Cat
Advansys Adaptors for Large Wheel Loaders”
• The machine application and work tool (s)
• Baseline life
• Assurance life calculations
• Wear %
Documentation Requirement • Prior hammerless retention system inspection

summary including system name and adapter
hours of life experienced.
• Cat Advansys inspection summary including
adapters hours of life experienced.

The Cat GET Assurance Program for Cat Advansys Adaptors for Large Wheel Loaders does not cover the following:
maintenance as specified in the machine Operation & Maintenance Manual.
• Damage resulting from improper/poor maintenance weld repairs, lack of lubrication, lack of inspections, and
failures resulting from delays in repairing cracking identified during inspections.
• Operating equipment with improper, contaminated, or improper levels of fuel or fluids, or the use of improper
filters.
05.22-00 (12/18) 3
The customer is responsible for assuring all program required inspections and all recommended preventative
maintenance is performed at the specified service intervals as described in the Operation & Maintenance
Manuals. Preventative maintenance includes, but is not limited to the servicing, adjusting and/or replacing of
specified components.
for repair.
4 05.22-00 (12/18)
05.22-00 (12/18) 5
SERVICE
Machine
Electric Drive Components Assurance Program for
Electric Drive Powertrain
Applicable to new D6 XE models sold to end users between 01JAN2019 and 31DEC2020
Overview
This program reinforces customer confidence in the Electric Drive Powertrain for the new D6 XE, and this additional
product support offering goes beyond the Standard New Machine Warranty. Repair expenses pertaining to this
assurance coverage are shared between Caterpillar and the Dealer.
The Electric Drive Assurance Program for the D6 XE is a specific merchandising program developed by Caterpillar for
machines sold to end users between 01JAN2019 and 31DEC2020.
To reinforce customer confidence in the D6 XE, Caterpillar is offering assurance coverage for selected major
components for 84 months / 20,000 hours (whichever occurs first).
Note: The term of the program begins at new machine delivery date; however, coverage applies only after all other
applicable coverages for the failed component have expired.
coverages.
• Service Letter repairs must be claimed under the appropriate PIP/PSP, reimbursement is limited to provision of
the service letter program allowances.
• Claims during Standard Warranty, EPP or Service Letter terms must be submitted against those coverages.
Please see page 4 to reference the Component Coverage Chart showing the specific component codes that are
included under this coverage.
• Support is available through an authorized Cat® dealer when the customer follows the participation
guidelines.
• This coverage only applies when the customer has operated and maintained the product in compliance with
the Caterpillar Operation & Maintenance Manual for the product.

1
All D6 XE Models sold to end users between 01JAN2019 and 31DEC2020 are automatically enrolled in this program.
Enrollment Documentation
For every D6 XE Value Assurance Program enrollment, the following documentation must be kept on file by the
dealer:
• Customer invoice for original machine.
• The completed D6 XE Value Assurance Enrollment Certificate between the dealer and the customer.
• Dealer must enter a SIMS record on the machine serial number to document the rebearing/reseal activity
in order for the machine to receive coverage above 15,000 hours.
Enrollment Certificates are located in the Sales Library – media # AEXQ2417
For Units with Greater Than 15,000 hours and Less Than 20,000 hours:
• This coverage only applies when the Cat dealer has performed an electric drivetrain rebearing/reseal
activity and documented it in SIMSi.
• The Cat dealer will perform the rebearing/reseal activity prior to 15,000 machine hours, in compliance with
the D6 XE Electric Drivetrain Reuse and Salvage Guidelines.
• It is the customer’s obligation to inform the Cat dealer when the machine requires the electric drivetrain
rebearing/reseal activity.
• Value Assurance DOES NOT cover the cost of electric drivetrain rebearing/reseal. A rebearing/reseal of
the electric drivetrain components is considered a requirement, and is recommended when the engine is
being reconditioned.
• The Cat dealer must document the electric drivetrain rebearing/reseal activity in SIMSi. After the
machine has accumulated 15,000 hours, claims made against the Value Assurance program without this
documentation are subject to debit.
Dealer reimbursement for repair expenses related to this merchandising program is per the Summary of
Electric Drive Powertrain Components Assurance Program

Repair Labor Reimbursable at cost
Overtime Labor Rate, Shop Supplies, Meals &
Lodging, Freight Charges, Hauling Costs and Value Not Reimbursable
Added Tax
2 05.23-00 (01/19)

The following is the only unique claim field information that is required when submitting an Electric Drive
Powertrain Components Assurance Program claim:
• State in first line of story the following:
• Electric Drive Powertrain Assurance Program claim.
• Failed Covered Component

The Electric Drive Powertrain Component Assurance Program does not cover the following:
• Operator abuse or neglect, including but not limited to the failure to perform any recommended preventive
• Damage resulting from improper/poor maintenance, lack of lubrication, lack of inspections.
service intervals as described in the Caterpillar Operation & Maintenance Manuals. Preventive maintenance
Customer is responsible for promptly making the product available for repair.
05.23-00 (01/19) 3
Electric Drive Powertrain Components Coverages

In the chart below is a listing of SMCS component codes that Caterpillar considers part of the Electric Drive
Powertrain Components Coverage. The SMCS component codes can be found at the bottom of each page on
all Cat Parts Books (paper or electronic) and can help determine if a failed part may be considered as a covered
component under this coverage. For clarification regarding coverage, please submit a ticket through the Warranty
Service Desk.
1418 CIRCUIT BOARD 4456 Generator

1437 Electric System Resistor 4457 Rotor
1627 Drive System Resistor 4808 Drive Train Electronic Control
1633 Drive System Power Cable 4820 Drive Train Software
1634 DRIVE SYS WIRING HARNESS 4822 Power Inverter
1638 IGBT PHASE MODULE 4823 ELECTRICAL CURENT SENSOR
1904 TRANSDUCER MODULE 445B Bus Bar
4018 Propulsion Module
4450 Generator
4453 Stator
4 05.23-00 (01/19)
SERVICE
Machine
Yellowmark™, A Caterpillar Brand
Undercarriage Assurance Program
Overview
Yellowmark™, a Caterpillar Brand, Undercarriage Assurance Program support, is a leakage and breakage program
developed by Caterpillar for specific Yellowmark undercarriage components on certain track-type machines with steel
track. The program is primarily designed to assure users of structural integrity and seal ability.
enhancements. This additional product support offering goes beyond the standard new machine or parts warranties.
The cost of the offering is shared between Caterpillar and the dealer.
Coverage Details
This coverage begins at the same time as the standard new machine or Yellowmark parts warranty term and
terminates in 2 years or 2,000 hours or 100% wear, whichever occurs first.
Undercarriage Assurance Yellowmark

Program Coverage in Years Coverage in Hours Coverage in % Worn
Yellowmark 2 2000* 100%*
*Coverage is prorated to 100% component wear life or 2,000 hours. (Refer to the Dealer Reimbursement section
of this bulletin.) Note: there is a 35% reduction for wide shoes. This includes shoes that are 28” or wider for TTT,
and 710 mm or wider for Hex. Coverage ends with the stated years, hours, or percent worn, whichever occurs first.
This coverage only applies after all other applicable coverages for the failed component has expired (i.e.
new machine warranty, Yellowmark Parts Warranty, Product Support Program (PSP)).
Coverage Undercarriage Componenets

• Yellowmark branded undercarriage parts and components found on new Cat® machines and replacement
undercarriage on Cat or competitive-brand machines.
• Product Types: Small Track-Type Tractors, Medium Track-Type Tractors, Track-Type Loaders, Pipelayers,
Small Hydraulic Excavators, Medium Hydraulic Excavators
• In addition to Bulletin 1.02, rebuilt components must have 100% Cat new, remanufactured or Caterpillar
approved parts; other manufacturer parts are not allowed. Service and support of program must be made at
an authorized Caterpillar dealer.

1
Coverage Undercarriage Failures

• Oil leaks and breakage on link assemblies, track rollers, carrier rollers and idlers
• Breakage under normal use of track shoes, sprockets/sprocket segments and end caps
• Loosening or breakage of factory-installed track shoe hardware (nuts and bolts)
• In addition to failed components (pins, bushings, thrust rings, links and/or master links), normal
maintenance parts are reimbursable. This includes hardware, oil, seals, stoppers, plugs and thrust rings
used to make the repair

• Cat branded Undercarriage
• Undercarriage components that have a brand other than Yellowmark Caterpillar

• Rebuilt (welded wear surfaces) track rollers and idlers
• Dry track joints with ice-lugged shoes where ice lug centerline is >2” outside track bolt hole centerline.
• Spalling of a link rail surface
• Undercarriage can be enrolled without prior Caterpillar approval
• Machines must be enrolled into either CTSi or Cat Wear Management System® with CTS Pro to be
qualified for Undercarriage Assurance
• Enrollment must be completed prior to repairs
• The machine must have a functioning hour meter
frame, or all idlers on one track roller frame
Exception: If a component is replaced within the Undercarriage Assurance coverage period AND the customer
pays a proration amount of 25% or more of the component markup, then the Undercarriage Assurance coverage
period starts over for that component. The Yellowmark Parts Warranty does not apply to components replaced
under this exception.
track group. If the parts label is missing or damaged, the install-by date is four years passed the assembly
2 05.24-00 (08/19)
Documents / Enrollment
• Yellowmark Undercarriage Assurance Enrollment Certificates PEDJ0421 is located in the Sales
Library.
• Custom Track Service (CTS) report at the time of breakage or leakage.
• Recommended practice - Dealers should submit informational SIMSi entry indicating date of enrollment.
and thrust rings.
method.
assemblies, track rollers, carrier rollers or idlers that are replaced rather than repaired. The following formulas
calculate the parts price that is claimed to Caterpillar:
• Caterpillar reimbursement to dealer = [D/N Price - (Proration % x (Markup))]*

*Reimbursement is reduced by 35% if machine is equipped with wide shoes - this includes shoes that
are 28” or wider for TTT, and 710 mm or wider for Hex
The proration of the link assembly is based on the most worn component (bushing or track link).
*NOTE: Failures during the New Machine Warranty or Yellowmark Parts Warranty periods must be filed against
these warranty programs, not against Undercarriage Assurance. If there is an undercarriage Product Support
Program (PSP) in effect that covers the component failure, dealers must claim under the PSP.
05.24-00 (08/19) 3
Table 1
Undercarriage Assurance - Yellowmark Proration Table
Column1
Over 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100
95 - 99.9 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 100
90 - 94.9 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 95 100
85 - 89.9 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 90 95 100
80 - 84.9 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 85 90 95 100
75 - 79.9 75 75 75 75 75 75 75 75 75 75 75 75 75 75 75 75 80 85 90 95 100
70 - 74.9 70 70 70 70 70 70 70 70 70 70 70 70 70 70 70 75 80 85 90 95 100
65 - 69.9 65 65 65 65 65 65 65 65 65 65 65 65 65 65 70 75 80 85 90 95 100
60 - 64.9 60 60 60 60 60 60 60 60 60 60 60 60 60 65 70 75 80 85 90 95 100
55 - 59.9 55 55 55 55 55 55 55 55 55 55 55 55 60 65 70 75 80 85 90 95 100
% Wear
50 - 54.9 50 50 50 50 50 50 50 50 50 50 50 55 60 65 70 75 80 85 90 95 100
45 - 49.9 45 45 45 45 45 45 45 45 45 45 50 55 60 65 70 75 80 85 90 95 100
40 - 44.9 40 40 40 40 40 40 40 40 40 45 50 55 60 65 70 75 80 85 90 95 100
35 - 39.9 35 35 35 35 35 35 35 35 40 45 50 55 60 65 70 75 80 85 90 95 100
30 - 34.9 30 30 30 30 30 30 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
25 - 29.9 25 25 25 25 25 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
20 - 24.9 20 20 20 20 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
15 - 19.9 15 15 15 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
10 - 14.9 10 10 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
5 - 9.9 5 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
0 - 4.9 0 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
1000 - 1099
1100 - 1199
1200 - 1299
1300 - 1399
1400 - 1499
1500 - 1599
1600 - 1699
1700 - 1799
1800 - 1899
1900 - 1999
2000 - Up
100 - 199
200 - 299
300 - 399
400 - 499
500 - 599
600 - 699
700 - 799
800 - 899
900 - 999
0-99
Part Hours
Undercarriage Assurance Yellowmark Summary of Reimbursement Practices


Mileage, Meals & Lodging, Freight Charges, Hauling Not reimbursable
4 05.24-00 (08/19)
Table 2
Component Coverage
Undercarriage Components Repair/Replace Description Reimbursement Amount Claim Group Number
Repaired - due to seal leaks
100% Parts at D/N
or failed pins, bushings, 77A2
Track Link Assemblies No Labor
thrust rings, or links.
Replaced Prorated Parts, No Labor 77A3
Track Rollers, Carrier Prorated Parts
Replaced 77A3
Rollers and Idlers No Labor
Sprockets, Sprocket Replaced - due to breakage

Prorated Parts
Segments, Track Shoes under normal usage. 50% 77A3
No Labor
and Track Roller End Caps proration for wide shoes.

• Cat Machines - Enter the Cat machine serial number for all new machines sale and parts replacement
sales
Group Number: Enter appropriate group number - reference Table 2, Component Coverage.
Parts Start Date: For over-the-counter purchases enter the failed part sale date, OR for dealer installed enter the
original repair’s last day of labor.
Parts Hr/Mi/Km: If a part’s start date is entered, enter the part hours since it was installed. (Note; this number
1. The Yellowmark Undercarriage enrollment date.
3. The machine track shoe width, if available, but not required.
4. The track link assembly’s serial numbers, if available, but not required.
5. The link assembly or track group install-by date, if available, but not required.
6. Information about whether or not the repair was done during bushing turn time for repairs to track link
05.24-00 (08/19) 5
SERVICE
ESC BULLETIN Global
Engines
Olympian™ Power Systems Products (OLY)

Extended Service Coverage
NOTICE:
As of October 30, 2015, this bulletin has been cancelled. The claiming requirements for Extended Service
Coverage (ESC) are the same as the requirements listed in Bulletin 3.09. For other ESC questions, visit URL
https://dealer.cat.com/en/ps/esc-epp.html.
ESC for Olympian™ Power Generation Products manufactured and packaged by Olympian Power Systems for Cat®
dealers, will be administered by the Olympian Power Systems Warranty Department. This bulletin discusses the
practices applicable to ESC claims on Olympian Power Generation Products.
➤ Support Contacts

CONTACT ROLE CONTACT REGION PHONE E-MAIL
Olympian Warranty
Timothy Mitchell All Regions +44 02890 495 175 MitchT@cat.com
Claims Analyst
Olympian Product
Graham Collin All +44 02828 261 027 COLLIGP@cat.com
Support Manager
Olympian Warranty
Chris Cartwright All +1 770 233 5929 Cartwright_Chris_B@cat.com
Claims Manager
ESC Information
For ESC information, including Administration manuals, ESC registration contracts, engine ESC contacts, etc.,
please refer to the Cat Equipment Protection Plans and Cat Engine Extended Service Coverage web page at
URL https://dealer.cat.com/EPESC.
➤ Claim Filing Instructions
Claims for ESC repairs on Olympian Power Systems Product are to be submitted through the Caterpillar Service
Claims Systems. The Olympian Power Systems Warranty Department is responsible for administering ESC
for the complete power system. The instructions for completing the claim are the same as for any Cat engine
product, except the following items:
➤ 05.25-05 (08/17)


1
Product Identification/Serial Number - Any product ordered on or after 23July01 will have a 17-digit serial
number assigned under OLY. The last 8 digits of that number will be the identifying serial number, which needs
to be listed on claims submitted through Caterpillar Service Claims Systems. The serial number consists of 3
alpha and 5 numeric digits.
Part Causing Failure - A substitute part number must be entered in this field. Refer to the SP Number Job Aid
for these numbers (Chart at the bottom of web page under warranty tab). (Example: A rotor failure should be
coded as SP0714). The Olympian part number causing failure must be entered in the failure description field.
Failure Description (Comments/Findings Field) (20 characters) - Enter the Olympian part causing failure in
this field.
Miscellaneous Parts - Parts replaced during an ESC covered repair will be reimbursed at the consumer list
rate, not to exceed Dealer Net plus 30 percent.
As seen in the below chart, list the total amount of each part number in the detail expense as a separate
miscellaneous expense line using the OLY as the expense description.
EXPID QTY Description Total Amount Currency*

M 2 OLY 26.00 USD
M 3 OLY 40.00 USD
M 1 OTHER 6.60 USD
* Dealers should submit miscellaneous expenses in their local currency.
Handling - A parts handling allowance may be claimed using the authorized Olympian rates. Enter the total
handling charge as a single miscellaneous expense line identified with the description OTHER, as seen in the
above chart.
Labor - Labor performed during an ESC covered repair should be segmented with proper SMCS labor codes in
the same manner as any other Engine ESC claim. Repair labor should be identified as “L” in the EXPID field.
Travel labor should be identified as “T” in the “EXPID” field. Claim both repair and travel labor at the approved
Caterpillar labor rates for Electric Power Products.
Claim Story - On the first line, list the Olympian package model (genset model, panel type and enclosure type if
applicable) preceded by the character string %%@?@. On remaining lines, list the individual part numbers used
in the repair preceded by OLY, the part quantity, the part name and the part price. Each part number should
be listed on a separate line. Then, on separate lines list the 4 Cs of complaint, cause, corrective action and,
if applicable, complication. Story detail sequence must be entered as shown in the below example to prevent
delays in claim processing.
Claim Story Example:
For full instructions on completion of an Olympian claim using the Caterpillar Service Claims System please
refer to the appropriate Olympian Generator Sets Dealer Warranty Manual located on Power Net at
https://engines.cat.com.
%%@?@GEP440DCP1.1CAE
OLY202-121(2)BOLT26.00
OLY100-312(3)SENSOR40.00
Cause: Bolt backed out and damaged sensors.
Complaint: Generator set shut down and would not start.
Corrective Action: Replaced damaged sensors and loose bolts. Torque bolts to specifications. Tested genset
and returned to operation.
➤
Indicates change. 2 05.25-05 (08/17)
SERVICE
EXTENDED COVERAGE USA and Canada
Machine
Articulated Truck CX38 Transmission
Assurance Program
Articulated Truck Models (745, 740EJ & 740GC) sold to
end user between 01Jan2019 and 31Dec2019
Overview
The Articulated Truck CX38 Transmission Assurance Program is a specific merchandising program developed by
Caterpillar for 745, 740EJ & 740GC Articulated Truck models sold in USA or Canada to end users between 01Jan2019
and 31Dec2019. The offer excludes Articulated Trucks sold as OEM Products or used as Pan Pullers/Drawbar
Applications.
To reinforce confidence in the CX38 Transmissions in select Articulated Trucks, Caterpillar is offering assurance
coverage for 60 months or 15,000 hours, whichever occurs first. This coverage begins at the same time as the original
equipment’s “Standard Warranty” term, and terminates in 60 months or 15,000 hours, whichever occurs first.
Required Documentation / Enrollment

Dealer must provide the customer a certificate describing the coverage they are offering, and keep a copy on file.
• A certificate is located in Cat Publications, media number AEXQ2662, for this VA program. Dealers could
use their own certificate prior to a Caterpillar certificate being available.
Note: Eligible units sold and delivered prior to publication of bulletin and release of certificate may have
the dealer fill out the certificate and keep on file with a note in the signature area that the unit was sold/
delivered prior to formal announcement of the VA program.
• The machine must maintain a functioning hour meter.
• Product is maintained in accordance with Caterpillar recommended service intervals1
• Clutch Fill Calibration procedure performed every 2000 hours.
• Product Status Report taken and uploaded to SIMS at initial 500 hours and at every Clutch Fill
Calibration2

1
• Oil & Filter service intervals as per OMM:

• Filter change every 500 hours
• Oil change using fluids as per OMM and SEBU6250 every 1000 hours.
Correct lubricant viscosity for ambient temperatures must be adhered to. For locations with very short
winters where switching to cold weather oils is not practical, TDTO-TMS must be utilized from first
field fill (1000 hours) onwards.
• Active connection to Cat daily (my.cat.com) and permission granted for Caterpillar to access machine data.
coverages.
coverages.
Examples:
• If this unit has an Extended Coverage offered by Cat Financial Insurance Services that covers the
failed component, then the failure should be filed under Cat Financial Insurance Services.
1 SOS analysis should be completed by Cat dealer or third party every 500 hours and uploaded to SOS
database where possible.
2 “Full PSR with histograms” must be attached to a SIMS entry.
Dealer reimbursement for repair expenses related to the Articulated Truck CX38 Transmission Assurance Program
will be per the Summary of Reimbursement Practices chart found below, in accordance with reimbursement
practices as outlined in Bulletin 1.02.
Articulated Truck CX38 Transmission Assurance Program

Overtime Labor Rate, Shop Supplies, Meals and Not reimbursable
Added Tax
2 05.26-01 (06/19)

The following is the only unique claim field information that is required when submitting an Articulated Truck CX38
Transmission Assurance Program claim.
Group Number - Enter special SMCS code 77A4.
Claim Story - - In addition to the usual description of the complaint, cause, correction and complications, the
claim story should also contain the following:
• Articulated Truck CX38 Transmission Assurance Program.
• The machine application must be noted.

The Articulated Truck CX38 Transmission Assurance Program does not cover the following:
• Operator abuse or neglect, including but not limited to the failure to perform any recommended preventive
• Modifications, unless the modifications were authorized at the request of Caterpillar and performed at an
• The offer excludes Articulated Trucks sold as OEM Products, or used as Pan Pullers/Drawbar Applications.
service intervals as described in the O&M Manuals. Preventive maintenance includes, but is not limited to the
servicing, adjusting and/or replacing of specified components.
Customer is responsible for giving timely notice of a failure and promptly making the product available for repair.
Wear-out Extent of Coverage

Wear-out and/or deterioration are not covered by the Articulated Truck CX38 Transmission Assurance Program.
The intent is not to restore the product to like-new condition, but rather to restore the product to its operating condition
just prior to the covered failure.
The Articulated Truck CX38 Transmission Assurance Program covers only the repair or replacement of the failed
component and any resultant-damaged parts. Other parts removed in the process of repair will be reinstalled as is,
unless the customer authorized the additional cost for their account.
05.26-01 (06/19) 3
4 05.26-01 (06/19)
SERVICE
EXTENDED COVERAGE India
Machine
➤
313D2L & 320D3 Excavators
Major Key Components Value Assurance Program
(Applicable only for India built 313D2L Excavators sold and delivered in
India to end user between 01Apr19 to 31Dec20)
(Applicable only for India built 320D3 Excavators sold and delivered in
India to end user between 01Jun18 to 31Dec20)
➤ Overview
This is a merchandising program developed by Caterpillar for 313D2L excavators sold and delivered in India to end
users between 01Apr19 and 31Dec20 and 320D3 excavators sold between 01Jun18 to 31Dec20
To reinforce confidence in 313D2L & 320D3 excavator and support sales, Caterpillar is offering assurance coverage
for major components up to 24 months or 6,000 hours, whichever occurs first.
This coverage begins at the same time as the standard Machine Warranty or New Parts Warranty term; however,
coverage applies only after all other applicable coverages for the failed component have expired.
The major components covered under this program are listed on pages 4-5.
The following parts and components are excluded under this program:
Exclusions Under This Program

• All seals, O-rings, gaskets and seal kits - including major compartment seals
• Hydraulic lines, hoses, tubes and rubber components
• Undercarriage and GET - wear and tear components
• All electrical components, ECM’s, switches, sensors, wiring harness, battery, alternator, starter & air
conditioner components
• All structural components and cylinders
• Reimbursement during Standard Warranty, or EPP period is limited to reimbursement provided by those
coverages.
➤ 05.27-01 (12/19)

1
• If a failure occurs during the standard warranty period, then it is covered by the standard warranty and
should be filed against standard warranty. Reimbursement will be limited to standard warranty per
Dealer reimbursement for repair expenses related to the 313D2L & 320D3 Excavator Value Assurance Program will
be per the Summary of Reimbursement Practices Chart found below, in accordance with reimbursement practices
as outlined in Bulletin 1.02, and with the applicable warranty statement at https://warranty.cat.com/currstmts.
313D2L & 320D3 Excavators Value Assurance Program

Not reimbursable.

All Product Improvement Programs (PIPs) and Product Support Programs (PSP’s) performed on 313D2L & 320D3
machines must be claimed under the appropriate PIP or PSP. Do not claim these repairs under the 313D2L & 320D3
Value Assurance Program.
For PSP’s that are performed after-failure on components covered by the 313D2L & 320D3 Excavator Value Assurance
Program. Refer to Bulletin 1.16 for the PSP claiming practices involving product covered by Value Assurance (VA) or
other coverages.

The following outlines claim requirements for submitting an Excavator Value Assurance Program claim:

Group Causing Failure Enter SMCS Code:
• 320D3 - 770X
• 313D2L- 77A5
Claim Story In addition to the usual description of the complaint, cause, correction and
complications, the claim story should include one of the following on the first line:
• 313D2L & 320D3 Excavator Value Assurance Program
Document Requirement 0415MHEX service report must be attached in SIMS. Form is available in SIS.
2 05.27-01 (12/19)

The 313D2L & 320D3 Excavators Value Assurance Program does not cover the following:
usage.
improper filters.

Wear-out and/or deterioration are not covered by the 313D2L & 320D3 Excavator Value Assurance Program.

NOTE: Refer to Bulletins 1.06 and 1.09 for proper group number and labor line SMCS Code usage. On the following
pages are the SMCS component codes in numeric order that Caterpillar considers part of this program.
05.27-01 (12/19) 3
of the program.
SMCS Code Description SMCS Code Description

I. BASIC ENGINE Cooling System
Engine 1374 Hydraulic Oil Cooler
1014 Engine & Output Drive Assembly 1378 Engine Oil Cooler
1020 Long Block Final Drive
Air Induction & Exhaust System 4050 Final Drive & Torque Hub
1052 Turbocharger 4051 Final Drive & Wheel
1058 Inlet Manifold 4054 Final Drive Hub
1059 Exhaust Manifold 4055 Final Drive Gears
1063 After cooler Group 4056 Final Drive Shaft
1064 After cooler Core 4057 Final Drive Pinion Flange
106A After cooler Air Temp Control 4074 Final Drive - Outer Section
1071 Airline/Pipe 4075 Final Drive - Inner Section
1079 After cooler Intake Manifold 4084 Final Drive Planet Carrier Ring Gear
Cylinder Head Assembly 4091 Final Drive Pinion
1101 Cylinder Head Casting 4092 Planetary Final Drive Carrier
1102 Rocker Shaft Assembly 4093 Final Drive Planet Carrier Thrust Surface
1103 Valve Seat/Insert 4094 Final Drive Pinion & Flange
1104 Valve Guide 5060 Swivel
1105 Inlet/Exhaust Valve Hydraulic System
1107 Valve Cover 5051 Hydraulic Control Valve
1108 Valve Spring 5056 Hydraulic Tank
1109 Valve Rotator 5059 Pilot Control Valve
1110 Camshaft 5060 Swivel
1111 Camshaft 5067 Check Valve
1112 Camshaft Bearing 5069 Main System Relief Valve
1113 Camshaft Housing Assembly 506G Gear Pump & Motor
1117 Threaded Insert 5070 Hydraulic Pump - Piston Type
1123 Rocker Arm 5071 Hydraulic Oil Cooler Bypass Valve
1126 Cylinder Head Manifold 5072 Pilot System Relief Valve
Front and Rear Covers 5073 Hydraulic Pump - Gear Type
1150 Front & Rear Covers 5074 Thermal Bypass Valve
1151 Cover/Housing (Use 1162 or 1166) 5076 Hydraulic Tank Valve
1156 Flywheel 5077 Hydraulic Accumulator
1157 Flywheel Housing 5078 Hydraulic Actuator
1158 Flywheel Ring Gear 5079 Shuttle Valve
1162 Timing Gear Housing 507G Piston & Gear Pump
1163 Timing Gear Housing Plate 507V Piston & Vane Pump
1164 Engine Output Transfer Gear 5080 Make-Up Valve
1165 Engine Power Take off Drive 5081 Hydraulic Accumulator Charging Valve
1166 Timing Gear Housing Cover 5084 Implement Pump
4 05.27-01 (12/19)
Short Block 5085 Pilot Pump

1200 Short Block 5086 Pressure & Flow Compensator Valve
1201 Cylinder Block 5087 Cooling & Test Manifold
1202 Crank shaft 5093 Hydraulic Filter By-Pass Valve
1204 Crank shaft Gear 5111 Crossover Valve
1205 Crankshaft Damper/Pulley 5143 Drift Reduction valve
1206 Timing/Accessory Gears Excavator, Implement Controls
1208 Push Rod 5453 Check & Relief Valve
1209 Camshaft Roller/Follower/Lifter 5454 Swing Relief Valve
1210 Camshaft 5455 Pump Signal Pressure Control Valve
1212 Camshaft Gear 5459 Swing Drive
1218 Connecting Rod 5472 Load Check Valve
Fuel System 5487 Slow Return Valve
1251 Fuel Injection Pump 5705 Joystick
Lubrication System Other Implements & Machine Components
1304 Engine Oil Pump 7063 Swing Gear
1313 Oil Pump Drive
05.27-01 (12/19) 5
6 05.27-01 (12/19)
SERVICE

Machine
Wheel Tractor-Scraper Powertrain
Assurance Program
(Applicable to new and existing 621K, 623K, 627K, 631K, 637K models sold and
delivered to end user between 01Mar14 to 31Dec20)
Overview
The Wheel Tractor Scraper Powertrain Value Assurance Program is a specific merchandising program developed
by Caterpillar for 621K, 623K, 627K, 631K, 637K Wheel Tractor Scraper models sold to end users between
01MAR2014 to 31DEC2020.
To reinforce confidence in 621K, 623K, 627K, 631K, 637K models and support sales, Caterpillar is offering
assurance coverage for Powertrain components up to 72 months or 7,500 hours (whichever occurs first). This
coverage begins at the same time as the original equipment’s “Standard warranty” term, and terminates after 72
months or 7,500 hours, whichever occurs first. Repair expenses pertaining to this assurance coverage are shared
between Caterpillar and the Dealer.
Note: The term of the program begins at new machine delivery date; however, coverage applies only after all other
applicable coverages for the failed component have expired.
coverages.
• Service Letter repairs must be claimed under the appropriate PIP/PSP, reimbursement is limited to
provision of the service letter program allowances.
• Claims during Standard Warranty, EPP or Service Letter terms must be submitted against those
coverages.
• The Powertrain components covered under this program are listed on pages 4.

A certificate is located in Cat Publications, media number AEXQ2723, for this VA program; dealers may use their
own certificate until a Caterpillar certificate is available.
Note: Eligible units sold and delivered prior to publication of bulletin and release of certificate may have the
dealer fill out the certificate and keep on file with a note in the signature area that the unit was sold/delivered
prior to formal announcement of the VA program.
➤ 05.28-01 (12/19)

• Reimbursement during standard warranty or EPP period is limited to reimbursement provided by those
coverages.
• If a failure occurs during the standard warranty period, then it is covered by the standard warranty and
should be filed against standard warranty. Reimbursement will be limited to standard warranty per
Dealer reimbursement for repair expenses related to the Wheel Tractor Scraper Powertrain Value Assurance
Program will be per the Summary of Reimbursement Practices Chart found below, and in accordance with
applicable Reimbursement Practices as outlined in Bulletin 1.02.
Wheel Tractor Scraper Powertrain Assurance Program
Repair Labor Reimbursable at cost
Parts Salvage Labor Reimbursable
Not Reimbursable

All Product Improvement Programs (PIPs) and Product Support Programs (PSP’s) performed on 621K, 623K, 627K,
631K, 637K models, machines must be claimed under the appropriate PIP or PSP. Do not claim these repairs under
the Wheel Tractor Scraper Powertrain Components Value Assurance Program.
For PSP’s that are performed after-failure on components covered by the Wheel Tractor Scraper Powertrain Value
Assurance Program. Refer to Bulletin 1.16 for the PSP claiming practices involving product covered by Value Assurance
(VA) or other coverages.

The following outlines claim requirements for submitting a Wheel Tractor Scraper Powertrain Value Assurance
Program claim:

Group Causing Failure Enter SMCS Code: 77A8

Claim Story In addition to the usual description of the complaint, cause,

correction and complications, the claim story should include the
following on the first lines:
• Wheel Tractor Scraper Powertrain Value Assurance Program

• Failed Covered Component
• Include Caterpillar 7 Digit Group Number

The Wheel Tractor Scraper Powertrain Assurance Program does not cover the following:
• Modifications, unless the modifications were authorized at the request of Caterpillar, and performed at
an approved repair facility.
usage.
• Acts of war, vandalism, riot, theft, explosion, collision, fire and/or any other act of nature, person or
vermin.
improper filters.
for repair.

Wear-out and/or deterioration are not covered by the Wheel Tractor Scraper Powertrain Value Assurance Program.
05.28-01 (12/19) 3
Included Powertrain Components

Note: 627K & 637K have Powertrain Components for Tractor and Scraper
Tractor / Scraper
Engine
Transmission
Torque Converter
Differential
Drive Shaft
Transfer Gear Group
Final Drives
Brakes
Axles
Input Shaft Group (Tractor Only)
Excluded Powertrain Components

Radiator
Hoses & Lines
Engine Starter
Alternator
Compressor
Emissions Aftertreatment Components
4 05.28-01 (12/19)
SERVICE
Extended Coverage Americas North and South
Machine
Telehandler 2015 Value Assurance Program
Overview
The Telehandler 2015 Value Assurance Program applies to all Caterpillar Telehandlers (TH and TL models)
delivered in 2015 in Americas North and Americas South. This program is a limited time commercial offering
intended to reinforce confidence in Telehandler quality and capture future business. This additional product
support offering runs concurrently with and beyond standard new machine warranty and has a 24 month/2000
hour limitation.
➤ Coverage
This value assurance program starts on the date of delivery to the first user and terminates after 24 months or
2000 hours, whichever occurs first. This coverage applies after Standard Warranty, Emissions Warranty, and/or
Service Letters have been applied.
This program covers:
• Reasonable labor for 12 months from date of delivery or 2000 hours, whichever comes first.
• Powertrain and Hydraulic components, associated reasonable labor, and exclusions for 24 months or
2000 hours, whichever comes first, as detailed in these bulletins:
• 8.01 – Cat Powertrain Equipment Protection Plan
• 8.02 – Cat Hydraulic Equipment Protection Plan
There may be Equipment Protection Plans (EPP) available for components and time periods not covered by this
Value Assurance program. For more information about EPP, contact EquipmentProtectionPlan@cat.com.
Enrollment Qualifications and Documentation

All Telehandlers with a Delivery Date in 2015 are automatically enrolled in this program.
For every Telehandler 2015 Value Assurance Program enrollment, the following documentation must be kept on file:
• The completed 2015 Telehandler Value Assurance Enrollment Certificate between the dealer and the
customer.
➤ 05.29-03 (09/17)

1
Repair expenses related to the Telehandler 2015 Value Assurance Program is per the Summary of

Service Items Reimbursable at D/N.
Repair Labor Reimbursable at the dealer’s Warranty Cost Rate.
Parts Salvage Labor Reimbursable, at Warranty Cost Rate, if justified in claim story.
Outside Repair Expenses Reimbursable at Cost.
Labor Rate, Hauling Costs, Freight Charges,
Not reimbursable.
Travel Time & Mileage, Meals and Lodging.

Claim Story - In addition to the complaint, cause, correction, and any complication, include a note to specify the
machine is enrolled in the Telehandler 2015 Value Assurance Program.
2 05.29-03 (09/17)
SERVICE
Machine
Large Track-Type Tractor (D9-D11)
Undercarriage Assurance Program
Effective for Undercarriage sales on/after 01JAN2019
Overview
Undercarriage Assurance for Large Track-Type Tractors is a leakage and breakage program developed by
Caterpillar for specific undercarriage components on certain track-type machines with steel track. The program is
primarily designed to assure users of structural integrity and sealability.
The program is used by dealers, when necessary, to obtain new machine or parts sales by offering product
support enhancements. These additional product support offering goes beyond the standard new machine or parts
warranties. The cost of the offerings is shared between Caterpillar and the dealer.
Coverage Details
LTTT Undercarriage Assurance Coverage
Product Portfolio Covered Components Coverage in Coverage in Coverage in
Years1 Hours1 Percent Worn1
Heavy Duty
Link Assemblies 4 8000 100%
Extended Life (HDXL)
D11 Link Assemblies &
4 6,000 100%
Rolling Components2
Heavy Duty (HD)
D9 & D10 Link Assemblies &
4 5,000 100%
Rolling Components2
D9 - D11 Link Assemblies &
General Duty 4 3,000 100%
Rolling Components2
2 Rolling components include track shoes, sprockets, track rollers, carrier rollers, track idlers, and hardware for tracks and sprockets.
This coverage begins at the same time as the standard new machine warranty or new parts warranty term, and
This coverage only applies after all other applicable coverages for the failed component have expired (i.e. new
machine warranty, new parts warranty, Product Support Program (PSP)).


Dealer and Dealers are defined as any Cat Authorized Dealer or Cat Authorized Repair Representative. 1

• New Cat® machines and replacement undercarriage on Cat or competitive-brand machines.
• Product Types: Large Track -Type Tractors.
• Component Types: Link Assemblies, Track Shoes, Sprockets, Track Rollers, Carrier Rollers, Track
Idlers, and Hardware for Tracks and Sprockets.

• Oil leaks and breakage on link assemblies, track rollers, carrier rollers, and idlers.
• Breakage under normal use of track shoes, sprockets/sprocket segments and end caps.
• Loosening or breakage of factory-installed track shoe and sprocket hardware (nuts and bolts).
• During a normal bushing turn, on sealed and lubricated track, link assembly components that are
ordinarily reusable but do not meet Caterpillar’s reuse guidelines (reference SEBF8558 Guideline for
Reusable Track Parts) - specifically includes bushings with end grooving that exceed reuse guidelines.
• In addition to failed components (pins, bushings, sleeve bearings, thrust rings, links and/or master links),
normal maintenance parts are reimbursable. This includes hardware, oil, seals, stoppers, plugs, and
thrust rings used to make the repair.
• Oil leaks and breakage on dealer rebuilt rollers (re-shelled) and rebuilt idlers (re-shelled, resealed or welded).
• Severe heavy link spalling that affects 30% or more of a link rail surface.
coverage period - the coverage period DOES NOT start over after the bushing turn.

• 5-Tooth Master Link assembly components on D10N/R/T & D11N/R/T link assemblies and track groups.
• Undercarriage components that have a brand other than Caterpillar.

• Premature failure from abnormal wear resulting from Undercarriage configuration mismatch with Cat and
non-Cat components.
plugs, and reusable thrust rings.
• Rebuilt track link assemblies with track link “build-up” (welded rails).
• Rebuilt (welded wear surfaces) track rollers.
• Regrousered or dealer modified track shoes.
Number-M0096345.
• D10N/R/T & D11N/R/T Master Joint on link assemblies and track groups containing 5-tooth master links.
over for that component. The new parts warranty does not apply to components replaced under this exception.
2 05.33-00 (09/19)
• The completed agreement between the dealer and the customer - enrollment to Caterpillar is not required.
• Undercarriage Assurance Enrollment Certificate, PEEP 9284, is located in Cat Publications for this VA program.
• Customer invoice of original machine or replacement parts sale.
• Custom Track Service (CTS) report at the time of breakage or leakage.
• Customer credit invoices.
• Caterpillar reimbursement to dealer = D/N Price - (%Worn x (Markup))*
The maximum amount of Caterpillar’s reimbursement to the dealer is determined by the least costly method.
Any link assembly with 80% or greater link wear must be replaced and not repaired.
Example 1: D11T not at bushing turn time has 2500 hours and link wear is 30%. 3 joints are dry. Dealer Net
Price of link assembly is $25,000.
• Replace: Dealer Reimbursement = $25,000 - (30% x (1.36 x $25,000)) = $14,800.
• Maximum amount of Caterpillar’s reimbursement to dealer = $2,000.
damaged and cannot be reused. Dealer Net Price of link assembly is $25,000.
• Calculate the cost for replacement versus repair.
• Replace is the least costly method.
OK and can be reused. Track repair can be made with new pins, bushings, and seals. Dealer Net Price of link
assembly is $25,000.
• Calculate the cost for replacement versus repair.
05.33-00 (09/19) 3

• The decision to repair or replace in this situation should be discussed between the dealer and the customer
to determine the best overall value for the customer.

Repair Labor (per Table 1) If reimbursable, at Warranty Cost Labor rate
Emergency Parts Service Charge Reimbursable, if justified in claim story
Not reimbursable
Repair Expenses
4 05.33-00 (09/19)
Table 1
Component Coverage - Large Track-Type Tractors
Undercarriage Reimbursement Claim
Repair/Replace Description
Components Amount Group Number
HDXL- 77C0
100% Parts at
Repaired - due to seal leaks or failed HD- D11- 77C2
D/N*
pins, bushings, thrust rings, or links. HD- D9/D10- 77C4
100% D&A Labor*
GD- 77A6
HDXL- 77C0
Repaired - same as above but at 100% Parts at
HD- D11- 77C2
Track Link Assemblies bushing turn time, with less than D/N*
HD- D9/D10- 77C4
80% link wear. No Labor
GD- 77A6
HDXL- 77C1
Replaced - if more economical Prorated Parts* HD- D11- 77C3
than repairing. No Labor HD- D9/D10- 77C5
GD – 77A7
HDXL- 77C0
100% Parts at
Repaired - due to seal leaks or HD- D11- 77C2
D/N*
broken shaft or shell. HD- D9/D10- 77C4
100% D&A Labor*
Track Rollers, Carrier Rollers GD- 77A6
and Idlers HDXL- 77C1
GD - 77A7
100% Parts at HDXL- 77C0
Dealer Reshelled Track D/N*, 1/3 D/N HD- D11- 77C2
Repaired - due to seal leaks.
Rollers Used Parts, 100% HD- D9/D10- 77C4
D&A Labor* GD- 77A6
HDXL- 77C1
Dealer Rebuilt, Reshelled and GD - 77A7
Resealed Idlers
Repaired or Replaced - due to
breakage of rebuilt (welded wear None None
HDXL- 77C1
Sprockets, Sprocket
Replaced - due to breakage 100% Parts at HD- D11- 77C3
Segments, Track Shoes and
under normal usage. D/N* No Labor HD- D9/D10- 77C5
Track Roller End Caps
GD - 77A7
HDXL- 77C1
Factory Installed Hardware for Replaced - due to breakage or 100% Parts at HD- D11- 77C3
Track Shoes and Sprockets loosening. D/N* No Labor HD- D9/D10- 77C5
GD - 77A7
Dealer reimbursement repair expenses - for repair expenses related to these Undercarriage Assurance
Programs will be per the Summary of Reimbursement Practices chart in accordance with reimbursement practices
as outlined in Bulletin 1.02, per the exceptions listed above.
05.33-00 (09/19) 5

sales
Group Number: Enter appropriate group number - reference Table 1.
1. Information indicating that the machine is enrolled in the Program for HDXL, HD, or General Duty, and
the date of enrollment.
5. The machine serial number on which the link assemblies are installed
6. Information about whether the repair was done during bushing turn time for repairs to track link
assemblies, as this will indicate if Caterpillar or the customer is responsible for the D&A labor

SERVICE
Machine
Hydraulic Excavator Undercarriage
Assurance Program
Overview
Undercarriage Assurance for Hydraulic Excavators is a leakage and breakage program developed by Caterpillar
for specific undercarriage components on certain track-type machines with steel track. The program is primarily
designed to assure users of structural integrity and sealability.
It is used by dealers when necessary to obtain new machine or parts sales by offering product support
enhancements. These additional product support offerings go beyond the standard new machine, or parts
Coverage Details
HEX Undercarriage Assurance Coverage
Product Portfolio Covered Components Coverage in Coverage in Coverage in
Genuine Link Assemblies & 4 4,000 100%
Rolling Components2
General Duty3 Link Assemblies4 & 4 3,000 100%
Rolling Components2
2 Rolling components include track shoes, sprockets, track rollers, carrier rollers, track idlers, and hardware for tracks and sprockets.
3 Coverage is prorated to 100% component wear life or 3,000 hours. Refer to table 1
4 Note that there is a 35% reduction for track shoes that are 710mm or wider on HEX Machines (General Duty only).
This coverage begins at the same time as the standard new machine warranty or new parts warranty term and terminates
per age, hours, or wear, whichever occurs first, as shown in the table above.


1

• Product Types: Hydraulic Excavators
• Component Types: Link Assemblies, Track Shoes, Sprockets, Track Rollers, Carrier Rollers,
Track Idlers, and Hardware for Tracks and Sprockets.

• Breakage under normal use of track shoes, sprockets/sprocket segments, and end caps.
Parts) - specifically includes bushings with end grooving that exceed reuse guidelines.
normal maintenance parts are reimbursable. This includes hardware, oil, seals, stoppers, plugs, and thrust
rings used to make the repair.
• Oil leaks and breakage on dealer rebuilt rollers (reshelled) and rebuilt idlers (reshelled, resealed or welded).

• Product Types: Track Feller Bunchers, (including Timberking™ and Cat® 500 Series)
• Premature failure from abnormal wear as a result of configuration mismatch with Cat and non-Cat
components (i.e. Cat rollers and non-Cat link assembly).
• Re-grousered or dealer modified track shoes.
Number-M0096345.
2 05.34-00 (09/19)
• Undercarriage Assurance Enrollment Certificate, PEEP 9284, is located in Cat Publications for this VA
program.
• Recommended practice - Dealer should submit informational SIMSi entry indicating date of enrollment
For Genuine:
For General Duty:
• Caterpillar reimbursement to dealer = D/N Price - (Proration % x (Markup))*
General Duty will use Table 1 to calculate the Proration %. This is based upon % Wear and Part Hours.
Example 1: (% Wear): 320 with Genuine Undercarriage has 2500 hours and link wear is 30%, and 2 joints are
dry. Dealer Net Price of link assembly is $5000
customer to determine the best overall value for the customer
Example 2: (Proration %): 320 has a General Duty Undercarriage with 1250 hours and link wear is 30%, and 30
joints are dry. Dealer Net Price of link assembly is $5000.
05.34-00 (09/19) 3

*NOTE: Failures during the new machine warranty or new parts warranty periods must be filed against these
Table 1
Undercarriage – Classic/General
Assurance Duty Proration
- General Duty Proration Table Table
Over 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100 100
95 - 99.9 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 95 100
90 - 94.9 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 90 95 100
85 - 89.9 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85 90 95 100
80 - 84.9 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 80 85 90 95 100
75 - 79.9 75 75 75 75 75 75 75 75 75 75 75 75 75 75 75 75 80 85 90 95 100
70 - 74.9 70 70 70 70 70 70 70 70 70 70 70 70 70 70 70 75 80 85 90 95 100
65 - 69.9 65 65 65 65 65 65 65 65 65 65 65 65 65 65 70 75 80 85 90 95 100
60 - 64.9 60 60 60 60 60 60 60 60 60 60 60 60 60 65 70 75 80 85 90 95 100
55 - 59.9 55 55 55 55 55 55 55 55 55 55 55 55 60 65 70 75 80 85 90 95 100
% Wear
50 - 54.9 50 50 50 50 50 50 50 50 50 50 50 55 60 65 70 75 80 85 90 95 100
45 - 49.9 45 45 45 45 45 45 45 45 45 45 50 55 60 65 70 75 80 85 90 95 100
40 - 44.9 40 40 40 40 40 40 40 40 40 45 50 55 60 65 70 75 80 85 90 95 100
35 - 39.9 35 35 35 35 35 35 35 35 40 45 50 55 60 65 70 75 80 85 90 95 100
30 - 34.9 30 30 30 30 30 30 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
25 - 29.9 25 25 25 25 25 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
20 - 24.9 20 20 20 20 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
15 - 19.9 15 15 15 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
10 - 14.9 10 10 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
5 - 9.9 5 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
0 - 4.9 0 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
1050 - 1199
1200 - 1349
1350 - 1499
1500 - 1649
1650 - 1799
1800 - 1949
1950 - 2099
2100 - 2249
2250 - 2399
2400 - 2549
2550 - 2699
2700 - 2849
2850 - 2999
900 - 1049
3000 - up
150 - 299
300 - 449
450 - 599
600 - 749
750 - 899
0 - 149
Part Hours
4 05.34-00 (09/19)

Repair Labor (Table 2) If reimbursable, at Warranty Cost Labor rate
Not reimbursable.
Repair Expenses
Table 2
Component Coverage - Hydraulic Excavators
Repaired - due to seal leaks or failed 100% Parts at D/N* Genuine - 77C6
pins, bushings, thrust rings, or links. 100% D&A Labor* General Duty- 77C8
Repaired - same as above but at
100% Parts at D/N* Genuine - 77C6
Track Link Assemblies bushing turn time, with less than
No Labor General Duty - 77C8
80% link wear.
Replaced - if more economical Prorated Parts* Genuine - 77C7
than repairing. No Labor General Duty - 77C9
Repaired - due to seal leaks or 100% Parts at D/N* Genuine- 77C6
Track Rollers, Carrier broken shaft or shell. 100% D&A Labor* General Duty- 77C8
Rollers and Idlers Replaced - if more economical Prorated Parts* Genuine- 77C7
than repairing. No Labor General Duty- 77C9
Replaced - if more economical Prorated Parts* Genuine- 77C7
Dealer Rebuilt, than repairing No Labor General Duty- 77C9
Reshelled and Repaired or Replaced - due to
Resealed Idlers breakage of rebuilt (welded wear None None
Sprockets, Sprocket
Segments, Track Replaced - due to breakage 100% Parts at D/N* Genuine- 77C7
Shoes and Track under normal usage. No Labor* General Duty- 77C9
Roller End Caps
Factory Installed
Replaced - due to breakage or 100% Parts at D/N* Genuine- 77C7
Hardware for Track
loosening. No Labor* General Duty- 77C9
Shoes and Sprockets
Programs will be per the Summary of Reimbursement Practices chart and per Table 2, in accordance with
reimbursement practices as outlined in Bulletin 1.02, per the exceptions listed above.
05.34-00 (09/19) 5

sales
Group Number: Enter appropriate group number - reference Table 2
Claim Story: In addition to complaint, cause, and correction, include the following
1. Information indicating that the machine is enrolled in the program for Genuine or General Duty. Include
the enrollment date.
3. The machines track shoe width, if available.
4. The track link assembly’s serial numbers, if available.
5. The link assembly or track group install-by date, if available.
6. The machine serial number on which the link assemblies are installed.
7. Information about whether the repair was performed during bushing turn time for repairs to track link
6 05.34-00 (09/19)
SERVICE
Machine
Small & Medium Track-Type Tractors (D3-D8)
& Loaders Undercarriage Assurance Program
Overview
Undercarriage Assurance for Small and Medium Track-Type Tractors and Track-Type Loaders is a leakage and
breakage program developed by Caterpillar for specific undercarriage components on certain track-type machines
with steel track. The programs are primarily designed to assure users of structural integrity and sealability.
They are used by dealers, when necessary, to obtain new machine or parts sales by offering product support
Coverage Details
Undercarriage Assurance - S&M TTT/L Coverage
Product Portfolio Coverage in Coverage in Coverage in
Heavy Duty Extended 4 5,000 100%
Life (HDXL)
SystemOne 42 6,0002 100%
General Duty3 44 3,0004 100%
Genuine SALT 4 4,000 100%
2 Coverage is prorated to 100% component wear life, or 6,000 hours. Refer to Table 1.
3 Note that there is a 35% reduction for wide track shoes that are 28” or wider for TTT.
4 Coverage is prorated to 100% component wear life or 3,000 hours. Refer to Table 2.
This coverage begins at the same time as the standard new machine warranty or new parts warranty term and terminates
per age, hours, or wear, whichever occurs first, as shown in the table above.


1

• Product Types: Small Track-Type Tractors, Medium Track-Type Tractors, Track-Type Loaders,
Pipelayers.
• Component Types: Link Assemblies, Track Shoes, Sprockets, Track Rollers, Carrier Rollers,
Track Idlers, and Hardware for Tracks and Sprockets.

• Breakage under normal use of track shoes, sprockets/sprocket segments, and end caps.
Parts) - specifically includes bushings with end grooving that exceed reuse guidelines.
normal maintenance parts are reimbursable. This includes hardware, oil, seals, stoppers, plugs, and thrust
rings used to make the repair.
• Oil leaks and breakage on dealer rebuilt rollers (reshelled) and rebuilt idlers (reshelled, resealed or welded).

• Product Types: Track-type Log Skidders, Track Feller Bunchers, (including Timberking™ and Cat® 500
Series), Compact Track Loaders with steel undercarriage.

• Premature failure from abnormal wear as a result of configuration mismatch with Cat and non-Cat
components (i.e. Cat rollers and non-Cat link assembly).
• Re-grousered or dealer modified track shoes.
Number-M0096345.
2 05.34-00 (09/19)
• Undercarriage Assurance Enrollment Certificate, PEEP 9284, is located in Cat Publications for this VA
program.
• Recommended practice - Dealer should submit informational SIMSi entry indicating date of enrollment
method.
• Refer to Table 3 for coverage details.
For HDXL and Genuine SALT:
For SystemOne and General Duty:
• Caterpillar reimbursement to dealer = D/N Price - (Proration % x (Markup))*
SystemOne will use Table 1 and General Duty will use Table 2 to calculate the Proration %. This is based upon
% Wear and Part Hours.
Example 1:(% Wear) D6T with HDXL Undercarriage has 2500 hours and link wear is 30%. 2 joints are dry.
Dealer Net Price of link assembly is $5000.
05.39-00 (09/19) 3

customer to determine the best overall value for the customer.
Example 2:(Proration %) D6T with SystemOne Undercarriage has 2500 hours and link wear is 30%. 30 joints
are dry. Dealer Net Price of link assembly is $5000.
*NOTE: Failures during the new machine warranty or new parts warranty periods must be filed against these
Table 1
4 05.34-00 (09/19)
Table 2

Parts If reimbursable, reimbursed at D/N per proration.
Repair Labor (Table 3) If reimbursable, at Warranty Cost Labor rate.
Not reimbursable.
Repair Expenses
05.39-00 (09/19) 5
Table 3
Component Coverage - Hydraulic Excavators
HDXL - 77D0
Repaired - due to seal leaks or failed 100% Parts at D/N*
SystemOne - 77D2
pins, bushings, thrust rings, or links. 100% D&A Labor*
GD - 77D4, GS - 77D6
Repaired - same as above but at HDXL - 77D0
100% Parts at D/N*
Track Link Assemblies bushing turn time, with less than SystemOne - 77D2
No Labor
80% link wear. GD - 77D4, GS - 77D6
HDXL - 77D1
SystemOne - 77D3
GD - 77D5, GS - 77D7
HDXL - 77D0
Repaired - due to seal leaks or 100% Parts at D/N*
SystemOne - 77D2
broken shaft or shell. 100% D&A Labor*
Track Rollers, Carrier GD - 77D4, GS - 77D6
Rollers and Idlers HDXL - 77D1
SystemOne - 77D3
GD - 77D5, GS - 77D7
HDXL - 77D1
SystemOne - 77D3
Dealer Rebuilt, than repairing No Labor
GD - 77D5, GS - 77D7
Reshelled and
Resealed Idlers Repaired or Replaced - due to
breakage of rebuilt (welded wear None None
Sprockets, Sprocket
HDXL - 77D1
Segments, Track Replaced - due to breakage 100% Parts at D/N*
SystemOne - 77D3
Shoes and Track under normal usage. No Labor*
GD - 77D5, GS - 77D7
Roller End Caps
Factory Installed HDXL - 77D1
Replaced - due to breakage or 100% Parts at D/N*
Hardware for Track SystemOne -77D3
loosening. No Labor*
Shoes and Sprockets GD - 77D5, GS - 77D7
Programs will be per the Summary of Reimbursement Practices chart and per Table 2, in accordance with
reimbursement practices as outlined in Bulletin 1.02, per the exceptions listed on page 5.
6 05.34-00 (09/19)

sales
Group Number: Enter appropriate group number - reference Table 3
Claim Story: In addition to complaint, cause, and correction, include the following
1. Information indicating that the machine is enrolled in the program for HDXL, SystemOne, General
Duty, and General SALT. Include the date of enrollment.
3. The machines track shoe width, if available.
4. The track link assembly’s serial numbers, if available.
5. The link assembly or track group install-by date, if available.
6. The machine serial number on which the link assemblies are installed.
7. Information about whether the repair was performed during bushing turn time for repair to track link
05.39-00 (09/19) 7
SERVICE

Machine
➤
Articulated Truck CX38 Transmission
Assurance Program
Articulated Truck Models (745, 740EJ & 740GC)
Sold and Delivered To End User Between 01Jan2020 and 31Dec2020
➤ Overview
The Articulated Truck CX38 Transmission Assurance Program is a specific merchandising program developed by
Caterpillar for 745 (serial number prefixes 3T6 & 3F6), 740EJ (3F7, 3T7) & 740GC (3F8, 3T8) Articulated Truck
models sold and delivered worldwide to end users between 01Jan2020 and 31Dec2020. The offer excludes
Articulated Trucks sold as OEM Products or used as Pan Pullers/Drawbar Applications.
To reinforce confidence in the CX38 Transmissions in select Articulated Trucks, Caterpillar is offering assurance
coverage for 60 months or 15,000 hours, whichever occurs first. This coverage begins at the same time as the
original equipment’s “Standard Warranty” term, and terminates in 60 months or 15,000 hours, whichever occurs first.

Dealer must provide the customer a certificate describing the coverage they are offering, and keep a copy on file.
• A certificate is located in Cat Publications, media number AEXQ2853, for this VA program.
• The machine must maintain a functioning hour meter.
• Product is maintained in accordance with Caterpillar recommended service intervals1
• Clutch Fill Calibration procedure performed every 2000 hours.
• Product Status Report taken and uploaded to SIMS at initial 500 hours and at every Clutch Fill Calibration2
• Oil & Filter service intervals as per OMM:
• Filter change every 500 hours
• Oil change using fluids as per OMM and SEBU6250 every 1000 hours.
Correct lubricant viscosity for ambient temperatures must be adhered to. For locations with very short
winters where switching to cold weather oils is not practical, TDTO-TMS must be utilized from first field
fill (1000 hours) onwards.
➤ 05.48-01 (02/20)

• Active connection to Cat daily (my.cat.com) and permission granted for Caterpillar to access machine data.
• This coverage applies after Product Program and Standard/Parts Warranty coverages, and prior to Extended
Protection Plan (EPP) offerings by Cat Financial Insurance Services.
• Failures during the New Machine Warranty or New Parts Warranty periods must be filed against these
programs and not this program. If there is a Product Program (PIP/PSP) in effect that covers the failure,
dealers must claim under the PIP/PSP.
• Reimbursement is limited to the coverage reimbursement provided by the claim type coverage at the
time of failure.
coverages.
Examples:
1SOS analysis should be completed by Cat dealer or third party every 500 hours and uploaded to SOS database
where possible.
2 “Full PSR with histograms” must be attached to a SIMS entry.
Dealer reimbursement for repair expenses related to the Articulated Truck CX38 Transmission Assurance Program
will be per the Summary of Reimbursement Practices chart found below, in accordance with reimbursement practices
as outlined in Bulletin 1.02
Articulated Truck CX38 Transmission Assurance Program

Not Reimbursable
2 05.48-01 (02/20)

The following is the only unique claim field information that is required when submitting an Articulated Truck
CX38 Transmission Assurance Program claim.

Coverage Type Leave Blank
Claim Story In addition to the usual description of the complaint, cause,
correction and complications, the claim story should include the
following:
• State in the first line of the story one of the following:
• 2020 Articulated Truck CX38 Transmission Assurance
Program
• The machine application must be noted

The Articulated Truck CX38 Transmission Assurance Program does not cover the following:
maintenance as specified in the machine Operation & Maintenance Manual.
• The offer excludes Articulated Trucks sold as OEM Products, or used as Pan Pullers/Drawbar Applications
service intervals as described in the O&M Manuals. Preventive maintenance includes, but is not limited to the
It is strongly recommended that Cat Fluids and Filters are utilized when servicing Cat machines. These fluids and
filters provide the best lubrication, cooling, and wear protection to components and systems, resulting in maximum
durability.
05.48-01 (02/20) 3

Wear-out and/or deterioration are not covered by the Articulated Truck CX38 Transmission Assurance Program.
The Articulated Truck CX38 Transmission Assurance Program covers only the repair or replacement of the failed

NOTE: Refer to Bulletins 1.06 and 1.09 for proper group number and labor line SMCS Code usage. On the
following pages are the SMCS component codes in numeric order that Caterpillar considers part of this program.
of the program.
I. TRANSMISSION OF POWER
Transmission & Drive Line
3000 Transmission & Drive Line
3001 Transmission & Torque Converter
3002 Transmission & Transfer Gears
3003 Transmission, Torque Converter, & Transfer Gears
3005 Drive Train / Transmission Oil Filler
3017 Drive Train Oil Pump (Use 3066)
301T Drive Train Oil Temperature Sensor
3024 Drive Train Breather 3030 Transmission
3031 Transmission, Transfer Gears, Retarder
3032 Transmission and Retarder
Clutch & Manual Shift/Direct Drive Transmission

3053 Clutch Shaft
3054 Clutch Plate
3056 Clutch Oil Pump
3059 Clutch Control
3061 Transmission Gears
3062 Transmission Reverse Box
3063 Transmission Shaft
4 05.48-01 (02/20)
3064 Transmission Case

3065 Transmission Control
3066 Transmission Oil Pump
3068 Transmission Oil Filter Base
3073 Transmission Hydraulic Control Valve
3074 Transmission Pressure Control Valve
3075 Transmission Output Gears
3082 Transmission Mount
3083 Transmission Selector & Pressure Control Valve
Torque Converter, Divider, Retarder

3100 Torque Converter, Torque Divider, Retarder
3101 Torque Converter
3102 Torque Converter Clutch
3103 Torque Converter Lines / Hoses
3104 Torque Converter/Transmission Wiring Harness
3105 Torque Converter Housing
3106 Torque Converter, Transfer Gear, Retarder
3109 Torque Converter & Retarder
3110 Torque Divider Transmission (Use 3030)
3111 Torque Divider Control Valve (Use 3073)
3113 Torque Divider
3116 Transfer Gears, Torque Divider, & Retarder (Use 3031)
3117 Transfer Gears and Retarder
3118 Torque Divider & Retarder (Use 3032)
3124 Lockup Clutch Pressure Control Valve
3125 Torque Converter & Divider
3127 Torque Converter Bearing Retainer
3128 Torque Converter Flange
3129 Torque Converter Stator
3130 Torque Divider/Torque Converter Shaft
3131 Torque Converter Turbine Wheel
3133 Torque Converter Relief Valve
3134 Torque Converter Impeller
3135 Torque Converter Carrier
3136 Torque Converter Hub
3137 Torque Converter Pressure/Sequence Control Valve
3139 Modulating Valve
3140 Torque Converter Control
3141 Torque Converter Speed Sensor
3142 Automatic Retarder Control
3143 Torque Converter Electronic Control
05.48-01 (02/20) 5
Powershift Transmission
3150 Power Shift Transmission
3153 Transmission Oil Pump (Use 3066)
3154 Transmission Lines/Hoses
3155 Transmission Clutches
3158 Transmission Auto Selector Valve
3159 Transfer Gear Group
3160 Transmission Planetary
3164 Oil Filter Base (Use 3068)
3167 Transmission Hydraulic Control
3168 Transmission Electronic Control (Includes Fingertip Controls)
3169 Transmission Clutch Housing
3170 Transmission Clutch Piston
3174 Transmission Shift Solenoid
3175 Transmission Speed Sensor
3176 Transmission & Transfer Gears
3182 Transmission Lubrication Relief Valve
3183 Transmission Control Lock
3184 Transmission Oil Cooler Bypass Valve
3186 Transmission Planet Carrier
3187 Transmission Planet Carrier Thrust Disc/Plate
3188 Transmission Case (Use 3064)
3189 Transmission Shaft (Use 3063)
3190 Transmission Clutch Plate
3193 Drive Train High Speed Oil Change Group
3194 Transmission Temperature Sensor
6 05.48-01 (02/20)
SERVICE

Machine
Structural Components & Hitch Assurance

Program for Compact Wheel Loader
906K, 906M, 907K, 907M, 908K and 908M CWL
sold to end users between 20Sep2018 through 31Dec2020
Overview
The Structural Components & Hitch Assurance Program for Compact Wheel Loaders is a specific merchandising
program developed by Caterpillar for 906K, 906M, 907K, 907M, 908K and 908M CWL with sold to end users
between 20Sep2018 through 31Dec2020.
To reinforce confidence in K/M-Series CWL structures and hitches Caterpillar is offering an assurance coverage to
structures for a full five (5) years or 6,000 hours, whichever occurs first. This coverage begins at the same time as the
original equipment’s “Standard Warranty” coverage and ends in five (5) years or 6,000 hours. This coverage applies
only to the following structural components, that were installed at the time of manufacture and failed as a result of a
hitch component failure: Engine End Frame (EEF), Non-Engine End Frame (NEEF), and Articulation Hitch.
Please reference the Component Coverage Chart showing the specific part numbers by model that are covered
under this program.
For units sold to end user between 20Sep2018 through 31Dec2020
coverages.
➤ 05.49-00 (01/20)

• Refer to Bulletin 1.16 for Service Letter claiming practices involving product covered by other coverages.
Examples:
• Service Letter repairs must be claimed under the appropriate PIP/PSP, even if the product has additional
coverage.
• If a failure occurs during the standard warranty period, then it is covered by standard warranty and should be
filed against standard warranty. Reimbursement will be limited to standard warranty per applicable bulletin.
• If the unit has an Extended Coverage offered by Cat Financial Insurance Services that covers the failed
component, then the failure should be filed under Cat Financial Insurance Services.
Dealer reimbursement for repair expenses related to the Structural Components & Hitch Assurance Program will be
per the Summary of Reimbursement Practices chart below, per the following additionally noted expense information,
in accordance with reimbursement practices as outlined in Bulletin 1.02.

Not Reimbursable

The following outlines additional claim requirements for submitting a Structural Components & Hitch Assurance
Program claim:

Product ID/Serial Number: Enter the prime product serial number
Part Causing Failure: Enter the part number that caused the failure
Group Number 77A9
Claim Story in addition to the usual description of the complaint, cause,
correction and complications the claim story should also include
the following statement as the first line:
• Structural Components & Hitch Assurance Program claim.

All Product Improvement Programs (PIPs) and Product Support Programs (PSP’s) performed on 906K/M, 907K/M
and 908K/M machines, must be claimed under the appropriate PIP or PSP. Do not claim these repairs under the
Structural Components & Hitch Assurance Program. For PSP’s that are performed after-failure on components
covered by the Structural Components & Hitch Assurance Program refer to Bulletin 1.16 for the PSP claiming
practices involving product covered by VA or other coverages.
2 05.49-00 (01/20)

The Structural Components & Hitch Assurance Program does not cover the following:
preventative maintenance as specified in the Operation and Maintenance Manual
• Applications not approved by Caterpillar
• Improper use or abuse of machine or component
• Operation beyond the design and/or capacity of the machine or component
• Wear-out and normal deterioration in the performance, including but not limited to oil consumption and
gasket and seal leaks
• Chemical corrosion, and physical or mechanical erosion
• Unauthorized fuel setting changes
• Acts of war, vandalism, riot, theft, explosion, collision, fire and/or any other act of nature, person or vermin
• Operating equipment with improper levels or contaminated fuel, fluids or filters
• Operating at performance settings other than the standard Caterpillar specification
• Accelerated wear-out of components due to operating technique or application
• Physical damage
• Any repairs, if the service meter has been stopped or altered or misrepresents the equipment’s actual usage
service intervals as described in the O&M Manuals. Preventative maintenance includes, but is not limited to the
servicing, adjusting, and/or replacing of specified components.

Wear-out and/or deterioration are not covered by the Structural Components & Hitch Assurance Program. The
intent is not to restore the product to like-new condition, but rather to restore the product to its operating condition
just prior to the covered failure.
The Structural Components & Hitch Assurance Program covers only the repair or replacement of the failed
05.49-00 (01/20) 3
Covered Components

Model 906K/M - Covered Components1
561-4053 Frame As (EEF)2
447-6002 Frame As (NEEF)2
445-0280 Bearing-Aligning
7X-2542 Bolt-Hex Head
8T-4137 Bolt-Hex Head
105-3478 Bolt-Hex Socket
216-8311 Bolt-Socket Head
294-0884 Cap As.
291-9911 Link
6V-9189 Locknut
302-5541 Pad-Wear
291-9916 Pin
360-7295 Pin
259-2896 Plate
360-7296 Plate
541-7577 Plate
360-7297 Plug
313-3812 Ring
6V-8757 Ring-Retaining
4 05.49-00 (01/20)
8T-0707 Ring-Retaining
498-2909 Shim
498-2910 Shim
138-2172 Shim kit
8T-4121 Washer-Hard

7X-2542 Bearing-Aligning
294-0884 Cap As.
292-4856 Link
6V-9189 Locknut
302-5541 Pad-Wear
291-9916 Pin
360-7295 Pin
259-2896 Plate
360-7296 Plate
541-7577 Plate
360-7297 Plug
313-3812 Plug
498-2909 Shim
498-2910 Shim
138-2172 Shim Kit
8T-4121 Washer-Hard

05.49-00 (01/20) 5
7X-2542 Bolt-Hex Head

294-0884 Cap As.
292-4856 Link
6V-9189 Locknut
302-5541 Pad-Wear
291-9916 Pin
360-7295 Pin
259-2896 Plate
360-7296 Plate
541-7577 Plate
360-7297 Plug
313-3812 Ring
498-2909 Shim
498-2910 Shim
138-2172 Shim kit
8T-4121 Washer-Hard
Note: 1Part listing based on current parts, as parts are cancelled and
replaced by new parts the coverage will apply to the new parts.
2 Repairs to the (EEF) or (NEEF) must be a result of a hitch component
failure.
6 05.49-00 (01/20)
SERVICE
Extended Coverage Global
Power Systems
➤
Caterpillar Fluid End Value Assurance Program
(Effective with sales transactions dated 01Mar16 through 30Jun17)
➤ Overview
The Caterpillar Fluid End Value Assurance Program is a specific merchandising program developed by Caterpillar
for fluid ends with sales transactions dated 01Mar16 through 30Jun17.
The program is offering an assurance coverage against cracking for Cat® fluid end blocks for a full two (2) years
or the designated pumping hours of life based on material, whichever comes first. The hour designations for each
material offered are as follows:
• 300 pumping hours for carbon steel models

• 500 pumping hours for XD carbon steel models
• 800 pumping hours for stainless steel models
Please see pages 3-4 to find the chart listing Fluid End Part Number, Hours of Coverage for this program, and
Part Description.
This coverage begins at the same time as the Standard Warranty or New Parts Warranty term and terminates per
age or hours, whichever occurs first, per the above coverage offering.
For example, should a failure occur during the Standard Warranty period, then it is covered by Standard Warranty
and should be filed against Standard Warranty (not utilizing the claim group number listed in this bulletin).
Reimbursement will be limited to Standard Warranty per applicable bulletin.
All parts replaced under this program become the property of Caterpillar Inc.
Parts replaced under this program are covered for the remaining term of the original failed part.
Note: The coverage does not start over for replaced parts.


1
Coverage Conditions
The program has the following coverage conditions:
1. The program coverage begins at the same time Standard Warranty or New Parts Warranty begin.
2. This program coverage is only valid when fluid end is purchased directly from a Cat dealer
3. This program covers premature failure rendering the fluid end block unusable due to product defects
and/or workmanship (i.e. cracking).
4. Consumables such as packing, plungers, valves & seats, etc. are not covered under this program, only
the bare block is covered.
5. Operator induced failure, such as washouts, are not covered under this program.
6. A (Product Group – Oil & Gas) DSN ticket for each fluid end failure must be entered for each failure
during repair.
If a covered failure happens within the program the customer will be required to submit documentation of pumping
hours for the failed unit. Normal parts retention rules apply. Documentation will be used as part of the claim,
failure to have required information will cause the claim to be denied. Failure to return the failed block will cause
any paid claim to be debited.
Expense reimbursement is considered only when the part causing failure is a component covered by this VA
program.
Dealer reimbursement for repair expenses related to this VA program will be per the proration details and
Summary of Reimbursement Practices Chart found below, and in accordance with applicable Reimbursement
Practices as outlined in Bulletin 1.02.
Proration:
Proration Factors: Wear Factors:

Carbon Steel: 75.67% 300
XD Carbon Steel: 66.43% 500
Stainless Steel: 66.43% 800
Proration Formula:
D/N Price * Proration Factor * (1- (actual hours/wear factor))
Caterpillar Fluid End

Value Assurance Program
Parts Reimbursable at D/N per proration
Repair Labor Reimbursable at selling labor rate
Parts Service Charge Reimbursable
Lodging, Freight changes, Hauling cost, Service Items
and Value Added Tax
2 05.91-01 (10/16)

Product ID / Serial Number: Enter the pump serial number located on the power end of the Well Stimulation
Pump or Well Service Pump. When filing a claim for Cat replacement parts and components used on
competitive products on fluid ends, enter 99Z00400.
• Enter the Cat part number causing failure. Under this program, the part causing failure should be a bare
block part number.
Group Number:
• Enter SMCS code 770N.
Claim Story: In addition to complaint, cause, correction and complication, include the following information:
• Fluid End Value Assurance Program.
• Enter into the claim story the DSN ticket number and/or name of any Caterpillar persons involved with
the failure repair.
• Where applicable, enter competitive product make and model information that the fluid end is installed
onto into the claim story and other helpful installation details.
• State that the “Pump hour documentation uploaded to SIMS.” early in the claim story. Failure to include
required supportive materials can lead to the claim being denied or debited.
Fluid End Bare Blocks Covered Under Program

Bare Block Part Loaded Block Part Program Hour
Material Number Number Designation
SS 452-4726 452-4727 800
SS 454-7916 452-4797 800
SS 452-4728 452-4729 800
SS 452-4730 452-4731 800
SS 457-6663 457-6665 800
SS 454-7918 452-4798 800
SS 454-7918 467-3393 (4.5” Liberty) 800
SS 452-4732 452-4733 800
SS 452-4734 452-4735 800
SS 452-4736 452-4737 800
SS 452-4738 452-4739 800
SS 452-4740 452-4741 800
SS 452-4742 452-4743 800
SS 452-4744 452-4745 800
SS 452-4746 452-4747 800
SS 452-4748 452-4749 800
SS 452-4750 452-4751 800
STD 434-9822 434-9821 300
STD 454-7914 453-3187 300
STD 434-9833 434-9832 300
05.91-01 (10/16) 3
STD 434-9839 434-9838 300

STD 434-9841 434-9840 300
XD 434-9818 434-9817 500
XD 454-7915 453-3188 500
XD 434-9810 434-9809 500
XD 434-9782 434-9781 500
XD 454-7917 453-3190 500
XD 455-5445 455-5446 500
XD 470-5766 470-5770 500
XD 435-0029 435-0044 500
XD 435-0036 435-0046 500
XD 435-0037 435-0047 500
XD 435-0048 435-0040 500
XD 435-0051 435-0050 500
XD 435-0055 435-0054 500
XD 435-0058 435-0057 500
XD 434-9843 434-9842 500
XD 450-5659 450-5661 500
XD 434-9968 434-9977 500
XD 434-9969 434-9978 500
XD 434-9970 434-9979 500
XD 434-9971 434-9980 500
XD 434-9967 434-9981 500
XD 434-9966 434-9982 500
XD 434-9965 434-9983 500
XD 434-9964 434-9984 500
4 05.91-01 (10/16)
SERVICE
Extended Coverage Americas North - US & Canada
Machines
C Series Wheel Feller Bunchers Assurance Program
➤ Overview
This is a product assurance plan that protects the customer from unusual repair expense caused by a failure of the
transmission (two speed gear box), main hydraulic pumps and motors and main wire harnesses.
The program applies to C Series Wheel Feller Bunchers sold in Americas North between 1Jul2016 and 31Dec2017.
The Termination Date of the program is four years from date of machine sale or at 8,000 machine hours, whichever
occurs first.
Note: Any failures covered by this agreement must fit within the Caterpillar definition of a warrantable defect. This is
typically described as a defect in material and/or workmanship as delivered from the factory.
This agreement does not cover wear items or failures that result from machine application or maintenance related
issues.
➤ Coverage and Order of Coverage
The C Series Wheel Feller Bunchers Assurance Program is a custom coverage plan for owners of C Series Wheel
Feller Bunchers sold between 1Jul2016 and 31Dec2017. The coverage provides specified levels of repair support
for a covered failure for 4 years or a maximum of 8,000 hours, whichever comes first. The C Series Wheel Feller
Bunchers Assurance Program is the last coverage to apply, all other applicable coverage options apply first,
including Caterpillar Service Letters and Cat® Financial Insurance Services Equipment Plan options.
The parts listed below are covered by this assurance program:
Saw Pump 418-2205

Aux Pump 418-2202
Fan Pump 418-2204
Propel Pump 364-4620
Propel Motor 364-4621
Pump Drive 352-2183
Transmission 419-2892
Main Wire Harnesses 460-6786, 454-1940, 453-7165, 453-7167, 460-8667, 453-7171


1
C Series Wheel Feller Bunchers Assurance Program Coverage

Year Product SMU Coverage Offering Caterpillar Dealer Customer
1 Unlimited All C Series Wheel Feller Per standard warranty and 4-3-2-1 EPP terms.
Bunchers are sold with a
standard warranty and a 4-3-
2-1 Extended Protection Plan
(EPP) that applies prior to this
VA coverage. Refer to Bulletin
2.01 (Standard Warranty) and
Bulletin 8.07 (4-3-2-1 EPP).
2-4 2001-4000 hrs Electrical harnesses only to 100 % of parts and n/a n/a1
address a main wire harness labor
failure.
4001-6000 hrs Electrical harnesses, hydraulic 66% parts 66% labor 33% parts &
pumps and motors. labor1
6001-8000 hrs Electrical harnesses, hydraulic 33% parts 33% labor 66% parts &
pumps and motors. labor1
1All transportation, travel time and mileage charges incurred during a covered C Series Wheel Feller
Bunchers Assurance Program repair are the responsibility of the customer.
Coverage Eligibility Requirements

During the C Series Wheel Feller Bunchers Assurance Program coverage period, Scheduled Oil Sampling is required
and inspections of the covered machine must be made by the dealer beginning at the start of this coverage (2000
hours) continuing every 1000 machine hours after that until the expiration of this program. The oil must be replaced
as specified in the Operation and Maintenance Manual.
Eligible repairs must be performed by Cat dealer utilizing Cat parts. Transportation of the machine for repair and / or
inspection is customer responsibility.
The oil sample results must be kept on file at the dealer for review by Caterpillar when requested. Costs related to
obtaining and processing the oil samples are the responsibility of the Customer.

complete and accurate root cause investigation critical to product problem management. Claims that do not include
the required serial number information as outlined in the Claim Field Information section may be subject to full debit.
Expense reimbursement is considered only when the part causing failure is a component covered by this VA program.
Dealer reimbursement for repair expenses will be per the level of support as identified in the Coverage and Order
of Coverage section in this bulletin, per the Summary of Reimbursement Practices Chart found below, and in
2 05.92-01 (02/17)
C Series Wheel Feller Bunchers Assurance Program

Travel Time & Mileage, Overtime Labor Rate, Shop Supplies, Not Reimbursable
Meals and Lodging, Freight Charges, Hauling cost and Value
Added Tax

File actual parts and labor on claim, the claim will be adjusted to reflect payable amount. Adjustments will not impact
dealer metrics.
Product ID / Serial Number - Enter the prime product serial number. Refer to bulletin 2.01 for assistance with Cat
Forestry serial number prefixes and serial number identification.
Group Number - Enter SMCS code 770P.
• Component Serial Number
• Repair or Replacement of Hydraulic Components (Pumps, Motors, Control Valves)
• Enter component serial number in the following examples:
• If component has an attached serial number tag;
• If component is the part causing failure;
• If the most economical solution is to repair and the part causing failure is the service part;
• If the component was replaced as resultant damage.
• C Series Wheel Feller Bunchers Assurance Program Claim.
claimed in the Miscellaneous expense lines. The summary of expenses noted in the claim story must match the
detail expense items claimed.
05.92-01 (02/17) 3
SERVICE
Machines
D Series Wheel Skidders Assurance Program
➤ Overview
This is a product assurance plan that protects the customer from unusual repair expense caused by a failure of
the transmission input shaft, clutch discs, or axle planetary system.
The program applies to D Series Wheel Skidders sold in Americas North between 1Jul2016 and 31Dec2017.
The Termination Date of the program is five years from date of machine sale or at 8,000 machine hours,
whichever occurs first.
Note: Any failures covered by this agreement must fit within the Caterpillar definition of a warrantable defect.
This is typically described as a defect in material and/or workmanship as delivered from the factory.
This agreement does not cover wear items or failures that result from machine application or maintenance
related issues.
➤ Coverage and Order of Coverage

The D Series Wheel Skidders Assurance Program is a custom coverage plan for owners of D Series Wheel
Skidders sold between 1Jul2016 and 31Dec2017. The coverage provides specified levels of repair support for a
covered failure for 5 years or a maximum of 8,000 hours, whichever comes first. The D Series Wheel Skidders
Assurance Program is the last coverage to apply, all other applicable coverage options apply first, including
Caterpillar Service Letters and Cat® Financial Insurance Services Equipment Plan options.
The parts listed below are covered by this assurance program:
Transmission Shaft 426-2732

Transmission Clutch 431-9378
Axle Differential
Planetary Assembly (or parts 379-1692, 381-8078
contained within)


1
➤ D Series Wheel Skidders Assurance Program Coverage

Year Product SMU/Age, Coverage Offering Caterpillar Dealer Customer
Whichever comes first
1-2 Standard Warranty – All D Series Wheel Skidders are Per standard warranty and 4-3-2-1 EPP terms.
Unlimited hours 4-3- sold with a standard warranty and
2-1- per the coverage a 4-3-2-1 Extended Protection
Plan (EPP) that applies prior to this
VA coverage. Refer to Bulletin 2.01
(Standard Warranty) and Bulletin
8.07 (4-3-2-1 EPP).
3-5 4001 - 6000 hrs Covered components in this 100% n/a1
program. parts & labor
6001 -8000 hrs Covered components in this 33% parts 50% parts
program. 50% labor & labor1
1All transportation, travel time and mileage charges incurred during a covered D Series Wheel Skidders
Assurance Program repair are the responsibility of the customer.
Coverage Eligibility Requirements

During the D Series Wheel Skidders Assurance Program coverage period, scheduled oil sampling is required and
inspections of the covered machine must be made by the dealer beginning at the start of this coverage (4000 hours)
and continuing every 1000 machine hours after that until the expiration of this program. The oil must be replaced as
specified in the Operation and Maintenance Manual.
Eligible repairs must be performed by Cat dealer utilizing Cat parts. Transportation of the machine for repair and/or
inspection is customer responsibility.
The oil sample results must be kept on file at the dealer for review by Caterpillar when requested. Costs related to
obtaining and processing the oil samples are the responsibility of the Customer.
Expense reimbursement is considered only when the part causing failure is a component covered by this VA
program. Dealer reimbursement for repair expenses will be per the level of support as identified in the Coverage and
Order of Coverage section in this bulletin, per the Summary of Reimbursement Practices Chart found below, and in
D Series Wheel Skidders Assurance Program

Travel Time & Mileage, Overtime Labor Rate, Shop Supplies, Not Reimbursable
Meals and Lodging, Freight Charges, Hauling cost and Value
Added Tax

File actual parts and labor on claim, the claim will be adjusted to reflect payable amount. Adjustments will not impact
dealer metrics.
Product ID / Serial Number - Enter the prime product serial number. Refer to bulletin 2.01 for assistance with Cat
Forestry serial number prefixes and serial number identification.
Group Number - Enter SMCS code 770Q.
• D Series Wheel Skidders Assurance Program Claim.
claimed in the Miscellaneous expense lines. The summary of expenses noted in the claim story must match the
detail expense items claimed.
05.93-01 (02/17) 3
SERVICE
Machines
Cat® Photovoltaic Systems

PV Panels Assurance Program
Overview
The Cat® Photovoltaic (PV) Systems PV Panels Assurance Program is a limited power output performance program
that assures the Caterpillar PV Panels will conform to certain performance and component life specifications
designated by Caterpillar.
Coverage Period for Limited Power Output

The Cat Photovoltaic Systems PV Panels Assurance Program provides performance coverage for the power
output of the PV Panel for a period of twenty-five (25) years, commencing on the Delivery Date. The coverage
provides that the actual power output of each PV Panel during the coverage period shall be within +/- 3% of the
corresponding “Minimum Power Output” for each year of coverage set forth in the table found on page 3 of this
bulletin. The power output for this coverage applies for each year and is irrespective of any nameplate power
output tolerance stated in any relevant datasheet for the product, provided the PV Panel is installed, used,
operated, and serviced in accordance with Caterpillar guidelines.
Note: Panel invertor is not included in the coverage offering, only the PV Panel.
For every Cat Photovoltaic PV Panels Assurance Program enrollment, dealers must keep on file the following
documentation:
• Enrollment Certificates are located in the Sales Library, Literature number PEEP9281
• Customer invoice of original Photovoltaic PV Panel purchase or replacement parts sale
Note: Dealers and customers must maintain records to ensure coverage and claims payment, the coverage is 25
years; panels will need replacement for non-claimable events during the 25 years at the customer’s expense, and
documentation for those replacements will be required as they occur.
Parts Retrun for PV Panels

PV Panel return may be required to receive full panel reimbursement under this coverage. Make sure to hold the PV
Panel per parts retention guidelines covered in Bulletin 4.02.


1
Dealer reimbursement for repair expenses is per the Summary of Reimbursement Practices Chart below, in
accordance with reimbursement practices as outlined in Bulletin 1.02 and with the applicable warranty statement

Cat Photovoltaic Systems PV Panels Assurance Program
Repair Labor (Including disconnect & reconnect) Reimbursable at warranty rate
Parts Salvage Labor Reimbursable at warranty rate
Panel Return Freight Reimbursable, at cost, if testing proves panel is de-
fective. If panel is found not defective, freight shipping
cost to/from Caterpillar will be the responsibility of the
customer.
Overtime Labor Rate, Shop Supplies, Freight Charges, Not Reimbursable
Hauling Cost, Value Added Tax, Travel Time & Mileage, and
Meals and Lodging
Claim Filling Instructions

Claims for Cat Photovoltaic Systems PV Panels Assurance Program sold by Caterpillar must be submitted to
Caterpillar using the Caterpillar Service Claims System.
The following outlines the unique claim field information:
Product ID / Serial Number Enter the Caterpillar PV serial number.

If no Caterpillar s/n is available, enter in the appropriate substitute 99Z serial
number.
Component Serial Number For PV panel failures, enter the supplier S/N for individual panel.
Group Causing Failure Enter the group number 770L.
Product Usage For PV, enter 1 hour greater than previous claim.
Part Start Date For PV panels with delivery dates that are not the same as the system delivery
date, please enter a parts start date that corresponds to the delivery date of the
panel. Otherwise, leave this field blank.
Claim Story In addition to complaint, cause and correction, include the following:
Cat Photovoltaic Systems PV Panel Assurance Program:
1) Include the date of enrollment and note panel in year x of 25 year
program.
2) Include documentation showing measurement of power and shortfall
based on year of program.
3) Upload the following documents into SIMSi for review and note in claim
story that the documentation is uploaded for review:
• Original purchase invoice for Panel/system
• Measurement testing documentation
2 05.94-00 (09/16)
25 Year Power Output Table

Minimum Power Output**
Power Output Year* (In each case, as a percentage of the
nominal power output rating)
1 97.0%
2 96.3%
3 95.6%
4 94.9%
5 94.2%
6 93.5%
7 92.8%
8 92.1%
9 91.4%
10 90.7%
11 90.0%
12 89.3%
13 88.6%
14 87.9%
15 87.2%
16 86.5%
17 85.8%
18 85.1%
19 84.4%
20 83.7%
21 83.0%
22 82.3%
23 81.6%
24 80.9%
25 80.2%
*One year period starting on the Delivery Date and subsequently each anniversary thereof during the relevant coverage period.
** Subject to a +/- 3% measurement error.
For purposes of the Twenty-Five Year Limited Power Output, the power output measurements of the product shall be
carried out in accordance with the conditions described in International Electrotechnical Commission standard 61646
(“Standard Test Conditions“), as tested at the Product lead wires and provided that, in each case, power output shall
be measured and normalized to Standard Test Conditions using a method and laboratory approved by Caterpillar.
05.94-00 (09/16) 3
SERVICE
Machine
7295 Electric Rope Shovel Cast Crawler

Shoe Assurance Program
59” Cast Crawler Shoes
➤ Effective with sales to the first user between Jan. 1, 2017 and Dec. 31, 2019.
Overview
The Electric Rope Shovel Cast Crawler Shoe Assurance Program, is a wear and breakage program developed by
Caterpillar specifically for the:
• 59 inch cast crawler shoe used on the 7295
All other moving undercarriage components for the 7295 Electric Rope Shovel undercarriage, such as shoe
connecting pins, front idlers and support shafts, lower rollers and support shafts, drive tumblers, top support plates
(where applicable), and top support rollers (where applicable) are not covered by this program.
➤ Coverage
For products sold prior to January 1, 2019 this coverage begins at same time as the standard machine warranty or
new parts warranty term and terminates in 4 years, 16,000 part hours or 1,000 propel hours, whichever occurs first.
For products sold on/after January 1, 2019 this coverage begins at the same time as the standard machine warranty
or new parts warranty term and terminates in 4 years, 20,000 part hours, or 2,000 propel hours, whichever occurs
first.
The coverage is prorated. (Refer to the Dealer Reimbursement section of this bulletin for details.) Coverage ends
with the stated years or hours, whichever occurs first.


1
➤ Coverage Details
COVERED
• Cat part numbers 490-8926 / 552-9397 shoe
• Breakage of the cast crawler shoe resulting from a defect in material or workmanship
• Premature wear out of shoe-to-roller wear pad on the cast crawler shoe
NOT COVERED
is too tight)
 The 59 inch cast crawler shoes can be enrolled without prior Caterpillar approval.
 (where applicable), top support rollers for the track (where applicable)
 Effective with machine or parts sales on or after January 1, 2019. Machines must be enrolled into Cat
Wear Management System® with CTS Pro to be qualified for Undercarriage Assurance.
 CTS inspections must be completed every 6 months and recorded in CTS Pro. Maintenance activities
must be performed as a result of the inspections to maximize component life.
For every 7295 Electric Rope Shovel Cast Crawler Shoe Assurance Program enrollment, dealers must keep on
file the following documentation:
 The completed agreement between the dealer and the customer – enrollment to Caterpillar is not required
 7295 Electric Rope Shovel Cast Crawler Shoe Assurance Enrollment Certificate located in the Caterpillar
Media Information Center - PEDJ0390
 59 inch cast crawler shoe
 Custom Track Service (CTS) shoe wear pad measurement document at the time of breakage or wear out
of the shoe-to-roller wear pad
 Customer credit invoices towards purchase of new 59 inch cast crawler shoes (where applicable)
programs, not against the 7295 Electric Rope Shovel Cast Crawler Shoe Assurance Program.

Cast crawler shoe proration – The prorated 7295 Electric Rope Shovel Cast Crawler Shoe Assurance coverage
is intended to credit the customer’s account towards the purchase of cast crawler replacement shoes. Proration
under this varies based upon the sales date of the product. Refer to the following sections for proration details.
The prorated coverage for 7295 Electric Rope Shovel Cast Crawler Shoe Assurance is shown in Table 1 & 2:
➤ Effective for Product Sold on/after 01JAN17 - 31DEC18
Table 1
Proration
Propel hours from the
Part Hours + Travel Adjustment Percentage
shoe installation date
Factor
0 – 10,000 0 - 549 0%
10,001 – 10,667 550 - 599 10%
10,668 – 11,333 600 - 649 20%
11,334 – 12,000 650 - 699 30%
12,001 – 12,667 700 - 749 40%
12,668 – 13,333 750 - 799 50%
13,334 – 14,000 800 - 849 60%
14,001 – 14,667 850 - 899 70%
14,668 – 15,333 900 - 949 80%
15,334 – 16,000 950 - 999 90%
16,001 - up 1,000 - up 100%
785 propel hours. Proration would be 50% as the propel hours results in the higher proration percentage factor.
➤ Effective for Product sold on/after 01JAN19

Table 2
0 - 15,000 0 - 1,500 0%
15,001 - 16,000 1,501 - 1,600 75%
16,001 - 17,000 1,601 - 1,700 80%
17,001 - 18,000 1,701 - 1,800 85%
18,001 - 19,000 1,801 - 1,900 90%
19,001 - 20,000 1,901- 2,000 95%
20,001 - up 2,000 - up 100%

Dealer Reimbursement Repair Expenses - for repair expenses related to the 7495HR or 7495HD Electric
Rope Shovel Cast Crawler Shoe Assurance Program will be per the Summary of Reimbursement Practices
Chart found below and in accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02.
7295 Electric Rope Shovel 59” Cast Crawler Shoe Assurance

Overtime Labor Rate, Salvage Labor,
Travel Time & Mileage, Meals and Lodging,
Not reimbursable
Freight Charges, Hauling Costs and
instructions for the Expanded Cat® Mining Products.
parts replacement sales OR Cross reference S/N (Lists are found on dealer.cat.com website site at:
https://dealer.cat.com/en/ps/industry/mining/c/integration/serial-number-cross-reference.html)
Group number:
Enter 771Q for products sold prior to 01JAN19
Enter 77A0 (zero) for products sold on/after 01JAN19
(1) That the machine is enrolled in the 7295 Electric Rope Shovel Cast Crawler Shoe
Assurance Program
Contact Information
Claim settlement help: Dealers should contact Caterpillar Electric Rope Shovels for claim settlement help. This
includes why the claim is not fully paid, why the claim is partially paid, why the claim is rejected, any additional
standard warranty or Undercarriage Assurance questions, and any parts returns questions. Contact information
is as follows:
 Michele Nice Phone: +1 (414) 768-4871

05.95-02 (02/19) 5
SERVICE
Machine
Heavy Duty (HD) Hydraulic Mining Shovel
Cast Crawler Shoe Assurance Program
6030 1000 mm Cast Crawler Shoes
6040 1200 mm Cast Crawler Shoes
6050 / 6060 1400mm Cast Crawler Shoes
➤ Effective with sales to the first user between Oct. 1, 2017 and Dec. 31, 2019.
Overview
The Hydraulic Mining Shovel Cast Crawler Shoe Assurance Program, is a wear and breakage program developed
by Caterpillar specifically for the:
 6030 1000 mm Cast Heavy Duty Crawler Shoe (Cat part number: 514-2359, 518-1416 and 514-2356)
 6040 1200 mm Cast Heavy Duty Crawler Shoe (Cat part number: 550-8662)
 6050 / 6060 1400 mm Cast Heavy Duty Crawler Shoe (Cat part number: 477-7941)
All other moving undercarriage components for the 6030, 6040, 6050/6060 Hydraulic Mining Shovel undercarriage,
such as shoe connecting pins, front idlers and support shafts, lower rollers and support shafts, drive tumblers/
sprockets, top support plates (where applicable), and top support rollers (where applicable) are not covered by this
program.
Coverage
The coverage begins at the same time as the standard machine warranty or new parts warranty term and
terminates in 3 years, 15,000 part hours or 1,500 propel hours, whichever occurs first. The coverage is prorated.
(Refer to the Dealer Reimbursement section of this bulletin for details.) Coverage ends with the stated years or
hours, whichever occurs first.


1
Coverage Details
Covered
 Breakage of the cast crawler shoe resulting from a defect in material or workmanship
 Premature wear out of shoe-to-roller wear pad on the cast crawler shoe
 Wear of the shoe bushings or retention of the shoe bushings
Not Covered
is too tight)
 The Heavy Duty Cast Crawler Shoes can be enrolled without prior Caterpillar approval.
 Enrollment must be completed prior to repairs being performed
(where applicable), top support rollers for the track (where applicable)
 Effective with machine or parts sales on or after January 1, 2019. Machines must be enrolled into Cat
Wear Management System® with CTS Pro to be qualified for Undercarriage Assurance.
For every Heavy Duty (HD) Hydraulic Mining Shovel Cast Crawler Shoe Assurance Program enrollment, dealers
must keep on file the following documentation:
 The completed agreement between the dealer and the customer – enrollment to Caterpillar is not required
 Heavy Duty (HD) Hydraulic Mining Shovel Cast Crawler Shoe Assurance Enrollment Certificate located
in the Caterpillar Media Information Center
 PEDJ0344
 Custom Track Service (CTS) shoe wear pad measurement document at the time of breakage or wear
out of the shoe-to-roller wear pad
 Customer credit invoices towards purchase of new 6030, 6040, or 6050/6060 Heavy Duty Cast Crawler
Shoes
 Recommended practice is for the dealer to submit an informational SIMSi entry indicating the date of
enrollment
 Perform Undercarriage maintenance according to O&M Manual at specified intervals.
 Update SIMSi with Informational entry and upload corresponding report/documentation.
2 05.96-02 (02/19)
programs, not against the Heavy Duty (HD) Hydraulic Mining Shovel Cast Crawler Shoe Assurance Program.
If there is an undercarriage Product Support Program (PSP) in effect that covers the component failure, dealers must
claim under the PSP.
Cast Crawler Shoe proration – The prorated Heavy Duty (HD) Hydraulic Mining Shovel Cast Crawler Shoe
Assurance coverage is intended to credit the customer’s account towards the purchase of cast crawler replacement
shoes. Proration under this program begins at 6,001 part hours and continues up to 15,000 part hours, 1,500 propel
hours or a period of 3 years, whichever occurs first. The coverage calculation has two elements: part hours and
propel hours. The following formula calculates dealer parts reimbursement
The prorated coverage for Heavy Duty (HD) Hydraulic Mining Shovel Cast Crawler Shoe Assurance is shown below.
Part Hours + Travel Adjustment Propel hours from the shoe Proration Percentage
(See Table 2 for travel adjustment) installation date Factor
0 - 6,000 0 - 600 0%
6,001 – 7,500 601 - 750 40%
7,501 – 9,000 751 - 900 50%
9,001 – 10,500 901 - 1,050 60%
10,501 – 12,000 1,051 - 1,200 70%
12,001 – 13,500 1,201 - 1,350 80%
13,501 – 15,000 1,351 - 1,500 90%
15,001 – up 1,501 - up 100%
Example 1 - A failure occurs with 12,500 hours accumulated on the cast crawler shoes that are 2.5 years old and
has 1155 propel hours. Proration would be 80% as the Part hours results in the higher proration percentage factor.
Example 2 - A failure occurs with 12,500 hours accumulated on the cast crawler shoes that are 2.5 years old and
has 1385 propel hours. Proration would be 90% as the propel hours results in the higher proration percentage
factor.
Dealer Reimbursement Repair Expenses - for repair expenses related to the Heavy Duty (HD) Hydraulic Mining
Shovel Cast Crawler Shoe Assurance Program will be per the Summary of Reimbursement Practices Chart found
below and in accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02.
05.96-02 (02/19) 3
Heavy Duty (HD) Hydraulic Mining Shovel Cast Crawler Shoe Assurance

Mileage, Meals and Lodging, Freight Charges, Hauling Not reimbursable

Product ID / Serial Number: Enter the Caterpillar machine serial number (S/N) (Lists are found on dealer.cat.com
website site at: https://dealer.cat.com/en/ps/industry/mining/c/integration/serial-number-cross-reference.html)
Group number: Enter 774Z
(1) That the machine is enrolled in the Heavy Duty (HD) Hydraulic Mining Shovel Cast Crawler Shoe
Assurance Program
Contact Information
Claim settlement help: Dealers should contact Caterpillar Hydraulic Mining Shovels for claim settlement help.
This includes why the claim is not fully paid, why the claim is partially paid, why the claim is rejected, any additional
standard warranty or Undercarriage Assurance questions, and any parts returns questions. Contact information is
as follows:
 Christian Koesters Phone: +49 231 922 4537
 Michael Faltin Phone: +49 231 922 4450

SERVICE
EXTENDED COVERAGE Europe

Machine
Telehandler 2020 Value Assurance Program
Overview
The Telehandler 2020 Value Assurance Program applies to Caterpillar Telehandler models TH357D (serial number
prefix TD6 only), TH408D (serial number prefix TH9 only), and TH3510D (serial number prefix TH2 only) that are
delivered within 2020 in Europe. This program is a limited time commercial offering intended to reinforce confidence
in Telehandler quality and capture future business. This additional product support offering runs concurrently with
and beyond standard new machine warranty and has a 24 month/4000 hour limitation.
Coverage
This value assurance program starts on the date of delivery of select Telehandlers to the first user and terminates
after 24 months or 4000 hours, whichever occurs first. This coverage applies after standard warranty, Emissions
Warranty, and service letters have been applied.
This program covers:
• Reasonable labor for 12 months from date of delivery or 4000 hours, whichever comes first.
• During year 1, one claim may be filed using the group number detailed in the Claim Field Information
section of this bulletin. The parts expenses will go to standard warranty and labor expenses to this
VA offering.
• Reasonable parts and labor for months 13-24 from date of delivery or 4000 hours, whichever comes first.
• Components excluded from this coverage include Service Items; Maintenance Items; Components or
Systems covered by either other Caterpillar Warranty Statements OR other Manufacturer Warranty
Statements; and Other Typically Excluded Components – for example: glass, lenses, radios, and
modifications.
There may be Equipment Protection Plans (EPP) available for components and time periods not covered by
this Value Assurance program. For more information about EPP, contact EquipmentProtectionPlan@cat.com.
➤ 05.97-00 (02/20)

Enrollment Qualifications and Documentation

Select Telehandlers with a Delivery Date in 2020 are automatically enrolled in this program. For every Telehandler
2020 Value Assurance Program enrollment, the following documentation must be kept on file:
• The completed 2020 Telehandler Value Assurance Enrollment Certificate between the dealer and the
customer. Note: This is a dealer generated document.
The below map includes all applicable covered areas in blue:
coverages
Dealer reimbursement for repair expenses related to the Telehandler 2020 Value Assurance Program will be per the
Summary of Reimbursement Practices Chart found below, in accordance with reimbursement practices as outlined
in Bulletin 1.02.
2 05.97-00 (02/20)

Repair Labor Reimbursable at the dealer’s warranty cost rate
Reimbursable at warranty cost rate, if justified in
Parts Salvage Labor
Claim Story
Shop Supplies Not Reimbursable as an itemize expense
Labor Rate, Hauling Cost, Freight Charges, Travel
Not Reimbursable
Time & Mileage, Meals & Lodging

All Product Improvement Programs (PIPs) and Product Support Programs (PSP’s) performed on Telehandler
machines must be claimed under the appropriate PIP or PSP. Do not claim these repairs under the Telehandler
2020 Value Assurance Program.
For PSP’s that are performed after-failure on components covered by the Telehandler 2020 Value Assurance
Program. Refer to Bulletin 1.16 for the PSP claiming practices involving product covered by Value Assurance (VA)
or other coverages.

The following outlines additional claim requirements for submitting a Structural Components & Hitch Assurance
Program claim:

Product ID/Serial Number: Enter the prime product serial number
Part Causing Failure: Enter the part number that caused the failure
Group Number 77D8
Claim Story in addition to the usual description of the complaint, cause,
correction and complications the claim story should also include
the following statement as the first line:
• Telehandler 2020 Value Assurance Program

The Telehandler 2020 Value Assurance Program does not cover the following:
05.97-00 (02/20) 3
usage.
improper filters.
service intervals as described in the Operation & Maintenance (O&M) Manuals. Preventative maintenance includes,
but is not limited to the servicing, adjusting and/or replacing of specified components.
for repair.

Wear-out and/or deterioration are not covered by the Telehandler 2020 Value Assurance Program.
4 05.97-00 (02/20)
05.97-00 (02/20) 5
SERVICE
WARRANTY BULLETIN USA, Canada & Mexico
Vocational On-Highway Truck
Vocational On-Highway Truck Warranty
Notice:
The contents of this bulletin, for Vocational On-Highway Trucks take precedence over
the content in all other bulletins in the Global Guide.
Overview
This bulletin addresses warranty applicable to Cat® Vocational On-Highway Trucks that are sold and serviced in
the USA, Canada, and Mexico. Regional warranty terms apply based on location of initial new product sale.
This warranty does not apply to Cat Vocational On-Highway Truck Glider Kits.
NOTE: Any failures resulting from improper installation or connections by a third party with the truck components
are not the responsibility of Caterpillar.
Schedule Table on page 2 of the Vocational On-Highway Truck Statements does not apply to the Caterpillar
CX-31 transmission. Refer to the CX-31 Warranty Statement for specific terms and coverages. No ECM
downloads for the Caterpillar CX31 transmission will be required to accompany claims.
Contact Information
For technical and warranty assistance contact the Caterpillar Global On-Highway Call Center at 1-800-338-3428
or e-mail: onhighwaywarranty@cat.com.
Warranty Period
Warranty terms are regional, based on location of sale of new Vocational On-Highway Truck being only: 1) USA
& Canada, or 2) Mexico. Vocational On-Highway Truck warranty covers only repairs made by Cat dealers within
the region where the Truck was originally sold to first user. Trucks sold in Mexico are warranted only for repairs
in Mexico, those sold in USA or Canada are warranted for repairs only in USA or Canada.
The warranty periods for the basic vehicle and specific coverage for certain components is per the Warranty
➤ 06.01-19 (04/16)

1
Coverage Schedule Tables on the following pages. The warranty period begins at delivery date of the Truck to
the first end user, regardless of distance traveled.
During the first 90 days from delivery to the first user, the following are reimbursable in addition to the schedule
tables:
1. Correction of loose fasteners, squeaks, rattles and unusual noises
2. Reasonable or customary towing to the nearest authorized repair facility, if the vehicle is inoperable or
continued operation would result in additional damage
3. Adjustments (e.g., headlights, brake/clutch adjustments, steering system adjustments, coolant levels)
Vocational On-Highway Trucks Sold in USA & Canada

Warranty Coverage Schedule Table
(Effective with sales to the first user on/after October 1, 2014)
Items Covered Months Miles/Km(000)
Basic Vehicle Coverage
Basic Vehicle Warranty 12 Unlimited
Towing (Vehicles with engine failures only) 24 Unlimited
Components
Frame Side Rails 60 Unlimited
Cab/Cowl Structure 60 Unlimited
Cab/Cowl Perforation Corrosion 60 Unlimited
Brightwork, Chassis Paint and Corrosion (other than cab) 6 Unlimited
Cab / Hood Paint and Paint Adhesion 12 Unlimited
Engine
Fire Trucks, Ambulances, Emergency Rescue application only
60 100/160
Engine (Including DPF)
Non Rescue Applications
Engine (Including DPF, excluding Injection Nozzles and certain Engine 24 Unlimited
Major components)
Engine Injection Nozzles 24 150/240
Engine Major Components 60 500/800
Drivetrain
Rear Axle Weight Ratings 52,000 lbs or less
Front Axle Assembly 36 300/480
Rear Axle and Differential 36 300/480
Transmission (excluding CX31) 36 300/480
Rear Axle Weight Ratings greater than 52,000 lbs
Front Axle Assembly 12 Unlimited
Rear Axle and Differential 12 Unlimited
Transmission (excluding CX31) 12 Unlimited
Engine Major Components: Cylinder block, main bearing bolts, cylinder head casting and capscrews,
crankshaft, camshaft, cam follower assembly, connecting rods/caps/bolts, intake manifold castings, gear
train gear(s).
2 06.01-19 (04/16)
Vocational On-Highway Trucks Sold in Mexico

(Effective with sales to the first user on/after October 1, 2014)
Items Covered Months Miles/Km(000) Hours
Basic Vehicle Warranty 12 63/100 2250
Components
Cab/Cowl Structure 60 Unlimited Unlimited
Cab/Cowl Perforation Corrosion 60 Unlimited Unlimited
Brightwork, Chassis Paint and Corrosion (other than cab) 6 Unlimited Unlimited
Cab / Hood Paint and Paint Adhesion 12 Unlimited Unlimited
Engine
Engine (Including DPF, excluding certain Major Components) 24 100/160 2250
Engine Major Components 60 500/800 Unlimited
Drivetrain
Rear Axle Weight Ratings 52,000 lbs or less
Front Axle Assembly 12 Unlimited Unlimited
Rear Axle Assembly and Differential 12 Unlimited Unlimited
Transmission (excluding CX31) 12 Unlimited Unlimited
Rear Axle Weight Ratings greater than 52,000 lbs
Front Axle Assembly 12 63/100 2250
Rear Axle Assembly and Differential 12 63/100 2250
Transmission (excluding CX31) 12 63/100 2250
crankshaft, camshaft, cam follower assembly, connecting rods/caps/bolts, intake manifold castings, gear
train gear(s).
06.01-19 (04/16) 3
Vocational On-Highway Trucks - Sold in USA and Canada

Warranty Coverage Table
(Effective with sales to the first user between July 1, 2012 and October 1, 2014)
Towing (Vehicles with CT11/13 engine failures only) 24 Unlimited
Components
Brightwork, Chasis Paint and Corrosion (other than cab) 6 Unlimited
Cab Paint and Paint Adhesion 12 100/160
Engine
Fire Trucks, Ambulances, Emergency Rescue Application Only 60 100/160
Engine
Non Rescue Application 24 Unlimited
Engine
Engine Injection Nozzles 24 150/240
Engine Major Components 60 500/800
Drivetrain
Transmission (Excluding CX31) 36 Unlimited
Drivetrain Components - As Warranted By Suppliers

The drivetrain supplier may offer additional warranty coverage beyond 36 months/300,000 miles (480,000 Km)
as part of their Standard Warranty.
For information regarding additional supplier coverages, please refer to specific policies from supplier warranty
statements. You may acquire these materials from the supplier direct or your local Cat dealer.
crankshaft, camshaft, cam follower assembly, connecting rods/caps/bolts, intake manifold castings, gear train
gear(s).
4 06.01-19 (04/16)
Vocational On-Highway Trucks - Sold In USA & Canada

(Effective with sales to the first user prior to July 1, 2012)
Towing (Vehicles with CT11/13 engine failures only) 24 Unlimited
Components
Brightwork, Chasis Paint and Corrosion (other than cab) 6 Unlimited
Cab Paint and Paint Adhesion 12 100/160
Engine
Fire Trucks, Ambulances, Emergency Rescue application only 60 100/160
Engine (CT11/CT13)
Non Rescue Application 24 Unlimited
Engine (CT11/CT13)
Engine (CT11/CT13) Injection Nozzels 24 150/240
Engine (CT11/CT13) Major Components 60 500/800
Drivetrain
Rear Axle Weight Ratings greater then 52,000-lb
Transmission 12 Unlimited
Rear Axle Weight Ratings of 52,000-lb and Less
Front Axle Assembly 36 300/480
Rear Axle and Differential 36 300/480
Transmission 36 300/480
Drivetrain Components-As Warranted By Suppliers

The drivetrain supplier may offer additional warranty coverage beyond 36 months/300,000 miles (480,000 Km)
as part of their standard warranty.
For information regarding additional supplier coverages, please refer to specific policies from supplier warranty
statements. You may acquire these materials from the supplier direct or your local Cat dealer.
crankshaft, camshaft, cam follower assembly, connecting rods/caps/bolts, intake manifold castings, gear train
gear(s).
06.01-19 (04/16) 5
Warranty Coverage Schedule Table - Items Not Covered

Adjustments/Repairs are not reimbursable, if they are:
• Included in the Factory Delivery Inspection Master Instruction Manual as a required adjustment
• Includes steering wheel alignment on those models eligible for the FDI reimbursement allowance
• Performed to improve vehicle appearance or performance beyond normal factory standards
• Included in a scheduled maintenance requirement
• Performed to correct improper or incomplete dealer adjustments/repairs, previously performed
• Company reimburses dealerships only once for an adjustment/repair
• Prohibited elsewhere in this manual or in other company publications
• Front and/or rear axle alignments
Parts and Labor needed to maintain the vehicle and the replacement of parts due to normal wear and tear
(consumables) are the responsibility of the vehicle owner and are not covered under warranty. The adjustment/
maintenance/wear items listed below are in addition to any items listed under the vehicle component systems
discussed in the remainder of this section.
Examples of non-warrantable items include, but are not limited to:

Oil changes Clutch linings
Filters (all) Clutch brake
Headlight adjustments Fire extinguishers
Desiccant cartridge Fuses
Tire rotation Post FDI Steering Wheel Adjustment
Cleaning/polishing Gladhand and gladhand rubbers
Engine tune-up Trailer Electrical cables
Adding oils Mattress
Adding lubricants/fluids (except refrigerant) Mud flaps
Ashtray Mud flap mounting bracket
Cigarette lighter element Reset vehicle parameters
Brake linings/pads
Clutch Adjustment
Examples of items that are warrantable for the first 90 days, for defect in material and
workmanship only, include, but are not limited to:
Tightening intake clamps Trailer air hoses & electrical cables
Tightening coolant clamps Hose tenders
Tightening of loose clamps and fasteners Wheel or tire balancing
Belts Light bulbs (incl. Fluorescent tubes, ballast, and Sealed Beams)
Windshield wiper blades & washer nozzles
Any glamour, body, or cab defects must be noted on the delivery receipt at the time of delivery whether it is in
transit damage or not. If it is not noted on the delivery receipt and found later, it is considered lot damage and is
not reimbursable under standard warranty.
6 06.01-19 (04/16)

Claims for freight, towing, sublets, and surcharges require an invoice attachment in SIMSi. Towing invoices
must include the Vehicle Identification Number (VIN) for the unit being towed. Claims submitted without the
required invoice documentation will be reduced by the invoice amount or denied.
Dealer reimbursement for repair expenses related to Vocational On-Highway Truck standard warranty will be per
the Summary of Reimbursement Practices chart found below, in accordance with reimbursement practices as
Vocational On-Highway Truck Standard Warranty

Parts Salvage Labor Reimbursable at Vocational On-Highway Truck
labor rate, if justified.
Labor Reimbursable at Vocational On-Highway Truck
labor rate.
Towing
During first 90 days from delivery to the first user. Reimbursable at cost.
CT11/CT13 engine failures Reimbursable, at cost for 24 months/unlimited

miles/km.
Freight Charges
Reimbursable.
Overtime Labor Rate, Shop Supplies, Travel Time
and Mileage, and Meals and Lodging. Not reimbursable.

The following outlines the unique claim field information for Vocational On-Highway Truck standard warranty claims.
Delivery Date:
• For delivered trucks - Leave this field blank - The Service Claims System will automatically enter the
date that is on-file at Caterpillar, based on the entered serial number
• For non-delivered trucks – Enter “00NIS00”
Product Identification / Serial No.:
• Vocational On-Highway Truck – Enter the Caterpillar serial number (NOT the VIN number)
Related Serial No.:
• Cat CX31 Transmissions – Enter the Cat CX31 Transmission serial number
• All others – leave blank
Product Hours:
• Cat CX31 Transmissions – Enter the miles from the transmission ECM, not the miles on the engine.
Claim Story:
• Enter VIN number on the first line of the claim story.
06.01-19 (04/16) 7
Additional Unique Claiming Requirements

Multiple Failures/Repairs in a Single Dealer Visit
When a dealer visit results in multiple repairs:
• A claim for each repair must be submitted to Caterpillar.
• Each of the claims must reference all other claims associated with the visit in the claim story.
For example, if a dealer visit results in three repairs, three claims must be submitted to Caterpillar. After the
Caterpillar claim numbers are assigned, each Claim Story must be updated with a reference to the other two
Caterpillar claim numbers.
Note: This requirement does not apply to service letters.
Sublets and Miscellaneous Expenses
Invoices for parts service charges, freight, towing, sublets and all other miscellaneous expenses must be attached to
the claim in SIMS. Failure to provide invoices may result in expense items being denied. All invoices must reference
the Vehicle Identification Number (VIN), provide an itemized list of expenses for parts, labor, and material charges
and offer a reason for claiming labor. All information submitted must be valid and verifiable.
➤ Towing
Towing reimbursement is intended for trucks that are disabled and further operation will cause additional damage
to the unit or create a potential public safety hazard. The following is a list of towing reimbursement requirements:
• Towing is reimbursed from the location of failure to the nearest authorized repair location only. The trip
back to the towing facility is not reimbursed.
• Towing to a location to unload or unhook from a trailer/load is not reimbursed, except in a situation to
safely remove the unit from a busy highway.
• Towing invoices must be itemized to show all charges, such as cost per mile/kilometer/hour, hook-up
fee, mileage, trailer drop fees, drive shaft removal and/or installation fees, etc. Charges that are not
justified will not be reimbursed. Since towing charges are reimbursed at average regional rates, towing
reimbursement may not cover all expenses if the company charges more than what is normal for the
area.
• A physical address for hook up and drop off locations must be found on Google maps.
• A VIN and all required/relevent information for the unit towed must be on the original invoice, not hand
written in at a later time.
• Towing invoices must be attached to SIMS and retained according to bulletin 1.03. Any receipt not
having the required information will be denied.
Pictures
Clear pictures of the defect area for all DPF, DOC, EGR cooler and wiring harness defects must be attached to
the claim in SIMS.
Work Order Closing Summaries
Work order closing summaries must be attached to the claim in SIMS in the following situations:
• Multiple failures/claims for one dealer visit.
• Claims with wiring harness repairs totaling more than 3 hours of labor.
• Any claim for a repair with more than 3 hours of troubleshooting.
➤ Late Claim Exceptions:
• For EPP/ESC and parts warranty claims, refer to Warranty Bulletin 1.13.
• For Vocational On-Highway Truck standard warranty and emissions warranty claims:
• Caterpillar caused issue that the claim is late, contact onhighwaywarranty@cat.com for consideration
• Dealer caused issue that the claim is late, contact the On-Highway Truck Service Representative for
consideration
8 ➤ Indicates change. 06.01-19 (04/16)

• For all Standard and Emissions Warranty Vocational Truck repairs submitted on or after 01JUL2016,
original claims (All PD Codes excluding Contested Claims PD Code 98) and additional information
supplemental claims (PD Code 20) must be received in the Caterpillar Claims system within 50 days from
the last date of significant labor for that repair.
Parts Hold:
For all Standard and Emissions Warranty Vocational Truck repairs submitted on or after 01JUL2016, all removed/
replaced parts must be properly tagged and held by the dealer for 30 days after your claim has been approved/
reimbursed.
Caterpillar requests dealers to provide a final check-up and make any minor adjustments required prior to
delivery of the Vocational On-Highway Truck to the customer. Normally these check-ups and adjustments,
which include checks for proper equipment operation, completeness, fluid levels, tire pressure, literature, etc.,
are considered as standard dealer preparations and are therefore not reimbursable.
If defects are encountered that cannot be classified as normal factory delivery inspection (FDI), but rather
corresponding to a repair, dealers are requested to complete such repairs under warranty. Since the Vocational
On-Highway Truck has not been sold, Caterpillar will accept pre-delivery claims, including the labor required for
repairs encountered during preparations. Labor is reimbursable at the Vocational On-highway Truck Labor Rate.
1) Each incident has to be reported on a separate claim and a corresponding SIMS Report must have
been submitted prior to the claim being submitted.
2) Labor should be broken down per TRG guidelines.
3) Delivery date should be entered as 00NIS00 on the claim.
Battery Failures
Refer to Bulletin 4.07 for additional information regarding battery warranty and repairs.
Factory Delivery Inspections

Dealers can claim, via the Caterpillar Warranty Claim System, the cost associated to complete a factory delivery
inspection. Use the information below for claim submission:
• Part Causing Failure (PCF) = 000-7588

• SMCS Code or Group Number for FDI submission = 7588
• Time allowance for FDI completion = 1.7 hours
In-Transit Damages for CT660 Vocational Trucks

Dealers can claim, via the Caterpillar Warranty Claiming System, repairing costs for in-transit CT660 Vocational Trucks
that are damaged by the carrier. To start this process, e-mail an estimate for repair and pictures of the damage to
Truck Movers via HYPERLINK cat.claims@truckmovers.com. Within 24 hours, the estimate will be approved/denied/or
additional information will be requested. After the estimate is approved, the dealer will receive a repair amount and an
approval number. Once the repairs are complete, submit the bill through standard warranty to receive reimbursement.
The following information is required on the control page of CLAIMSi to drive proper accounting:
• Part Causing Failure (PCF) = SP0863
• Problem Description Code (DC) = 99
• Group Number = 770V
• Delivery Date - 00NIS00
• Comment Field - IN TRANSIT DAMAGE
The claim story requirements must include the nature of the damage as well as details of the repair.
06.01-19 (04/16) 9
In-Transit Damage Repair Summary of Reimbursement Practices

Cat Parts and Fluids Reimbursable at M (CT660 Rate)
Repair Labor Reimbursable warranty CT660 sell rate
Outside Expense Reimbursable at cost
Travel Time and Mileage Reimbursable warranty CT660 sell rate
Truck Not Built to Order (TNBTO)

Once it has been verified that the Vocational Truck was ordered correctly and the deficiency is a complete
feature code item(s), the TNBTO claim procedure will apply. Please follow the TNBTO procedures on dealer.
cat.com > products > On Highway Truck > CT660 > Service Operations > Service Forms. This information can
also be obtained at: https://dealer.cat.com/en/products/on-highway-truck/ct680/ct/service-forms.html
Once approval is received, the following information is required on the control page of CLAIMSi:
• Part Causing Failure (PCF) = SP0915
• Problem Description Code (DC) = 99
• Group Number = 770V
• Delivery Date - 00NIS00
• Comment Field - TNBTO
The claim story should also include the TNBTO claim approval number.
Literature
For missing literature claims, use the following:
Part Causing Failure - SP0536
Problem Description Code - 76
Group Number - 456-9439
Meritor Pre-Approval Process

The first time calling OnTrac, dealers will need to set up an account. The following information is necessary:
• Dealership name, phone, address, and contact information
• OEM dealer code (Caterpillar Dealer Code)
• W-9 Form: http://www.irs.gov/pub/irs-pdf/fw9.pdf
• Document stating current approved Vocational Truck labor rate
To File for Standard Warranty:

Dealers are required to call OnTrac for preapproval on certain repairs while the vehicle is under the OEM
(standard) warranty period.
• Dealers must first call OnTrac at 866-668-7221 (or 866-OnTrac1) for repair diagnostic instruction and a claim
authorization number. To ensure required information is gathered, refer to OnTrac Pre-call worksheet at
http://www.meritor.com/customer/northamerica/warranty/PDF_OnTrac/OnTrac_Pre-Call_Form.pdf.
• Items not requiring OnTrac authorization are:
• Repairs under $150.00 (parts and labor, excludes markup)
• Service parts components that are sold over the counter with 0.00 labor charges.
10 06.01-19 (04/16)
• SAHR parking brake system canister, cable, and parking brake assembly
• Front drive steering axle.
• Transfer case not part of program
• ABS harness and cut or damaged wiring to sensor due to routing or clipping issues.
• Air supply hose or fittings for inter-axle differential lock
• Axle flange gaskets
• Non-unitized axle front hub cap and gasket
• Non-unitized axle wheel hubs
• Non-unitized axle wheel bearing and adjustment
• Non-unitized axle brake chamber
• Meritor components can be identified by looking at the on line parts catalogue at https://sis.cat.com.
• OnTrac will provide the diagnostic instruction needed to determine the root cause of the failure.
• Following repairs, dealers will be asked to call back to either close the case or receive further
instruction. OnTrac and the dealer will agree on the parts used and the labor allowed. Dealers can
claim a one-time per claim TRG labor line that allows 0.2 hours for the time to call OnTrac for front
axles, brakes and rear axles.
• OnTrac will issue one of three authorizations to advise disposition. For example, ARMS is a part scrap
approval; ARMR is a return material approval; and ARMD is a denial.
• A copy of the case will be emailed to the dealer, which includes the labor and parts approved as well as
shipping instructions for the ARMR (part return) authorization.
• Dealers must then submit a Dealer Warranty Claim to the OEM (standard warranty through the
Caterpillar System) with the Authorization listed in the first line of the claim comments.
Meritor Extended Warranty:

Dealers are required to file for all Meritor extended warranty coverage direct through the Meritor OnTrac system.
Meritor Extended Warranty begins when the OEM warranty expires, and coverage depends upon the limitations
and exclusions of Meritor’s published product warranties. Refer to the Meritor warranty brochure SP95155
http://www.meritor.com/customer/northamerica/warranty/Documents/2014-Warranty.pdf or phone 866-668-7221
if there are questions.
To file for Meritor extended warranty, follow the procedure below:
• Dealer must call OnTrac at 866-668-7221 (or 866-OnTrac1) for repair instructions and claim
authorization number.
• The OnTrac representative will provide diagnostic instruction necessary to determine the root cause of
failure, repair procedure and payment authorization.
• Dealer will then make the repair as directed and call OnTrac back to close the case or receive further
instructions.
• At the completion of the claim process and only at the request of your dealership, Meritor will email or
fax a copy of the claim for your records.
• Meritor will pay parts and labor on warrantable claims and a check or EFT will be sent directly to the
dealership.
Meritor has updated the Meritor – Products & Services – Warranty Information web site.
Visit http://www.meritor.com/customer/northamerica/default.aspx for product information links to literature as well
as training information.
Complete Engine Replacement Under Standard Warranty

If a warrantable repair is performed that results in a complete engine replacement, the dealership may claim on
a MISC line for $3303.00 as a handling allowance.
06.01-19 (04/16) 11
Paint Repairs
For all Vocational On-Highway Trucks, during a covered repair, Caterpillar will pay for labor to paint replaced
parts to match the original color of the product - excluding high temperature components.
Paint damaged during shipment is not a manufacturer’s defect and claims should not be submitted to Caterpillar.
If there is a Caterpillar defect in material and / or workmanship in the paint on a product, dealers are to contact
their Caterpillar Service Representative. The contacted Representative’s name must be in the claim story as
contact information for the product group should they have any claim questions or issues (applies to standard
warranty, ESC and Goodwill claims). All claims will require pictures as documentation to the claim. Please
include one photo taken from a distance to show area of defect, one close up showing the specific defect. Labor
times will be paid per TRGs, parts replacement will not be allowed.
Completing the Paint Repair claim for defect in material and / or workmanship claims:
• Part Number - Enter the substitute part number SP0587
• Description Code - Enter “06”
• Group Number - Refer to “noun” 477 on the cross reference sheet for valid group numbers for SP0587
- use the one most relevant
Use the following paint defect descriptions in story where applicable:
a. Cluster – more than one large or small porosity bunched together
b. Craters – dish-like condition of surface after paint
c. Fracture – break completely through the material
d. Gouge – deep scratch effect below plastic surface
e. Orange peel – regular rough surface
f. Porosity – hole in paint surface
g. Scratch – light surface scratch, not below plastic surface
h. Surface craze – light spider web effect due to material
i. Waviness – uniform peaks and valleys, material flow-back
Caterpillar Engine Diagnostics Download Requirement

Starting 01 February 2015, ALL Caterpillar Vocational Truck repairs (NIS, Standard Warranty, Emissions
Warranty, Cat Insurance, and Parts Warranty) require at least one download from Caterpillar Engine Diagnostic
and includes engine parameters and all logged Diagnostic Trouble Codes (DTC).
• An ECM download is required to be taken before troubleshooting is commenced. ECM downloads

contain important elements in failure analysis. If codes go out and other codes become active during
troubleshooting, capture another snapshot and load it to SIMS to validate the claim story.
• EXCEPTIONS: over the counter Parts Warranty claims (customer performed repairs) unless there is a
separate requirement for diagnostics, troubleshooting or testing for warranty recovery.
• Dealers are responsible for over the counter Parts Warranty management and possible neglect or
continued operation situations, which requires an ECM download if resultant damaged parts are claimed.
• ECM downloads for units with hour/mile/km limitations If the ECM download is not available to verify the
SMU for warranty, the claim will be 100% non-allowed.
• Repairs completed that do not have an hour/mile/km limitation or ECM download as required will be paid
with root cause of failure parts only. Any resultant damaged parts and labor will also be denied.
12 06.01-19 (04/16)
Excessive Engine Oil Consumption

Verification of oil use is required before any warranty repair for excessive oil consumption is performed. When a
user contacts a dealer and registers a complaint about excessive oil use, the dealer must request that the user
substantiate the oil consumption. Have the customer keep accurate records of the additional oil consumption.
Determine the initial oil consumption rate and trend at 1,000 miles (1 600 km) and again at 5,000 miles (8 000
km). If the engine oil consumption rate exceeds the normal consumption rate of one (1) quart every 1,000 miles,
correction is warrantable.
Vocational On-Highway-Truck Diagnosis of Oil Consumption must include:

1) Examination of oil leaks
2) Pressure check of air induction system and restriction check
3) Examination of crankcase breather element and tube for cleanliness
4) Intake manifold pressure
5) Operating fuel pressure
6) Engine crankcase pressure
Oil Consumption Claim Story Requirements

For oil consumption claims, the Claim Story must include the following:
• The oil to fuel consumption ratio
• The cause of the oil consumption
• The condition of the parts that were inspected for determining the cause of oil consumption
NOTE: The “Service Calls” section of this bulletin was removed, as travel time and mileage is not reimbursable.
Product Link™ Components

Product Link components are offered as standard equipment on Caterpillar CT series On-Highway Trucks.
These units are considered part of the base truck/chassis with one year warranty. If a defect in Caterpillar
material or workmanship is identified with this product, a claim will be filed to standard warranty following the
normal warranty claiming procedures except for the group number.
Group = 7606
06.01-19 (04/16) 13
14 06.01-19 (04/16)
SERVICE

Warranty Labor Rate Administration
➤ Overview
This bulletin will provide clarity to the establishment and administration of labor rates for the CT660 Vocational
Truck and future vocational truck products. As noted in Bulletin 1.05, vocational truck labor rates are based
on market rates. This process involves understanding the labor market by dealer region as dictated by the
advertised rates in a given territory. Dealer comparisons are aligned by zip code and by comparable services
offered. Vocational truck labor rates are unique, and not intended to be compared with the On-Highway Engine
(Legacy product) rate.
Vocational Truck rates may be reviewed every six months. In cases where there are significant discrepancies
with the rate in the Caterpillar Service Claims system and local market rates, the dealer should contact their
local Caterpillar Representative (Caterpillar Vocational Service Rep) and request a review of local labor rates for
the applicable area in question. The dealer and the Caterpillar Representative would jointly complete a Local
Service Provider data sheet (see the attached form) for review of the rate in question (complete one report per
dealer branch/code). In any event, the regional office will be required to support the findings and submit them
to On-Highway Customer Services for review. On-Highway Customer Services will take the completed survey
and review the information internally for approval, and in cases where additional information is needed, they will
enlist the services of the region/field team.
Dealers may submit a change request based on market conditions by May 1 for July 1 updates and November 1
for January 1 updates. Any form received after the cutoff date will be rejected or held until the next review cycle,
if requested.
If a rate correction/change has not been requested prior to the November 1 deadline, an e-mail notification to
the Caterpillar Vocational Truck Service Rep is required to confirm that the current rate on file is going to remain
the same.
On-Highway Customer Services will provide feedback to the region as to the results of the review, and in cases
where the rate change request is favorable; they will initiate the change through Global Warranty, effective with
the approved cycle date (July 1 or January 1).


1
Vocational Truck Local Service Providers

Dealer Date District Rep.
Supporting documentation for Vocational Truck Labor Rate / Change Request
The following information should be provided in conjunction with / verified

by your District Rep. (On Highway Service / Service Operations) and
approved through your On-Highway Region Manager.
Competitive Dealer Locations *

Competitor City Phone # Zip Code Full Service Caterpillar
Yes/No Use Only
Peterbilt
Freightliner
Kenworth
Navistar**
Mack
Other
(Specify)
* Should be from nearest competitors within your service territory.

** Required if dealer provides comparative B2B Vocational Truck Service
Dealership Name: Dealer Code:

City / State / Province
If Requesting Change - Current Rate/hr. $ _______ Requested Rate/hr. $ _______
Truck Business Manager

Signature: ___________________ Date: _________________
Approved By:_______________________________ Date: _________________

On-Highway Region Manager
Please Reproduce Locally
2 06.02-01 (12/13)
SERVICE
WARRANTY BULLETIN Americas North Only
Cat® Vocational Truck

Emission Warranty
Notice:
The contents of this bulletin, for Vocational On-Highway Truck (Americas North only), take precedence
over the content in all other bulletins in the Global Guide.
Overview
The United States Environmental Protection Agency (US EPA) and the California Air Resources Board (ARB)
require new motor vehicle and new motor vehicle engine manufacturers to provide an emission warranty to end-
users. This bulletin provides additional information to dealers regarding emission warranties provided with each
Cat® Vocational Truck distributed in the United States and Canada.
Emission Warranty
The emissions warranty period is 100,000 miles or 60 months, whichever occurs first, after the date of delivery to
the first purchaser. The emission warranty statement provided to the end-user guarantees:
• The new engines are designed, built and equipped to conform at the time of sale with applicable
regulations, and
• Are free from defects in materials and workmanship:
• Causing the engine to fail to conform to applicable emission standards for the warranty period, or
• Which cause the failure of an emission related component to be identical in all material respects to
the component as described in Caterpillar’s application for certification for the warranty period.
The Federal and California emission warranties are also described to the end user in the applicable Operation
and Maintenance Manual (OM&M).
Emission warranty does not cover dealer rebuild/exchange or Reman engines that do not have a US EPA/ARB
certification label.
Note: Any changes (additions/deletions) to this document only take effect for repairs started after the publication
changes. Considerations for previous repairs are not authorized by warranty.


1
Bulletin No. 6.03
n Caterpillar: Confidential Green
The Emission Warranty Applies If:

• Engine is US EPA/ARB Certified and/or is US EPA/ARB labeled product (new engines using the
replacement engine exemption and labeled accordingly) and it is repaired in the boundaries of the United
States, Canada, US Virgin Islands and Puerto Rico.
• New or Reman engines that are designated and labeled as replacement engines, and repaired in the
boundaries of the United States, Canada, US Virgin Islands and Puerto Rico.
• The failure is due to a defect in material or workmanship of an OEM emission-related component. The
cause of the failure must be determined, and may require the disassembly of the failed part in the same
manner as is required under Caterpillar standard warranty guidelines.
• Emission components covered in Table #2 and in the emissions warranty statement.
Dealer Reimbursement Practices
Table #1
Emission Warranty Summary of Reimbursement Practices
Parts Markup
Parts Salvage Warranty Sell Labor Rate, if justified
Shop Supplies Included in Labor Rate
Overtime, Travel & Mileage, Meals, Lodging, Not reimbursable
Freight, Towing and any other costs
Additional Emission Warranty Information

• Caterpillar supplied parts, components or complete Reman engines that are not labeled as replacement
engines that are replaced under emission warranties are covered only for the remaining warranty period of
the original part or component.
• If a complete engine is replaced in a Cat Vocational Truck, enter a SIMS record with the serial number of
the new or Reman engine, documenting the in-service date.
• Aftermarket components may be utilized for maintenance and non-warranty repairs. The owner should
ensure that such components are equivalent in design, function and durability to genuine Cat parts.
Use of aftermarket parts does not invalidate the emission warranties. However, Caterpillar is not liable
for any subsequent failure caused by an aftermarket part. **Caterpillar Emission Solutions Aftermarket
Aftertreatment products are covered by Bulletin 7.02.
• Verification of a defect in material and/or workmanship may be required before emission warranty
coverage applies.
• The anti-tampering provision of the Clean Air Act applies regardless of the person performing work on an
engine or vehicle. It is illegal for any person to disconnect or tamper with any emission control component or
to put the engine into an uncertified configuration, other than on a temporary basis for repair purposes.
• During the terms of the emission warranty, Caterpillar, through an authorized dealer, will provide new,
remanufactured, or repaired parts and/or components at Caterpillar’s option. This may include all other engine
components damaged as a result of the failure of a defective engine emission part. The owner is encouraged to
keep adequate maintenance records, but the absence of such does not automatically invalidate this warranty.
2 06.03-09 (10/17)

The following outlines the unique claim field information for Cat Vocational Truck emission warranty claims.
Problem Description Code - 97
Related serial number field - Enter the engine serial number.
Comment Field – EMISSIONS WARRANTY
Claim Story:
• The words “Emissions Warranty” and the product hours must be included in the first line of the claim story
for all Emission Warranty claims.
• If this engine is not the original engine in the Cat Vocational Truck as documented in SIMSi, enter the
product hours and date the engine was put into service.
Additional Unique Claiming Requirements

Multiple Failures/Repairs in a Single Dealer Visit
When a dealer visit results in multiple repairs:
• A claim for each repair must be submitted to Caterpillar.
• Each of the claims must reference all other claims associated with the visit in the claim story.
For example, if a dealer visit results in three repairs, three claims must be submitted to Caterpillar. After the
Caterpillar claim numbers are assigned, each Claim Story must be updated with a reference to the other two
Caterpillar claim numbers.
Note: This requirement does not apply to service letters.
Sublets and Miscellaneous Expenses

Invoices for parts service charges, freight, towing, sublets and all other miscellaneous expenses must be attached
to the claim in SIMS. Failure to provide invoices may result in expense items being denied. All invoices must
reference the Vehicle Identification Number (VIN), provide an itemized list of expenses for parts, labor, and
material charges and offer a reason for claiming labor. All information submitted must be valid and verifiable.
Pictures
Clear pictures of the defect area for all DPF, DOC, EGR cooler and wiring harness defects must be attached to the
claim in SIMS.
Work Order Closing Summaries

Work order closing summaries must be attached to the claim in SIMS in the following situations:
• Multiple failures/claims for one dealer visit.
• Claims with wiring harness repairs totaling more than 3 hours of labor.
• Any claim for a repair with more than 3 hours of troubleshooting.
Late Claim Exceptions:

• For EPP/ESC and parts warranty claims, refer to Warranty Bulletin 1.13.
• For Vocational On-Highway Truck standard warranty and emissions warranty claims:
• Caterpillar caused issue that the claim is late, contact onhighwaywarranty@cat.com for consideration
• Dealer caused issue that the claim is late, contact the On-Highway Truck Service Representative for
consideration
Contact Information
Submit inquiries to onhighwaywarranty@cat.com for assistance.
06.03-09 (10/17) 3
Required maintenance must be completed per the OM&M to avoid risk of denial of emission warranty claims.
Parts Covered by the Emission Warranties

Table #2 is a list of components covered by the Cat Vocational Truck Emission Warranty. Warranted components
must match the part name and belong to at least one of the emissions reduction systems/groups listed in this
table. Some components from this list may be used in other systems/groups on the truck/engine, however, these
components are not covered. Components with required replacement intervals, as defined in the OM&M, are
covered up to the first replacement interval only.
➤ Table #2 - Parts Covered by Emission Warranty

Group Part Covered
After Treatment Control Module (ACM)
ACM Bracket
ACM Wiring
After Treatment Gaskets
Catalytic Convertor Muffler (CCM)
After Treatment
Diesel Oxidation Convertor (DOC)
Diesel Particulate Filter (DPF)
Doser-Injector
In Pipe DOC (supplemental engine mounted or upstream in pipe DOC
treatment)
Outlet housing
Air Manifolds
Clamp
Charge Air Cooler Cooler
Connections
Pipe
Decomposition Reactor
Decomposition Reactor Elbow
Decomposition Reactor Gasket
DEF Fill Level Gauge (Dash)
DEF Fill Level Gauge Wiring
DEF Fluid (Factory Fill Only)
DEF Lamp
Diesel Exhaust Fluid (DEF) and DEF Tank
Selective Catalistic Reduction (SCR)
Systems DEF Tank Coolant Flow Valve
DEF Tank Drain Plug
DEF Tank Fill Level Sensor
DEF Tank Filler Cap
DEF Tank Filter (Up to first scheduled replacement only)
DEF Tank Heater
DEF Tank Pickup
DEF Tank Strap/Bracket
4 06.03-09 (10/17)
DEF Wiring
Doser - Urea
EGTS Module
Gaskets
HC Air Shutoff Valve
Head Unit Wiring
Heated Unit Wiring
Hose - Pump to Tank Return
Hose - Engine to Coolant Valve Supply Line
Hose - Tank to Coolant Valve
Hose - Fittings
Diesel Exhaust Fluid (DEF) and Hose - Tees
Selective Catalistic Reduction (SCR) Hose - Doser to Tee
Systems (Continued) Hose - Pump to Tank Supply/Suction
Hose - Pump to Doser/Injector
Hose - Coolant Valve to Tank
Hose - Coolant Valve to Engine
Hose - Clamps
Hose - Tee to Doser
PDM Module
SCR Catalyst
Supply Module Filter (Up to first scheduled replacement only)
Supply Module Pump
Supply Module Pump Bracket
Supply Module Wiring
(ECM) Engine Only
Electronic Control Module
Electronic Interface Module (EIM)
Cooler
Cooler - Exhaust Manifolds/Pipes/Connections
EGR
Drive Module
Valve
Gaskets
Exhaust
Manifold
Doser/Regeneration Fuel injector
Fuel Control Module (includes internal sensors and valves)
Fuel Pressure Control Valve
Fuel
Fuel Volume Control Valve
High Pressure Pump (transfer pump failures are not covered)
High PSI Fuel Relief Valve
Injector Unit
Gaskets
Intake Manifold
Throttle Module

After Treatment Temperature Sensor

Ambient Air Temperature Sensor (AAT)
Ammonia Sensor
Barometric Pressure (BAP)
Camshaft Position (CMP)
Charge-Air-Cooler Outlet Temperature Sensor (CACOT)
Crankshaft Position (CKP)
Diesel Oxidation Catalyst Inlet Temperature Sensor (DOCIT)
Diesel Oxidation Catalyst Outlet Temperature Sensor (DOCOT)
DPF Differential Temperature Sensor
DPF Differential Temperature Sensor tube
Engine Coolant Temperature (ECT)
Engine Fuel Pressure
Regulator/Sender/Sensor
Engine Fuel Temperature (EFT)
Engine Oil Temperature (EOT)
Exhaust Back Pressure (EBP)
Exhaust Gas Temperature (Exhaust Manifold Mounted)
Exhaust Lambda Sensor
Exhaust (NOx) Sensors
Exhaust Pressure Regulator
Exhaust Regulator Valve
Exhaust Regulator Valve Control Module
High Pressure Compressor Inlet Temperature Sensor (HPCIT)
ICP/FRP
Manifold Absolute Pressure (MAP)
Manifold Absolute Temperature (MAT)
Mass Air Flow (Chassis Mounted)
Regulator/Sender/Sensor Oxygen (O2S)

(continued Particulate Matter (PM) Sensor
SCR Temperature Sensor
Actuation Control Module, (SRA)
Assembly
Boost Control Dump Gate/Actuator/Hose
Turbo Chargers
Boost Control Solenoid Valve
Gasket
Waste Gate and Control Module
Miscellaneous items used to connect the above listed approved parts including but limited to: hoses, connectors,
clamps, fittings, tubing, sealing gaskets or devices, mounting hardware and emission control information labels
are also covered by the Cat Vocational Truck Emissions Warranty.
6 06.03-09 (10/17)
SERVICE
WARRANTY BULLETI
BULLETIN USA, Canada & Mexico
Glider Kit
Overview
This bulletin addresses warranty applicable to Cat® Vocational On-Highway Truck Glider Kits that are sold and
serviced in the USA, Canada, and Mexico. Glider Kits include an assembled chassis consisting of a complete
Caterpillar cab, front axle with tires and wheels, and frame rails. Major drive train components are not included
in these Glider Kits; however, Glider Kits sold in Mexico also include rear axles. Regional warranty terms apply
based on location of initial new product sale.
This warranty does not apply to Cat Vocational On-Highway Trucks, dealer or customer installed items on
the Vocational On-Highway Truck Glider Kit that are not on the original consist list, or parts and components
intended for transportation and kit storage purposes.
Note: Cat Vocational On-Highway Glider Kits have a warrantable serial number. To begin the warranty period,
the dealer must document the sale and delivery of the Glider Kit through Caterpillar’s SCORE system.
Contact Information
For technical and warranty assistance contact the Caterpillar Global On-Highway Call Center at 1-800-447-4986
or e-mail: OHT_TechSupport@cat.com.
Warranty Period
Warranty terms are regional, based on location of sale of new Glider Kit being only: 1) USA & Canada, or 2)
Mexico. Glider Kit warranty covers only repairs made by Cat dealers within the region where the Glider Kit was
originally sold to first user. Gliders sold in Mexico are warranted only for repairs in Mexico, those sold in USA or
Canada are warranty for repairs only in USA or Canada. The warranty periods for the Glider Kit and additional
coverage for certain components is per the following Warranty Coverage Schedule Table. The warranty period
begins at delivery date of the kit to the end user, regardless of distance traveled.
➤ 06.04-03 (02/16) https://warranty.cat.com/wtyguide ➤ Indicates change.


1
Cat Vocational On-Highway Truck Glider Kit – Sold in USA & Canada
Basic Glider Kit Warranty
Basic Glider Kit Warranty 12 Unlimited
Components
Brightwork, Chassis Paint and Corrosion (other than cab) 6 Unlimited
Cab Paint and Paint Adhesion 12 Unlimited
Drivetrain
Rear Axle Weight Ratings 52,000lb and less
Front Axle 36 300/480
Rear Axle N/A N/A
Rear Axle Weight Ratings Greater than 52,000lb
Rear Axle and Differential N/A N/A
Items Not Covered
• Included in the Pre-Delivery Inspection Master Instruction Manual as a required adjustment
• Steering wheel alignment on those models eligible for the PDI reimbursement allowance
• Performed to improve kit appearance or performance beyond normal factory standards
Note: dealer are reimbursed only once for an adjustment/repair
Note: Any glamour, body, or cab defects must be noted on the delivery receipt at the time of delivery whether it
is in transit damage or not. If it is not noted on the delivery receipt and found later, it is considered lot damage
and is not reimbursable under standard warranty.
2 06.04-03 (02/16)
Cat Vocational On-Highway Truck Glider Kit – Sold in Mexico

Items Covered Months Miles/Km(000) Hours
Basic Glider Kit Warranty
Basic Glider Kit Warranty 12 63/100 2250
Components
Cab/Cowl Structure 60 Unlimited Unlimited
Cab/Cowl Perforation Corrosion 60 Unlimited Unlimited
Brightwork, Chassis Paint and Corrosion (other than cab) 6 Unlimited Unlimited
Cab Paint and Paint Adhesion 12 Unlimited Unlimited
Drivetrain
Rear Axle Weight Ratings 52,000lb and less
Front Axle 12 63/100 2250
Rear Axle 12 63/100 2250
Rear Axle Weight Ratings Greater than 52,000lb
Front Axle Assembly 12 Unlimited Unlimited
Rear Axle and Differential 12 Unlimited Unlimited
Items Not Covered
• Included in the Pre-Delivery Inspection Master Instruction Manual as a required adjustment
• Steering wheel alignment on those models eligible for the PDI reimbursement allowance
• Performed to improve kit appearance or performance beyond normal factory standards
Note: dealer are reimbursed only once for an adjustment/repair
Note: Any glamour, body, or cab defects must be noted on the delivery receipt at the time of delivery whether it
is in transit damage or not. If it is not noted on the delivery receipt and found later, it is considered lot damage
and is not reimbursable under standard warranty.
Pre-Delivery
Inspection: Dealers may claim up to 1.0 hour of labor to complete a pre-delivery inspection (PDI)
 Submit a separate claim using SMCS Code or Group # 7588.
Caterpillar requests dealers to provide a final check-up and make any minor adjustments required prior to
delivery of the Glider Kit to the customer or final assembler. Normally these check-ups and adjustments, which
include checks for proper equipment operation, completeness, fluid levels, tire pressure, literature, etc., are
considered as standard dealer preparations and are therefore not reimbursable.
Repairs: If defects are discovered that cannot be classified as normal pre-delivery inspection, but rather
corresponding to a repair, dealers are requested to complete such repairs under pre-delivery warranty.
 Each incident has to be reported on a separate claim and a corresponding SIMS Report must have
been submitted prior to the claim being submitted.
 Labor should be broken down per TRG guidelines.
Note: Refer to Bulletin 4.07 for additional information regarding Battery Warranty and Repairs.
06.04-03 (02/16) 3

Dealer reimbursement for allowable expenses related to new Glider Kit standard warranty and in-transit repairs
will be per the Summary of Reimbursement Practices chart below, in accordance with reimbursement practices
as outlined in Bulletin 1.02, and with the applicable warranty statement at https://warranty.cat.com/currstmts.
Cat Vocational On-Highway Glider Kit – USA, Canada & Mexico

Parts Salvage Labor Reimbursable at Vocational On-Highway Truck labor rate, if justified
Labor Reimbursable at Vocational On-Highway Truck labor rate
Freight Charges Reimbursable
In-Transit repairs only, reimbursable at Vocational On-Highway Truck
sell rate. Other repairs, not reimbursable.
Overtime Labor Rate, Shop
Not reimbursable
Supplies, Travel, Meals and
Lodging

The following outlines the unique claim field information for new Glider Kit standard warranty claims.
Delivery Date - Enter one of the following:

 For delivered Glider Kits - Leave this field blank - The Service Claims System will automatically enter the
date that is on-file at Caterpillar, based on the entered serial number.
 For non-delivered Glider Kits – Enter “00NIS00”
Product Identification / Serial No - Enter the Caterpillar serial number
Paint Repairs
Caterpillar will reimburse for labor to paint parts replaced under terms of warranty to match the original color of
the product - excluding high temperature components.
Paint damaged during shipment is not a manufacturer’s defect and claims should not be submitted to Caterpillar.
If there is a Caterpillar defect in material and / or workmanship regarding the paint on a product, dealers are to
contact their Caterpillar Service Representative. The contacted representative’s name must be in the claim story
as contact information for the product group should they have any claim questions (applies to all claim types).
All claims will require pictures as documentation to the claim. Please include one photo taken from a distance
to show area of defect, one close up showing the specific defect. Labor times will be paid per TRGs, parts
replacement will not be allowed.


The following outlines the unique claim field information for Glider Kit paint repair claims.
Part Number - Enter the substitute part number SP0587
Problem Description Code (DC) – Enter 06
Group Number – Enter the most relevant group number
Claim story - Use the following paint defect descriptions where applicable:
 Cluster – more than one large or small porosity bunched together
 Craters – dish-like condition of surface after paint
 Fracture – break completely through the material
 Gouge – deep scratch effect below plastic surface
 Orange peel – regular rough surface
 Porosity – hole in paint surface
 Scratch – light surface scratch, not below plastic surface
 Surface craze – light spider web effect due to material
 Waviness – uniform peaks and valleys, material flow-back
ArvinMeritor Component Warranty

Under the ArvinMeritor OnTrac program, before beginning any warranty repair that involves ArvinMeritor front
axle or brake components, the servicing location is required to call the ArvinMeritor OnTrac call center for
warranty pre-approval and guidance in the latest diagnostic and repair procedures.
 Includes tie rod assemblies.
 Excludes components listed below under “Items not requiring a prior approval” where the labor and
parts (prior to parts markup) will be greater than $150.00.
 ArvinMeritor OnTrac call center, phone 1-866-668-7221
 A “case file” number will be provided by ArvinMeritor
 After the repair is completed, you must call ArvinMeritor OnTrac call center again to close the case file.
• At this point, an authorization number will be issued. When a claim is submitted to Caterpillar, the
OnTrac authorization number, beginning with ARMS or ARMR, will be required.
• If the OnTrac Center cannot determine warrantability, an ARMD authorization number will be
assigned. All claims issued an ARMD authorization number will have a parts return request issued.
Items not requiring a prior approval
• Repairs under $150.00 (labor and parts excluding parts markup)
• Service Parts components that are sold over-the counter with $0.00 labor charges
• SAHR parking brake system canister, cable, and parking brake assembly
• Front drive steering axle
• ABS harness, cut or damaged wiring to sensors due to routing or clipping issues
• Air supply hose or fittings for inter-axle diff lock
OnTrac - Dealer Information Center

ArvinMeritor - Products & Services - Warranty Information web site at
(http://www.meritor.com/customer/northamerica/warranty/default.aspx) provides dealers with a “Product
Identification Guide” under the “Technical Support Center” section. The Product Identification Guide is an
up-to-date source for documents and product/parts diagrams to make identification & repair of ArvinMeritor
components as easy as possible.
06.04-03 (02/16) 5
The following downloadable documents are available:

• Dealer FAQ
• OnTrac Dispute Resolution
• ArvinMeritor Product Identification

The following outlines unique claim field information required for Glider Kit claims involving ArvinMeritor
components.
Claim Story – Enter the ArvinMeritor OnTrac authorization number on the 1st line of claim story.
Labor Detail – A single labor amount of 0.2 hours per repair is reimbursable for the time to call the OnTrac
Center for front axles or brakes. Dealers may claim reimbursement in a separate TRG labor line.
In-Transit Damages
Dealers can claim, via the Caterpillar Service Claim System, repairing costs for in-transit Glider Kits that are
damaged by the Carrier. To start this process, e-mail an estimate for repair and pictures of the damage to, Truck
Movers via cat.claims@truckmovers.com.
Within 24 hours, the estimate will be approved/denied/or additional information will be requested. After the
estimate is approved, the dealer will receive a repair amount and an approval number. Once the repairs are
complete, submit the bill through Standard Warranty to receive reimbursement.

The following outlines unique claim field information required for Glider Kit in-transit claims.
Part Causing Failure – Enter substitute part number SP0863
Group Causing Failure - Enter SMCS code 770V
Comment Field – Enter, IN TRANSIT DAMAGE
Claim Story - Include the nature of the damage as well as details of the repair
Glider Kit Not Built to Order

Once it has been verified that the Glider Kit was ordered correctly and the deficiency is a complete feature code
item(s), the TNBTO (truck not built to order) claim procedure will apply to Glider Kits. Please follow the TNBTO
procedures on dealer.cat.com > products > On Highway Truck > CT660 > Service Operations > Service Forms.
This information can also be obtained at:
https://dealer.cat.com/en/products/on-highway-truck/ct680/ct/service-forms.html. Once approval number is
received a claim may be submitted via the Caterpillar Service Claim System.

The following outlines unique claim field information required for Glider Kit Not Built to Order (TNBTO) claims.
Part Causing Failure - Enter substitute part number SP0915
Group Causing Failure - Enter SMCS code 770V
Comment Field – Enter TNBTO
Claim Story - Enter the TNBTO claim approval number
6 06.04-03 (02/16)
SERVICE
WARRANTY BULLETIN Americas North & South Korea
Commercial & Captive Engine
Emission Warranty
Overview
Note: This bulletin does not apply to Cat Vocational On-Highway Truck.
The United States Environmental Protection Agency (US EPA) and the California Air Resources Board
(ARB) each require Caterpillar to provide an emission warranty to end-users; for each of it’s new engines operated
and repaired in the United States, Canada, US Virgin Islands and Puerto Rico.
The South Korea Clean Air Conservation Act requires Caterpillar to provide an emission warranty to end-users;
for engines used in certain construction machines operated and repaired in South Korea. A list of covered Cat
models is included in Table #4 of this bulletin.
The purpose of this bulletin is to provide additional information to dealers regarding these regulatory emission
warranties that Caterpillar provides to end-users.
In summary, Caterpillar’s official emission warranty statements warrant that:
1. Its new engines are designed, built and equipped to conform at the time of sale with applicable
regulations and
2. Are free from defects in materials and workmanship:
a. That can cause the engine to fail to conform to applicable emission standards for the
warranty period, or
b. Which cause the failure of an emission related component to be identical in all material
respects to the component as described in Caterpillar’s application for certification for the
warranty period.
Note: On the following pages of this bulletin:
• Table #1 describes dealer reimbursement for expenses associated with emission warranty repairs.
• Table #2 describes the applicable warranty periods for US EPA and California ARB warranty.
• Table #3 describes the applicable warranty periods South Korea emission warranty and the eligible Cat
machine models.
• Table #4 provides a list of covered parts.
Caterpillar’s emission warranties are also described to the end user in the applicable Operation and
Maintenance Manual (OM&M) under the “Warranty Section.”


1
Emission Warranty Applies If:

The failure is due to a defect in material and workmanship of a Caterpillar emission related component listed in Table
#4, and;
• Engine is US EPA/ARB Certified and/or it is a US EPA/ARB labeled product and it is repaired in the boundaries of
the United States, Canada, US Virgin Islands, Puerto Rico, or,
• Engine is South Korea Certified and labeled construction machine (Cat models listed in Table #4) and it is repaired
in the boundaries of South Korea, or,
• Engine is designated and labeled as “Replacement Engine”, and it is repaired in the boundaries of the United
States, Canada, US Virgin Islands, Puerto Rico or South Korea.
Note: The cause of the failure must be determined, and this may require the disassembly of the failed part in the same
manner as is required under Caterpillar Standard Warranty guidelines.
Note: Emission components covered by factory Extended Standard Warranty, are eligible during that extended period
for reimbursement under the terms of emission warranties per Table #1 of this bulletin.
Note: Caterpillar Emission warranty does not cover dealer rebuild/exchange or Reman engines that do not have
a US EPA/ARB certification label.
Dealer Reimbursement for Expenses Associated With Emission-Related Components

Table #1
Emission Warranty Summary of Reimbursement Practices
Repair Expense Machine Engine (Caterpillar Captive) All Other Engines
Parts D/N + 10% M
Service Items Reimbursable at D/N + 10%, if made Reimbursable at M, if made unusable
unusable
Repair Labor Warranty Sell Labor Rate Warranty Sell Labor Rate
Parts Salvage Labor Warranty Sell Labor Rate, if justified Warranty Sell Labor Rate, if justified
Emergency Parts Service Reimbursable, if justified in claim story Reimbursable, if justified in claim story
Charges
Outside Repair Expenses Reimbursable, at cost Reimbursable, at cost
Shop Supplies Included in Labor Rate Included in Labor Rate
Overtime Labor Rate, Not Reimbursable Not Reimbursable
Travel Time & Mileage,
Meals & Lodging, Freight
Charges and Hauling Costs
Additional Emission Warranty Information

 Caterpillar supplied parts, components or complete Reman engines that are not labeled as “Replacement Engines”
that are replaced under emission warranties are covered only for the remaining warranty period of the original part
or component.
 If a complete engine is replaced in a Cat® machine, enter a SIMS record with the serial number of the new or
Reman engine, to document the in-service date.
 Aftermarket components may be utilized for maintenance and non-warranty repairs. The owner should ensure that
such components are equivalent in design, function and durability to genuine Cat parts. Use of aftermarket parts
does not invalidate Caterpillar’s emission warranties. However, Caterpillar is not liable for any subsequent failure
caused by an aftermarket part. **Caterpillar Emission Solutions Aftermarket Aftertreatment products are covered by
a separate warranty bulletin (7.02) and statement.
 Verification of a defect in Caterpillar’s material and/or workmanship may be required before emission warranty
coverage applies.
2 07.01-09 (06/19)
 The user may ask, in writing, for the reasons why a claim was denied and may appeal the decision. The
dealer is encouraged to obtain assistance from Caterpillar in such cases.
 The anti-tampering provision of the Clean Air Act applies regardless of the person performing work on an
engine or vehicle. It is illegal for any person to disconnect or tamper with any emission control component or
to put the engine into an uncertified configuration, other than on a temporary basis for repair purposes.
 During the terms of the emission warranty, Caterpillar, through an authorized dealer, will provide new,
remanufactured, or repaired parts and/or components at Caterpillar’s option. This may include all other engine
components damaged as a result of the failure of a defective engine emission part. The owner is encouraged to
keep adequate maintenance records, but the absence of such does not automatically invalidate this warranty.
Reman Engine Verification

Only Reman engines, long blocks, and short blocks that are designated and labeled, as “Replacement Engines”
are eligible for Emissions Warranty. Refer to Informational Release Memorandum PELJ1278 on SIS or the Reman
web site for a list of serial number prefixes that qualify as “Replacement Engines”.
Note: Reman engine serial number prefixes products that are not listed in PELJ1278 on this list and/or are not
labeled, as “Replacement Engines” are not eligible for emissions warranty.
Note: For Reman long blocks and short blocks, only the as-shipped consist is covered by this emission warranty.

The following outlines the unique claim field information for emission warranty claims.
NOTE: Claims are automatically marked for Emissions Warranty by the Caterpillar claim system and a “CEW”
reason code is added. The “CEW” reason code will be added to all claims for an Emissions Part, whether covered
by Standard Warranty, Standard Extended Warranty or Emissions Warranty. The “CEW” is only used for reporting
and does not effect claim processing (limits, coverages or reimbursement).
Machine (Caterpillar Captive) Engine Claims:
 Related serial number field - Enter the New or Reman engine serial number.
 Claim Story - If not the original engine in the machine as documented in SIMSi, enter the machine hours
and date the engine was put into service.
Claiming Practices for Products Covered Under Other Coverages While

Still Under Emission Warranty
Caterpillar’s emission warranties have precedence over any additional coverage that may apply to the machine/
engine. If the unit is within the terms of the Caterpillar’s emission warranties, and has a qualified emission
component failure, the claim shall be filed to emission warranty using the steps detailed above. The claim
reimbursement may be limited to the Caterpillar’s emission warranty reimbursement rates.
Questions Regarding Caterpillar’s Emission Warranties

Caterpillar’s Emission Warranty inquiries may be submitted to the Warranty Service Desk (WSD). Questions
pertaining to contents in Tables #1, #2, #3, #4 or #5 will be forwarded to the Caterpillar’s Emission Regulations
and Compliance division Group for review prior to a response from the WSD.
Failure to complete all required maintenance specified in the Operations and Maintenance Manual may result in
denial of emission warranty claims.
Parts Covered by the Emission Warranties

Reference Table #5 for a list of parts within certain systems/groups that are covered by Caterpillar’s Emission Warranty.
Note: Some listed part names may be used in other systems/groups on the machine/engine; coverage is not
extended to those components.
Note: Components with required replacement intervals, as defined in the Operation and Maintenance manual, are
covered up to the first replacement interval only.
To check emissions parts search: https://ccsi.cat.com/CCS/checkEmissions.htm
07.01-09 (06/19) 3
Table #2 (pages 4-6)

Eligible products operated and repaired in the United States, Canada, US Virgin Islands, Puerto Rico
Machine (Caterpillar Captive) Engine Emissions Warranty Period

Paver Models: CB14
1,500 Hours or Two(2) Years, whichever
Cat Machines Compact Excavator Models: comes first
300.9, 301.4, 301.7, 302.4, 302.7, 303
All other Cat 3,000 Hours or Five(5) Years, whichever
All other models
Machines comes first
On-Highway Engine Emissions Warranty Period

On-Highway 100,000 Miles or Five(5) Years,
All Legacy Engines
Engines whichever comes first
Commercial Engine (Excluding Gensets, Marine & Locomotive) Emissions Warranty Period
Sales Model: Maximum Power Rated Speed Warranty Period
C0.5, C0.7 Any Power 1,500 Hours or Two(2) Years,

whichever comes first
C1.1, C1.5 <19kW Any speed
3,000 Hours or Five(5) Years,
All other models Any Power
Commercial Gensets Emissions Warranty Period
C0.5, C0.7 Any Power
1,500 Hours or
C1.1 <37kW Any Speed Two(2) Years,
C1.5 <19kW whichever
comes first
C2.2 Any Power >=3000 rpm
3,000 Hours or
Five(5) Years,
All other models Any Power Any Speed
whichever
comes first
➤ Spark Ignited Emissions Warranty Period - Investor Product Line
Engine Model Serial Number Prefix Warranty Period
XG135 AL4
G3306B Genset NR4
CG137 SC2
XG400 AL8
G3512 E2S
G3512 E2P
G3512 E2X 5,600 Hours or Five(5) Years, whichever comes first
G3412 E4W
G3512 E27
G3512 E26
G3520 E28
G3520 E2J
G3520 JF4

➤ Spark Ignited Emissions Warranty Period - Investor Product Line cont.
G3520 E32
G3520 E33 3,500 Hours or Five (5) Years, whichever comes first
G3520 E37
Spark Ignited Emissions Warranty Period

Retail Product Line – Group 1
Engine Model Serial Prefix Warranty Period
2.4L GXA
5.4L GXB Less than 130hp (100kW), Unlimited Hours or Two (2)
Years, whichever comes first
6.8L GXB, GXC
8.0L GXH Greater than or equal to 130hp (100kW), 2,500 Hours
or Three (3) Years, whichever comes first
9.0L GXG
12.9L GXF
13.3L GXD Specific High Cost Emission - Related Repairs,
3,500 Hours or Five (5) Years, whichever comes first
14.2L GXJ, KJ2, KJ4, KJ6, KJ7, (See details below)
KJ8, KJ9
21.9L KJ3, KL6, KL8
Spark Ignited Emissions Warranty Period

Retail Product Line – Group 2
Engine Model Serial Prefix Warranty Period
3.0L NBW, T36
5.7L NA NB5, T37 2,500 Hours or Three (3) Years, whichever comes
5.7L Turbo NB6, T38 first
5.7L TCAC NB7, T39

8.8L Turbo NB8, T44 Specific High Cost Emission - Related Repairs,
3,500 Hours or Five (5) Years, whichever comes first.
8.8L TCAC NB9, T45
(See details below)
ADDITIONAL DATA FOR HIGH COST EMISSION - RELATED REPAIRS

GROUP PART NAME ADDITIONAL NOTES
High Cost Emission - Related Catalytic Converter Applicable Only to Spark Ignited Emissions Retail
Repairs Product Line.
Engine Control Module Retail Product Line - Group 1 & 2
Engine Intake Manifold
Throttle Body / Chamber
Vaporizer / regulator /
Converter
LPG Mixer / Carburetor
Electronic Pressure
Regulator, Electronic
Actuator
Engine Wire Harness

Marine Engine Emissions Warranty Period

Marine Pleasure
Craft Applications
Sales Model Principle Work Code Warranty Period
A90 - Pleasure Craft 500 Hours or Five (5) years,

All Models
Recreational whichever comes first
Marine Revenue
Applications
Sales Model Principle Work Code Warranty Period
1,500 Hours or 30 months (2½ Years),

C0.5, C0.7, C1.1, C1.5
2,500 Hours or 42 months (3½ Years),
C2.2
Any other Marine PWC - whichever comes first
(Beginning with A, except A90) 10,000 Hours or 60 months (5 Years),
C280
5,000 Hours or 60 months (5 Years),
All other models
The warranty period shall be the period of years or hours of operation specified in the table above, whichever occurs
first, after the date of delivery to the ultimate purchaser.
Locomotive Engine Emissions Warranty
Claims for Commercial engines in Locomotive applications are claimed back to the locomotive manufacturer
Table #3
Eligible products operated and repaired in South Korea
Construction Machine Models
Excavator (all sizes of wheel & track) Front Shovel, Wheel Loader, Integrated Tool Carrier, Track Loader, Backhoe
Loader, Industrial Loader, Skid Steer Loader, Multi-Terrain Loader, Compact Track Loader, Telehandler, Track Type
Tractor, Wheel Dozer, Wheel Tractor Scraper, Towed Scraper, Motor Grader, Surface Drill, Hydraulic Mining Shovel,
Cold Planer, Reclaimer/Stabilizer, Soil Compactor, Asphalt Compactor, Tired Compactor, Asphalt Paver
Paver Models: CB14

1,500 Hours or Two (2) Years,
Cat Machines
Compact Excavator Models: 300.9. whichever comes first
301.4, 301.7, 302.7, 303
3,000 Hours or Five (5) Years,
All other Cat Machines All other models
6 07.01-09 (06/19)
Table #4 Covered Parts (pages 7-9)

Parts List for Emissions Warranty
Group Part Name Additional Notes
Air/Fuel Ratio TWC Inlet Oxygen Sensor
Controls TWC Inlet Temperature Sensor
TWC Outlet Gas Temperature Sensor
TWC Outlet Oxygen Sensor
Air Induction System* ATAAC Outlet Temperature Sensor *Note:
Balance Valve Solenoid Warrantable parts, such
Boost Limiter as those listed for the
Camshaft “Air Induction System,”
Charge Air Cooler (ATAAC, SCAC, JWAC) may also be found in
the following emissions
Compressor Inlet Pressure Sensor
reduction systems/groups:
Compressor Outlet Pressure Sensor
• Air Intake & Exhaust Gp.
Exhaust Manifold
• Camshaft Group
Inlet Air Temperature Sensor
• Cylinder Head Group
Inlet Manifold Pressure Sensor
• Turbocharger Group
Inlet Manifold Temperature Sensor
Intake Manifold
Interstage Ducting (Series Turbocharged Engines)
Precooler
Smart Wastegate Solenoid
Turbo Balance Valve
Turbocharger(s)
Turbo to CEM - Flexible Coupling
Turbo to CEM - Rigid Pipe
IVA/VVA - Actuator/accumulator
IVA/VVA - Check Valve
IVA/VVA - Oil Feed Tubes (Quill Tubes)
IVA/VVA - Pressure Sensor
IVA/VVA - Solenoid
IVA/VVA - Wiring Harness
Wastegate
Catalyst or Thermal
Reactor System Three Way Oxidation Catalyst (TWC)
Cooling System Coolant Temperature Sensor

Crankcase Ventilation Crankcase Breather - Only if equipped with OCV, CCV systems
System
Fumes Filter - (Maintenance Item Limits)
Fumes Filter Housing
Oil Filler Cap - Only if equipped with OCV, CCV systems
Pressure Regulating Valve
Electronic Engine Electronic Control Module
Controls Engine Wiring Harness
Personality Module/Software
Speed/Timing Sensor
07.01-09 (06/19) 7
Emission Control Aftertreatment Control Module **Note: Warrantable parts,

System** Aftertreatment Fuel Injector such as those listed for
Aftertreatment Fuel Injector Metering Unit the “Emission Control
ARD - Fuel Nozzle System,” may also be
found in the following
ARD - Fuel Pump Wiring Harness
emissions reduction
ARD - Head systems/groups:
ARD - Housing
• ARD - Aftertreatment
ARD - Ignition Coil Regen Group
ARD - Spark Plug (Maintenance Item Limits)
• CEM - Clean
Backpressure Valve / Sensor
Emissions Mod Group
Catalyzed/Diesel Particulate/Oxidation Filter
• CGI - Clean Gas
CEM - Delta Pressure Sensor
Induction
CEM - Inlet Pressure Sensor
• CRS - CAT
CEM - Inlet Temperature Sensor
Regeneration System
CEM - Wiring Harness
Combustion Air Valve • DEF - Diesel Exhaust
Fluid System
Exhaust Gas Temperature Sensor
DEF - Pump / DEF - Boost Pump • DPF - Diesel
Particulate Group
DEF - Controller
DEF - Wiring Harness • NRS - Nox Reduction
DEF - Coolant Diverter System Group
DEF - Heated Lines • PRS - Particulate
DEF - Tank Regeneration System
DEF - Tank Header • SCR - Selective
DEF - Tank Level Sensor Catalytic Reduction
DEF - Tank Level Switch Air Intake & Exhaust
Group
DEF - Injector
DEF - Line Heater Relays
Flame Detect Sensor
Filters - (DEF, Compressed Air) - (Maintenance Item Limits)
Fuel/Air Ratio Control
Fuel Pressure Regulator
Fuel Pump/Transfer/Primer Pump when supplying ECS (ARD Head)
Fuel Return Check Valve
Heater - (Tank, Pump, Filter, Manifold, Compressed Air)
Intake Throttle Valve
Nozzle Heater Relay
NRS/CRS/CGI - Absolute Pressure Sensor
NRS/CRS/CGI - Actuator
NRS/CRS/CGI - Cooler
NRS/CRS/CGI - Fuel Pressure Sensor (includes Main and Pilot)
NRS/CRS/CGI - Mass Flow Sensor
NRS/CRS/CGI - Mixer
NRS/CRS/CGI - Solenoid Valve (includes Enable, Main and Pilot)
NRS/CRS/CGI - Temperature Sensor
NRS/CRS/CGI - Valve
NRS/CRS/CGI - Valve Position Sensor
8 07.01-09 (06/19)
Emission Control Reed Valves

System** RF Soot Sensor Antenna (ECM)
(Continued)
RF Soot Sensor Module (ECM)
SCR - Inlet Temperature Sensor
SCR - Catalyst
SCR - Nox Sensors
Secondary Air Pressure Sensor
Fuel Metering System Common Rail Fuel Pump
Fuel Injection - Pump (High Pressure)
Fuel Injector - Rocker Arms, Push Rods
Fuel Injector - Wiring Harness
Fuel Injectors/Nozzles
Fuel Rail (Common Rail Fuel Systems)
Fuel Rail Pressure Sensor
HEUI Oil Pressure Sensor
HEUI Pump, HEP Pump
High Pressure Fuel Lines
Quill Tubes
Rail Pressure Control Valve
Suction Control Valve
Timing - Advance
Timing - Solenoid
Fuel Supply System Fuel Temperature Sensor
Fuel Supply System Carburetor
(Low Pressure) Fuel Metering Valve
Fuel Pressure Regulator
Ignition System Ignition Coil
Ignition Wiring Harness
Spark Plugs
Speed/Timing Sensor
Speed Governing
Throttle Valve
System
Used to connect the above listed approved parts including but
limited to: hoses, connectors, clamps, fittings, tubing, sealing
Miscellaneous items gaskets or devices, mounting hardware and Emission Control
Information Labels are also covered by Caterpillar’s emissions
warranty.
Cylinder Pistons, Rings, and Liners are covered for all non-
road and stationary engines less than 10 liter per cylinder and
rated with the following engine horsepower. These items are
Cylinder PRL (Pistons, covered beginning on/after the build date noted below until
Rings, and Liners): further notice.
<56 kW (<75 hp) - Built on/after 01Jan2008
56-130 kW (75-175 hp) - Built on/after 01Jan2012
>130 kW (>175 hp) - Built on or after 01Jan2011
07.01-09 (06/19) 9
Caterpillar: Confidential Green Bulletin No. 7.02-02
SERVICE
➤ WARRANTY BULLETIN Americas North

Engines
Caterpillar Emissions Solutions

Aftermarket Aftertreatment Products
- Emission Warranty
The United States Environmental Protection Agency (EPA) and/or the California Air Resources Board (CARB)
require Caterpillar to provide an emission warranty to end users. Caterpillar must warrant that the verified
aftermarket aftertreatment products are designed, built and equipped so as to conform at the time of sale with
applicable regulations and be free from defects in materials and workmanship for a specified period of operation
in time or miles/hours, whichever occurs first (Emission Warranty). Refer to the appropriate charts later in
this bulletin for Emission Warranty time periods. Information concerning the Caterpillar Emission Warranty is
provided to dealers in the following separate supplements:
• CARB Emission Warranty Information - Forms REHS3968 and REHS3969.
The Emission Warranty Supplements are essentially the same in responsibility. Caterpillar administers the
Verified Emission Warranty Supplements in the same way.
Covered Components
Emission Warranties for Diesel Particulate Filter (DPF) cover the DPF inlet, outlet, catalyst, filter and Diesel
Particulate Filter Diagnostic Module (CRTdm) unit. Additional items covered are any hardware items used to
mount and connect the DPF unit. Consumable/maintenance items supplied with the DPF unit are not covered
under Emission Warranty, however, the following are covered under the standard parts warranty: clamp
numbers 216-7992 and 236-8084, gasket numbers 216-7993 and 236-8086 and the internal CRTdm batteries.
Emission Warranties for Diesel Oxidation Catalyst (DOC) and Catalyzed Converter Muffler (CCM) cover just the
DOC and CCM units.


1
Coverage Limitations and Customer’s Responsibilities

For Emission Warranty Coverage to apply the DPF, CRTdm, DOC and CCM products are to be installed and
operated in accordance with the installation instructions and operated on a diesel engine that meets the engine
manufacturer’s specifications. Manufacturer’s specifications are defined as the performance and service
specifications and guidelines as set forth in the manufacturer’s maintenance manual for each particular engine.
Any engine not meeting it’s manufacturer’s specifications must be brought back to a condition to meet the
specifications prior to installation of said products.
The DPF must be operated with the CRTdm or a Caterpillar approved backpressure monitoring system. The
engine fuel must be ultra low sulfur diesel with a maximum of 50 ppm sulfur fuel (0.005 wt.% sulfur) and the
fuel must meet the engine manufacturer’s specifications.
If any of the above condisions are not met, the Emission Warranty Coverage may not apply if the failure is
directly related to the non-compliance.
Emission Warranty Period

Warranty periods are as follows:
Caterpillar Emissions Solutions Aftermarket Aftertreatment Emission Warranty Period

Warranty Type Warranty Period
Machines and Commercial Engines
CARB Emission Warranty 5 years or 4,200 hours
EPA Emission Warranty 3 years or 1,850 hours
On-Highway Engines
CARB Emission Warranty
Light heavy-duty, 70-170hp, Gross Vehicle Weight Rating (GVWR) less than 19,500 lbs. 5 years or 60,000 miles
Medium heavy-duty, 170-250 hp, GVWR from 19,500 to 33,000 lbs. 5 years or 100,000 miles
Heavy heavy-duty, exceeds 250 hp, GVWR exceeds 33,000 lbs. 5 years or 150,000 miles
Heavy heavy-duty, exceeds 250 hp, GVWR exceeds 33,000 lbs., and trucks are:
1. Typically driven over 100,000 miles per year, and 2 years, unlimited miles
2. Have less than 300,000 miles on the odometer at the time of installation.
EPA Emission Warranty
Light heavy-duty, 70-170hp, Gross Vehicle Weight Rating (GVWR) less than 19,500 lbs. 5 years or 60,000 miles
Medium heavy-duty, 170-250 hp, GVWR from 19,500 to 33,000 lbs. 5 years or 100,000 miles
Heavy heavy-duty, exceeds 250 hp, GVWR exceeds 33,000 lbs. 5 years or 150,000 miles
Unregulated Parts and Applications
Aftertreatment products that are not CARB or EPA verified, or not verified for the Refer to Bulletin 4.01
intended application, are covered under applicable Parts Warranty.
2 07.02-01 (02/16)

Dealer reimbursement for repair expenses related to Caterpillar Emissions Solutions Aftermarket Aftertreatment
Emission Warranty will be per the Summary of Reimbursement Practices chart found below, in accordance with
reimbursement practices as outlined in Bulletin 1.02, and with the applicable warranty statement at
Caterpillar Emissions Solutions Aftermarket Products - Emission Warranty

Repair Expense Machine Engine All Other Engines
Parts D/N + 10% M
Service Items Reimbursable at D/N + 10% - if made Reimbursable at M - if made
unusable unusable
Repair Labor Warranty Sell Labor Rate Warranty Sell Labor Rate
Parts Salvage Labor Warranty Sell Labor Rate - if justified Warranty Sell Labor Rate - if justified
Emergency Parts Service Reimbursable - if justified in claim Reimbursable - if justified in claim
Charges story story
Outside Repair Expenses Reimbursable at cost Reimbursable at cost
Shop Supplies Not reimbursable as an itemized Not reimbursable as an itemized

expense expense
Overtime Labor Rate, Travel Not reimbursable Not reimbursable
Time & Mileage, Meals &
Lodging, Freight Charges and
Hauling Costs

The following outlines the unique claim field information for Nonroad Engine Emission Warranty claims. For
questions regarding claiming practices, dealers should submit a ticket to the Warranty Service Desk.
Serial Number - Enter 99Z01928 (DPF and CRTdm), 99Z01929 (DOC) and 99Z01930 (CCM)
Delivery Date - Enter the installation date of the product
Related Serial Number - Enter the serial number of the machine or engine the product is installed onto
PD Code - Enter PD Code 97
Group Number - Enter 7726 for machine engines and 7772 for all other engines
Findings/Comments - Enter “Emission Wty.”
Part Hours/Miles/Kilometers - Enter the hours/miles/kilometers since installation
Product Hours/Miles/Kilometers - Enter the machine/engine hours/miles/kilometers
Claim Story - Enter on the first line “Emission Warranty claim under Bulletin 7.02,” and then continue the Claim
Story per standard claiming procedures
07.02-01 (02/16) 3
4 07.02-01 (02/16)
SERVICE
Engine
Overview
The California Air Resources Board (ARB) requires Caterpillar to provide an Alternative Fuel Conversion System
Warranty on Dynamic Gas Blending (DGB) Kits installed on Cat® engines. This bulletin provides warranty
information for DGB Kits sold by Caterpillar and installed by Caterpillar or a Cat dealer on Cat engines operating
in the United States. Installation of DGB Kits on Cat engines operating outside the United States are covered by
Parts Warranty based on the product application.
Warranty Terms and Conditions

Caterpillar warrants that DGB Kits are designed and manufactured to conform with the applicable
requirements of the California Certification and Installation Procedures for Systems Designed to Convert
Off-Road Vehicles, Engines, and Equipment to Use Alternative Fuels. These procedures may be found at
http://www.arb.ca.gov/msprog/aftermkt/offroad/offroad.htm.
Caterpillar also warrants that DGB Kits are free from defects in materials and workmanship which cause the
DGB Kit to fail to conform to the requirements of the procedures or cause damage to any part on the converted
engine/equipment.
Warranty Period
The warranty period is 5 years or 3,000 hours of operation, whichever comes first, beginning on the installation
date of the DGB Kit or on the delivery date of the engine/package when installed as predelivery to the first user.
 Enter a SIMS record on the engine/package serial number to indicate:
 Installation of a DGB Kit
 Engine SMU at date of installation
 Start date of the warranty period
Caterpillar supplied parts or assembled components replaced under Alternative Fuel Conversion System
warranty are covered only for the remaining warranty period of the original part or component.
Dealer reimbursement for repair expenses related to Alternative Fuel Conversion Systems is per the Summary


1
of Reimbursement Practices chart below, in accordance with reimbursement practices as outlined in Bulletin
1.02, and with the applicable warranty statement found at https://warranty.cat.com/currstmts.
➤ Alternative Fuel Conversion System Warranty

Parts Salvage Labor Warranty Sell Labor Rate
Outside Repair Expenses Reimbursable at Cost
Shop Supplies Included in Labor Rate
Overtime Labor Rate, Travel Time & Mileage, Meals & Lodging,
Not Reimbursable
Freight Charges, Hauling Costs

The following outlines the unique claim field information for Alternative Fuel Conversion System warranty claims.

DGB Kits are not serialized. Enter the serial number of engine the DGB Kit
Product ID/Serial Number is installed on. In some cases such as with EPG products, this may be a
“package” serial number.
Enter the SMU hours since the DGB Kit was installed as determined by SMU of
Parts Hr/Mi/Km
the host engine.
Enter the date of the DGB Kit installation or the engine/package delivery date
Parts Start Date when DGB Kit was installed pre-delivery to first user. All claims must have a parts
start date that reflects the “installation date” documented on the SIMSi record.
Part Causing Failure Enter the individual part number that caused the failure.
Group Number Enter the SMCS Code 7793.
DGB Kits under Other Coverage

The Alternative Fuel Conversion System warranty takes precedence over any additional coverage that may apply to
the engine or new replacement parts. If the DGB Kit is within the warranty terms of the Alternative Fuel Conversion
System and has a qualified component failure, file the claim using the steps detailed in the chart above.
Parts Covered by DGB Kit Warranty

DGB Kit for Engines in Electric Power Generation Applications
The following illustrations may be used for general orientation of parts included in Caterpillar’s DGB Kits for
Engines in Electric Power Generation Applications (highlighted parts).
This Alternative Fuel Conversion System Warranty covers specific part numbers listed as “parts needed” in
Caterpillar’s Installation & Maintenance Special Instruction Manuals REHS7407 and REHS7328. Refer to these
Special Instruction Manuals to determine if an individual part number is covered by warranty.

DGB Kit for Engines in Oil and Gas Completion / Stimulation Applications
The following illustrations may be used for general orientation of parts included in Caterpillar’s DGB Kits for
Engines in Oil and Gas Completion / Stimulation Applications (highlighted parts).
This Alternative Fuel Conversion System Warranty covers specific part numbers listed as “parts needed” in
Caterpillar’s Installation & Maintenance Special Instruction Manual REHS7855. Refer to this Special Instruction
Manual to determine if an individual part number is covered by warranty.
07.03-01 (02/16) 3
4 07.03-01 (02/16)
SERVICE
Equipment Protection Plan Global
Machines
New Machine
Equipment Protection Plan (EPP)
Overview
This program bulletin defines the New Machine Equipment Protection Plan (EPP) Program available through Caterpillar
for new machines with standard machine warranty. For a list of EPP programs available, refer to Machine EPP Service
Guide - Section 8.
Dealers may purchase EPP to cover the Cat® authorized dealer’s parts and/or labor responsibility for new Cat
equipment sold and delivered.
EPP provides dealer reimbursement for parts and/or labor for covered defects in Caterpillar material and manufacturer
workmanship. Repairs must be completed by a Cat authorized dealer.
Coverage for defects in Cat material and manufacturer workmanship as defined by EPP means the failure of any
original or Cat approved replacement part to work as designed in normal service, providing proper maintenance was
received as recommended in the applicable Caterpillar manuals, including the Operation and Maintenance Manual
(OMM) and other applicable service literature. Mechanical breakdown means the failure of any original or replacement
part covered by EPP to work as it was designed in normal service, providing it has received customary maintenance
as recommended by the manufacturer. Any mechanical breakdown and resultant damage caused by failure of a non-
covered component (including Yellowmark™ A Caterpillar Brand, and Cat® Classic Parts) are not eligible.
Coverage Options
Caterpillar offers various EPP term and coverage options depending on the model. See appropriate Coverage
(Service) Bulletins located at the Global Warranty website at: https://warranty.cat.com/en/global-guide.html
*Bulletins are subject to change.

1
EPP Coverage Term

EPP provides coverage beyond standard machine warranty for parts and labor. The coverage term for the New
Machine EPP starts from the product delivery date and includes the standard machine warranty. Coverage under
the EPP Program does not change the standard machine warranty. The EPP coverage expires when the length of
time (measured in months) or the machine hour usage is reached, whichever comes first.
The New Machine EPP provides the dealer with the following two distinct options:
Year 1 - Labor Only

Provides protection for dealer labor cost exposures under standard machine warranty. The program provides
four levels of coverage: Powertrain, Hydraulic, Hydraulic and Technology, and Premier.
Year 2 & Beyond

Provides protection for coverage beyond standard machine warranty for parts and labor. The program includes
four levels of coverage: Powertrain, Hydraulic, Hydraulic and Technology, and Premier.
Enrollment
Enrollment of equipment in EPP is submitted by the dealer using Quote Plus at https://epp.cat.com, or the
Caterpillar claims system (Claimsi) at https://claims.cat.com.
Validating Coverage
Dealers can verify EPP coverage in the Caterpillar Service Information Management System (SIMSi) at:
https://sims.cat.com.
Components Covered
A list of covered components and excluded components for EPP can be referenced in the Caterpillar Global Service
Warranty Guide, in the Cat Financial Insurance Services section at: https://warranty.cat.com/en/global-guide.html.
Coverage for Parts Replaced or Repaired under EPP

New, remanufactured, or Caterpillar approved replacement parts provided under the terms of this EPP are warranted for
the remainder of the EPP period applicable to the product in which installed as if such parts were original components
of that product. The parts warranty on replaced or repaired parts ceases when the EPP coverage expires.

EPP does not cover the following:
• Operator abuse, neglect, improper or abusive use of the equipment including, but not limited to, the failure
to perform the recommended preventive maintenance as specified in the applicable Caterpillar manuals,
including the Operation and Maintenance Manual (OMM)
• Operation beyond the design and/or capacity of the machine
• Wear-out and normal deterioration in performance, accelerated wear-out of components due to operating
technique or application; including, but not limited to, oil consumption and gasket or seal leaks.
• Chemical corrosion and physical or mechanical erosion
• A mechanical breakdown caused by or a result of acts of war, vandalism, riot, theft, explosion, collision, fire
and/or any other act of nature, person or vermin.
filters
2 08.00-05 (11/19)
• Replacement, adjustments, or alignment or any part not covered by this Agreement, and lube oils, grease,
coolant, or air conditioner refrigerant, alternator, starter, air compressor, air conditioner, compressor, and
other bolt-on attachments, unless required in conjunction with the repair of a covered part. Note: Premier
EPP has unique exceptions to this list. Please refer to Coverage Bulletin 8.03 for Premier EPP general
exclusions.
• Normally scheduled preventive maintenance or maintenance services, including, but not limited to, valve
lash adjustments and maintenance items including filters, fuel nozzles, fuel injectors, thermostats, and seals
and gaskets
• Physical damage to any product resulting from causes other than mechanical breakdown
• Any repairs if the service meter has been stopped or altered or misrepresents the equipment’s actual usage
• Mechanical transportation or towing costs or field service travel expenses, unless Travel EPP (Americas
North, EAME) is purchased - See bulletin 8.04
• Loss of time, inconvenience, downtime or downtime-related expenses or other incidental or consequential
loss that results from a defect in material or workmanship
• Any costs incurred to improve operating performance due to normal wear and tear
• Storage or miscellaneous shop supplies
• Freight
• Taxes
• Any cost covered by any warranty of the manufacturer including emissions warranty or repairer’s guarantee
regardless of whether the warranty or repairer’s guarantee is honored
• Performance complaints including, but not limited to, adjustments to fuel settings or electronic unit injectors
to comply with emissions standards under Environmental Protection Agency or similar national, federal,
provincial or state law
• Any costs incurred for the manufacturer to comply with emissions standards under the Environmental
Protection Agency or similar national, federal, provincial or state law
• Failure to use fuels and lubricants that meet or exceed the minimum specification requirements of the
manufacturer as specified in the OMM or other technical bulletins
• Dealer rework or dealer workmanship issues relating to previous repairs
• Modifications including any reconfiguration of or addition to the equipment
• Failure of and resultant damage caused by: attachments, implements, work tools and modifications,
including both serialized or non-serialized Cat products added to the equipment. Examples include but are
not limited to: booms, sticks, buckets, screeds, winches, augers, ground engagements, and hitches, etc.
Separate and optional EPP coverage may be available for certain products outside of the scope of this EPP.
Note: Premier EPP has unique exceptions to this list. Please refer to Coverage Bulletin 8.03 for Premier
EPP general exclusions.
• Non-serialized Work Tools and other attachments shipped with the equipment are generally excluded from
EPP coverage unless specifically identified as covered components within applicable warranty statement.
• Components or systems covered by other Caterpillar warranty statements and are therefore excluded from
EPP. Examples include, but are not limited to:
• Batteries
• Cat Work Tools
• Mobil-trac™ belts
• Rubber track used on Compact Construction Equipment (CCE)
• Machine Control & Guidance
• Cat Tires
08.00-05 (11/19) 3
• Service Tools and Supplies

• Yellowmark™
• Moving Undercarriage (Refer to Cat Parts Warranty and Undercarriage Assurance bulletins)
• Ground Engaging Tools (GET) (Refer to bulletin 4.03)
• Long-Life Weld-On Landfill Compactor Plus Tip (Refer to bulletin 4.03)
• Components covered by any other manufacturer’s warranty statements, and are therefore excluded from
Premier Coverage. If an Original Equipment Manufacturer (OEM) other than Caterpillar has a warranty in
place for the equipment, claims should be filed and settled with that OEM prior to submitting supplemental
EPP claims. Examples include, but not limited to:
• Other manufacturer tires
• Other manufacturer hammers
• Timberking™ Products
• Forestry Work Tools
• Ag products
• Trimble
Emissions Components
In U.S., Canada, Virgin Islands, Puerto Rico, and South Korea certain parts and/or components may qualify for
Manufacturer Emissions Warranty in accordance with the United States Environmental Protection Agency (US EPA)
and the California Air Resources Board (ARB). The South Korea Clean Air Conservation Act requires Caterpillar
to provide an emission warranty to end users; for engines used in certain construction equipment operated and
repaired in South Korea.
Bulletin 7.01 explains the details of Manufacturer Emissions Warranty and the claiming procedures for emissions
components.
Unless otherwise specified, upon expiration of the Manufacturer Emissions Warranty, certain parts are included in
EPP and covered for defects in Cat material and manufacturer workmanship according to the normal EPP guidelines.
See applicable EPP Coverage Bulletins for information regarding emissions components that are beyond the terms
of Manufacturer Emissions Warranty and are enrolled in a Caterpillar EPP.
Claiming Practices for Service Letters PIP/PSP on Machines Covered by the New
Machine EPP
• Product Improvement Programs (PIP) and Product Support Programs (PSP), performed on equipment covered
by this program must be claimed under the appropriate PIP or PSP.
• Do not claim these repairs under the EPP. Refer to Bulletin 1.16 Service Letters (PIP/PSP) for additional
information.
• EPP only applies to the customer participation portion of the after-failure PSP that exceeds the service
letter limit.

• Except for:
• Cat Branded Forestry Machines (registered under the now retired 8.07 Forestry 3-2-1 and 4-3-2-1 EPP
Program)
• Mining products Hydraulic Shovels and Surface Drills
• Product manufactured in India for domestic use
When submitting Cat standard machine warranty or EPP claims, the claim information should be entered including
the following:
• Delivery date: Leave Blank. The system automatically enters the date on file based on the serial number
4 08.00-05 (11/19)
• Failure date (date the failure occurred or the work order open date)
• Repair date (date the repair completed, or work order closed)
• Product ID/Serial Number: Enter equipment serial number
• Part Causing Failure: Enter the Cat part, or substitute part number for the part that caused the failure
• Group Number: Enter the Cat group number or substitute group number. Refer to Warranty Bulletin 1.06 for
additional information on substitute group and part numbers
• PD/DC Code: Enter the numeric description code describing the failure or defect. Refer to Warranty Bulletin
1.08 for a complete detailed list
• Product SMU
• Claim Story: In addition to the complaint, cause, correction, and complication related to the repair, the “to
and from” travel destinations must also be included if applicable
Cat Branded Forestry Machines

(registered under the now retired 8.07 Forestry 3-2-1 and 4-3-2-1 EPP Program)
• Claims filing instructions in the Service Claims System for the Cat Branded Forestry Machines can be found
in Bulletin 8.07 Forestry 3-2-1 and 4-3-2-1 EPP Program (Americas North).
• Bulletin 8.07 - Forestry 3-2-1 and 4-3-2-1 EPP Program was retired at the end of 2017.
• For claiming questions, submit a ticket to the Warranty Service Desk at
https://warranty.cat.com/en/need-assistance.html.
• For all other questions, such as program structure or coverage, send an email to
EquipmentProtectionPlan@cat.com.
Product Manufactured in India for domestic use

In addition to standard claim processing rules, the following applies to products manufactured in India.
• When available, enter traditional Cat Part Numbers on the “detail line”.
• When Cat Part Numbers are not available, total and enter the non-traditional Cat Part Numbers in the
“miscellaneous expense line”, utilizing code “INDPRT” in the description field.
• To obtain T&I and other parts uplifts create a separate miscellaneous expense line, utilizing code “MISCTI”
in the description filed.
Claim Story: In addition to complaint, cause and correction include the following information:
• For non-traditional Cat Parts that were totaled and entered on the “Miscellaneous Expense” detail lines
include part numbers, part names, quantity and part costs. The total of expenses entered in the claim story
must match the “Miscellaneous Expense” detail lines.
• If serialized components are used in the repair, include the serial number(s) in the “Claim Story”.
Mining Products (Hydraulic Mining Shovels and Surface Drills) Claim Filing
Instructions for the Service Claim System
This claim process applies to Hydraulic Mining Shovels and Surface Drills covered by EPP as described in the
following bulletins:
• 8.06 Major Components Equipment Protection Plan Mining Products
• 8.02 Hydraulics Equipment Protection Plan
• 8.03 Premier Equipment Protection Plan
The following information outlines the EPP claim requirements for Hydraulic Mining Shovels and Surface Drills
08.00-05 (11/19) 5
claims utilizing the Caterpillar Service Claim System. All claims must be filed against the Caterpillar cross-reference
serial number or traditional Caterpillar serial number. Please refer to the Pre-Approval questionnaire and instructions
located on https://dealer.cat.com/en/home.html (within the “Administration/Registration/Claims” section) before
proceeding with EPP claim. (https://dealer.cat.com/en/ps/esc-epp/machine-worktool/new.html)
When submitting Caterpillar EPP claims the normal claim information should be entered including
the following:
• Enter the traditional Caterpillar serial number, when available.
• If the traditional Caterpillar serial number is not available, enter the cross reference serial number assigned
to the equipment. Serial number cross reference list is found in SIS web at
https://sis.cat.com/sisweb/servlet/cat.cis.sis.PController.CSSISSelectEquipmentServlet?status=mainPage.
• Enter the traditional Cat part number that caused the failure, when available.
Group Causing Failure:
• Enter the Cat group number for the part causing failure, when available.
• If the group number is not a traditional Cat group number, use a Service Management Control System
(SMCS) code that best represents the group causing failure.
• Failure Date (date the failure occurred or the work order open date)
• Repair Date (date the repair completed, or work order closed)
Comments/Findings - When using a substitute part number, enter the legacy part number.
Example: Bucyrus “BU_ Legacy Bucyrus PN” (BU_400879)
To claim expenses when traditional Cat part numbers are not available, use a “parts summary expense line” OR
“miscellaneous expense” to combine all the non-Cat parts on a single expense line.
Traditional Cat part numbers:
• When traditional Cat part numbers are available, claim Cat Part Number on detail line.
Parts summary expense lines:
• Parts uplift, including Transportation & Importation (T&I), are applied to the “part summary expense lines.” Do
NOT submit a separate expense for parts uplifts when utilizing the part summary expense line.
• Enter NUDF in the “Description” field
Miscellaneous expense lines:
• Parts uplift, including T&I, are NOT applied to “miscellaneous expanse lines.” Therefore, a separate
miscellaneous line must be submitted for T&I and other parts uplifts.
• Enter in the “Description” field:
• Example: BUPRTS - Bucyrus Legacy Parts
• Example: T&I and other parts uplifts: MISCTI - Miscellaneous Code for special T&I Situations
Claim Story: In addition to complaint, cause, correction and complication, include the following information:
• Enter the legacy Bucyrus serial number, if utilizing cross-reference serial number to submit the claim.
• Part numbers, part names, quantity and part cost at the reimbursable expense of the parts that were claimed
in the Parts Summary or Miscellaneous expense detail lines. The summary of expenses noted in the Claim
Story must match the detail expense items claimed.
• Serial numbers for components included in the repair.
6 08.00-05 (11/19)
Claiming Example for Hydraulic Couplers and Hydraulic Coupler Cylinders

NOTE: Two separate claims are required.
Claim #1:
• Submit a standard warranty claim for parts only
• Serial number: Hydraulic Coupler serial number
NOTE: All other claiming fields are to be populated per standard process
Claim #2:
• Submit a claim for labor only
• Serial number: machine serial number
• Description Code: Enter 38
• Claim Story: Claim Story should reference parts claim and must provide associated claim number. It should also
include original claim number and dealer code from the associated standard warranty claim for parts only.

Dealer reimbursement for EPP will be according to the following Summary of Reimbursement Practices chart and
in accordance with applicable reimbursement practices as outlined in Bulletin 1.02.

Parts Refer to standard warranty bulletins for reimbursement
After Standard Warranty: Reimbursable at D/N +10% or +25% or
+33%. Do not replace with Yellowmark and Cat Classic Parts.
Service Items Refer to standard warranty bulletins for reimbursement
After Standard Warranty: Reimbursable at D/N +10% or +25% or
+33%.
Repair Labor Reimbursable at the dealer’s registered Sell Rate unless otherwise
specified.
Parts Salvage Labor Reimbursable at Warranty Cost Labor Rate, if justified.
Overtime Labor Rate, Hauling Not reimbursable.
Costs, Freight Charges, Meals and
Lodging.
Travel Time and Mileage Not reimbursable under New EPP. Refer to Bulletin 8.04 or 8.11 for
this specific coverage.
Prorated Reimbursement:
Dealers may purchase new machine EPP coverage that includes prorated claim reimbursement. This option is
available for Powertrain, Powertrain + Hydraulic, and Premier EPP coverage. Unless otherwise noted below, the
prorated reimbursement option does not change EPP eligibility guidelines or processes as defined in warranty
bulletins, EPP Bulletin(s) applicable to the desired coverage option, and the Dealer Administration Manual.
When selected for enrolled equipment, the EPP prorated reimbursement option will reimburse as follows:
08.00-05 (11/19) 7
SMU Hours (at Failure Date) Prorated Percentage

0 - 6000 100%
6001 - 7000 80%
7001 - 8000 60%
8001 - 9000 40%
9001 + 20%
Note: Machine months at time of failure do not impact the Prorated Percentage.
Note: The prorated percentage applies to both parts and labor claims.
For covered failures, dealers should submit claims at 100%, similar to EPP claims with non-prorated reimbursement.
The allowed expenses will first be determined per applicable warranty service guide bulletin. The Prorated
Percentage will be applied to the claim.
Glossary of Terms
• Program Service Bulletin – Bulletin that defines the structure of a program. Examples are 8.00 New Machines
and 8.50 Used Machines
• Coverage Service Bulletin – Bulletin that defines the coverage of a program. Examples are 8.01 Powertrain
and 8.02 Hydraulic
• Special Service Bulletin – Bulletin that define new product offerings, unique programs, or are applicable to
specific applications, coverage types or regions. Examples are 8.11 BCP Travel Time & Mileage and 8.12
Hydromechanical Work Tools
8 08.00-05 (11/19)
SERVICE
Machines
Powertrain Equipment Protection Plan (EPP)
Overview
This coverage bulletin defines the Powertrain Components that are covered under various new, used and rebuild
equipment programs offered through Caterpillar.
Powertrain components produce, transmit, or control engine horsepower for the purpose of propelling (moving)
the equipment.
Paving products have two unique exceptions involving vibratory and rotary drive components defined.
Refer to the standard machine warranty and applicable program bulletins for covered component failures during
the standard warranty period and refer to this Powertrain EPP for covered component failures during the EPP
coverage period.
Components Covered Under Powertrain EPP

EPP provides dealer reimbursement for parts and/or labor for covered defects in Caterpillar material and
manufacturer workmanship. Repairs must be completed by a Cat® authorized dealer.
original or Cat approved replacement part to work as designed in normal service, providing proper maintenance
was received as recommended in the applicable Caterpillar manuals, including the Operation and Maintenance
Manual (OMM) and other applicable service literature. Mechanical breakdown means the failure of any original
or replacement part covered by EPP to work as it was designed in normal service, providing it has received
customary maintenance as recommended by the manufacturer. Any mechanical breakdown and resultant damage
caused by failure of a non-covered component (including Yellowmark™ A Caterpillar Brand, and Cat® Classic
Brand parts) are not eligible
See the Parts Book Component Codes section below


Components Excluded Under Powertrain EPP

The following are components commonly mistaken as covered Powertrain Components. The following components
are excluded:
• Service Brake Components - external brake components that are accessible without disassembly of a
Powertrain component are not covered (i.e. brake linkage and control valves). Wear items, including but not
limited to, discs, plates, and linings, either internal or external are not included.
• Rotor Drive Mechanism - belts, chains and rotor brakes
• Undercarriage Components on track-type and track belt machines - including sprockets, drive wheels, track
assemblies, track belts, track rollers, mid-wheels, idlers, roller frames tensioning system and non-powered axles
• Some of these exclusions do not apply to Multi Terrain Loader (MTL), Compact Track Loader (CTL) and
Mini Hydraulic Excavators (MHEX) products. For MTL/CTL/MHEX machines, see the list of additional
components included in the Service Management Control System (SMCS) codes section.
• MTL/CTL/MHEX track belts and track assemblies
• Radiator
• The Radiator exclusion does not always apply to MTL/CTL/MHEX products. For MTL/CTL/MHEX
machines, see the list of additional components included on the SMCS codes section
• Engine Attachments - alternator, engine starter, air compressor and air conditioning compressor
• External Hoses and Lines - for oil, water and air
• For clarification; only hydrostatic/high-pressure lines and hoses itemized in the SMCS code list between
the drive pump and motor are included in coverage.

Powertrain EPP does not cover the following:
• Operator abuse, neglect, improper or abusive use of the machine including but not limited to the failure to
perform the recommended preventative maintenance as specified in the applicable Caterpillar manuals,
including the Operation and Maintenance Manual (OMM).
• Operation beyond the design and/or capacity of the machine.
technique or application; including but not limited to oil consumption and gasket or seal leaks.
• Chemical corrosion and physical or mechanical erosion.
• Unauthorized fuel setting changes.
• A mechanical breakdown caused by, or a result of, acts of war, vandalism, riot, theft, explosion, collision,
fire and/or any other act of nature, person or vermin.
filters.
• Replacement, adjustments, or alignment or any part not covered by this agreement, including lube oils,
grease, coolant, air conditioner refrigerant, alternator, starter, air compressor, air conditioner, compressor,
and other bolt-on attachments, unless required in conjunction with the repair of a covered part.
lash adjustments and maintenance items including filters, fuel nozzles, fuel injectors, thermostats, and
seals and gaskets.
• Physical damage to any product resulting from causes other than mechanical breakdown.
2 08.01-03 (11/19)
usage.
• Mechanical transportation, towing costs or field service travel expenses, unless Travel EPP (Americas
North, EAME) is purchased. See bulletin 8.04
loss that results from a defect in material or workmanship.
• Any costs incurred to improve operating performance due to normal wear and tear.
• Storage or miscellaneous shop supplies.
• Freight
• Taxes.
regardless of whether the warranty or repairer’s guarantee is honored.
provincial or state law.
Protection Agency or similar national, federal, provincial or state law.
manufacturer as specified in the operations manual or other technical bulletins.
• Failure of and resultant damage caused by: attachments, implements, work tools and modifications,
including both serialized or non-serialized Cat products added to the equipment. Examples include but
are not limited to: booms, sticks, buckets, screeds, winches, augers, ground engagements, hitches, etc.
Separate and optional EPP coverage may be available for certain products outside of the scope of this EPP
EPP coverage unless specifically identified as covered components within applicable warranty statement.
• Components or Systems covered by other Caterpillar warranty statements and are therefore excluded from
• Batteries
• Cat Work Tools
• Rubber track used on Compact Construction Equipment (CCE).
• Cat Tires
• Yellowmark™
08.01-03 (11/19) 3
• Components covered by any other manufacturer’s warranty statements and are therefore excluded from
• Other Manufacturer Tires
• Other Manufacturer Hammers
• Ag Products
• Trimble
Manufacturer Emissions Warranty in accordance with the United States Environmental Protection Agency (US
EPA) and the California Air Resources Board (ARB). The South Korea Clean Air Conservation Act requires
Caterpillar to provide an emission warranty to end users; for engines used in certain construction equipment
operated and repaired in South Korea.
components.
Unless otherwise specified, upon expiration of the manufacturer emissions warranty, certain parts are included
in EPP and covered for defects in Cat material and manufacturer workmanship according to the normal EPP
guidelines. See applicable EPP Coverage Bulletins for information regarding emissions components that are
beyond the terms of manufacturer emissions warranty and are enrolled in a Caterpillar EPP.
Claiming Practices for Service Letters PIP/PSP on Machines Covered by

the New Machine EPP
• Product Improvement Programs (PIP) and Product Support Programs (PSP), performed on equipment
covered by this program must be claimed under the appropriate PIP or PSP
• Do not claim these repairs under the EPP. Refer to Bulletin 1.16 Service Letters (PIP/PSP) for
• EPP only applies to the customer participation portion of the after-failure PSP that exceeds the
Service Letter limit.

Wear-out and/or deterioration of any component are not covered by Powertrain EPP.
The intent is not to restore the product to a “like new” condition, but rather to restore the product to its operating
condition just prior to the covered failure. Powertrain EPP covers only the repair or replacement of the failed
component and any resultant damaged parts. Other parts removed in the process of repair will be reinstalled as
is, unless the customer authorizes and funds any additional replacement cost.
Example: While performing a Powertrain EPP repair for a piston ring failure, the dealer service technician notices
the v-belts and coolant hoses are worn and deteriorated. The service technician also notices some wear (within
acceptable limits) on the cylinder head valve guides. In addition to the piston ring failure, the service technician
replaces the v-belts and coolant hoses and reconditions the valve guides to avoid future downtime.
In this example, the v-belts, coolant hoses and valve guide reconditioning cannot be claimed to Caterpillar because
they did not have a defect, nor were they damaged as a result of the piston ring failure. They were repaired or replaced
as a result of the customer responsibilities for assuring all recommended preventive maintenance is performed.
NOTE: If the piston ring failed due to abuse (such as operating without changing oil at the proper interval), the
ring failure and resultant damage would not be due to a Caterpillar defect, and therefore is not a covered failure.
4 08.01-03 (11/19)
• Operating the product properly and within the limits of intended capacity and application
• Fueling, lubricating, adjusting, operating, and maintaining the equipment as instructed by the dealer and in
accordance with the recommendations set forth in the applicable Caterpillar manuals, including the OMM and
other applicable service literature
• Notifying the dealer promptly if a problem exists
• Promptly making the product available to the dealer for warranty repairs and product improvement programs
• Assuring all recommended preventative maintenance is performed at the specified service intervals as
described in the OMM. Preventative maintenance includes, but is not limited to, the servicing, adjusting and/
or replacing of specified components
Powertrain EPP does not cover failure of any components if customer’s responsibilities are not followed. The dealer
may be required to provide proof of compliance with the maintenance schedules, at the time of a failure. Proof may
include receipts, copies of work orders, or invoices showing the performed maintenance services.
Dealer’s Responsibilities
• Confirm that the equipment has not experienced a failure prior to the EPP coverage start date. If a failure
exists, the equipment must be repaired prior to registering it for EPP
• Repair equipment using the most economical method and install only genuine Cat parts
• Keep on file the applicable inspection and all parts and labor invoices relative to required repairs
• Pay for any loss in excess of what is covered by EPP if broader coverage was offered to the customer
• Register equipment for EPP and pay applicable fees

On most pages of all Cat Parts Books (paper or electronic), is printed a four-digit numeric SMCS component code.
These component codes are used to describe the area of primary use for the parts and/or components listed on
that page.
Following are the SMCS component codes that Caterpillar considers part of Powertrain EPP. Each component
code listed on the parts book page should be compared to this list of acceptable Powertrain EPP components.
NOTE: Sometimes a Parts Book page with an acceptable Powertrain EPP component code will include parts that
are not covered or may include parts that are broken out on another Parts Book page. Additionally, there may be
instances of a non-acceptable component code containing parts that may qualify for Powertrain EPP coverage.
For clarification regarding coverage, please submit a ticket through the Warranty Service Desk.
Use of Parts Book Component Code on Labor Expense Lines

Some codes may indicate the use of a substitute code. Substitute codes apply only when using the component code
on a labor expense line, if labor reimbursement is applicable.
Example: 1299 Hydraulic Timing Advance (use 1272)
Using a canceled component code on a labor expense line will cause the entire service claim to be canceled.
NOTE: Refer to Bulletins 1.06 and 1.09 for proper group number and labor line SMCS code usage.
On the following page are the SMCS component codes in numeric order that Caterpillar considers part of Powertrain
EPP. For qualification, the component code listed on the parts book page should be compared to this list of acceptable
hydraulic or technology components.
The SMCS component codes can be used as a guide for helping to determine if a failed part may be considered part
of Powertrain EPP coverage.
08.01-03 (11/19) 5
SMCS CODES - POWERTRAIN COVERAGE

I. BASIC ENGINE
Engine - Components essential to engine operation:
1002 Power Pack 1007 Engine & Flywheel Clutch 1014 Engine & Output Drive Assembly
1017 Engine & Pump Drive 1020 Long Block 1025 Engine, Transmission, Cooling
Pkg
Air Induction & Exhaust System

105H High-Pressure Turbocharger 105L Low-Pressure Turbocharger 105P Precooler
1050 Air Induction & Exhaust System 1052 Turbocharger Group 1053 Turbocharger Cartridge
1056 Turbocharger Cartridge Housing 1057 Exhaust Bypass Valve 1058 Inlet Manifold
1059 Exhaust Manifold 106A Aftercooler Air Temperature Control 106B Intercooler
(All Regions)
1060 Turbocharger Compressor 1062 Muffler 1063 Aftercooler Group
Housing
1064 Aftercooler Core 1065 Turbocharger Turbine Housing 1066 Turbocharger Thrust Plate
Assembly
1069 Roots Blower 107P Air Pump 1070 Water Cooled Turbocharger
1071 Air line/Pipe (of the Air Inlet and 1073 Turbocharger Heat Shield 1074 Positive Crankcase Ventilation
Exhaust System) Valve
1075 Diesel Oxidation Catalyst 1076 Differential Pressure Ratio 1077 Turbocharger Shaft & Wheel
Regulator Assembly
1079 Aftercooler Intake Manifold 108B Combustion Body 108D Clean Emissions Module
1080 Exhaust Gas Recirculation 1081 Boost Control Valve 1082 Exhaust Gas Recirculation
System Actuator
1084 Exhaust Gas Recirculation Switch 1085 Hydra-Mechanical Shutoff Control 1086 Hydra-Mechanical Shutoff Drive
1087 Air Inlet 1088 Exhaust Gas Valve 1092 Flame Arrestor
1094 Plenum 1096 Oxygen Sensor
Cylinder Head Assembly - of the 1100 Assembly, EPP covers the following:
1101 Cylinder Head Casting 1102 Rocker Shaft Assembly
1103 Valve Seat/Insert 1104 Valve Guide 1105 Inlet/Exhaust Valve
1106 Pre-chamber/Nozzle Adapter 1107 Valve Cover 1108 Valve Spring
1109 Valve Rotator 1110 & 1111 Camshaft
1112 Camshaft Bearing 1113 Camshaft Housing Assembly 1114 Spark Plug Adaptor
1115 Water Director 1117 Threaded Insert 1118 Compression Release
1120 Valve Cover Base 1121 Valve Bridge
1123 Rocker Arm 1124 Cylinder Head Gasket 1125 Injector Sleeve
1126 Cylinder Head Manifold 1129 Engine Brake (of the Engine
Brake Group)
Front and Rear Covers
1150 Front & Rear Covers 1151 (Use 1162 or 1166) Cover/ 1155 Brakesaver Group
Housing
1156 Flywheel 1157 Flywheel Housing 1158 Flywheel Ring Gear
1159 Brakesaver Control Valve 1160 Crankshaft Front Seal 1161 Crankshaft Rear Seal
1162 Timing Gear Housing 1163 Timing Gear Housing Plate 1164 Engine Output Transfer Gear
6 08.01-03 (11/19)
1165 Engine Power Takeoff Drive 1166 Timing Gear Housing Cover 1167 Flywheel Housing Scavenge Pump
Short Block - of the 1200 ASsembly, EPP covers the following:

1201 Cylinder Block 1202 Crankshaft
1203 Crankshaft Main Bearing 1204 Crankshaft Gear 1205 Crankshaft Damper/Pulley
1206 Timing/Accessory Gears 1207 Accessory Drive 1208 Push Rod
1209 Camshaft Roller/Follower/Lifter 1210 Camshaft 1211 Camshaft Bearing
1212 Camshaft Gear 1213 & 1214 Piston & Liner
1215 Piston Rings 1216 Cylinder Liner 1217 Liner Seat/Insert
1218 Connecting Rod 1219 Connecting Rod Bearing 1220 Balancer
1221 Spacer Plate 1222 Cylinder Block Sleeve 1223 Cylinder Block Cylinder
1224 Cylinder Block Main Bearing Bores 1225 Piston & Connecting Rod 1230 Crankshaft Main & Rod Bearings
1231 Crankshaft Counterweight 1232 Crankshaft Thrust Plate 1233 Crankcase Explosion Relief Valve
1234 Idler Gear 1237 Engine Stub Shaft 1239 Cylinder Pack
1240 Block Underframe 1241 Timing Chain/Belt 1242 Pump Drive
Fuel System - of the 1250 system, EPP covers the following:

125H High Pressure Fuel Pump 1251 Fuel Injection Pump
1252 Fuel Injection Lines 1253 Fuel Injection Pump Housing 1254 Fuel Injection Valve/Nozzle
1255 Fuel Transfer Pump Housing 1256 Fuel Transfer Pump 1257 Rack/Control Shaft
1259 Fuel Shutoff Solenoid 1264 Governor 1268 Speed Limiter
1269 Throttle 1299 (Use1272) Timing Advance 1275 Air Control Valve
1276 Decelerator / Accelerator 1278 Air/Fuel Ratio Control 1281 Fuel Injection Pump-Lifters
1282 LPG Fuelock Valve 1286 Injection Pump & Governor Group 1287 Governor Housing
1288 Fuel Pump/Governor Drive 1289 Hydraulic/Hydra-Mechanical 1290 Unit Injector
Governor
1292 Fuel Camshaft 1295 Auxiliary Fuel Transfer Pump 1298 Unit Injector Control Linkage
1272 Hydraulic Timing Advance 1703 Injector Control Shaft Lever 1704 Fuel Shutoff
1705 Variable Hp Control Valve/ 1711 Fuel Injection Line Adaptor 1712 Fuel Cooler
Solenoid
1713 Unit Injector Sleeve 1714 Unit Injector Hydraulic Pump 1715 Fuel Pressure Regulator Valve
1716 Governor Actuator 1718 Fuel Pressor Sensor 1719 Nozzle Cleaning Manifold
1723 Combustion Fuel Enable Solenoid 1741 Gas Air Fuel Ration Control Valve 1743 Spray Nozzle
Lubrication System
30M Oil Metering Valve 1302 Engine Oil Pan Group 1304 Engine Oil Pump
1306 Engine Oil Filter Housing/Base 1309 Turbocharger Lube Valve 1312 Oil Scavenge Pump
1313 Oil Pump Drive 1314 Oil Cooler Bypass Valve 1315 Oil Pressure Relief Valve
1319 Pre-lube Pump 1320 Turbocharger Oil Accumulator 1324 Engine Oil Sump Pump
1325 High-Speed Oil Change Group 1327 Engine Priority Valve 1329 Shutoff Valve
1330 Oil Temperature Regulator 1331 Piston Cooling Tube 1332 Oil Sequence Valve
1334 Engine Oil Level Regulator 1336 Oil Mist Detector
08.01-03 (11/19) 7
Cooling System
135D Coolant Diverter Valve 135V Thermostatic Valve 1355 Thermostat/Regulator
1357 V-Belt Pulley Assembly 1356 Fan & Fan Drive 1358 Fan Belt Tightener
(Excluding maintenance items or wear
out related failure. Does not include
serpentine V Belt)
1359 Fan Drive Assembly 1361 Jacket Water Pump, Drive Group 1362 Water Manifold
1363 Aftercooler Water Pump 1364 Water Pump Impeller 1365 Brake Oil Cooler
1366 Brake/Torque Converter Cooler 1368 Retarder Cooler 1370 Cooling System System Relief
Valve
1371 Auxiliary Raw Water Pump 1373 Water Pump Housing 1374 Hydraulic Oil Cooler
1375 Powertrain Oil Cooler (replaced 1375 Torque Converter/Transmission 1376 Torque Converter Trans. &
3019) Cooler Hydraulic Cooler
1378 Engine Oil Cooler 1379 Heat Exchanger 1384 Water Pump Pulley
1385 Raw Water Pump Drive 1386 Hydraulic Fan Motor 1387 Hydraulic Fan Pump
1389 Water Pump Shaft 138R Fan Reversing Valve 1390 Auxiliary Fan Drive
Electric System
1404 Generator 1406 Charging System (Note: Does not 1411 Disconnect Switch
include Alternator or Alternator Group)
1412 Glow Plug 1416 Start Switch 1419 Series Parallel Switch
1424 Neutral Start Switch 1439 Sensor (of the Electrical and
Starting System Group) Excluding Filter
Group
Starting System
1469 Prelube Starter
Ignition System
1563 Combustion Sensor
Electronic Drive & Control

1611 Directional Switch Assembly 1613 Drive Axle Control Unit
Engine Electronic Control (ECM) System – of the 1900 Assembly, EPP covers the following:
1901 Electronic Control Module (ECM) 1902 Ratings Personality Module
1904 Transducer Module 1905 Timing Position Sensor 1906 Water Temperature Sensor
1907 Engine Speed Sensor 1908 Electronic Governor 1909 Rack Solenoid
1910 Timing Solenoid 1911 Rack Position Sensor 1912 Engine Speed/Timing Sensor
1913 Throttle Speed Sensor 1914 Machine Speed Buffer 1915 Engine Speed Control
1916 Crankcase Pressure Sensor 1917 Boost Pressure Sensor 1918 Throttle Lock Control
1919 Exhaust Temperature Sensor 1920 Engine Software Flashing 1921 Inlet Air Temperature Sensor
1922 Fuel Temperature Sensor 1923 Atmospheric Pressure Sensor 1924 Engine Oil Pressure Sensor
1925 Injection Actuation Pressure 1926 Customer Communications 1927 Relay Electronic Control
Sensor Module (of the ECM System)
1928 Atmospheric Temperature Sensor 1929 Engine Oil Temperature Sensor 192T Injection Actuator Temperature
Sensor
8 08.01-03 (11/19)
1931 Engine & Hydraulic Pump 1940 Modulating Valve 1948 Dual Fuel Electronic Control Unit
Electronic Control Module
II. TRANSMISSION OF POWER

Transmission & Drive Line - of the 3000 Assembly, EPP cover the following:
3001, 3002, 3003 Transmission, 3005 Drive Train / Transmission Oil 3011 Bevel and Transfer Case
Torque Converter, & Transfer Gears Filler
3013 Axle Arrangement 3015 Transmission & Axle 3016 Drive Train Oil Lines
3017 (Use 3066) Drive Train Oil Pump 301T Drive Train Oil Temperature 3020 Drive & Steering Axle
Sensor
3024 Drive Train Breather 3030 Transmission 3031 & 3032 Transmission, Transfer
Gears, Retarder
Clutch & Manual Shift/Direct Drive Transmission

3051 (Use 3052) Flywheel Clutch 3053 Clutch Shaft
3054 Clutch Plate 3055 Power Takeoff Clutch 3056 Clutch Oil Pump
3057 Clutch Booster 3058 Clutch Brake 3059 Clutch Control
3061 Transmission Gears 3062 Transmission Reverse Box
3063 Transmission Shaft 3064 Transmission Case 3065 Transmission Control
3066 Transmission Oil Pump 3068 Transmission Oil Filter Base 3069 Shift Console
3071 Flywheel Clutch Hydraulic Control 3072 Range Transmission / Selector 3073 Transmission Hydraulic Control
Valve
3074 Transmission Pressure Control 3075 Transmission Output Gears 3076 Throwout Bearing
Valve
3077 Transmission Brake 3078 Transmission Speed Control 3079 Shuttle Control
Valve
3082 Transmission Mount 3083 Transmission Selector & Pressure
Control Valve
Torque Converter, Divider, Retarder - of the 3100 Assembly, EPP cover the following:
3101 Torque Converter 3102 Torque Converter Clutch
3103 Torque Converter Lines / Hoses 3104 Torque Converter / Transmission 3105 Torque Converter Housing
Wiring Harness
3106 Torque Converter, Transfer Gear, 3107 Power Takeoff Drive 3108 Pump Drive
Retarder
3109 Torque Converter & Retarder 3110 (Use 3030) Torque Divider 3111 (Use 3073) Torque Divider
Transmission Control Valve
3112 (Use 3151) Torque Divider 3113 Torque Divider 3114 Torque Divider Planetary Carrier
Governor
3115 Torque Converter Scavenge 3116 (Use 3031) Transfer Gears, 3117 Transfer Gears and Retarder
Pump Torque Divider, & Retarder
3118 (Use 3032) Torque Divider & 3120 Retarder 3121 Retarder Extended Braking
Retarder Control
3122 Retarder Lines 3123 Retarder Control Valve 3124 Lockup Clutch Pressure Control
Valve
3125 Torque Converter & Divider 3126 Retarder Selector Valve 3127 Torque Converter Bearing
Retainer
08.01-03 (11/19) 9
3128 Torque Converter Flange 3129 Torque Converter Stator 3130 Torque Divider/Torque Converter
Shaft
3131 Torque Converter Turbine Wheel 3132 High-Low Clutch Group 3133 Torque Converter Relief Valve
3134 Torque Converter Impeller 3135 Torque Converter Carrier 3136 Torque Converter Hub
3137 Torque Converter Pressure/ 3138 Torque Converter & Park Brake 3139 Modulating Valve
Sequence Control Valve Release Pump
3140 Torque Converter Control 3141 Torque Converter Speed Sensor 3142 Automatic Retarder Control
3143 Torque Converter Electronic
Control
Powershift Transmission
3150 Power Shift Transmission 3151 Transmission Governor 3153 (Use 3066) Transmission Oil
Pump
3154 Transmission Lines / Hoses 3155 Transmission Clutches 3156 Transmission Control Linkage
3157 Transmission Manual Selector 3158 Transmission Auto Selector Valve 3159 Transfer Gear Group
Valve
3160 Transmission Planetary 3162 Creeper Control 3163 Hydraulic Shift Cylinder
3164 (Use 3068) Oil Filter Base 3166 Rotary Actuator 3167 Transmission Hydraulic Control
3168 Transmission Electronic Control 3169 Transmission Clutch Housing 3170 Transmission Clutch Piston
(Includes Fingertip Controls)
3171 Transmission Manual Switch 3172 Transmission Slave Switch 3173 Transmission Synchronous
Switch
3174 Transmission Shift Solenoid 3175 Transmission Speed Sensor 3176 Transmission & Transfer Gears
3180 Transmission Priority Valve 3181 Transmission Neutralizer Control 3182 Transmission Lubrication Relief
Valve Valve
3183 Transmission Control Lock 3184 Transmission Oil Cooler Bypass 3186 Transmission Planet Carrier
Valve
3187 Transmission Planet Carrier 3188 (Use 3064) Transmission Case 3189 (Use 3063) Transmission Shaft
Thrust Disc/Plate
3190 Transmission Clutch Plate 3191 Transmission Neutralizer 3192 Transmission Dump Valve
3193 Drive Train High Speed Oil 3194 Transmission Temperature
Change Group Sensor
Hydrostatic Transmission - on hydraulic excavators and equipment with hydrostatic drive or differential
steering, including hydrostatic lines between the pump and motor
3202 Hydraulic Flow Control 3203 Drive Pump 3204 Charge Pump
3205 Servo Control Valve 3206 Manifold/Metering Valve 3207 Servo Cylinder
3208 (Use 3073) Hydrostatic Control 3209 Hydrostatic Control Linkage 3210 High Pressure Relief Valve
Valve
3211 (Use 3063) Hydrostatic 3212 (Use 3063) Hydrostatic 3213 Charge and Main Relief Valve
Transmission Input Shaft Transmission Output Shaft
3214 Synchronizing Valve 3215 Power Unit Control Linkage 3216 Transmission Underspeed/
Overspeed Valve
3218 Hydrostatic Lines & Hoses 3219 Hydrostatic Pilot Overspeed Valve 3220 Hydrostatic Transmission Speed
Control Valve
3221 Hydrostatic Power Case 3222 Hydrostatic Pump Head 3223 Transmission Underspeed/
Override Valve
3225 Travel Electronic Control 3226 Downshift Inhibitor
10 08.01-03 (11/19)
Drive Line/Drive Axle

325A Drive Coupling 3250 Drive Line/Drive Axle 3251 Universal Joint
3252 Flexible Coupling 3253 Drive Shaft 3254 Drive Line Pinion
3255 Gearbox 3256 Bevel Gear/Shaft 3257 Bevel Gear Shaft Bearing
3258 Differential 3259 Axle Shaft 3260 Axle Housing Assembly
3261 Drive Chain 3262 Double Reduction Differential 3263 Limited Slip Differential
3264 Differential Lock 3265 No-Spin Differential 3266 Differential Lock Cylinder
3267 Drive Shaft Support 3268 Axle Housing Support/Trunnion 3269 Pinion Housing
3270 Locking Differential 3271 Transaxle 3272 Differential Lock Control Valve
3273 Differential Lock Actuator Valve 3274 Constant Velocity Universal Joint 3275 Drive Line Brake (see exclusions
listed under Braking System section)
3276 Drive Line Brake Disc (see 3277 Drive Line Brake Lining (see 3278 Drive Axle
exclusions listed under Braking System exclusions listed under Braking System
section) section)
3279 Engine Output Drive Assembly/ 3281 Bevel Gear Case 3283 Differential Case
Coupling
3284 Differential Carrier 3287 Interaxle Differential 3288 Anti-Spin Control
3290 Differential Temperature Sensor 3291 Drive Axle Oil Pump 3292 Differential Lock Pump
Countershaft Transmission – of the 3400 Assembly, EPP covers the following:

3401 (Use 3064) Countershaft 3402 (Use 3066) Countershaft Oil
Transmission Case Pump
3403 Countershaft Lines/Hoses 3404 (Use 3155) Countershaft Clutches 3405 (Use 3169) Countershaft Clutch
Housing
3406 (Use 3170) Countershaft Clutch 3407 (Use 3159) Countershaft Transfer 3408 (Use 3063) Countershaft Shaft
Piston Gear
3409 (Use 3075) Countershaft Output 3410 (Use 3077) Countershaft Brake 3412 (Use 3074) Countershaft
Gears Pressure Control Valve
3413 Countershaft Transmission 3414 Countershaft Transmission Ratio / 3416 Countershaft Transmission
Control Linkage Directional Selector Pneumatic Control
3417 (Use 3167) Hydrostatic Control 3418 (Use 3168) Electrical Control
Groups Groups
Drive Train
4001 Final Drive & Brake Wheel (see 4003 Final Drive, Steering Clutch, & 4004 Brake & Axle
exclusions listed under Braking System Brake
section)
4005 Steering & Braking System 4006 Wheel & Brake Assembly 4007 Steering & Brake Pump
4008 Final Drive, Brake & Wheel Pump 4009 Final Drive, Brake & Differential 4010 Final Drive, Brake & Differential
Steering Planetary Steering Drive
4011 Final Drive & Brake
Final Drive
4050 Final Drive & Torque Hub 4051 Final Drive & Wheel 4052 Final Drive Seal
4053 Drive Axle Hub/Gear Assembly 4054 Final Drive Hub 4055 Final Drive Gears
4056 Final Drive Shaft 4057 Final Drive Pinion Flange 4058 Sprocket Shaft/Bore
08.01-03 (11/19) 11
4059 Final Drive Case/Bore 4060 Final Drive Oil Pump 4061 Final Drive Parking Brake
4062 Tandem Drive 4063 Tandem/Single Drive Chain 4064 Tandem Drive Housing
4066 Final Drive Outer Bearing Support 4068 Tandem Drive Stub Axle 4069 Final Drive Chain
4072 Tandem Drive Sprocket 4073 Tandem Drive Driven Sprocket 4074 Final Drive - Outer Section
4075 Final Drive - Inner Section 4076 Tandem Drive, Bevel Gear, & 4084 Final Drive Planet Carrier Hub/
Final Drive Ring Gear
4091 Final Drive Pinion 4092 Planetary Final Drive Carrier 4093 Final Drive Planet Carrier Thrust
Surface
4094 Final Drive Pinion & Flange
Steering Clutch & Brake Machines – Components on track-type equipment only, if so equipped. Of the
4100 Assembly, EPP covers the following:
4101 Steering Clutch 4102 Steering Clutch Control Valve
4103 Steering Clutch Control Pump 4104 Steering Clutch & Brake Control 4105 Steering Clutch Booster
Lines
4106 Steering Clutch Control 4108 Steering Clutch Relief Valve 4110 Brake Band
4111 Track Brake Control Valve 4112 Track Brake Control Valve 4113 Track Brake Drum
4114 Track Brake Booster 4115 Brake Actuating Mechanism 4116 Brake Hand Pump
4117 Steering Clutch Case 4118 Steering Clutch Release Piston 4119 Steering Clutch/Bevel Gear &
Shaft
4120 Steering Clutch & Brake Control 4121 Brake Lubrication Relief Valve 4122 Steering Clutch & Brake Linkage
Valve (see exclusions listed under Braking
System section)
4123 Steering Clutch Hub 4124 Steering Clutch, Bevel Gear
Shaft, & Pinion
Differential Steer Machines

4129 Differential Steering 4130 Differential Steering Planetary 4131 Differential Drive & Brake
4132 Planetary & Brake 4133 Steering & Brake Lines 4135 Differential Steering &
Transmission Control
Braking System
• Brake Components for track-type equipment, only if they also provide steering
Examples include:
1. Hydrostatic Drive Machine Steer
2. Torque Divider Powertrain with differential steer
3. Clutch/brake steer
• Service Brake Components are limited to those parts that are internal to a covered Powertrain component, such
as a powered axle assembly or differential steering housing
• Brake Seals and Gaskets that serve to prevent fluid cross contamination of a Powertrain component
• Exclusions: Service Brake Components - External brake components that are accessible without disassembly of
a Powertrain component are not covered (i.e. brake linkage and control valves). Wear items, including but not
limited to, discs, plates, and linings, either internal or external.
4251 Service Brake Assembly 4252 Brake Drum Assembly 4253 Brake Shoes Assembly
Excluding wear items - See Excluding wear items - See Excluding wear items - See
clarifications above clarifications above clarifications above.
12 08.01-03 (11/19)
4254 Brake Lining Assembly Excluding 4255 Brake Disc Assembly Excluding 4256 Brake Caliper/Head Assembly
wear items - See clarifications above wear items - See clarifications above. Excluding wear items - See
clarifications above.
4257 Brake Lines 4258 Brake Master Cylinder 4259 Hydrovac
4260 Wheel Cylinder 4261 Brake / Slack Adjuster 4262 Brake Actuator
4263 Brake Accumulator 4264 Brake Accumulator Charging 4265 Service Brake Control Valve
Valve
4266 Brake Booster 4267 Parking Brake 4268 Brake Pump
4269 Service Brake Control 4270 Brake Expander Tube 4271 Selector Brake Valve
4272 Brake Air Tank 4273 Friction Pad Assembly Excluding 4274 Brake Control Neutralizer Valve
wear items - See clarifications above
4275 Brake Return Check Valve 4277 Brake Air Over Cylinder 4280 Brake Air Relay Valve
4281 Brake Air Check Valve 4283 Quick Release Valve 4284 Parking Brake Control
4285 Air Dryer 4286 Brake System Diverter Valve 4287 Vacuum Pump
4288 Interver Valve 4289 Brake Shuttle Valve 429B Brake Balance Valve
429T Brake / Axle Oil Temperature 4290 Treadle Brake Control Valve 4291 Brake Hydraulic Reservoir
Sensor
4293 Accumulator Bleed Valve 4294 Automatic Electronic Traction Aid 4296 Brake Differential Pressure Switch
Steering System (Hydrostatic & Diff-Steer)

4304 Steering Lines / Hoses 4305 Steer Linkage 4306 Steering Pump
4307 Steering Valve 4312 Steering Metering Pump 4313 Steering Axle
4318 Tie Rod 4320 Steering Flow Divider Valve 4322 Steering Relief Valve
4341 Steering Cooler Pump 4342 Steering Pilot Valve 4343 Steering Control
4344 Steering Charge Pump 4346 Steering Oil Cooler 4347 All Wheel Steer Valve
Hydrostatic Drive - on hydraulic excavators and equipment with hydrostatic drive or differential
steering, including hydrostatic lines between the pump and motor
4350 Hydrostatic Drive 4351 Hydraulic Propel/Drive Motor 4352 Drive Control Valve
4353 Hydrostatic Drive Parking Brake 4354 Brake Release Pump 4355 Hydrostatic Drive Gear Reducer
4356 Brake & Shift Valve
Electric Power Generator

4458 Brushes 4466 Surge Suppressor 4467 Voltage Regulator Assembly/Tray
4468 Series Boost 4470 Exciter Field 4471 Generator Bearing
4473 Rectifier Module 4474 Regulator Module 4475 Voltage Droop Transformer
4476 Current Transformer 4477 Excitation Transformer 4480 Uninterruptable Power Supply
4481 Permanent Magnet Pilot Exciter 449C Programmable Logic Controller
Drive Train Electronic Control

4801 Traction Control System 4803 Wheel Speed Sensor 4804 Brake Proportional Solenoid
Valve
4805 On/Off Pilot Solenoid Valve 4806 Articulation Angle Position Sensor 4807 Brake Pressing Reducing Valve
4808 Drive Train Electronic Control 4809 Brake Position Sensor 4810 All Wheel Drive Electronic Control
Module
4811 Electronic Traction Control 4812 Drive Train Electronic Control 4815 Drive Control Manual Override
08.01-03 (11/19) 13
4820 Drive Train Software 4823 Electronic Current Sensor 4824 Solenoid Driver
Hydraulic System
5055 Van Pump 5058 Hydraulic Motor, Piston-Type 5059 Pilot Control Valve
(Associated Only with Hydrostatic
Transmission or Differential Steer)
5060 Swivel 5062 Hydraulic Pump Coupling 5069 Main System Relief Valve
5070 Hydraulic Pump, Piston-Type
(Associated Only with Hydrostatic
Trans. Or Differential Steer)
Air Control System

5511 Air System Electronic Control 5512 Air Pressure Switch 5513 Air Ratio Valve
Gauges & Indicators

7498 Thermocouple
Engine Electronic Control System

191N Nitrogen Oxide Sensor 191W Jacket Water Outlet Pressure
Sensor
Paving Equipment Only: Excluded are belts, chains, and rotor brakes
5630 Rotor Axle 5631 Rotor Drive 5632 Rotor Drive Shaft
5633 Rotor Drive Differential 5635 Rotor Transmission 5636 Rotor Drive Electric Shift
5651 Vibratory Motor 5652 Vibratory Pump 5653 Vibratory Control Valve
5655 Drum Drive Gear Reducer 5656 Drum Support Gear Box
5658 Countershaft Drive 6605 Compactor Drum 6606 Vibration Mechanism
3168 Propel ECM 3168 Propel Speed Dial Buffer 3168 Propel Lever
3168 Speed Dial 3168 Steering PWM Sensor 3168 Brake PWM Sensor
5070 Pump EDC Control 5058 Track Speed Sensor
Compact Construction Equipment (CCE) Powertrain (MTL/CTL/MHE) only:

4164 Drive Sprocket 4166 Sprocket Dust Guard 4197 Roller Frame Tensioning System
4159 Idler Wheels 4192 Bogie Wheels 4180 Track Rollers
4154 Carrier Rollers 4158 Recoil Spring 4157 Track Adjuster
1351 Radiator and Oil Cooler
Electric Drive Powertrain Note: Belts, chains and rotor brakes are excluded
1410 Voltage Reg 1421 DC To DC Converter 1437 Electrical System Resistor
1603 Traction Drive Motor 1607 Drive System Contactor 1617 Drive System Thyristor/Transistor
1618 Drive System Rectifier/Diode 1619 Drive System Capacitor 1627 Drive System Resistor
1633 Drive system Power Cable 1636 Drive Motor Fan 3121 Retarder Extended Braking
Control
3225 Travel Electronic Control 3279 Engine Output Drive 4018 Propulsion Module
425R Electric Retarder Group 4450 Generator 4453 Stator
14 08.01-03 (11/19)
4454 Excitor/Arm 4456 Generator Drive Coupling 4457 Rotor

4459 Cable or Wire 445B Bus Bar 4465 Rotating Rectifier Diode
4802 TCS Electro Control 4822 Inverter 7611 Optical Interface Control Module
Special Service Claim Categories

7729 HEUI Actuation
Emissions Module
These additional components are included only when used to control emissions or when part of the Caterpillar Clean
Emissions Module (CEM).
1061 Exhaust Piping 1071 Air Lines/Pipe 108A Solenoid Valve
108B Combustion Body 108C Clean Gas Induction Cooler 108E Exhaust Combustion Lines
108F Diesel Particulate Filter (DPF) 108G Exhaust Cooler 108H Diesel Exhaust Fluid Module
108I Diesel Exhaust Fluid Injector 108J Diesel Exhaust Fluid Pump 108L Boost Pressure Line
108N Clean Gas Induction Valve 108O Exhaust Gas Recirculation High 108P Exhaust Back Pressure Valve
Temperature Cooler Core
108Q Exhaust Gas Recirculation Low 108R NOX Reduction System Air Inlet 108S Combustion Air System
Temperature Cooler Core
108T Diesel Exhaust Fluid Tank 108V Venturi 108M Exhaust combustion Manifold
1091 Catalytic Converter 1274 Fuel Supply/Return Line 1335 Particle Sensor
1380 Coolant Lines (of the Emissions 1408 Wiring Harness - included in 1554 Coil
Module related to DEF) Powertrain EPP only if part of the
Caterpillar Clean Emissions Module
(CEM).
1702 Fuel Manifold 3206 Manifold/Metering Valve 4493 Relay (of the Emissions Module
related to DEF)
5506 Air Control Valve
Other Implements & Machine Components

7063 Swing Gear/Bearing
Rail/Road Wheeled Excavator only:

4321 Steering Knuckle 5713 Electric Hydraulic Pump
Additional Coverage Clarifications

• Electronic controls and sensors which function to direct power for the purpose of moving the machine are
included. This includes power shift controls, engine pressure controls, differential lock, finger-tip controls, and
wiring connectors that are part of the designated Powertrain components.
08.01-03 (11/19) 15
16 08.01-03 (11/19)
SERVICE
Machines
Hydraulic Equipment Protection Plan (EPP)

Effective and Applicable to Hydraulic Mining Shovels (HMS) with Delivery Dates
Prior to 31DEC2018. Coverages enrollments for HMS prohibited after this date.
Overview
This coverage bulletin defines the hydraulic components that are covered under various new, used and rebuild
equipment programs offered through Caterpillar. Hydraulic components are the components on equipment that are
associated with steering and implement
control.
Refer to the Standard Machine Warranty and applicable program bulletins for covered component failures during
the standard warranty period and refer to this Hydraulic EPP for covered component failures during the EPP
coverage period.
Components Covered Under Hydraulic EPP

manufacturer workmanship. Repairs must be completed by a Cat® authorized dealer.
caused by failure of a non-covered component (including Yellowmark™, A Caterpillar Brand, and Cat® Classic
brand parts) are not eligible.
Hydraulic EPP includes the components covered by Powertrain EPP (Bulletin 8.01) and additional components
identified by this bulletin.
See the Parts Book Component Codes section below.


Components Excluded Under Hydraulic EPP

The following are components commonly mistaken as covered Hydraulic Components. The following components
are excluded:
• All Powertrain Coverage (Service) Bulletin 8.01 exclusions apply

• Hydraulic Line Quick Connect/Disconnect Components
• Winch Pumps & Valves
• Hydraulic Brake System Components - While part of the hydraulic system, they are not associated with
machine steering or implement control
• Hydraulic Actuated Work Tools and other attachments which are individually serialized and warranted by
Caterpillar under separate warranty statements
• Hydraulic Hoses and Hydraulic Oil Coolers are excluded for the 6000 series Hydraulic Mining Shovels

Hydraulic - EPP does not cover the following:
technique or application; including but not limited to oil consumption and gasket or seal leaks
fire and/or any other act of nature, person or vermin
filters
other bolt-on attachments, unless required in conjunction with the repair of a covered part
seals and gaskets
2 08.02-04 (11/19)
• Freight
• Taxes
manufacturer as specified in the operations manual or other technical bulletins
• Failure of and resultant damage caused by: attachments, implements, work tools and modifications, including
both serialized or non-serialized Cat products added to the equipment. Examples include but are not limited
to: booms, sticks, buckets, screeds, winches, augers, ground engagements, hitches, etc. Separate and
optional EPP coverage may be available for certain products outside of the scope of this EPP
EPP coverage unless specifically identified as covered components within applicable warranty statement
• Components or Systems Covered by Other Caterpillar Warranty Statements and are therefore excluded
from EPP. Examples include, but are not limited to:
• Batteries
• Cat Work Tools
• Cat Tires
• Yellowmark™
• Components Covered by Any Other Manufacturers’ Warranty Statements and are therefore excluded from
• Ag Products
• Trimble
operated and repaired in South Korea. Bulletin 7.01 explains the details of Manufacturer Emissions Warranty and
the claiming procedures for emissions components.
08.02-04 (11/19) 3
Unless otherwise specified, upon expiration of the Manufacturer Emissions Warranty, certain parts are included
beyond the terms of Manufacturer Emissions Warranty and are enrolled in a Caterpillar EPP.
Claiming Practices for Service Letters PIP/PSP on Machines Covered by the

New Machine EPP
information
• EPP only applies to the customer participation portion of the after-failure PSP that exceeds the Service
Letter limit

Wear-out and/or deterioration of any component are not covered by Hydraulic EPP.
condition just prior to the covered failure. Hydraulic EPP covers only the repair or replacement of the failed
component and any resultant damaged parts. Other parts removed in the process of repair will be reinstalled as is,
unless the customer authorizes and funds any additional replacement cost.
Example: While performing a Hydraulic EPP repair of a leaking bucket cylinder, the dealer service technician
notices the hydraulic hoses have cuts from falling rocks. The service technician also notices some wear (within
acceptable limits) in the rod eye bearing. In addition to repairing the leaking bucket cylinder, the service technician
replaces the hydraulic hoses and rod eye bearing to avoid future downtime.
In this example the hydraulic hoses and rod eye bearing cannot be claimed to Caterpillar because they did not have
a defect nor were they damaged as a result of the leaking bucket cylinder. They were repaired or replaced as a
result of Customer Responsibilities for assuring all recommended preventive maintenance is performed.
NOTE: If the bucket cylinder seals failed due to abuse (damage to the cylinder rod from falling rocks), the repair
of the leaking lift cylinder and resultant damage would not be due to a Caterpillar defect and therefore is not a
covered failure.
• Programs
Hydraulic EPP does not cover failure of any components if Customer’s Responsibilities are not followed. The dealer
may be required to provide proof of compliance with the maintenance schedules, at the time of a failure. Proof may
include receipts, copies of work orders, or invoices showing the performed maintenance services.
4 08.02-04 (11/19)
• Repair equipment using the most economical method and install only genuine Cat® parts

On most pages of all Cat Parts Books (paper or electronic), is printed a four-digit numeric Service Management
Control System (SMCS) component code. These component codes are used to describe the area of primary use
for the parts and/or components listed on that page.
Following are the SMCS component codes that Caterpillar considers part of Hydraulic EPP. Each component code
listed on the parts book page should be compared to this list of acceptable Hydraulic EPP components.
NOTE: Sometimes a Parts Book page with an acceptable Hydraulic EPP component code will include parts that
are not covered or may include parts that are broken out on another Parts Book page. Additionally, there may be
instances of a non-acceptable component code containing parts that may qualify for Hydraulic EPP coverage. For
clarification regarding coverage, please submit a ticket through the Warranty Service Desk.

Some codes may indicate the use of a substitute code. Substitute codes apply only when using the component
code on a labor expense line, if labor reimbursement is applicable.
On the following page are the SMCS component codes in numeric order that Caterpillar considers part of
Hydrualic EPP. For qualification, the component code listed on the parts book page should be compared
to this list of acceptable hydraulic or technology components.
The SMCS component codes can be used as a guide for helping to determine if a failed part may be
considered part of Hydraulic EPP coverage.
08.02-04 (11/19) 5
SMCS CODES - Hydraulic Coverage:
Lubrication System
1306 Hydraulic Oil Base
Cooling System
1374 Hydraulic Oil Cooler
Transmission and Drive Line

3016 Drive Train Oil Lines 3154 Transmission Oil Lines
Steering System
4303 Steering Cylinder 4304 Steering Lines or Hoses 4306 Steering Pump
4307 Steering Valve 4311 Steering Booster 4312 Steering Metering Pump
4315 Servo Steering Cylinder 4317 Steering Gear & Valve 4320 Steering Flow Divider Valve
4322 Steering Relief Valve 4324 Secondary Steering Pump 4330 Steering Neutralizer Valve
4331 Steering Accumulator 4332 Steering Hydraulic Tank 4337 Steering Pressure Reducing
Valve
4339 Secondary Steering Diverter 4340 Steering Counterbalance Valve 4341 Steering Cooler Pump
Valve
4342 Steering Pilot Valve 4343 Steering Control 4344 Steering Charge Pump
4346 Steering Oil Cooler 4347 All Wheel Steer Valve 4349 Steering Selector & Pressure
Control Valve
Hydraulic System
5051 Hydraulic Control Valve 5052 Hydraulic Motor - Vane Type 5054 External Control Valve
5055 Hydraulic Pump - Vane Type 5056 Hydraulic Tank 5057 Hydraulic Hoses or Lines
(Hydraulic Hoses excluded for the 6000
series Hydraulic Mining Shovels)
5058 Hydraulic Motor - Piston Type 5059 Pilot Control Valve 505C Piston Cylinder
505Q Quick Release Valve 505U Unloading Valve 5060 Swivel
5061 Hydraulic Motor - Gear Type 5063 Implement Control 5064 Combination Valve
5065 Selector Valve 5066 Diverter Valve 5067 Check Valve
5069 Main System Relief Valve 506G Gear Pump & Motor 506P Implement Priority Valve
5070 Hydraulic Pump - Piston Type 5071 Hydraulic Oil Cooler Bypass 5072 Pilot System Relief Valve
Valve
5073 Hydraulic Pump - Gear Type 5074 Thermal Bypass Valve 5076 Hydraulic Tank Valve
5077 Hydraulic Accumulator (excluded 5078 Hydraulic Actuator 5079 Shuttle Valve
for the 6000 series Hydraulic Mining
Shovels)
507G Piston & Gear Pump 507V Piston & Vane Pump 5080 Make-Up Valve
5081 Hydraulic Accumulator Charging 5082 Gerotor Motor 5083 Hydraulic Hoist Pump
Valve
5084 Implement Pump 5085 Pilot Pump 5086 Pressure & Flow Compensator
Valve
6 08.02-04 (11/19)
5087 Cooling & Test Manifold 5088 Pilot Test Valve 5089 Blocker Valve
5090 Line Make-Up Valve 5093 Hydraulic Filter By-Pass Valve 5097 Hydraulic Flow Divider Valve
509T Hydraulic Oil Temperature Sensor
Lift, Tilt, Tip Controls

5101 Angling Cylinder 5102 Lift or Hoist Cylinder 5104 Tilt Cylinder
5105 Swing Cylinder 5106 Tip Cylinder 5107 Tailgate Cylinder
5108 Side Dump Cylinder 5109 Lift Kickout Control 5110 Quick Drop Valve
5111 Crossover Valve 5112 Bucket Positioner Control 5115 Bulldozer Control Valve
5117 Pressure Control / Relief Valve 5118 Vent Valve 5119 Float Selector Valve
5120 Pump Selector Valve 5122 Bucket Control Valve 5123 Tilt Control Valve
5124 Loader Control Valve 5125 Tilt Pilot Valve 5126 Lift Pilot Valve
5127 Cylinder Check Valve 5128 Over-Center Valve 5129 Restrictor Valve
5130 Lock Valve 5132 Hydraulic Position Sensor 5133 Coupler Cylinder – Note: Quick
Coupler (6129) not included. Note:
Coupler Cylinder must be factory
consist and/or first mount to receive
coverage.
5134 Kickout Valve 5136 Lift or Hoist Control Valve 5137 Flow Control Valve
5138 Door Cylinder 5140 Angle Control Valve 5141 Hitch Lift Cylinder
5142 Draft Control 5143 Drift Reduction Valve 5144 Frame Level Valve
5145 Top Clamp Cylinder 5146 Dump Cylinder 5147 Lowering Control Valve
5148 Multipurpose Bucket Control Valve
Cat Skidder Only - Controls

5164 Winch Hydraulic Pump 5179 Winch Hoses/Lines
Motor Grader Only - Implement Controls

5201 Power Control Box 5206 Circle Drive Motor 5211 Wheel Lean Cylinder
5213 Scarifier Cylinder 5214 Scarifier Valve 5216 Automatic Blade Control
5220 Centershift Lock Control Valve 5223 Centershift Cylinder 5226 Leaning Wheel Control Valve
5227 Blade Sideshift Control 5229 Blade Sideshift Cylinder 5235 Lock Check Valve
5236 Power Control Pump 5261 Servo Valve 5264 Hydraulic Manifold
5265 Articulation Cylinder 5266 Articulation Valve
Scraper Only - Controls

5301 Apron Lift Cylinder 5302 Apron Sequence Valve 5303 Bowl Lift Cylinder
5304 Scraper Control Valve 5305 Ejector Cylinder 5306 Ejector Sequence Valve
5307 Push-Pull Bail Cylinder 5308 Bail-Pull Control Valve 5309 Floor Dump Cylinder
5310 Traction Control Cylinder 5311 Traction Control Valve 5312 Leveling Valve
5313 Cushion Hitch Control Valve 5314 Elevator Motor 5315 Elevator Hydraulic Pump
5316 Cushion Hitch Pump 5317 Cushion Hitch Load Cylinder 5318 Elevator Delay Valve
5319 Cushion Hitch Selector Valve 5320 Elevator Chain Adjustment 5321 Carry Check Valve
Cylinder
5322 Ejector Check Valve 5323 Push-Pull Pump 5325 Speed Control Valve
08.02-04 (11/19) 7
Ripper, Tool Bar & Other Implement Controls

5351 Ripper Control Valve 5352 Ripper Lift Cylinder 5353 Ripper Pin Puller Control Valve
5354 Ripper Pin Puller Cylinder 5355 Tool Bar Cylinde 5356 Ripper Tilt Cylinder
5357 Ripper Contro
Excavator, Backhoe, Front Shovel & Other Implement Controls

5451 Shovel Boom Cylinder 5452 Shovel Stick Cylinder 5453 Check & Relief Valve
5454 Swing Relief Valve 5455 Pump Signal Pressure Control 5456 Boom Cylinder
Valve
5457 Bucket Cylinde 5458 Stick Cylinder 5459 Swing Drive
5461 Boom Control Valve 5462 Speed & Direction Pilot Control 5463 Offset Cylinder
Valve
5464 Stick Control Valve 5465 Stick & Swing Pilot Control Valve 5466 Boom & Attachment Pilot Control
Valve
5467 Pressure Reducing / Summing 5468 Stabilizer Cylinder 5469 Underspeed Valve
Valve
5470 Bucket Master Cylinder 5471 Combiner & Relief Valve 5472 Load Check Valve
5473 Swing Pump 5474 Extendable Stick Control Valve 5475 Bottom Dump Bucket Control
Valve
5476 Backhoe Control Valve 5477 Swing Actuator 5478 Bucket Bowl Cylinder (excluded
for the 6000 series Hydraulic Mining
Shovels)
5479 Solenoid Valve 5480 Swing Control Valve 5481 Stabilizer Control Valve
5482 Heel Cylinder 5483 Swing Brake Valve 5484 Sideshift Lock
5486 Telescoping Cylinder 5487 Slow Return Valve 5488 Hydraulic Hammer Control
5489 Increased Pressure Control 5491 Quick Coupler Valve
5492 Clam Control Valve 5493 Shovel Bucket Cylinder 5494 Rotator Motor
5495 Rotator Cylinder 5496 Control Pattern Change Valve 5497 Fore Boom Cylinder
5498 Multipurpose Bucket Cylinder
Logger & Skidder Only Controls

5551 Speed Reducer Valve 5553 Shear Cylinder 5554 Delimb Cylinder
5555 Grapple Cylinder 5557 Arch Cylinder 5558 Saw Cylinder
5560 Logger Head Control Valve 5561 Logger Head Check Valve 5562 Delimb Cylinder Selector Valve
5563 Shear Speed Change Valve 5564 Grapple Cylinder Check Valve 5565 Grapple/Delimb Arm Pilot Valve
5567 Logger Head Positioner Master 5568 Grapple Control Valve 5570 Grapple Hydraulic Control
Cylinder
5571 Solenoid & Relief Valve 5572 Feed Roller Arm Cylinder 5573 Holding Arm Cylinder
5574 Measuring Sensor 5575 Saw Motor 5576 Gate Cylinder
Implement Electronic Controls

5701 ECM (of the Implement Electronic 5702 Implement Hydraulic Electronic 5705 Joystick (of the Implement
Controls system only) Control Electronic Control system only)
5721 Potentiometer 5736 Linkage Position Sensor 5737 Control Lever Position Sensor
8 08.02-04 (11/19)
5740 Implement Software & Hydraulic

Software
Material Handler Only Controls

5802 Full Free Lift Cylinder 5803 Full Free Triple Lift Cylinder 5809 Sideshift Valve
5811 Load Control Valve 5812 Full Free Triple Lift Primary 5813 Full Free Triple Lift Second
Cylinder Cylinder
5814 Full Free Quadruple Lift Cylinder 5815 Slew Cylinder 5822 Twist Lock Cylinder
Other Controls
5804 Side Shift Cylinder 5807 Fork Positioner Cylinder 5816 Compensating Cylinder
5823 Fork Leveling Cylinder 5904 Auger Drive
Other Implements & Machine Components

7078 Frame Level Cylinder 7080 Oscillation Lock Cylinder
6000 Series Hydraulic Mining Shovel Only Components

4265 Service Brake Control Valve 508A Auxiliary Pilot Pump 508C Hydraulic Cooling Pump
79C3 Propel Brake 79PA Swing Drive Motor
Rail/Road Wheeled Excavator Only

1130 Valve Actuator 7562 Hydraulic Cylinders 5116 Attachment Cylinder
5149 Bogie Lift Cylinder 5362 Work Tool Cylinder
Additional Coverage Clarifications:

• Electronic controls and sensors which function to direct power for the purpose of moving the machine are
included. This includes power shift controls, engine pressure controls, differential lock, finger-tip controls,
wiring connectors that are part of the designated Powertrain components
• Hydraulic valves & controls - includes specified valve parts for directing or controlling hydraulic fluid for steer-
ing and implements, including automatic blade controls and bucket position controls

Note: Two separate claims are required.
Claim #1
• Serial number: Hydraulic coupler serial number
Claim #2
• Submit a claim for Labor Only
• Serial Number: Machine Serial Number
• Description Code: Enter 38.
• Claim Story: Claim story should reference associated parts claim number and should include dealer code
from the associated standard warranty claim for parts only.
• NOTE: All other claiming fields are to be populated per standard process
08.02-04 (11/19) 9
10 08.02-04 (11/19)
SERVICE
Machine & Cat Utility Vehicle
Premier Equipment Protection Plan (EPP)
Overview
This coverage bulletin defines the components that are covered under various new and used (Cat® Certified Used
Equipment Protection Plan (EPP) in EAME only), equipment programs offered through Caterpillar.
Refer to the Standard Machine Warranty and applicable program bulletins for covered component failures during
the standard warranty period and refer to this Premier EPP for covered component failures during the EPP
coverage period.
Components Covered Under Premier EPP

covered component (including Yellowmark™, A Caterpillar Brand and Cat® Classic brand parts) are not eligible.
Premier EPP is a component coverage that includes the components covered by:
• Powertrain - EPP (Bulletin 8.01)
• Hydraulic - EPP (Bulletin 8.02)
• Hydraulic and Technology – EPP (Bulletin 8.10)
Where applicable, and additional components not excluded by this bulletin.
Note: Beginning January 1, 2020, Cat Screeds will be included for coverage under Premier EPP if a customer elects
to purchase EPP for a Cat Asphalt Paver. All current (non-expired or cancelled) Premier EPP will be grandfathered
into this added Screed coverage. Only claims occurring after this date will be approved. Only Cat branded Screeds
sold with and connected to Cat Asphalt Pavers are eligible for coverage. Only the original Cat Screed sold with the
machine (factory consist & first mount) is eligible. Multiple Screeds cannot be covered under one Premier EPP. All
exclusions listed in this bulletin such as “wear out” apply to the Screed.


Components Excluded Under Premier EPP:

1) Service Items - Service items are excluded for defects in material and workmanship under Premier EPP
• Service/maintenance items include oil, coolant, hydraulic fluids, filters, spark plugs, certain belts, and/or
other items listed on the Operations and Maintenance Manual (OMM).
• Service items replaced in the normal course of the repair or inspection, are not reimbursable.
• For additional service items that are excluded, refer to the Global Service Warranty Guide located at
warranty.cat.com
• Service items are reimbursed under Premier EPP only when a covered component failure causes resultant
damage to the service item.
2) Maintenance Items - specific maintenance intervals & requirements are defined within the OMM for each
individual model. Any procedures or scheduled replacement parts outlined within the “Maintenance” section
of the OMM are excluded from Premier EPP. This would include inspections, testing, adjustments, repairs,
replacement, or rebuild.
Exclusions examples include, but not limited to:
• V-Belts and Serpentine Belts
• Filters & Elements
• Fuses
• Windshield Wiper Blades
• Lamps, Lights & Light Bulbs (excluding LED Light Assemblies)
• Paint/Decals
• Weld Maintenance Structural Repairs (certain models)
• Planned component replacement
• Driveline wear items
• Service Brake Components – external brake components that are accessible without disassembly of a
Powertrain component are not covered (i.e. brake linkage and control valves). Wear items, including but
not limited to, discs, plates, and linings, either internal or external
For additional maintenance items that are excluded, refer to the Global Service Warranty Guide.
Maintenance items are reimbursed under Premier EPP only when a covered component failure causes
resultant-damage to the maintenance part.
3) Other Excluded Components:
• Glass
• Lenses
• Radios
• Hydraulic Line Quick Connect/Disconnect Components on CCE Machines
• Attachments, work tools and modifications: serialized or non-serialized Cat products added to the
equipment. Examples include but are not limited to: buckets, winches, augers, ground engagements, etc.
Some products may have separate and optional EPP coverage
• Modifications: Any reconfiguration of or addition to the equipment
• Undercarriage Components on track-type and track belt machines - including sprockets, drive wheels, track
assemblies, track belts, track rollers, mid-wheels, idlers, roller frames tensioning system and nonpowered axles
• Some of these exclusions do not apply to Multi Terrain Loader (MTL), Compact Track Loader (CTL)
and Mini Hydraulic Excavators (MHEX) products. For MTL/CTL/MHEX machines, see the list of
additional components included in the Powertrain EPP Service Management Control System (SMCS)
codes section
2 08.03-04 (11/19)
4) Components or Systems Covered by Other Caterpillar Warranty Statements and therefore excluded
from EPP:
Examples include, but not limited to:
• Batteries
• Cat Work Tools
• Cat Tires
• Yellowmark™
• Ground Engaging Tool (GET) (Refer to bulletins 4.03)
For a complete list of additional Components or Systems that are excluded, refer to the Global Service Warranty
Guide located at warranty.cat.com.
5) Components Covered by Any Other Manufacturers’ Warranty Statements and are therefore excluded
by Premier EPP:
If an Original Equipment Manufacturer (OEM) other than Caterpillar has a warranty in place for the equipment,
claims should be filed and settled with that OEM prior to submitting supplemental EPP claims.
• Ag Products
• Trible
• Torc Robotics
6) Cat Utility Vehicle (CUV) Specific Components:
Premier EPP covers only the base CUV and excludes additional components incremental to the base model(s).
In addition to the applicable exclusions listed throughout this bulletin, the following CUV specific items are also
excluded:
• Powertrain & Driveline Wear Items, Clutch, Spark Plugs, CV Boots, Brake Pads, & Drive Belts Electrical
Accessories
• Bumpers, Guards & Attachments
• Doors, Roofs, & Attachments
• Mats & Flaps
• Mirrors, Windshields & Body Panels
• Work Tools & Product Attachments & Accessories

Premier EPP does not cover the following:
• Operator abuse, neglect, improper or abusive use of the machine including, but not limited to, the failure
including the OMM and other applicable service literature
08.03-04 (11/19) 3

technique or application; including, but not limited to, oil consumption and gasket or seal leaks
fire and/or any other act of nature, person or vermin
improper filters
• Replacement, adjustments, or alignment or any part not covered by this agreement, lube oils, grease,
coolant, or air conditioner refrigerant
seals and gaskets
• Mechanical transportation or towing costs or field service travel expenses, unless Travel Equipment
Protection Plan (Americas North, EAME) is purchased. See bulletin 8.04
• Freight
• Taxes
4 08.03-04 (11/19)
components.

the New Machine EPP
additional information
Service Letter limit

Wear-out and/or deterioration of any component are not covered by Premier EPP.
condition just prior to the covered failure. Premier EPP covers only the repair or replacement of the failed component
and any resultant damaged parts. Other parts removed in the process of repair will be reinstalled as-is unless the
customer authorizes and funds any additional replacement cost.
Example: While performing a Premier EPP repair for a piston ring failure, the dealer service technician notices
the v-belts and coolant hoses are worn and deteriorated. The service technician also notices some wear (within
acceptable limits) on the cylinder head valve guides. In addition to the piston ring failure, the service technician
replaces the v-belts and coolant hoses and reconditions the valve guides to avoid future downtime.
In this example the v-belts, coolant hoses and valve guide reconditioning cannot be claimed to Caterpillar because
they did not have a defect, nor were they damaged as a result of the piston ring failure. They were repaired or
replaced as a result of the Customer Responsibilities for assuring all recommended preventative maintenance is
performed.
NOTE: If the piston ring failed due to abuse (running without changing oil at the proper interval), the ring failure and
resultant damage would not be due to a Caterpillar defect, and therefore, not a covered failure.
• Fueling, lubricating, adjusting, operating, and maintaining the equipment as instructed by the dealer and
in accordance with the recommendations set forth in the applicable Caterpillar manuals, including the
Operation and Maintenance Manual and other applicable service literature
• Giving timely notice of a problem
programs
Premier EPP program does not cover failure of any components if Customer’s Responsibilities are not followed. The
dealer may be required to provide proof of compliance with the maintenance schedules, at the time of a failure. Proof
may include receipts or copies of work orders or invoices showing the performed maintenance services.
Dealer Responsibilities
exists, the equipment must be repaired prior to registering it for EPP.
08.03-04 (11/19) 5
• Repair equipment using the most economical method and install only genuine Cat® parts.
• Keep on file the applicable inspection and all parts and labor invoices relative to required repairs.
• Pay for any loss in excess of what is covered by EPP if broader coverage was offered to the customer.
• Register equipment for EPP and pay applicable fees.

At the bottom of each page on all Cat Parts Books (paper or electronic), is printed a four-digit numeric SMCS
component code. These component codes are used to describe the area of primary use for the parts and/or
components listed on that page.
NOTE: Sometimes a parts book page with an acceptable Premier EPP component code will include parts that
are not covered or may include parts that are broken out on another parts book page. Additionally, there may be
instances of a non-acceptable component code containing parts that may qualify for powertrain coverage. For
Use of Part Book Component Code on Labor Lines

For example: 1299 Hydraulic Timing Advance (use 1272)

Claim #1
• Serial number: Hydraulic coupler serial number
Claim #2
• Submit a claim for labor only
• Serial Number: Machine Serial Number
• Description Code: Enter 38
• Claim Story: Claim Story should reference parts claim and must provide associated claim number. It should also
include original claim number and dealer code from the associated standard warranty claim for parts only.
6 08.03-04 (11/19)
SERVICE
Equipment Protection Plan Americas North, EAME
Machine
Travel Equipment Protection Plan (EPP)
Overview
This Special (Service) Bulletin addresses the Travel Equipment Protection Plan (Travel EPP) which is a 12-month
program that combines Year 1 – Labor Only and Travel coverages. The Travel EPP addresses certain travel
expenses that result from repairs to components that are covered under certain new EPP offered through Caterpillar.
The equipment must be enrolled in the Travel EPP that includes Year 1 – Labor only EPP to be considered eligible
for this coverage. The Travel EPP is not available for Year 2 & beyond.
The program provides new machine coverage as defined by the New Machine EPP (Program (Service) Bulletin 8.00).
Depending on the EPP enrolled, one of the following coverage (service) bulletins apply: Powertrain EPP (Bulletin
8.01), Hydraulic EPP (Bulletin 8.02), Hydraulic and Technology EPP (Bulletin 8.10), or Premier EPP (Bulletin 8.03).
The terms of this program do not change the coverage described within these program and coverage bulletins. Refer
to the standard machine warranty and its applicable program bulletins for covered component failures during the
standard warranty period. Refer to these bulletins for covered component failures during the EPP coverage period.
workmanship. Repairs must be completed by a Cat® authorized dealer.
Manual (OMM) and other applicable service literature. Mechanical breakdown means the failure of any original or
replacement part covered by EPP to work as it was designed in normal service, providing it has received customary
maintenance as recommended by the manufacturer. Any mechanical breakdown and resultant damage caused by
failure of a non-covered component (including Yellowmark™ A Caterpillar Brand, and Cat® Classic Brand parts)
is not eligible.


Coverage Program Structure:

Various hour and mile/kilometer options are available. A machine may be enrolled in one of the following:
Americas North:
• 2 hours and 100 miles
• 4 hours and 200 miles
EAME:
• 2 hours and 100 kilometers
All covered claims receive fixed maximum travel reimbursement based on the enrollment coverage selected. If
actual travel (hours/miles) are less than the enrolled coverage, the dealer will be reimbursed at the fixed maximum
amount based on the enrolled coverage.
The maximum number of Travel EPP claims per enrolled equipment serial number varies depending on the
selection of Travel EPP coverage. Refer to the Claim Limits section of this Bulletin for more information.
Equipment Protection Plan Period

The coverage term for Travel EPP starts from the product delivery date and expires after one year. Please note
that the Travel EPP period runs at the same time as the standard machine warranty period, and coverage under
the Travel EPP Program does not change or extend the Caterpillar Standard Machine Warranty period.
Validating Coverage
Dealers can verify EPP coverage in the Caterpillar Service Information Management System (SIMSi) at
Exclusions and Limitations

All EPP exclusions and limitations may be found in the program bulletin: New Machine EPP (Bulletin 8.00), as
well as one of the respective coverage bulletins, depending on the EPP enrolled:
• Powertrain EPP (Bulletin 8.01)
• Hydraulic EPP (Bulletin 8.02)
• Hydraulic and Technology EPP (Bulletin 8.10)
• Premier EPP (Bulletin 8.03)

2 08.04-02 (01/20)
• A mechanical breakdown caused by, or a result of, acts of war, vandalism, riot, theft, explosion, collision, fire
and/or any other act of nature, person or vermin
filters
• Replacement, adjustments, or alignment or any part not covered by this agreement, and lube oils, grease,
other bolt-on attachments, unless required in conjunction with the repair of a covered part. Note: Premier EPP
has unique exceptions to this list. Please refer to Coverage Bulletin 8.03 for Premier EPP general exclusions
• Normally scheduled preventive maintenance or maintenance services, including, but not limited to, valve lash
adjustments and maintenance items including filters, fuel nozzles, fuel injectors, thermostats, and seals and
gaskets
• Freight
• Taxes
optional EPP coverage may be available for certain products outside of the scope of this EPP. Note: Premier
exclusions
08.04-02 (01/20) 3
• Components or systems covered by other Caterpillar warranty statements and are therefore excluded from
• Batteries
• Cat Work Tools
• Mobil-trac™ Belts
• Rubber Track used on Compact Construction Equipment (CCE)
• Cat Tires
• Yellowmark™
• Ground Engaging Tools (GET) (Refer to Bulletin 4.03)
• Long-Life Weld-On Landfill Compactor Plus Tip (Refer to Bulletin 4.03)
• Components covered by any other manufacturer’s warranty statements and are therefore excluded from
EPP. If an Original Equipment Manufacturer (OEM) other than Caterpillar has a warranty in place for the
equipment, claims should be filed and settled with that OEM prior to submitting supplemental EPP claims.
• Ag Products
• Trimble
components.
Unless otherwise specified in applicable EPP Coverage Bulletins, upon expiration of the Manufacturer
Emissions Warranty, certain parts are included in EPP and covered for defects in Cat material and manufacturer
workmanship according to the normal EPP guidelines. See applicable EPP Coverage Bulletins for information
regarding emissions components that are beyond the terms of Manufacturer Emissions Warranty and are enrolled
in a Caterpillar EPP.
Claiming Practices for Service Letters PIP/PSP on Machines Covered by the

New Machine EPP
information
4 08.04-02 (01/20)
• EPP only applies to the customer participation portion of the after-failure PSP that exceeds the Service
Letter limit

Wear-out and/or deterioration of any component are not covered by EPP.
condition just prior to the covered failure. EPP covers only the repair or replacement of the failed component and
any resultant damaged parts. Other parts removed in the process of repair will be reinstalled as is, unless the
Example: While performing an EPP repair for a piston ring failure, the dealer service technician notices the v-belts
and coolant hoses are worn and deteriorated. The service technician also notices some wear (within acceptable
limits) on the cylinder head valve guides. In addition to the piston ring failure, the service technician replaces the
v-belts and coolant hoses and reconditions the valve guides to avoid future downtime.
In this example the v-belts, coolant hoses and valve guide reconditioning cannot be claimed under EPP because
they did not have a defect, nor were they damaged as a result of the piston ring failure. They were repaired or
replaced as a result of the Customer Responsibilities for assuring all recommended preventive maintenance is
performed.
ring failure and resultant damage would not be due to a Caterpillar defect and therefore is not a covered failure.
replaces the hydraulic hoses and rod eye bearing to avoid future downtime.
In this example the hydraulic hoses and rod eye bearing cannot be claimed to Caterpillar because they did not
have a defect, nor were they damaged as a result of the leaking bucket cylinder. They were repaired or replaced
as a result of Customer Responsibilities for assuring all recommended preventive maintenance is performed.
covered failure.
Example: While performing a Hydraulic and Technology - EPP program repair of a defective position sensing
cylinder, the dealer service technician notices the wiring harness has cuts from falling rocks. In addition to repairing
the defective position sensing cylinder, the service technician replaces the wiring harness to avoid future downtime.
In this example the wiring harness cannot be claimed to Caterpillar because it did not have a defect nor was it
damaged as a result of the defective position sensing cylinder. The wiring harness was repaired or replaced as
a result of the Customer Responsibilities for assuring all recommended preventative maintenance is performed.
NOTE: If the position sensing cylinder failed due to abuse (damage to the cylinder from falling rocks), the repair
of the position sensing cylinder and resultant damage would not be due to a Caterpillar defect and therefore is not
a covered failure.
08.04-02 (01/20) 5
EPP does not cover failure of any components if Customer’s Responsibilities are not followed. The dealer may be
required to provide proof of compliance with the maintenance schedules, at the time of a failure. Proof may include
receipts, copies of work orders, or invoices showing the performed maintenance services.
The following outlines the reimbursement requirements for covered travel expenses under Travel EPP:
“Travel” is defined as any travel related expense incurred while traveling to and/or from the machine being
repaired. Examples include: travel time, mileage/km, train tickets, airfare, towing, hauling, and delivery. If the
dealer did not incur any travel related expenses, then no travel/vehicle claim can be made.
Reimbursement for travel and/or mileage/km will be at the claiming dealer’s travel and vehicle rates on file in the
Caterpillar Service Claims System. See Caterpillar Global Warranty Bulletin 1.05, Labor, Travel & Vehicle Rates,
for details on travel and vehicle rates.
All covered claims receive fixed maximum travel reimbursement based on enrollment coverage selected. If actual
travel (hours/miles) are less than the enrolled coverage, the dealer will be reimbursed at the fixed maximum
amount based on the enrolled coverage.
Dealers must submit a separate travel claim. The dealer can claim up to the enrolled coverage option limits for that
serial number. Only a single travel reimbursement is allowed per covered repair. A repair is identified with unique
Service Claim and Dealer Claim numbers. Repairs requiring multiple trips are allowed only a single hour and mile/
kilometer reimbursement per covered repair.
Service Letter travel and vehicle allowances eligible for reimbursement according to the letter will not be eligible
for the Travel EPP.
Claim Limits
The maximum number of Travel claims varies depending on the selection of EPP coverage:
• Powertrain EPP: 5 claims maximum per serial number
• Hydraulic EPP: 5 claims maximum per serial number
• Hydraulic and Technology EPP: 5 claims maximum per serial number
• Premier EPP: 10 claims maximum per serial number
The Travel EPP does not limit the number of Year 1-Labor Only EPP claims a dealer may file.
Claims can be made if the dealer incurred travel related expenses regardless of where the machine is repaired.
Repairs must be completed by a Cat authorized dealer.
Claiming Field Information

EPP claiming instructions may be found in the Program Bulletin: New Machine EPP (Bulletin 8.00).
The following information is unique to the Travel EPP.
6 08.04-02 (01/20)
Claim #1
Submit a Year 1 - Labor Only claim with the standard warranty claim. When filing this claim do not include travel
and mileage, as this must be claimed separately. (See Claim #2 details for travel and mileage claim requirements.)
Claim #2
To claim for travel and mileage, per the Travel EPP, enter the following unique information:
Group Number: Enter special SMCS Code 791T.
Description Code: Enter 38.
Travel Expense: Total travel expenses must be entered on one line.
Vehicle Expense: Total vehicle expenses must be entered on one line.
Claim Story: Claim story should state “Travel Equipment Protection Plan” and should include the following
information:
• Original claim number and dealer code from the associated Year 1-Labor Only claim
• Locations, including the “to and from” destinations
For claiming questions, submit a ticket to the Warranty Service Desk.
08.04-02 (01/20) 7
SERVICE
EPP BULLETIN Global

Machines
Engine-Only Equipment Protection Plan

Mining Products
Overview
This bulletin addresses the engine and related components covered under the Engine-Only Equipment Protection
Plan (EPP) Mining Products for Hydraulic Mining Shovels and Surface Drills. The following major component
categories are covered under the Engine-Only EPP:
• Basic Engine – includes the following component groups:
• Long block
• Air induction/exhaust systems
• Cylinder head assembly
• Front/rear cover assemblies
• Short block
• Fuel system
• Lubrication system
• Cooling system
• Starting system
• Engine electronic control system
These components are not covered under the Engine-Only EPP Mining Products:
• Radiator
• Engine Attachments - such as alternator, starter, air compressor and air conditioning compressor
There are two important distinctions between the Engine-Only EPP coverage for Mining Products and other EPP:
• The terms, conditions and covered components of the Engine-Only EPP Mining Products are not
equivalent to the Extended Service Coverage (ESC) plains available for Cat Energy and Transportation
products.
• The Engine-Only EPP Mining Products is not a powertrain coverage plan. Covered components are
limited to the basic engine and other listed components essential for engine operation. Coverage does
not extend to drive-train systems beyond the engine or other systems necessary to propel the machine.
➤08.05-01 (04/16) ➤ Indicates change.


1
Eligibility and Available Coverage Options

Eligible product families currently include:
Product Families Eligible Models Available Engine-Only Coverage Plan(s)

All models powered by a Year 1 Labor Only
Surface Drills
Cat captive engine Year 2 & Beyond Parts & Labor
All models powered by a Year 1 Labor Only
Hydraulic Shovels
Cat captive engine Year 2 & Beyond Parts & Labor
MT Family Mining Trucks1 Not eligible None
Draglines Not eligible None
Electric Rope Shovels Not eligible None
Highwall Miners Not eligible None
Room and Pillar Not eligible None
Longwall Not eligible None
Conveyor Systems Not eligible None
1
Hard Rock Not eligible None
➤ 1 Because warranty for the total machine consist is administered in the Cat Service Claims System,
MT Family Mining Trucks (MT4400D and MT5300D/794 AC), Hard Rock Articulated Dump Trucks
(in cluding AD30, AD45, AD55, AD60) and Hard Rock Load Haul Dumps (including R1300, R1600,
R1700, R2900, R2900 XTRA) are eligible for enrollment in traditional EPP coverage offerings.
Should additional product families become eligible for Engine-Only EPP Mining Products, they will be added to
the above table in future updates. This bulletin is the authoritative source for Engine-Only EPP Mining Products
product eligibility information.
Enrollment
Standard enrollment procedures may be used. Refer to Bulletin 8.00, New Machine EPP.
In some regions, certain parts and/or components may qualify for Emissions Warranty such as in accordance with
the United States Environmental Protection Agency (US EPA) and the California Air Resources Board (ARB).
Bulletin 7.01 explains the details and reimbursements of emissions warranty and the claiming procedures for
emissions components. Emissions parts that are within the terms of emissions warranty must follow claim
procedures outlined in Bulletin 7.01.
• Bulletin 7.01 contains the list of parts that are eligible for Emissions Warranty. Unless otherwise
specified, upon expiration of the emissions warranty, these parts are included in Engine-Only EPP
Mining Products and covered against defects in material and workmanship. External lines, hoses, and
wiring harnesses are included in Engine-Only EPP Mining Products only when part of the Caterpillar
Clean Emissions Module (CEM).
• Emissions parts that are included in Engine-Only EPP Mining Products coverage but are beyond the
terms of Emissions Warranty may be claimed according to the normal Equipment Protection Plan
guidelines outlined in this EPP bulletin for the remainder of the Equipment Protection Plan term.
• The CEM is included in the Engine-Only EPP Mining Products coverage after the expiration of the
Emissions Warranty period.


Engine-Only EPP Mining Products does not cover the following:
• Operator abuse, neglect, improper or abusive use of the machine including but not limited to the failure
to perform the recommended preventative maintenance as specified in the Operation and Maintenance
(O&M) Manual
• Improper or abusive use of machine
• Wear-out and normal deterioration in performance, accelerated wear-out of components due to
operating technique or application; including but not limited to oil consumption and gasket or seal leaks
• Acts of war, vandalism, riot, theft, explosion, collision, fire and/or any other act of nature, person or
vermin
improper filters
• Modifications, unless the modifications were authorized at the request of Caterpillar and performed at
an approved repair facility
• Physical damage
usage
• Mechanical transportation or towing costs or field service travel expenses
• Loss of time, inconvenience, downtime or downtime-related expenses or other incidental or
consequential loss that results from a defect in material or workmanship
• Mechanical breakdown resulting from failure of a non-covered component
• Freight and taxes
• Any cost covered by any warranty of the manufacturer including emissions warranty or repairer’s
guarantee regardless of whether the warranty or repairer’s guarantee is honored
• Performance complaints including, but not limited to, adjustments to fuel settings or electronic unit
injectors to comply with emissions standards under Environmental Protection Agency or similar
national, federal, provincial or state law
For machines enrolled in Engine-Only EPP Mining Products, please refer to the Contractual Liability Insurance
Policy (CLIP) for a complete list of exclusions and limitations. In the event of any ambiguity, the CLIP issued
Caterpillar Insurance Company will govern. Additional information regarding the CLIP policy may be obtained
by contacting your dealership designated Warranty Manager.
08.05-01 (04/16) 3
limited to, the servicing, adjusting and/or replacing of specified components.
Engine-Only EPP Mining Products does not cover failure of any components as a result of not performing
scheduled maintenance. The dealer may be required to provide proof of compliance with the maintenance
schedules, at the time of a failure. Proof may include receipts or copies of work orders or invoices showing the
performed maintenance services.
S•O•SSM Fluid Analysis Test Results

S•O•S is not a requirement of the EPP program, other than the 6000 series Hydraulic Mining Shovels, however
it is recommended that, at the point of enrollment, S•O•S sampling begins at the first recommended interval and
continues throughout the remainder of the EPP coverage term. For the 6000 series Hydraulic Mining Shovels,
the S•O•S is a requirement of the EPP program and S•O•S sampling should begin at the first recommended
interval and continue throughout the remainder of the EPP coverage term.

Wear-out and/or deterioration are not covered by Engine-Only EPP Mining Products. The intent is not to restore
the product to a like-new condition, but rather to restore the product to its operating condition just prior to the
covered failure. The Engine-Only EPP covers only the repair or replacement of the failed component and any re-
sultant damaged parts. Other parts removed in the process of repair will be reinstalled as is, unless the customer
authorized the additional cost for their account.
Example: While performing an Engine-Only EPP Mining Products repair for a piston ring failure, the dealer
service technician notices the vee belts and coolant hoses are worn and deteriorated. He also notices some wear
(within acceptable limits) on the cylinder head valve guides. In addition to the piston ring failure, the service tech-
nician replaces the vee belts and coolant hoses, and reconditions the valve guides to avoid future downtime.
In this example the vee belts, coolant hoses and valve guide reconditioning cannot be claimed to Caterpillar
because they did not have a defect, nor were they damaged as a result of the piston ring failure. They were
repaired or replaced as a result of the customer responsibilities for assuring all recommended preventative
maintenance is performed.
NOTE: If the piston ring failed due to abuse (running without changing oil at the proper interval), the ring failure
and resultant damage would not be due to a Caterpillar defect and therefore not a covered failure.

At the bottom of each page on all Cat Parts Books (paper or electronic), is printed a four-digit numeric Service
Management Control System (SMCS) component code. These component codes are used to describe the area
of primary use for the parts and/or components listed on that page.
The SMCS component codes can be used as a mechanism for helping to determine if a failed part may be
considered part of the Basic Engine.
On the following pages are the SMCS component codes in numeric order that Caterpillar considers part of the
Basic Engine. For Engine-Only EPP Mining Products qualification, the component code listed on the parts book
page should be compared to this list of acceptable Basic Engine components.
NOTE: Sometimes a parts book page with an acceptable powertrain component code will include parts that are
not covered, or may include parts that are broken out on another parts book page. Additionally, there may be
instances of a non-acceptable component code containing parts that may qualify for powertrain coverage. For
4 08.05-01 (04/16)

Caterpillar simplified some of the SMCS component codes by phasing out and combining certain component
codes. As a result, some component codes listed on the following pages indicate in their code description to use
another component code, which is a substitute code.
For example: 1151 Cover/Housing (use 1162 or 1166)
These references which indicate use of a substitute code apply only when using the component code on a labor
expense line, if labor reimbursement is applicable. In some cases, a component code which indicates use of a
substitute code may have been canceled. Using a canceled component code on a labor expense line will cause
the entire service claim to be canceled. To avoid this, dealers should use the substitute component code, listed in
parentheses, for claiming labor reimbursement in the expenses detail section of the claim.
BASIC ENGINE
Engine
1014 Engine & Output Drive Assembly

1020 Long Block
Air Induction & Exhaust System
1052 Turbocharger Group

1053 Turbocharger Cartridge
1056 Turbocharger Cartridge Housing
1057 Exhaust Bypass Valve
1058 Inlet Manifold
1059 Exhaust Manifold
1060 Turbocharger Compressor Housing
1063 Aftercooler Group
1064 Aftercooler Core
1065 Turbocharger Turbine Housing
1066 Turbocharger Thrust Plate Assembly
106A Aftercooler Air Temperature Control (All Regions)
1070 Water Cooled Turbocharger
1071 Air line/Pipe
1073 Turbocharger Heat Shield
1076 Differential Pressure Ratio Regulator
1077 Turbocharger Shaft & Wheel Assembly
1079 Aftercooler Intake Manifold
1080 Exhaust Gas Recirculation System
1081 Boost Control Valve
1085 Hydra-Mechanical Shutoff Control
1086 Hydra-Mechanical Shutoff Drive
1096 Oxygen Sensor
08.05-01 (04/16) 5
Cylinder Head Assembly
1100 Cylinder Head Assembly (Use 1101)

1101 Cylinder Head Casting
1102 Rocker Shaft Assembly
1103 Valve Seat/Insert
1104 Valve Guide
1105 Inlet/Exhaust Valve
1106 Prechamber/Nozzle Adapter
1107 Valve Cover
1108 Valve Spring
1109 Valve Rotator
1110 Camshaft
1111 Camshaft
1112 Camshaft Bearing
1113 Camshaft Housing Assembly
1115 Water Director
1117 Threaded Insert
1118 Compression Release
1119 Jake Brake (Discontinued for EAME 01Jan12 / Discontinued for all other regions 01Jan08)
1120 Valve Cover Base
1121 Valve Bridge
1123 Rocker Arm
1124 Cylinder Head Gasket
1125 Injector Sleeve
1126 Cylinder Head Manifold
1129 Engine Brake
1150 Front & Rear Covers

1151 Cover/Housing (Use 1162 or 1166)
1155 Brakesaver Group
1156 Flywheel
1157 Flywheel Housing
1158 Flywheel Ring Gear
1159 Brakesaver Control Valve
1160 Crankshaft Front Seal
1161 Crankshaft Rear Seal
1162 Timing Gear Housing
1163 Timing Gear Housing Plate
1164 Engine Output Transfer Gear
1165 Engine Power Takeoff Drive
1166 Timing Gear Housing Cover
1167 Flywheel Housing Scavenge Pump
6 08.05-01 (04/16)
Short Block
1200 Short Block

1201 Cylinder Block
1202 Crankshaft
1203 Crankshaft Main Bearing
1204 Crankshaft Gear
1205 Crankshaft Damper/Pulley
1206 Timing/Accessory Gears
1207 Accessory Drive
1208 Push Rod
1209 Camshaft Roller/Follower/Lifter
1210 Camshaft
1211 Camshaft Bearing
1212 Camshaft Gear
1213 Piston & Liner
1214 Piston
1215 Piston Rings
1216 Cylinder Liner
1217 Liner Seat/Insert
1218 Connecting Rod
1219 Connecting Rod Bearing
1220 Balancer
1221 Spacer Plate
1222 Cylinder Block Sleeve
1223 Cylinder Block Cylinder
1224 Cylinder Block Main Bearing Bores
1225 Piston & Connecting Rod
1230 Crankshaft Main & Rod Bearings
1231 Crankshaft Counterweight
1232 Crankshaft Thrust Plate
1233 Crankcase Explosion Relief Valve
1234 Idler Gear
1237 Engine Stub Shaft
1239 Cylinder Pack
1240 Block Underframe
1241 Timing Chain/Belt
1242 Pump Drive
Fuel System
1251 Fuel Injection Pump

1252 Fuel Injection Lines
1253 Fuel Injection Pump Housing
1254 Fuel Injection Valve/Nozzle
1255 Fuel Transfer Pump Housing
1256 Fuel Transfer Pump
1257 Rack/Control Shaft
08.05-01 (04/16) 7
1259 Fuel Shutoff Solenoid

1264 Governor
1268 Speed Limiter
1272 Timing Advance
1278 Air/Fuel Ratio Control
1281 Fuel Injection Pump-Lifters
1286 Injection Pump & Governor Group
1287 Governor Housing
1288 Fuel Pump/Governor Drive
1289 Hydraulic/Hydra-Mechanical Governor
1290 Unit Injector
1292 Fuel Camshaft
1295 Auxiliary Fuel Transfer Pump
1298 Unit Injector Control Linkage
1299 Hydraulic Timing Advance (Use 1272)
1705 Variable Horsepower Control Valve/Solenoid
1714 Unit Injector Hydraulic Pump
1715 Fuel Pressure Regulator Valve
1716 Governor Actuator
1718 Fuel Pressure Sensor
Lubrication System
1302 Engine Oil Pan Group

1304 Engine Oil Pump
1306 Engine Oil Filter Housing/Base
1309 Turbocharger Lube Valve
1312 Oil Scavenge Pump
1313 Oil Pump Drive
1314 Oil Cooler Bypass Valve
1319 Prelube Pump
1329 Shutoff Valve
1330 Oil Temperature Regulator
1332 Oil Sequence Valve
Cooling System
1355 Thermostat/Regulator
1356 Fan & Fan Drive
1358 Fan Belt Tightener
1359 Fan Drive Assembly
1361 Jacket Water Pump, Drive Group
1362 Water Manifold
1363 Aftercooler Water Pump
1364 Water Pump Impeller
8 08.05-01 (04/16)
1365 Brake Oil Cooler

1366 Brake/Torque Converter Cooler
1368 Retarder Cooler
1373 Water Pump Housing
1374 Hydraulic Oil Cooler
1375 Torque Converter/Transmission Cooler
1376 Torque Converter Trans. & Hydraulic Cooler
1378 Engine Oil Cooler
1379 Heat Exchanger
1384 Water Pump Pulley
1386 Hydraulic Fan Motor
1387 Hydraulic Fan Pump
1389 Water Pump Shaft
138R Fan Reversing Valve
Starting System
1469 Prelube Starter
Engine Electronic Control System
1901 Electronic Control Module (ECM)

1902 Ratings Personality Module
1904 Transducer Module
1905 Timing Position Sensor
1906 Water Temperature Sensor
1907 Engine Speed Sensor
1908 Electronic Governor
1909 Rack Solenoid
1910 Timing Solenoid
1911 Rack Position Sensor
1912 Engine Speed/Timing Sensor
1913 Throttle Speed Sensor
1914 Machine Speed Buffer
1915 Engine Speed Control
1916 Crankcase Pressure Sensor
1917 Boost Pressure Sensor
1918 Throttle Lock Control
1919 Exhaust Temperature Sensor
1920 Engine Software
1921 Inlet Air Temperature Sensor
1922 Fuel Temperature Sensor
1923 Atmospheric Pressure Sensor
1924 Engine Oil Pressure Sensor
1925 Injection Actuation Pressure Sensor
1929 Engine Oil Temperature Sensor
192T Injection Actuator Temperature Sensor
08.05-01 (04/16) 9
Special Service Claim Categories
7729 HEUI™ Actuation
Emissions Module
These additional components are included only when used to control emissions or when part of the Caterpillar
1061 Exhaust Piping

1071 Air Lines/Pipe
108A Solenoid Valve
108B Combustion Body
108C Clean Gas Induction Cooler
108D Clean Emissions Module
108E Exhaust Combustion Lines
108F Diesel Particulate Filter (DPF)
108G Exhaust Cooler
108H Diesel Exhaust Fluid Module
108I Diesel Exhaust Fluid Injector
108J Diesel Exhaust Fluid Pump
108L Boost Pressure Line
108N Clean Gas Induction Valve
108O Exhaust Gas Recirculation High Temperature Cooler Core
108P Exhaust Back Pressure Valve
108Q Exhaust Gas Recirculation Low Temperature Cooler Core
108R NOX Reduction System Air Inlet
108S Combustion Air System
108T Diesel Exhaust Fluid Tank
108V Venturi
108M Exhaust Combustion Manifold
1091 Catalytic Converter
1274 Fuel Supply/Return Line
1335 Particle Sensor
1380 Coolant Lines
1408 Wiring Harness
1554 Coil
1702 Fuel Manifold
3206 Manifold/Metering Valve
4493 Relay
10 08.05-01 (04/16)
SERVICE

Machines
Major Components Equipment Protection Plan
Mining Products
Overview
This bulletin addresses and defines major component categories covered under the Major Components EPP Mining
Products for 6000 Series Hydraulic Mining Shovels.
Major components - includes the following component groups:
• Boom, Bucket, and Stick Cylinders
• Swivel Rotor
• Pump, Final, and Swing Drive
• Flexible Coupling
• Carrier and Track Roller
• Track Adjuster
• Idler/Idler Wheel
• Sprocket Assembly
• Swing Drive
• Swing Gear/Bearing
Also includes Basic Engine – refer to bulletin 8.05 Engine-Only EPP Mining Products for a list of basic engine
components included in Major Components EPP Mining Products.
These components are not covered under the Major Components EPP Mining Products:
• Radiator
There are two important distinctions between the Major Components EPP Mining Products and other Extended
Protection plans:
• The terms, conditions and covered components of the Major Components EPP Mining Products are not
equivalent to the Extended Service Coverage (ESC) plans available for Cat® Energy and Transportation
products.
• Major Components EPP Mining Products is not a powertrain coverage plan. Covered components are
limited to the basic engine, other listed components essential for engine operation, and major components
listed in this bulletin.
©2018 Caterpillar All Rights Reserved.

1

Available Major Components

Product Families Eligible Models
Coverage Plan(s)
Surface Drills Not eligible None
All models powered by a Cat Year 1 Labor Only
*Hydraulic Shovels
captive engine Year 2 & Beyond Parts & Labor
MT Family Mining Trucks Not eligible None
*HMS after 31Dec2018 is no longer eligible
Should additional product families become eligible for Major Components EPP Mining Products, they will be added
to the above table in future updates. This bulletin is the authoritative source for Major Components EPP Mining
Products product eligibility information.
Enrollment
emissions components. Emissions parts that are within the terms of emissions warranty must follow claim procedures
• Bulletin 7.01 contains the list of parts that are eligible for Emissions Warranty. Unless otherwise specified,
upon expiration of the emissions warranty, these parts are included in Major Components EPP Mining
Products and covered against defects in material and workmanship. External lines, hoses, and wiring
harnesses are included in Major Components EPP Mining Products only when part of the Caterpillar
• Emissions parts that are included in Major Components EPP Mining Products coverage but are beyond the
terms of Emissions Warranty may be claimed according to the EPP guidelines outlined in this EPP bulletin
for the remainder of the EPP term.
• The CEM is included in the Major Components EPP coverage after the expiration of the Emissions Warranty
period.
Major Components EPP Mining Products does not cover the following:
(O&M) Manual
2 08.06-01 (12/18)

filters
• Physical damage
For machines enrolled in Major Components EPP Mining Products, please refer to the Contractual Liability Insurance
Policy (CLIP) for a complete list of exclusions and limitations. In the event of any ambiguity, the CLIP issued by
Caterpillar Insurance Company will govern. Additional information regarding the CLIP policy may be obtained by
contacting your dealership designated Warranty Manager.
service intervals as described in the O&M Manuals. Preventative maintenance includes, but is not limited to, the
Major Components EPP Mining Products does not cover failure of any components as a result of not performing
scheduled maintenance. The dealer may be required to provide proof of compliance with the maintenance sched-
ules, at the time of a failure. Proof may include receipts or copies of work orders or invoices showing the performed
maintenance services.

continues throughout the remainder of the EPP coverage term. For the 6000 series Hydraulic Mining Shovels the
S•O•S is a requirement of the EPP program and S•O•S sampling should begin at the first recommended interval
and continue throughout the remainder of the EPP coverage term.
08.06-01 (12/18) 3

Wear-out and/or deterioration are not covered by Major Components EPP Mining Products. The intent is not to
restore the product to a like-new condition, but rather to restore the product to its operating condition just prior to
the covered failure.
The Major Components EPP Mining Products covers only the repair or replacement of the failed component
and any resultant damaged parts. Other parts removed in the process of repair will be reinstalled as is, unless
the customer authorized the additional cost for their account.
Example: While performing a Major Components EPP Mining Products repair for a piston ring failure, the dealer
(within acceptable limits) on the cylinder head valve guides. In addition to the piston ring failure, the service techni-
cian replaces the vee belts and coolant hoses, and reconditions the valve guides to avoid future downtime.
resultant damage would not be due to a Caterpillar defect and therefore not a covered failure.

At the bottom of each page on all Cat® Parts Books (paper or electronic), is printed a four-digit numeric Service
Management Control System (SMCS) component code. These component codes are used to describe the area of
primary use for the parts and/or components listed on that page.
considered part of the Major Components EPP Mining Products.
Major Components EPP Mining Products. For Major Components EPP Mining Products qualification, the
component code listed on the parts book page should be compared to this list of acceptable major components.
NOTE: Sometimes a parts book page with an acceptable major component code will include parts that are not
covered, or may include parts that are broken out on another parts book page. Additionally, there may be instances
of a non-acceptable component code containing parts that may qualify for Major Component EPP Mining Products
coverage. For clarification regarding coverage, please submit a ticket through the Warranty Service Desk.

Basic Engine - Refer to Bulletin 8.05 Engine-Only EPP Mining Products for a list of basic engine components.
4 08.06-01 (12/18)
6000 Series Hydraulic Mining Shovel Major Components

3108 - Pump Drive
3252 – Flexible Coupling
4050 – Final Drive
4154 - Carrier Roller
4157 - Track Adjuster
4159 - Idler/Idler Wheel
4164 - Sprocket Assembly
4180 - Track Roller
5060 - Swivel/Rotor
5456 - Boom Cylinder
5457 - Bucket Cylinder
5458 - Stick Cylinder
5459 - Swing Drive
545D – Clam Cylinder
7063 - Swing Gear/Bearing
08.06-01 (12/18) 5
6 08.06-01 (12/18)
SERVICE

Machines
Major Components Equipment Protection Plan
Mining Products
Effective 01DEC2019, this program is discontinued
Overview
This bulletin addresses and defines major component categories covered under the Major Components EPP Mining
Products for 6000 Series Hydraulic Mining Shovels.
Major components - includes the following component groups:
• Boom, Bucket, and Stick Cylinders
• Swivel Rotor
• Pump, Final, and Swing Drive
• Flexible Coupling
• Carrier and Track Roller
• Track Adjuster
• Idler/Idler Wheel
• Sprocket Assembly
• Swing Drive
• Swing Gear/Bearing
Also includes Basic Engine – refer to bulletin 8.05 Engine-Only EPP Mining Products for a list of basic engine
components included in Major Components EPP Mining Products.
These components are not covered under the Major Components EPP Mining Products:
• Radiator
There are two important distinctions between the Major Components EPP Mining Products and other Extended
Protection plans:
• The terms, conditions and covered components of the Major Components EPP Mining Products are not
equivalent to the Extended Service Coverage (ESC) plans available for Cat® Energy and Transportation
products.
• Major Components EPP Mining Products is not a powertrain coverage plan. Covered components are
limited to the basic engine, other listed components essential for engine operation, and major components
listed in this bulletin.
Dealer and Dealers are defined as any Cat Authorized Dealer or Cat Authorized Repair Representative..
1

Available Major Components

Product Families Eligible Models
Coverage Plan(s)
Surface Drills Not eligible None
All models powered by a Cat Year 1 Labor Only
*Hydraulic Shovels
captive engine Year 2 & Beyond Parts & Labor
MT Family Mining Trucks Not eligible None
*HMS after 31Dec2018 is no longer eligible
Should additional product families become eligible for Major Components EPP Mining Products, they will be added
to the above table in future updates. This bulletin is the authoritative source for Major Components EPP Mining
Products product eligibility information.
Enrollment
emissions components. Emissions parts that are within the terms of emissions warranty must follow claim procedures
• Bulletin 7.01 contains the list of parts that are eligible for Emissions Warranty. Unless otherwise specified,
upon expiration of the emissions warranty, these parts are included in Major Components EPP Mining
Products and covered against defects in material and workmanship. External lines, hoses, and wiring
harnesses are included in Major Components EPP Mining Products only when part of the Caterpillar
• Emissions parts that are included in Major Components EPP Mining Products coverage but are beyond the
terms of Emissions Warranty may be claimed according to the EPP guidelines outlined in this EPP bulletin
for the remainder of the EPP term.
• The CEM is included in the Major Components EPP coverage after the expiration of the Emissions Warranty
period.
Major Components EPP Mining Products does not cover the following:
(O&M) Manual
2 08.06-02 (11/19)

filters
• Physical damage
For machines enrolled in Major Components EPP Mining Products, please refer to the Contractual Liability Insurance
Policy (CLIP) for a complete list of exclusions and limitations. In the event of any ambiguity, the CLIP issued by
Caterpillar Insurance Company will govern. Additional information regarding the CLIP policy may be obtained by
contacting your dealership designated Warranty Manager.
service intervals as described in the O&M Manuals. Preventative maintenance includes, but is not limited to, the
Major Components EPP Mining Products does not cover failure of any components as a result of not performing
scheduled maintenance. The dealer may be required to provide proof of compliance with the maintenance sched-
ules, at the time of a failure. Proof may include receipts or copies of work orders or invoices showing the performed
maintenance services.

continues throughout the remainder of the EPP coverage term. For the 6000 series Hydraulic Mining Shovels the
S•O•S is a requirement of the EPP program and S•O•S sampling should begin at the first recommended interval
and continue throughout the remainder of the EPP coverage term.
08.06-02 (11/19) 3

Wear-out and/or deterioration are not covered by Major Components EPP Mining Products. The intent is not to
restore the product to a like-new condition, but rather to restore the product to its operating condition just prior to
the covered failure.
The Major Components EPP Mining Products covers only the repair or replacement of the failed component
and any resultant damaged parts. Other parts removed in the process of repair will be reinstalled as is, unless
Example: While performing a Major Components EPP Mining Products repair for a piston ring failure, the dealer
(within acceptable limits) on the cylinder head valve guides. In addition to the piston ring failure, the service techni-
cian replaces the vee belts and coolant hoses, and reconditions the valve guides to avoid future downtime.
resultant damage would not be due to a Caterpillar defect and therefore not a covered failure.

Management Control System (SMCS) component code. These component codes are used to describe the area of
primary use for the parts and/or components listed on that page.
considered part of the Major Components EPP Mining Products.
Major Components EPP Mining Products. For Major Components EPP Mining Products qualification, the
component code listed on the parts book page should be compared to this list of acceptable major components.
NOTE: Sometimes a parts book page with an acceptable major component code will include parts that are not
covered, or may include parts that are broken out on another parts book page. Additionally, there may be instances
of a non-acceptable component code containing parts that may qualify for Major Component EPP Mining Products
coverage. For clarification regarding coverage, please submit a ticket through the Warranty Service Desk.

Basic Engine - Refer to Bulletin 8.05 Engine-Only EPP Mining Products for a list of basic engine components.
4 08.06-02 (11/19)
6000 Series Hydraulic Mining Shovel Major Components

3108 - Pump Drive
3252 – Flexible Coupling
4050 – Final Drive
4154 - Carrier Roller
4157 - Track Adjuster
4159 - Idler/Idler Wheel
4164 - Sprocket Assembly
4180 - Track Roller
5060 - Swivel/Rotor
5456 - Boom Cylinder
5457 - Bucket Cylinder
5458 - Stick Cylinder
5459 - Swing Drive
545D – Clam Cylinder
7063 - Swing Gear/Bearing
08.06-02 (11/19) 5
6 08.06-02 (11/19)
SERVICE
Equipment Protection Plan (EPP) Americas North
Machine
➤ This program is discontinued as of January 1, 2018

Forestry 3-2-1 / 4-3-2-1 EPP Program
IMPORTANT PROGRAM CHANGE! Beginning with machines delivered on or after January 1, 2016, the 3-2-1 / 4-3-2-1
program no longer includes Year 1-Labor Only coverage bundled with the program enrollment. Dealers may purchase
and separately enroll such machines for stand-alone Year 1-Labor Only coverage at any desired level of coverage
(Powertrain, Powertrain + Hydraulics or Premier).
Overview
Cat® Forestry Products and Cat Financial Insurance Services are pleased to offer a unique combination of
extended coverages designed to meet the needs of the North American forestry industry. This packaged coverage
plan is available for specific machine models within the following product families:
 C-series and D series Knuckleboom Loaders
 C-series and D series Wheel Feller Bunchers
 D-series Wheel Skidders
 C-series Site Prep Tractors.
The available combination of coverages is the same for all four product families with one notable exception:
the Hitch Coverage (described later in this bulletin) does not apply to Knuckleboom Loaders. The remainder
of this bulletin provides information on eligible models, terms and types of coverages, enrollment and upgrade
considerations, claim submission and reimbursement provisions.
Model Eligibility, Coverage Plan Structure and Enrollment

Eligible Models
The Forestry 3-2-1 / 4-3-2-1 EPP Program (hereafter: 3-2-1 / 4-3-2-1 program) is available for the following specific
models of new Cat and Prentice brand machines:
 Knuckleboom Loaders
 Cat 559C and 579C
 Prentice 2384C and 2484C
 Cat 559D and 579D
 Prentice 2384D and 2484D


1
 Wheel Feller Bunchers

 Cat 553C, 563C and 573C
 Prentice 2470C, 2570C and 2670C
 Cat 563D and 573D
 Prentice 2570D and 2670D
 Wheel Skidders
 Cat 525D, 535D, 545D and 555D
 Site Prep Tractors
 Cat 586C
 Prentice 2864C
Certain non-serialized Cat and Prentice brand attachments (delimbers and grapples), when factory-installed and/
or shipped with the machine and warranted under the carrier machine’s factory warranty are considered a part of
the machine consist and are included in the EPP coverage plan for components identified in the applicable Global
Warranty Service Guide bulletins referenced later in this document. Trailers, ground-saws, and non-CTR/Prentice
brand attachments are not included in this program.
Serialized Forestry Work Tools, covered under the Cat Work Tools factory warranty statement are independent
prime products separate from the carrier machines to which they are attached. They are eligible for enrollment in
the Forestry Work Tool EPP program and therefore not included in the 3-2-1 / 4-3-2-1 program, whether or not
they are shipped with an eligible machine. These products include Cat, Prentice and SATCO brand felling and
harvester heads and serialized Cat forestry grapples, as well as the BR624 Brushcutter and HM825 Mulcher. Refer
to the Global Warranty Service Guide, Bulletin 8.09, Section 4 for detailed information regarding available EPP
coverages for serialized Forestry Work Tools.
3-2-1 / 4-3-2-1 Program – Coverage Plan Structure

All enrolled machines are provided with the following three layers of coverage:
24 months / 4000 hours
POWERTRAIN + HYDRAULICS Coverage
Parts and Labor
STRUCTURES + MAIN FRAME Coverage
HITCH Coverage*
*HITCH Coverage is not applicable to Knuckleboom Loaders enrolled in the program.
IMPORTANT NOTE: Beginning with machines delivered on or after January 1, 2016, the 3-2-1 / 4-3-2-1 program
no longer includes Year 1-Labor Only coverage bundled with the program enrollment. Dealers may purchase and
separately enroll such machines for stand-alone Year 1 Labor Only coverage at any desired level of coverage
(Powertrain, Powertrain + Hydraulics or Premier).
The chart below is provided to assist you with understanding how the 3-2-1 / 4-3-2-1 program applies based on
the product family and machine delivery dates.
DELIVERY ON/BEFORE DELIVERY ON/AFTER

DEC 31, 2015 JAN 1, 2016
KBL WFB-WSK-SPT KBL WFB-WSK-SPT
YEAR 1 - LABOR ONLY (PREMIER LEVEL CVG) 1 1 2 2
24 MOS/4000 HRS - POWERTRAIN + HYDRAULICS    
36 MOS/6000 HRS - STRUCTURES + MAIN FRAME    
48 MOS/8000 HRS - HITCH N/A  N/A 
2 08.07-03 (11/17)
= included  = not included N/A = not applicable

1 For machines delivered prior to 1/1/2016, the Year 1 Labor Only Premier coverage is also applicable to serialized or
non-serialized attachments shipped with the base machine. For serialized attachments, coverage beyond Year 1 requires
enrollment in the Forestry Work Tools coverage program.
2 See IMPORTANT NOTE above. May be dealer-enrolled for Year 1 Labor Only EPP either individually or added to dealer’s
auto-enrollment profile.
Enrollment and Coverage Validation

By agreement between Cat Forest Products and Cat Financial Insurance Services, every eligible machine will be
automatically enrolled in the 3-2-1 / 4-3-2-1 program. Caterpillar will continuously monitor and identify eligible units
which have been delivered to end-user customers and will promptly enroll those units into the program. Eligible,
non-serialized attachments are considered part of the enrolled machine’s consist and do not require a separate
enrollment for any applicable coverage in this program (see Eligible Models section above).
As with all EPP-covered machines, dealers can verify enrollment of program-eligible machines through the
Caterpillar Service Information Management System (SIMSi) web site at https://sims.cat.com. The product coverage
and customer information screens will show the coverage start date (machine delivery date), the coverage details,
and the customer’s name and address.
NOTE: The automatic enrollment of machines began with KBL deliveries on or after July 1, 2013 and WFB/WSK/
SPT deliveries on or after July 1, 2014. Any program-eligible machine models delivered prior to these dates which
were not enrolled by the dealer may be considered for late enrollment, subject to the EPP enrollment requirements
for all other Caterpillar machines. Dealers must request such consideration by contacting Cat Financial Insurance
Services at EquipmentProtectionPlan@cat.com for further assistance.
Coverage Description and Claim Submission

Common Terms and Conditions of Coverage
Enrollments in the 3-2-1 / 4-3-2-1 program are subject to all of the terms and conditions applicable to the New
Machine EPP Program. These common terms and conditions are detailed in the Caterpillar Global Warranty
Service Guide, New Machine EPP Bulletin 8.00 (previously 5.35). These terms and conditions include, but are not
limited to:
 Exclusions & Limitations
 Customer Responsibilities
 Wear Out & Extent of Coverage
 Emissions Components
 Coverage for Parts Replaced under EPP
 Claiming Practices for Product Improvement Programs and Product Support Programs (PIP/PSP) on
Machines Covered by the New Machine EPP
NOTE: Where any terms and conditions of this bulletin (8.07) differ from those of warranty bulletins referenced
elsewhere herein, the provisions of this bulletin (8.07) shall apply.
Components Covered
Components covered by the Powertrain + Hydraulics segment of the 3-2-1 / 4-3-2-1 program are defined in the
following warranty and machine EPP bulletins which may be referenced in the Global Warranty Service Guide at
https://warranty.cat.com.
 Bulletin 2.01 – Machines (Standard Factory Warranty)
 Bulletin 2.02 – GWTS and BCP Work Tools
 Bulletin 8.01 – Powertrain Equipment Protection Plan (previously bulletin 5.30)
 Bulletin 8.02 – Hydraulic Equipment Protection Plan (previously bulletin 5.31)
08.07-03 (11/17) 3
Structures + Main Frame covered component groups include the following (one or more of the following
component groups may not be applicable on a particular machine):
 Boom Structure – excludes bearings, pins, boss, bolts, spacers, washers and nuts.
 Stick Structure – excludes bearings, pins, bolts, washers and nuts.
 Front, Rear, Upper and Lower Frame Structure – excludes handhold/steps, platforms, fender/mountings,
hood/guards, stabilizers (and cylinders), bolts, washers and nuts.
 Swing gear and bearing – excludes hoses, clips, bolts, spacers, washers and nuts.
 Arch
Hitch covered components include part numbers under the Hitch Group:
 Hitch Group
Wear items such as knives, teeth, rotary ax blades, saw bars, saw blades, saw chains, and saw teeth are not covered.
Claim Field Information: 3-2-1 / 4-3-2-1 Program

The dealer should claim for repair expense reimbursement under the 3-2-1 / 4-3-2-1 program in the same manner
as other New Machine EPP programs. All claims for covered repairs of the base machine and/or included, non-
serialized attachments must be submitted under the base machine serial number. In addition to standard EPP
claiming practice, the following unique requirements must be met:
Claims for repairs to the base machine:
Product ID: Enter base machine serial number
Part Causing Failure: Enter applicable part number
Group No: Enter the 7-character group number as given in SISWeb
Delivery Date: Leave blank
Claims for repairs to covered, non-serialized attachments:
Product ID: Enter base machine serial number
Part Causing Failure: Enter part number SP0857
Group No: Enter Group Number 6321
Delivery Date: Leave Blank
PD/DC Code: Enter Code 49
Related Serial No: Enter the component serial number of the covered attachment (if applicable)
Parts Detail: Other than Cat parts should be claimed on a miscellaneous line in the detail section, using
the description CFPPRT.
Claim Story: Claim story should state “Cat/Prentice attachment enrolled in 3-2-1 / 4-3-2-1 EPP”. Specify
if unit is a delimber or grapple. Include in the claim story a list of Prentice parts and part numbers used for
the repair.
Claims for repairs to covered, serialized attachments:
(Applicable only to serialized attachments included in Year 1-Labor Only, Premier coverage of base machines
delivered prior to 1/1/2016)
Product ID: Enter the attachment serial number
Part Causing Failure: Enter the applicable part number
Group No: Enter the 7-character group number as given in SISWeb
Delivery Date: Leave blank
4 08.07-03 (11/17)

By agreement between Cat Forestry Products and Cat Financial Insurance Services, repair claims under the
3-2-1 / 4-3-2-1 program will have dealer reimbursement levels in accordance with the following Summary of
Reimbursement Practices chart. In addition, all program enrollments are subject to the dealer reimbursement
practices outlined in Global Warranty Bulletin 1.02.

Expense Item Allowance & Rate
Parts (during warranty period) Reimbursed under the machine warranty.
Parts (after warranty, during EPP term) Reimbursable at D/N +25%
Service Items (during warranty period) Reimbursable at (D/N).
Service Items (after warranty, during EPP term) Reimbursable at D/N +25%
Reimbursable at the dealer’s registered Sell Rate unless
Repair Labor (during warranty period)
otherwise specified.
Parts Salvage Labor Reimbursable at warranty cost labor rate, if allowed.
Overtime labor rate, hauling costs, freight charges,

Not reimbursable
travel time and mileage, meals and lodging
08.07-03 (11/17) 5
6 08.07-03 (11/17)
SERVICE

Machines
Equipment Protection Plan

➤ Effective and Applicable to Work Tools with Delivery Dates
Prior to 1JAN2018
Overview
This bulletin addresses the components that are covered under the Hydromechanical Work Tools Equipment
Protection Plan (Work Tool EPP). Tool categories eligible for enrollment in this program include:
• Multi-processors, Grapplers, Pulverizers, Crushers, Shears, and Tiltrotators (Section 1)
• Hammers (Section 2)
• BCP Work Tools (Section 3)
• Auger, Brushcutter, Mulcher, Stump Grinder, Angle Broom, Pickup Broom, Utility Broom,
Cold Planer, Vibratory Compactor (Roller), Wheel Saw, and Flail Mowers.
• Forestry Work Tools (Section 4)
• Felling Heads, Harvester Heads, Forestry Grapples, Forestry Mulchers and Delimbers
The following Program Guidelines are applicable to all eligible work tool categories. For ease of
reference, covered component details have been listed in separate sections as identified above.
No other Work Tool families are eligible for enrollment in program.
Program Guidelines
The Hydromechanical Work Tool EPP offers reimbursement for parts and/or labor cost for failure caused by
defect in material and workmanship as defined in Warranty Bulletin 1.01. For program eligibility, the work
tool life cycle must adhere to the required work tool operation and maintenance intervals documented in the
Operation and Maintenance Manual (OMM).
Enrollment in Work Tool EPP is limited to serialized and scored tool models. Claims under this program should
be submitted against the scored Work Tool's serial number. Refer to Warranty Bulletin 8.00, New Machine
Equipment Protection Plan.

© 2017 Caterpillar All Rights Reserved

EPP Hydromechanical Work Tools

Work Tool EPP provides reimbursement for dealer labor for covered failures occurring during the Work Tool
Standard Warranty period. Beyond the Work Tool Standard Warranty period, the EPP program provides
reimbursement for parts and labor costs for covered failures occurring during the remainder of the enrolled
coverage period.
EPP Period
The coverage period starts from the product delivery date to the first customer or into the dealer rental fleet
and includes the Caterpillar Standard Work Tool Warranty period. Coverage under EPP does not change the
Caterpillar Standard Work Tool Warranty reimbursement rates. EPP expires when the length of time is reached.
The Hydromechanical Work Tool EPP does not cover any of the following:
1. Any coverage not identified and not enrolled in the manufacturer’s enrollment program.
2. Lubricants and maintenance kits.
3. Operator abuse or neglect, including but not limited to the failure to perform the recommended preventative
maintenance as specified in the OMM.
4. Damage caused by failure to follow maintenance or repair procedures as specified in the OMM, to include
but not limited to welding procedures.
5. Applications not approved by the manufacturer, including but not limited to steel mill, underwater, scaling,
and tunneling.
6. Improper or abusive use of the Work Tool.
7. Operating at performance settings other than the standard manufacturer specification.
8. Operation beyond the design and/or capacity of the Work Tool including but not limited to:
• Oil flow in excess of the Work Tool operating specifications
• Contaminated or overheated oil from the carrier machine
• Prying, striking, or lifting when not the Work Tool’s design intent
• Hammer blank firing
• Demolition of concrete structures with the demolition and sorting grapple
• Shearing of material that exceeds limits as specified in the OMM
9. Operating Work Tools with improper fluid levels or contaminated fuel, fluids or filters.
10. Wear-out and normal deterioration.
11. Chemical corrosion and physical or mechanical erosion.
12. Acts of war, vandalism, riot, theft, explosion, collision, fire and/or any other act of nature, person or vermin.
13. Modifications, unless the modifications were authorized at the request of Caterpillar and performed at an
approved repair facility, including but not limited to welding to add buildup material or hard surfacing.
14. Physical Damage.
15. Damage to the carrier machine caused by the Work Tool.
16. Loss of time, inconvenience, downtime or downtime-related expenses, or other incidental or consequential
17. Performance complaints not due to defect in material or workmanship.
18. Storage or miscellaneous shop supply charges.
19. Freight and taxes.
20. Costs covered by any warranty of the manufacturer or repairer’s guarantee regardless of whether they honor
such warranty or guarantee.
The Hydromechanical Work Tools EPP does not cover failure of any components as a result of not performing
scheduled maintenance. The dealer may be required to provide proof of compliance with the maintenance
schedules at the time of a failure. Proof may include receipts or copies of work orders or invoices showing the
performed maintenance services.
2 08.09-05 (08/17)

Wear-out and/or deterioration are not covered by the Hydromechanical Work Tools EPP. The intent is not to
restore the product to a like-new condition, but rather to restore the product to its operating condition just prior
to the covered failure.
The Hydromechanical Work Tools EPP covers only the repair or replacement of the failed component and
any resultant-damaged parts. Other parts removed in the process of repair will be reinstalled as is, unless
Example: While performing a hammer inspection and reseal, the dealer technician notices worn or damaged
hydraulic hoses, top buffer, side buffer, wear plates or cracks on housing. He also notices the wear on
upper bushing, lower tool bit bushing, retainer pins, thrust bushing or auto lube system and replaces these
components to avoid further downtime.
In this example, the components identified as worn or damaged cannot be claimed to Caterpillar, because
they did not have a defect and are worn as a result of operation. They were repaired or replaced as a
result of the customer responsibilities for assuring all recommended operational methods are used and
preventative maintenance is performed per schedules.
specified service intervals as described in the OMM.

At the bottom of each page on all Cat® Parts Books (paper or electronic), is printed a four-digit numeric SMCS
component code. These component codes are used to describe the area of primary use for the parts and/or
components listed on that page. The SMCS component codes can be used as a mechanism for helping to determine
if a failed part may be considered part of the work tool.
On the following pages are the SMCS component codes in numeric order that Caterpillar considers part of each
work tool.
NOTE: Sometimes a parts book page with an acceptable work tool component code may include parts that are
not covered, or may include parts that are broken out on another parts book page. Additionally, there may be
instances of a non-acceptable component code containing parts that may qualify for work tool coverage.
Covered Components
On the following pages are the components eligible for coverage. Lists are all-inclusive for the applicable
family of Work Tools, resulting in some identified components being applicable only to certain models. For
clarification regarding coverage, please submit a ticket to the Warranty Service Desk.
Section 1 - Multi-Processors, Grapples, Pulverizers, Crushers, Shears, and

Tiltrotators
Multi-processor
The following major component categories are covered in the Multi-processor EPP: frame, cylinder, rotator,
swivel, hoses, and pins. EPP does not cover wear parts including but not limited to jaws, crusher tooth,
cutter and cutting edge.
• 5051 Hydraulic Control Valve
• 5057 Hose
• 5060 Swivel
• 5082 Motor
• 5264 Valve
• 5325 Speed Control Valve
• 5362 Work Tool Cylinder
• 6326 Rotator
• 6348 Multi Processor
08.09-05 (08/17) 3
Demolition, Sorting, and Contractor Grapple

The following major component categories are covered in the Demolition and Sorting Grapple EPP: housing,
shell, push bar, cylinder, rotator, swivel, hoses, bearings and bushings. EPP does not cover wear parts
including but not limited to cutting edges.
• 5057 Hose
• 5060 Swivel
• 5082 Motor
• 5117 Pressure Control/Relief Valve
• 5362 Cylinder
• 6307 Grapple
• 6326 Rotator
• 7063 Swing Gear/Bearing
Orange Peel Grapple
The following major component categories are covered in the Orange Peel Grapple EPP: shells, cylinders,
rotator, hoses and pivot pins. EPP does not cover wear parts including but not limited to tips.
• 5057 Hose
• 5060 Swivel
• 5082 Motor
• 5264 Hydraulic Manifold
• 5362 Cylinder
• 6307 Grapple
• 6326 Rotator
Clamshell Grapple
The following major component categories are covered in the Clamshell Grapple EPP: shells, cylinders, rotator,
and hoses. EPP does not cover wear parts including but not limited to tips.
• 5057 Hose
• 5362 Cylinder
• 6307 Grapple
• 6326 Rotator
• 6801 Shell
Hydraulic Pulverizer
The following major component categories are covered in the Hydraulic Pulverizer EPP: housing, jaw, cylinder,
bushings, and hoses. EPP does not cover wear parts including but not limited to crusher and ripper teeth and
cutting edges.
• 5057 Hose
• 5325 Valve
• 5362 Cylinder
• 6345 Concrete Pulverizer
• 6349 Jaw
Hydraulic Concrete Crusher and Hydraulic Shear
The following major component categories are covered in the Hydraulic Concrete Crusher EPP: housing, jaw,
cylinder, rotator, hoses, and bushings. EPP does not cover wear parts including but not limited to crusher and
ripper teeth, and cutting edges.
• 5051 Hydraulic Control Valve
• 5057 Hose
• 5060 Swivel
• 5082 Motor
4 08.09-05 (08/17)
• 5325 Valve
• 5362 Cylinder
• 6326 Rotator
• 6344 Hydraulic Shear
• 6345 Concrete Pulverizer
• 6349 Jaw
Tiltrotator
The following major component categories are covered in the Tiltrotator EPP: bearings, hoses, manifolds,
motors, valves, and cylinders. EPP does not cover wear parts.
• 5057 Hose
• 5082 Motor / Rotator
• 5264 Hydraulic Manifold
• 5104 Tilt Cylinder
• 5362 Grapple Cylinder
• 6307 Grapple
Additional Multiprocessor Customer’s Responsibilities

The customer is responsible for preventive maintenance that includes, but is not limited to bushing lubrication,
rotator gear and bearing lubrication and rotator head bolt inspection.
Multi-processor
The customer is responsible for preventive maintenance that includes, but is not limited to, bushing
lubrication, rotator gear and bearing lubrication and rotator head bolt inspection.
Demolition, Sorting and Contractor Grapple
The customer is responsible for preventive maintenance that includes, but is not limited to, bearing and
bushing lubrication, rotator gear and bearing lubrication and rotator head bolt inspection.
Orange Peel Grapple
The customer is responsible for preventive maintenance that includes, but is not limited to pivot pin
lubrication, rotator gear and bearing lubrication and rotator head bolt inspection.
Hydraulic Pulverizer
The customer is responsible for preventive maintenance that includes, but is not limited to bushing lubrication.
Hydraulic Crusher and Hydraulic Shear
The customer is responsible for preventive maintenance that includes, but is not limited to bushing lubrication,
rotator gear and bearing lubrication.
Section 2 - Hydraulic Hammers

The following are the major components covered under the Hydraulic Hammer EPP:
• Accumulator
• Valve body
• Piston
• Cylinder or Cylinder Sleeve
• Seal Carrier
• Front Head
• Distributor
08.09-05 (08/17) 5
Note: Other groups / components not identified above, or not included within the images shown within the
“Hammer Components” section, are not covered by Hammer EPP.
Excluded Components from within groups / assemblies noted above:
• Seals, Membranes, O-Rings, Plugs
• Wear Components and Bushings
• Valve Body: Components utilized for directional control of oil flow
Other Ineligible Components Include (but are not limited to):
• Hammer Housing
• Tie Rods, Nuts, and Related Parts
• Tool Bit, Tool Bit Retention Systems, Tool Bit Bushings
Hammer Components
H35E - H65E H75E - H95E H110E - H180E
6 08.09-05 (08/17)
Additional Hammer Customer Responsibilities

Preventative maintenance includes, but is not limited to the servicing, adjusting and/or replacing of specified
components: greasing every two hours with Cat hammer grease, or any equivalent hammer grease, is acceptable,
removal of the tool bit for inspection of the lower tool bit bushing every 50 hours, rotating or replacing the bushing
based on wear measurements, resealing every 1000 machine hours or one year, whichever comes first, and
proper storage when not in use.
The hammer must be stored in a vertical position with hydraulic ports capped and the exposed piston area coated
with anti-rust compound to prevent rust and corrosion. The proper oil quality and filter replacement schedule are
required. If the hammer is moved to a different carrier machine that carrier machine must be validated for correct
hydraulic specifications.
08.09-05 (08/17) 7
Section 3 - BCP Hydromechanical Work Tools

General Covered Components
The following components are included within EPP coverage. Reference each Work Tool’s “Included Groups /
Assembles” section for additional component coverage detail.
• Hydraulic motors
• Hydraulic cylinders
• Hydraulic valves
• Final drive components and bearings
General Component Exclusions

The components listed below, and resultant damage due to failure of these components, are excluded from EPP
coverage for all Work Tools identified within this bulletin:
• Wear parts including (but not limited) to Blades, Teeth, Tips, Cutting edges, Bristles, etc.
• Plates and Covers
• Hydraulic Hoses / Groups
• Seals, O-Rings, and Gaskets (and Related Groups or Kits)
• Grease Fittings
• Plugs / Ports / Related Assemblies
• Bolt Studs
Brushcutter
The following major component categories are covered in the Brushcutter EPP:
• Drive Group and related Hardware
Additional Excluded Components from within Groups / Assemblies Noted Above
• Blade Mounting Pin
• Carrier Assembly
• Blade
Stump Grinder
The following major component categories are covered in the
Stump Grinder EPP:
• Hydraulic Cylinder Groups - Swing, Extension and Depth
• Motor Group – Gerotor
• Control Manifold Group (to include Valve Groups / Assemblies)
• Hardware related to above components
8 08.09-05 (08/17)
Mulcher
The following major component categories are covered in
the Mulcher EPP:
• Mulching Head - Drive Group
• Mulching Head Arrangement - Rotary Cutter Group
• Mulching Head Group – Rotary Cutter Drum Group
• Mulching Head – Hydraulic Group, and Piston
Mulching Head Mulching Head Arrangement

Frame Group
Drive Group Rotary Cutter Group
• Belt Tensioner Plate and Hardware • Hoses and Hardware • Pins and Hardware
• Belt Drive and Hardware
• Pulley Adapters and Hardware
• Hose Assemblies and Hardware
• Housing Plate Assembly and Hardware
Angle Broom (Hydraulic & Manual) (effective 01Jan2015)

The following major component categories are covered in the Angle Broom EPP:
• Drive Motor Group
• Drum Bearing
• Hydraulic Angle Broom: Control Manifold Group (to include Valve Groups / Assemblies)
• Hydraulic Angle Broom: Hydraulic Cylinder Group
Flail Mowers
The following major component categories are covered in the Flail Mower EPP:
• Drive Group
• Rotary Cutter Drum Group
• Hydraulic Group, and Piston
08.09-05 (08/17) 9
Drive Group Drum Group

• Belt Tensioner Plate and Hardware • Roller and Installation Hardware
• Belt Drive and Hardware
• Pulley Adapters and Hardware
• Hose Assemblies and Hardware
• Housing Assemblies and Hardware
Cold Planer
PC104B & 205B PC305B – PC14B
The following major component categories are covered in the Cold Planer EPP:
• Cylinder and Mounting Groups – Depth, Side shift, Rotate
• Leveler Spring & Mounting Group (PC104B and PC205B)
• Drive Group
• Manifold Control Group & Control Valves / Groups
• Pressure Gauge Indicator Group (PC412)
• Manual Depth Adjuster

• Depth Cylinder Rod Mounting Block (PC104B and PC205B)
• Depth Indicator
• Connectors, Connector Assemblies
10 08.09-05 (08/17)
Pickup Broom (effective 01Jan2015)

The following major component categories are covered in the Pickup Broom EPP:
• Drive Motor Group

• Drum Bearing
Augers
The following major component categories are covered in the Auger EPP:
• 5904 – Motor
• 5904 – Gearbox (A19 & A26 Models)
• 6282 – Drive Group
• 4054 – Bearings
A19 A7/A14 A26
Bearings Motor Drive Group

• Spacer • Bolts, Washers, Nuts • Connecting Lines
• Plate • Chassis, Hub, Retaining Ring • Bolts, Washers, Nuts, and Pin
• Nut • Seals, O-Rings, and Seal Kits • Plate and Film
• Hub • Sealant, Seal Oil, Plug, and Pin • Bracket and Frame
• Shaft • Housing and Grease Fitting • Grease Fitting
• Grease Fitting • Shaft • Retaining Ring & Plate
08.09-05 (08/17) 11
Utility Broom
The following major component categories are covered in the Utility Broom EPP:
• Brush Group Housing Assembly

• Brush Group Bearing
• Motor Group – Gerotor
Vibratory Drum Compactor

The following major component categories are covered in the Vibratory Drum Compactor EPP:
• Motor Group
• Drive Shaft Housing Group & Components
• Drum Support Group Bearing
Wheel Saw
The following major component categories are covered in the Wheel Saw EPP:
• Piston Motor Group
• Cylinder and Mounting Groups – Depth, Side Shift, and Trench Cleaner
• Manifold Control Group (and related Valves / Valve Groups)
• Gauge Group
12 08.09-05 (08/17)
Section 4 – Forestry Work Tools

General Covered Components
The following components are included within Forestry Work Tools EPP coverage for all eligible families.
• Hydraulic Motor Groups
• Hydraulic Cylinder Groups
• Hydraulic Accumulator Groups
• Hydraulic Hoses
• Hydraulic Valve and Manifold Groups
On eligible Feller Heads, Harvester Heads and Forestry Grapples, the following major component categories are
covered under Work Tools EPP:
• Rotator Group
• Swivel Group
• Feed Roller Arm Group
• Grapple Arm Group
• Harvester Head Control Group
• Frame Group
• Damper Group
• Chain Saw and Tensioner Group
Component Exclusions
The components listed below, and resultant damage due to failure of these components, are excluded from EPP
coverage for Forestry Work Tools:
• Wear parts including (but not limited) to Blades, Knives, Teeth, Tips, Cutting edges
• Plates and Covers
• Work Tool Adapter Group
• Linkage Group
• Delimber Knives
• Chain Saw Bars/Chains
• Disc Saw Teeth
08.09-05 (08/17) 13
SERVICE
➤ Equipment Protection Plan Global

Machines
Hydraulic and Technology
(Cat® Connect Productivity Solutions)
Equipment Protection Plan (EPP)
Overview
This coverage bulletin defines the hydraulic & technology components that are covered under various new, used and
rebuild equipment programs offered through Caterpillar. This bulletin defines certain components that are covered
under Hydraulic and Technology Equipment Protection Plan (EPP) for the following Cat® Connect Productivity
Solutions: Compact, Grade, Link, and Payload.
Refer to the Standard Machine Warranty and applicable program bulletins for covered component failures during the
standard warranty period and refer to this Hydraulic and Technology EPP for covered component failures during the
EPP coverage period.
Components Covered Under Hydraulic and Technology EPP

manufacturer workmanship. Repairs must be completed by a Cat authorized dealer.
caused by failure of a non-covered component (including Yellowmark™, A Caterpillar Brand, and Cat® Classic
brand parts) are not eligible.
Hydraulic and Technology EPP includes the components covered by Powertrain EPP (Bulletin 8.01), Hydraulic
EPP (Bulletin 8.02), and certain Cat Connect Productivity Solutions components identified by this bulletin.
See the Parts Book Component Codes section below.


1
Components Excluded Under Hydraulic and Technology EPP

The following are components commonly mistaken as covered Technology Components. The following
components are excluded:
• All Powertrain exclusions in Bulletin 8.01 and Hydraulic Bulletin 8.02 apply
• Elective software updates that are not required to maintain the current operating condition of the machine
• Technology components installed after delivery to the end customer
• Technology that is considered aftermarket, covered by other warranty statements, or covered by another
manufacturer warranty. Example: Trimble’s Accugrade product
• Software flashing for technology listed unless performed by an authorized dealer to fix a defect in material
and manufacturer workmanship

Hydraulic and Technology EPP does not cover the following:
• Operator abuse, neglect, improper or abusive use of the equipment including, but not limited to, the failure to
perform the recommended preventive maintenance as specified in the applicable Caterpillar manuals, including the
Operation and Maintenance Manual (OMM)
• Wear-out and normal deterioration in performance, accelerated wear-out of components due to operating technique
or application; including, but not limited to, oil consumption and gasket or seal leaks
• A mechanical breakdown caused by, or a result of, acts of war, vandalism, riot, theft, explosion, collision, fire and/or
any other act of nature, person or vermin
• Operating equipment with improper, contaminated, or improper levels of fuel or fluids, or the use of improper filters
• Modifications, unless the modifications were authorized at the request of Caterpillar and performed at an approved
repair facility
• Replacement, adjustments, or alignment or any part not covered by this agreement, lube oils, grease, coolant,
or air conditioner refrigerant, alternator, starter, air compressor, air conditioner, compressor, and other bolt-on
attachments, unless required in conjunction with the repair of a covered part
gaskets
• Mechanical transportation or towing costs or field service travel expenses, unless Travel EPP (Americas North,
EAME) is purchased. See bulletin 8.04
• Loss of time, inconvenience, downtime or downtime-related expenses or other incidental or consequential loss that
results from a defect in material or workmanship
• Freight
• Taxes
2 08.10-03 (11/19)
• Performance complaints including, but not limited to, adjustments to fuel settings or electronic unit injectors to
comply with emissions standards under Environmental Protection Agency or similar national, federal, provincial or
state law
• Any costs incurred for the manufacturer to comply with emissions standards under the Environmental Protection
Agency or similar national, federal, provincial or state law
• Failure to use fuels and lubricants that meet or exceed the minimum specification requirements of the manufacturer
as specified in the OMM or other technical bulletins
• Failure of and resultant damage caused by: attachments, implements, work tools and modifications, including both
serialized or non-serialized Cat products added to the equipment. Examples include but are not limited to: booms,
sticks, buckets, screeds, winches, augers, ground engagements, hitches, etc. Separate and optional EPP coverage
may be available for certain products outside of the scope of this EPP
• Non-serialized Work Tools and other attachments shipped with the equipment are generally excluded from EPP
coverage unless specifically identified as covered components within applicable warranty statement
• Components or Systems Covered by Other Caterpillar Warranty Statements and are therefore excluded from EPP.
Examples include, but are not limited to:
• Batteries
• Cat Work Tools
• Cat Tires
• Yellowmark™
Premier Coverage. If an Original Equipment Manufacturer (OEM) other than Caterpillar has a warranty in place
for the equipment, claims should be filed and settled with that OEM prior to submitting supplemental EPP claims.
• Ag Products
• Trimble
components.
08.10-03 (11/19) 3

the New Machine EPP
Wear-Out and Extent of Coverage

Wear-out and/or deterioration of any component are not covered by Hydraulic and Technology EPP.
condition just prior to the covered failure. Hydraulic and Technology EPP covers only the repair or replacement
of the failed component and any resultant damaged parts. Other parts removed in the process of repair will be
reinstalled as is, unless the customer authorizes and funds any additional replacement cost.
of the position sensing cylinder and resultant damage would not be due to a Caterpillar defect and therefore is
not a covered failure.
Customer's Responsibilities
accordance with the recommendations set forth in the applicable Caterpillar manuals, including the OMM
and other applicable service literature
Programs
described in the OMM. Preventative maintenance includes, but is not limited to, the servicing, adjusting
and/or replacing of specified components
Hydraulic and Technology EPP does not cover failure of any components if Customer’s Responsibilities are not
followed. The dealer may be required to provide proof of compliance with the maintenance schedules, at the time of a
failure. Proof may include receipts, copies of work orders, or invoices showing the performed maintenance services.
Dealer's Responsibilities
• Repair equipment using the most economical method and install only genuine Cat parts
4 08.10-03 (11/19)

On most pages of all Cat Parts Books (paper or electronic), is printed a four-digit numeric Service Management
Control System (SMCS) component code. These component codes are used to describe the area of primary use
for the parts and/or components listed on that page.
Following are the SMCS component codes that Caterpillar considers part of Hydraulic and Technology EPP.
Each component code listed on the parts book page should be compared to this list of acceptable Hydraulic and
Technology EPP components.
NOTE: Sometimes a Parts Book page with an acceptable Hydraulic and Technology EPP component code
will include parts that are not covered or may include parts that are broken out on another Parts Book page.
Additionally, there may be instances of a non-acceptable component code containing parts that may qualify for
Hydraulic and Technology EPP coverage. For clarification regarding coverage, please submit a ticket through the
Warranty Service Desk.
Use of Parts Book Component Code on Labor Lines

The table below lists the SMCS component codes in numeric order that Caterpillar considers part of Hydraulic and
Technology EPP. For qualification, the component code listed on the parts book page should be compared to this
list of acceptable hydraulic or technology components.
The SMCS component codes can be used as a guide for helping to determine if a failed part may be considered part
of Hydraulic and Technology EPP coverage.
SMCS Codes - Technology Coverages

The following components are covered only for the following: Cat Connect Productivity Solutions: Compact, Grade,
Link, and Payload. These items may or may not be applicable to Powertrain and/or Hydraulic Coverage.
1408 Wiring Harness - included only if
5705 Control Group-Joystick (only if con-
part of the Compact, Grade, Link, and 5645 Sensor, Grade, Mechanical (Aver-
trolling the above-mentioned Productivity
Payload. Harness must be connected aging Ski/Sensing Wheel/Grade Control)
components)
directly to the component.
5741 Autodig Control 7008 Remote Control System 7009 Laser Receiver
7215 Sensor, Grade, Sonic (Suspension 7219 Control, Slope, Digital (Cross
7010 Satellite Receiver
Control) Slope Control)
7220 Cat Grade Control Cross Slope 7332 Control Group-Payload (Electric
7347 Displays/Monitors
(Automatic Grade Control) Switch (Manual)
7451 Control Group-B (Instrument
7426 Box Group-J (Junction Box) 7475 Payload Monitor System
Panel/Control Panel)
7490 Grade Control Group (Instrument 7493 Monitor Group-Operator (Ground 7494 Monitor Arrangement-Payload
Panel/Control Panel) Speed Sensor) (Payload Monitor System)
7601 Vital Information Management 7602 Global Positioning System Elec- 7603 Vital Information Display System
System (VIMS) tronic Control (VIDS)
7604 Computer Aided Earthmoving
7606 Product Link System 7620 Machine Software
System (CAES)
7632 Road Analysis Control 7852 VIMS (Compactometer) 733T Control Group (2-Way Radio)
08.10-03 (11/19) 5
Additional Coverage Clarifications

• Electronic Controls and Sensors which function to direct power for the purpose of moving the machine are
included. This includes power shift controls, engine pressure controls, differential lock, finger-tip controls,
wiring connectors that are part of the designated Powertrain components
• Hydraulic Valves & Controls - includes specified valve parts for directing or controlling hydraulic fluid for steering
and implements, including automatic blade controls and bucket position controls
6 08.10-03 (11/19)
SERVICE
Equipment Protection Plan EAME (Select Dealers)

Machines
Building Construction Products Travel Time

& Mileage Equipment Protection Plan
Overview
This Special (Service) Bulletin addresses the Building Construction Products (BCP) Travel Time & Mileage
(TTM) Equipment Protection Plan (EPP). BCP TTM EPP addresses travel expenses that result from repairs to
components that are covered under various new EPP offered through Caterpillar.
The program provides new machine coverage as defined by the New Machine EPP (Program (Service) Bulletin
8.00). Depending on the EPP enrolled, one of the following Coverage (Service) Bulletins apply: Powertrain EPP
(Bulletin 8.01), Hydraulic EPP (Bulletin 8.02), Hydraulic and Technology EPP (Bulletin 8.10), or Premier EPP
(Bulletin 8.03). The terms of this Special Program do not change the coverage described within these program
and coverage bulletins. Refer to the standard machine warranty and applicable program bulletins for covered
component failures during the standard warranty period and refer to these bulletins for covered component failures
during the EPP coverage period.
EPP provides dealer reimbursement for parts and/or labor for covered defects in Cat® material and manufacturer
covered component (including Yellowmark™ A Caterpillar Brand, and Cat® Classic Parts) are not eligible.
Coverage Program Structure

Applicable terms of the Coverage Program Structure (CPS) is respective to the year the equipment is sold. For
example, equipment receiving an enrollment year of 2017 will retain only the CPS terms identified below under
section: “2017 CPS Terms (Enrolled January 1, 2017 through December 31, 2017)” for the entire length of time
the agreement is active.


1
2017 CPS Terms (Sold January 1, 2017 through December 31, 2017)
Eligible BCP Product Families
• Compact Track Loaders
• Multi Terrain Loaders
• Skid Steer Loaders
• Compact Wheel Loaders
• Backhoe Loaders
• Additional specific BCP sales models:
• Wheel Loaders (924 through 938)
• Track-Type Tractors (D3 through D5)
• Excavators (300.9 through 308)
• Special Note: Telehandlers are excluded from this Program.
Eligible dealers
• L030 Bergerat France
• L400 Bergerat Belgium
• M180 FSA
• M410 STET (Portugal)
• M610 Finning UK & EIRE
• L110 PON EQ BV/ Netherlands
• L135 Klettur (Iceland)
• L040 PON Denmark
• L100 PON Sweden
• L310 PON Norway
Included EPP coverage
• Year 1 EPP – labor-only coverage
• Unlimited hours
• Travel reimbursement
• Unlimited travel distance
• Unlimited number of claims per enrolled equipment serial number
• Year 2 EPP – parts and labor coverage
• 24 months maximum
• Unlimited hours
• 10% Parts Markup
• Backhoe Loaders
2 08.11-01 (02/20)

• Track-Type Tractors (D3 through D5)
Excluded BCP models
• Telehandlers
• Excavator 309
• Excavator 310
Eligible dealers
• M180 FSA
• L040 PON Denmark
• L100 PON Sweden
• L310 PON Norway
• L390 Avesco OY
• X080 Huntraco Trading & Servicing
• X320 Avesco AS Estonia
• X350 Avesco SIA Latvia
• X355 Avesco UAB Lithuania
• Unlimited hours
• Year 2 EPP – parts and labor coverage
• Unlimited hours
08.11-01 (02/20) 3
Eligible BCP Product Families/models & dealers
Coverage 24 month/unlimited 24 month/unlimited 36 month/unlimited

hours hours hours
Models Compact Track Loaders, Excavators (300.9-308) Excavators (300.9-308)
Multi Terrain Loaders, Skid
Steer Loaders, Compact
Wheel Loaders, Backhoe
Loaders, Small Wheel
Loaders, Small Track-Type
Tractors
Dealers L030 BERGERAT FR L390 WITRAKTOR FI L030 BERGERAT FR
L040 PON DK X080 HUNTRACO L040 PON DK
L100 PON SE X320 AVESCO AS L100 PON SE
L110 PON NL X350 AVESCO SIA L110 PON NL
L135 KLETTUR X355 AVESCO UAB L135 KLETTUR
L310 PON NO L310 PON NO
L390 WITRAKTOR FI L400 BERGERAT BE
L400 BERGERAT BE M180 FSA
M180 FSA M410 STET
M410 STET M610 FINNING (U.K.)
M610 FINNING (U.K.)
X080 HUNTRACO
X320 AVESCO AS
X350 AVESCO SIA
X355 AVESCO UAB

• Unlimited hours
• Year 2+ EPP – parts and labor coverage
• 24 or 36 months maximum
• Unlimited hours
• Remote Troubleshoot (Bulletin 1.02)
• One claim of reimbursement up to USD 50 per failure
• The reimbursement is applied per failure, as defined with unique Service Claim and Dealer Claim
numbers. Multiple failures must be processed accordingly in the Service Claims Approval System,
each with separate reimbursement claims
4 08.11-01 (02/20)
• Backhoe Loaders
• Track-Type Tractors (D3 through D5) (Note: legacy model nomenclature)
Excluded BCP models
• Telehandlers
Eligible dealers
• M180 FSA
• L040 Zeppelin Danmak
• L100 Zeppelin Sverige
• L310 PON Norway
• L390 Avesco OY
• X080 Huntraco Trading & Servicing
• X320 Avesco AS Estonia
• X350 Avesco SIA Latvia
• X355 Avesco UAB Lithuania
• Unlimited hours
• Year 2+ EPP – parts and labor coverage
• Unlimited hours
• Remote Troubleshoot (Bulletin 1.02)
• One claim of reimbursement up to USD 50 per failure
08.11-01 (02/20) 5
• The reimbursement is applied per failure, as defined with unique Service Claim and Dealer Claim
numbers. Multiple failures must be processed accordingly in the Service Claims Approval System,
each with separate reimbursement claims
EPP Period
EPP provides coverage beyond standard machine warranty for parts and labor. The coverage term for the New
Machine EPP starts from the product delivery date and includes the standard machine warranty. Coverage under
the EPP Program does not change the standard machine warranty. The EPP expires when the length of time
(measured in months) or the machine hour usage is reached, whichever comes first.
New Machine EPP provides the dealer with the following options:
Year 1 - Labor Only
Provides protection for dealer labor cost exposures during standard machine warranty. The program
provides one level of coverage: Premier.
Year 2 & Beyond
Provides protection for coverage beyond standard machine warranty for parts and labor. The program
Validating Coverage
Dealers can verify EPP coverage in the Caterpillar Service Information Management System (SIMSi) at

All EPP exclusions and limitations may be found in the Program Bulletin: New Machine EPP (Bulletin 8.00), as well
as one of the respective coverage bulletins, depending on the EPP enrolled:
• Powertrain EPP (Bulletin 8.01)
• Hydraulic EPP (Bulletin 8.02)
• Hydraulic and Technology EPP (Bulletin 8.10)

• A mechanical breakdown caused by or a result of acts of war, vandalism, riot, theft, explosion, collision, fire
and/or any other act of nature, person or vermin
filters
6 08.11-01 (02/20)
other bolt-on attachments, unless required in conjunction with the repair of a covered part. Note: Premier EPP
has unique exceptions to this list. Please refer to Coverage Bulletin 8.03 for Premier EPP general exclusions
gaskets
• Freight
• Taxes
optional EPP coverage may be available for certain products outside of the scope of this EPP. Note: Premier
exclusions
• Components or Systems Covered by Other Caterpillar Warranty Statements and are therefore excluded from
• Batteries
• Cat Work Tools
• Mobil-trac™ Belts
• Rubber Track used on Compact Construction Equipment (CCE)
• Cat Tires
• Yellowmark™
08.11-01 (02/20) 7
• Ground Engaging Tools (GET) (Refer to Bulletin 4.03)
• Long-Life Weld-On Landfill Compactor Plus Tip (Refer to Bulletin 4.03)
EPP. If an Original Equipment Manufacturer (OEM) other than Caterpillar has a warranty in place for the
equipment, claims should be filed and settled with that OEM prior to submitting supplemental EPP claims.
• Ag Products
• Trimble
components.

the New Machine EPP
covered by these programs must be claimed under the appropriate PIP or PSP

Wear-out and/or deterioration of any component are not covered by EPP.
condition just prior to the covered failure. EPP covers only the repair or replacement of the failed component and
any resultant damaged parts. Other parts removed in the process of repair will be reinstalled as is, unless the
Example: While performing an EPP repair for a piston ring failure, the dealer service technician notices the v-belts
and coolant hoses are worn and deteriorated. The service technician also notices some wear (within acceptable
limits) on the cylinder head valve guides. In addition to the piston ring failure, the service technician replaces the
v-belts and coolant hoses and reconditions the valve guides to avoid future downtime. In this example the v-belts,
coolant hoses and valve guide reconditioning cannot be claimed under EPP because they did not have a defect,
nor were they damaged as a result of the piston ring failure. They were repaired or replaced as a result of the
Customer Responsibilities for assuring all recommended preventive maintenance is performed.
8 08.11-01 (02/20)
ring failure and resultant damage would not be due to a Caterpillar defect and therefore is not a covered failure.
replaces the hydraulic hoses and rod eye bearing to avoid future downtime. In this example the hydraulic hoses
and rod eye bearing cannot be claimed to Caterpillar because they did not have a defect, nor were they damaged
as a result of the leaking bucket cylinder. They were repaired or replaced as a result of Customer Responsibilities
for assuring all recommended preventive maintenance is performed.
covered failure.
of the position sensing cylinder and resultant damage would not be due to a Caterpillar defect and therefore is not
a covered failure.
EPP does not cover failure of any components if Customer’s Responsibilities are not followed. The dealer may be
required to provide proof of compliance with the maintenance schedules, at the time of a failure. Proof may include
receipts, copies of work orders, or invoices showing the performed maintenance services.
• Pay for any loss in excess of what is covered by EPP if broader coverage was offered to the customer (losses
are not reimbursable by Caterpillar)
08.11-01 (02/20) 9
Dealer reimbursement for repair expenses related to the BCP TTM EPP is per the Summary of Reimbursement
Practices chart below and in accordance with the reimbursement practices as outlined in Warranty Bulletin 1.02.
Summary of Reimbursement Practices for BCP Travel Time & Mileage EPP
Expense Item Allowance & Rate
Parts During Machine Standard Warranty: Reimbursable at Dealer
Net (D/N)
After Machine Standard Warranty: Reimbursable at D/N + 10%
Repair Labor Reimbursable at dealer's sell rate
RemoteTroubleshoot Up to $50 (USD) allowed once per EPP claim
Service Items - If made unusable due to During Machine Standard Warranty: Reimbursable at (D/N).
qualifying claim After Machine Standard Warranty: Reimbursable at D/N + 10%
Travel, Time & Mileage Reimbursable at dealer's registered rate
Overtime Labor Rate, Hauling Costs, Freight Not reimbursable
Charges, Meals and Lodging
*All other expenses (equipment use fees, tolls, ferry, flights, etc.) are not reimbursable
For additional information regarding Travel & Vehicle Rates, refer to Warranty Bulletin 1.05 found at
https://warranty.cat.com/ .

The following claim field information is unique to the BCP TTM EPP:
• Delivery Date: Leave Blank. The system automatically enters the date on file based on the serial number.
• Product ID/Serial Number: Enter machine serial number.
• Part Causing Failure: Enter the Cat® part number for the part that caused the failure.
• Group Number: Enter the Cat group number. Refer to Warranty Bulletin 1.06 for additional information
on Substitute Group and Part Numbers.
• PD/DC Code: Enter the letter or numeric description code describing the failure or defect. Refer to
Warranty Bulletin 1.08 for a complete detailed list.
• Travel Expenses: Enter the travel time required to travel to the customer location and next destination,
if not returning to the dealer branch store.
• Vehicle Expenses: Enter the miles/kilometers of the distance traveled.
• Claim Story: In addition to the complaint, cause, correction, and complication related to the repair, the
“to and from” travel destinations must also be included.
Questions
For claiming questions, submit a ticket to the Warranty Service Desk. For all other questions such as program
structure or coverage, send an email to EAME.EquipmentProtectionPlan@cat.com.
10 08.11-01 (02/20)
08.11-01 (02/20) 11
SERVICE

Machines

Effective and Applicable to Work Tools with Delivery Dates
Beginning 1JAN2018
Overview
This bulletin addresses the coverage under the Hydromechanical Work Tools Equipment Protection Plan (Work
Tool EPP). Tool eligibility for Work Tool EPP requires that the product must be Caterpillar Serialized, with
Cat® Part numbers established, and its Sales Model recognized by the enrollment system(s) for EPP.
The following Program Guidelines are applicable to all eligible work tool categories.
Program Guidelines
Work Tool EPP offers reimbursement for parts and/or labor cost for failure caused by defect in material and
workmanship as defined in Warranty Bulletin 1.01. For program eligibility, the work tool life cycle must adhere
to the required work tool operation and maintenance intervals documented in the Operation and Maintenance
Manual (OMM).
Premier Work Tool EPP is a comprehensive component coverage that includes components not specifically
excluded within this bulletin.
Enrollment in Work Tool EPP is limited to serialized and scored tool models. Claims under this program should
be submitted against the scored Work Tool's serial number. Refer to Warranty Bulletin 8.00, New Machine
Equipment Protection Plan.


Work Tool EPP

The coverage period starts from the product delivery date to the first customer or into the dealer rental fleet
and includes the Caterpillar Standard Work Tool Warranty period. Coverage under Work Tool EPP does not
change the Caterpillar Standard Work Tool Warranty reimbursement rates. Work Tool EPP expires when the
length of time is reached.
The Work Tool EPP program structure provides the dealer with the following two distinct options:
New EPP - Year 1 - Labor Only
Provides protection for dealer labor cost exposures under the Caterpillar Work Tool warranty (Refer to Warranty
Bulletin 2.02). It is effective at the delivery date to the first customer or into the dealer rental fleet. The program
New EPP – Year 2 & Beyond
Provides protection for coverage beyond Caterpillar Work Tool warranty (Refer to Warranty Bulletin 2.02) for
parts and labor and includes one level of coverage: Premier.

Work Tool EPP does not cover any of the following:
1. Any coverage not identified and not enrolled in the manufacturer’s enrollment program.
2. Lubricants and maintenance kits.
3. Operator abuse or neglect, including but not limited to the failure to perform the recommended preventative
maintenance as specified in the OMM.
4. Damage caused by failure to follow maintenance or repair procedures as specified in the OMM, to include
but not limited to welding procedures.
5. Applications not approved by the manufacturer, including but not limited to steel mill, underwater, scaling,
and tunneling.
6. Improper or abusive use of the Work Tool.
7. Operating at performance settings other than the standard manufacturer specification.
8. Operation beyond the design and/or capacity of the Work Tool including but not limited to:
• Oil flow in excess of the Work Tool operating specifications
• Contaminated or overheated oil from the carrier machine
• Prying, striking, or lifting when not the Work Tool’s design intent
• Hammer blank firing
• Demolition of concrete structures with the demolition and sorting grapple
• Shearing of material that exceeds limits as specified in the OMM
9. Operating Work Tools with improper fluids or fluid levels or contaminated fuel, fluids or filters.
10. Wear-out and normal deterioration.
11. Chemical corrosion and physical or mechanical erosion.
12. Acts of war, vandalism, riot, theft, explosion, collision, fire and/or any other act of nature, person or vermin.
13. Modifications, unless the modifications were authorized at the request of Caterpillar and performed at an
approved repair facility, including but not limited to welding to add buildup material or hard surfacing.
14. Physical Damage.
15. Damage to the carrier machine caused by the Work Tool.
16. Loss of time, inconvenience, downtime or downtime-related expenses, or other incidental or consequential
17. Performance complaints not due to defect in material or workmanship.
18. Storage or miscellaneous shop supply charges.
19. Freight and taxes.
20. Costs covered by any warranty of the manufacturer or repairer’s guarantee regardless of whether they honor
such warranty or guarantee.
2 08.12-00 (01/18)

Wear-out and/or deterioration are not covered by the Work Tools EPP. The intent is not to restore the
product to a like-new condition, but rather to restore the product to its operating condition just prior to the
covered failure.
Work Tools EPP covers only the repair or replacement of the failed component and any resultant-damaged
parts. Other parts removed in the process of repair will be reinstalled as is, unless the customer authorized
the additional cost for their account.
Example: While performing a hammer inspection and reseal, the dealer technician notices worn or damaged
hydraulic hoses, top buffer, side buffer, wear plates or cracks on housing. He also notices the wear on
upper bushing, lower tool bit bushing, retainer pins, thrust bushing or auto lube system and replaces these
components to avoid further downtime.
In this example, the components identified as worn or damaged cannot be claimed to Caterpillar, because
they did not have a defect and are worn as a result of operation. They were repaired or replaced as a
result of the customer responsibilities for assuring all recommended operational methods are used and
preventative maintenance is performed per schedules.
specified service intervals as described in the OMM.
Component Exclusions and Limitations

The components listed below, and resultant damage due to failure of these components, are excluded from Work
Tool EPP coverage. Note that this list is an all-encompassing exclusion list across all Work Tool products and
applies only when present on a particular Work Tool (not all listed components are applicable to all Work Tools).
• Adapters and/or Adapter Groups
• Belts, Belt Tensioner Plates, Belt Drives and/or Hardware
• Blades, and/or Knives
• Bolts, Bolt Studs, Washers, and/or Nuts
• Bristles
• Chain Saw Bars, and/or Chains
• Chassis, Brackets, and/or Frames
• Films
• Gaskets, Gasket Groups & Kits, Seals & Kits, Sealant, Seal Oil, and/or O-Rings
• Grease Fittings
• Hoses, Hose Assemblies, Quick Connects, Connecting Lines, Hose Groups and/or Hardware
• Housings, Housing Plate Assemblies and/or Hardware
• Hubs, and/or Shafts
• Linkage Groups
• Pins, Plugs, Ports, Plates, Covers, and/or Related Assemblies & Hardware
• Pulley Adapters and/or Hardware
• Retaining Ring
• Rollers and/or Installation Hardware
• Spacers
• Teeth, Tips, Bits, Moils, Saws, Chisels and/or Cutting Edges
08.12-00 (01/18) 3
SERVICE
Machine
Used Equipment Protection Plan –

Individual
Overview
The purpose of this bulletin is to provide an overview of the Equipment Protection Plan (EPP) available for Cat®
used machines sold by Cat dealers.
There are several EPP qualifying machine status classifications;
 Rental Fleet – A Cat machine that is currently in the dealer’s inventory and is available for rent.
 Coverage Continuation – A Cat machine that is 60 days or less from the end of an active EPP (new or
used) OR that had an EPP that has not been expired by age or hours more 30 days.
 For Australia, Coverage Continuation is managed by Willis, with Cat Financial Insurance Services
underwriting and administering policies. Coverage Continuation in Australia includes stand-alone
EPP sales (independent of a machine sale/purchase) and does not require an existing active policy.
 Trade in/Other – A Cat machine in dealer inventory that was acquired through trade in or other
purchase. A Cat machine that does not meet the definitions of any other classification.
 Rental Rollout (Americas North Only) – A Cat machine that is currently being sold out of the dealer’s
rental fleet, has an active EPP, the current coverage will be left in place and another EPP coverage will be
added and start when the current coverage expires and reaches its age or hour limit.
EPP coverage options available for used machines;
 Powertrain (PWT) - See Bulletin 8.01.
 Powertrain + Hydraulics (P+H) - See Bulletin 8.01 and 8.02.
Coverage terms range from 3 to 60 months with hour options from 250 to 10,000 hours, depending on model
age and current service meter units (SMU).
EPP enrollments must be completed within 30 days of the EPP coverage start date.
EPP covers parts and labor repair costs on eligible machine failures for covered powertrain and/or hydraulic
components, depending upon the EPP coverage type. EPP coverage applies only to failures caused by
defects in materials and workmanship. The intent of EPP coverage is not to restore the product to a like-new
condition, but rather to restore the product to its operating condition just prior to the covered failure.
➤ 08.50-02 (06/18)

Note: For enrolled machines, covered repairs may be performed by any authorized dealer. The Cat dealer is
responsible for submitting the service claim for reimbursement.
EPP rates/fees for all available terms on all eligible models can be determined and obtained through
Quote Plus. (https://epp.cat.com )
You may also contact your Cat Financial Insurance Services Territory Manager (TM) or Area Sales Operations
Manager (ASOM) with questions or send an email to the appropriate regional mailbox.
 Americas North – EquipmentProtectionPlan@cat.com
 Americas South – LACD.EquipmentProtectionPlan@cat.com
 Asia Pacific (APD) – APD.EquipmentProtectionPlan@cat.com
 Europe, Asia, Middle East (EAME) – EAME.EquipmentProtectionPlan@cat.com
➤ Machine Eligibility
ELIGIBLE used machines are Cat machines that meet age and hour limits and are:
 Machines outside of machine standard warranty (MSW) period.
 Machines that have undergone and passed a Dealer Owned Certified, TA-1, or similar inspection.
 Machines owned by a customer or dealer.
 Machines in good working condition.
Brazil Only:
 Machines originally manufactured in Brazil.
EXCLUSIONS:
 Machines NOT in good working condition.
 Machines sold in an “AS IS” condition.
 Machines already covered by another Caterpillar or Caterpillar Affiliate Warranty Plan.
Brazil Only:
 Imported machines.
➤ Inspections
All machines must be inspected and all inspections must be completed within the 30 days prior to the
EPP coverage start date. Some exceptions are granted for machines with an active EPP at the time of the used
machine sale. (See EXCEPTIONS/ADJUSTMENTS below.)
Acceptable inspections:
 Dealer Owned Certified inspection form which can be found on CatUsed.com® under the My CatUsed
tab. (Choose the appropriate inspection type and model)
 Powertrain or both the Powertrain and Hydraulics sections of the TA-1 as applicable to the coverage
level required.
 Other Cat Financial Insurance Services approved and appropriate dealer inspection.
If problems are identified in the TA-1, Dealer Owned Certified, or other Cat Financial Insurance Services approved
inspection forms, a TA-2 inspection of major components is required. In addition, any items not passing inspection
must first be repaired in order to qualify for Used Machine EPP. All fees for this inspection and necessary repairs
are the responsibility of the dealer.
Registration will not be accepted until all deficiencies are corrected. The corrective action should be noted. It is the
selling dealer’s responsibility to see that the machine is properly inspected. The completed inspection must
be signed and dated by the selling dealer. All inspections will become part of the equipment file at the dealership.

EXCEPTIONS/ADJUSTMENTS:
Dealer Rental Fleet Exception (Coverage Continuation/ Rental Rollout, where available): The machine is
currently in the dealer’s rental fleet, is covered under one of Cat Financial Insurance Services EPP parts and
labor programs, and the coverage has not yet reached the applicable age or hour limit. There will be no gap in
coverage between the active coverage and the Individual Used Machine EPP coverage. An inspection is not
required, provided the level of machine coverage is not transitioning to a higher coverage level.
Customer Owned Machine Exception (Coverage Continuation, where available): If the machine is currently
covered under one of Cat Financial Insurance Services EPP parts and labor programs, and the coverage has
not yet reached the applicable age or hour limit, there will be no gap in coverage between the active coverage
or registration and the Used Machine EPP. An inspection is not required, provided the level of machine
coverage is not transitioning to a higher coverage level.
A dealer employee should obtain an hour meter reading on the date the currently active coverage or
registration ends for both Dealer Rental Fleet and Customer Owned Machine Exceptions, and use this reading
as the coverage start hours for the Used Machine EPP.
Dealer Used Machine Inventory Adjustment: If the machine is currently in the dealer’s used machine inventory
and the coverage start date is more than 30 days from the last inspection date, the dealer must confirm there is
no significant change (more than 50 additional hours) in machine SMU. The dealer should verify that the original
inspection is still an accurate representation of the machine. The dealer would then adjust/update the hours
and inspection date to coincide with the current SMU reading and date. An additional inspection is not required,
provided the level of machine coverage is not transitioning to a higher coverage level.
Inspection files of the selling dealer are subject to audit. Further, the dealer is obligated to forward a
copy of the inspection if directed to do so.
 Confirm that the machine has not experienced a failure prior to the EPP coverage start date. If a
failure exists, the machine must be repaired prior to registering it for EPP.
 Repair machines using the most economical method, and install only genuine Cat parts.
 Keep on file the applicable inspection and all parts and labor invoices relative to required repairs.
 Pay for any loss in excess of what is covered by EPP if broader coverage was offered to the customer.
 Register each machine for EPP and pay applicable fees.
Covered Components
For a summary of Service Management Control System (SMCS) codes and major component categories
covered under EPP, refer to the appropriate Bulletin(s) based on the effective EPP coverage type. (Powertrain
- Bulletin 8.01 and/or Hydraulics - Bulletin 8.02) Parts and components replaced during the EPP term are
covered for the remainder of the current EPP coverage period. Coverage for all parts and labor ceases when
the specified time or hour limitation is reached, regardless of when the part was repaired or replaced. These
bulletins are located at the Global Warranty website at https://warranty.cat.com.
Parts and Labor

 Parts: Qualifying Cat parts are reimbursable.
 Americas North and South - Reimbursable at D/N + 33%. (Prior to January 1, 2016, some
contracts were underwritten with “Customer List” as the defined reimbursement rate rather than
Dealer Net + 33%. For those contracts, claims will continue to be honored at Customer List
through the duration of their specified term.)
 APD and EAME – Reimbursable at D/N+10%.
 Labor: Reimbursable at registered dealer sell rate for EPP qualifying claims.

Service Letters - Product Improvement Programs (PIP), Product Support

Programs (PSP)
All Service Letters (PIPs, PSPs) performed on machines covered by the Used Machine EPP, must be claimed
under the appropriate Service Letter. Do not claim these repairs under the Used Machine EPP. Refer to Bulletin
1.16 for claiming practices on both pre-failure and after-failure repairs under PIPs and PSPs.

Wear-out and normal deterioration are not considered a failure and are not covered. A wear-out occurrence is
not due to defects in material or workmanship.
Emissions
See Bulletin 7.01 for complete details regarding emissions warranty. See Bulletin 8.01 for an explanation of
emissions related Powertrain components.

 Operator abuse, neglect, improper or abusive use of the machine, including but not limited to the failure
to perform the recommended preventive maintenance as specified in the Operation and Maintenance
Manual.
 Operation beyond the design and/or capacity of the machine.
 Wear-out and normal deterioration in performance, accelerated wear-out of components due to operating
 Chemical corrosion and physical or mechanical erosion.
 Unauthorized fuel setting changes.
 Acts of war, vandalism, riot, theft, explosion, collision, fire and/or any other act of nature, person or
vermin.
 Operating equipment with improper fuel/fluids or filters, incorrect fuel/fluid levels or contaminated fuel/
fluid.
 Modifications, unless requested and authorized by Caterpillar and performed at an approved repair
facility.
 Any repair if the service meter has been stopped, altered, or misrepresents the equipment’s actual usage.
 Transportation, towing costs or field service travel expenses.
 Loss of time, inconvenience, downtime, downtime-related expenses or other incidental or consequential
loss that results from a defect in material workmanship.
 Storage or miscellaneous shop supplies.
 Mechanical breakdown resulting from the failure of a non-covered component.
 Freight and taxes.
 Any costs covered by any warranty of the manufacturer, including emissions warranty or repairer’s
guarantee, regardless of whether the warranty or guarantee is honored.
 Performance complaints, including but not limited to, adjustments to fuel settings or electronic unit
ejectors to comply with emissions standards under the Environmental Protection Agency or similar
national, federal, provincial or state law.
 Any costs incurred for the manufacturer to comply with the Environmental Protection Agency or similar
4 08.50-02 (06/18)
Enrollment
General:
 EPP enrollment is the dealer’s responsibility.
 Except for Rental Rollout, the EPP enrollment must be submitted within 30 days of the requested EPP
coverage start date.
 Rental Rollout enrollments must be completed prior to current coverage expiration but no more
than 60 days from quote date.
 The EPP coverage start date must be after but within 30 days of the inspection date. (Excludes Rental
Rollout)
 All enrollment exception requests will be reviewed on an individual case-by-case basis.
 Dealer must keep on-file a copy of the machine inspection for verification if requested by Caterpillar.
Enrollments may be completed using the Quote Plus quoting and enrollment tool or through the Caterpillar
Corporate Claims System (Claimsi) at https://claims.cat.com.
Validating Coverage
Dealers can verify EPP coverage in the Service Information Management System (SIMSi). The Sales &
Service screens will show the coverage details with other relative information.
➤ Transfer of Equipment Protection Plan

Cat Financial Insurance Services intends for the EPP coverage to follow the machine by providing global claims
reimbursement with the following exceptions:
• To/from sanctioned individuals or countries
• Brazil, China and as otherwise prohibited due to legal restrictions
CCU, Individual Used and Rental Rollout EPP program transfer guidelines:
• From one end user, to another end user
° EPP typically follows the machine within the same Caterpillar region (APD, EAME, Americas South,
and Americas North), however the transfer approval is at the original EPP selling dealer’s discretion.
° If approved, the original EPP selling dealer must submit an email to EquipmentProtectionPlan@cat com.
(Include the machine serial number, date of transfer, transferring dealer name and number, and receiving
dealer name and number).
• From one servicing/repair dealer to a different servicing repair dealer within the same Caterpillar
region (APD, EAME, Americas South, Americas North).
° The original EPP selling dealer must submit an email to EquipmentProtectionPlan@cat.com.
(Include the machine serial number, date of transfer, transferring dealer name and number).
• From one Caterpillar region (APD, EAME, Americas South, Americas North) to another / different
Caterpillar region.
° Transfer of EPP from region-to-region is not allowed.

Summary of Reimbursement Practices under EPP - Individual Used

Americas North and South - Reimbursable at D/N + 33%
Parts (Customer List prior to January 1, 2016).
APD and EAME – Reimbursable at D/N+10%.
If made unusable:
Americas North and South - Reimbursable at D/N + 33%
Service Items
(Customer List prior to January 1, 2016).
APD and EAME – Reimbursable at D/N+10%.
Reimbursable at the Dealer’s Registered Sell Rate, unless
Repair Labor
otherwise specified.
Parts Salvage Labor Reimbursable at Warranty Labor Rate, if justified.
Shop Supplies Not Reimbursable as an itemized expense
Overtime Labor Rate, Hauling Costs,
Freight Charges, Travel Time and Not Reimbursable.
Mileage, Meals and Lodging.
6 08.50-02 (06/18)
SERVICE
Americas South,
Equipment Protection Plan Asia Pacific & EAME
Machine
Used Equipment Protection Plan - Cat®

Certified Used - Transaction Based Pricing
Overview
The purpose of this bulletin is to provide an overview of the Cat Certified Used Transaction Based Pricing
(CCU) Equipment Protection Plan (EPP) available for Cat used machines sold by Cat dealers.
The CCU program is defined by Cat Global Rental Services and Used, M&D Division.
Machine eligibility:
• Cat® Certified Used (CCU) machines must meet the machine age and quality standards as defined by
Global Rental Services and Used.
• Inspection Reports (CatUsed.com or equivalent*): “Good Rating” or better on all inspection points
• Maintenance completed with original Cat parts
• All PIPs completed
• OMM - Operation & Maintenance Manual included
• Good appearance
• 50% or better U/C or tires
• Dealer Certified Used (DCU) machines are those machines that do not meet the Cat Certified Used
Machine definition. DCU coverage applies to the EAME region only.
CCU EPP coverage options available for used machines;

• Powertrain (PWT) - See Bulletin 8.01.
• Powertrain + Hydraulics (P+H) - See Bulletin 8.01 and 8.02.
• Premier (EAME Only) – See Bulletin 8.03.
All coverage options are also available with parts reimbursement levels at dealer net (D/N)+25% or D/N+10%
(EAME), DN+33% (APD and Am South) for qualified repairs.
Coverage terms range from 3 to 24 months with hour options from 800 to 6,000 hours, depending on Region,
machine age and current service meter units (SMU).


CCU enrollments must be completed within 30 days of the CCU coverage start date. (For Used Equipment
Management System (UEMS) users in EAME that have enrollments downloaded once per month, the UEMS
entry date and the used machine delivery date should be no more than 30 days apart to be considered
timely.) Anytime an enrollment is later than 30 days, the enrollment request is considered late and may require
additional documentation prior to completion/exception approval.
EPP covers parts and labor repair costs on eligible machine failures for covered components, depending upon
the coverage type. Coverage applies only to failures caused by defects in materials and workmanship.
The intent of EPP coverage is not to restore the product to a like-new condition, but rather to restore the
product to its operating condition just prior to the covered failure.
Individual Used EPP coverage is available through Caterpillar on those machines not qualifying for CCU or
DCU. Machines imported into Brazil are excluded from the CCU Program.
Note: For enrolled machines, covered repairs may be performed by any authorized Cat dealer. The Cat dealer
is responsible for submitting the service claim for reimbursement.
CCU rate/fee tables and available terms on eligible machines can be obtained at https://dealer.cat.com/en/ps/
esc-epp/machine-worktool/used/ccu.html.
(Select appropriate table or enrollment form on the CCU tab.)
You may also contact your Cat Financial Insurance Services Territory Manager or Regional Insurance
Manager with questions or send an email to the appropriate regional mailbox.
ELIGIBLE used machines are Cat machines that meet age and hour limits and are:
 Machines outside of the machine standard warranty (MSW) period.
 Machines that have undergone and passed a Dealer Owned Certified, TA-1, or similar inspection.
 Machines in good working condition.
Brazil Only:
 Machines originally manufactured in Brazil.
EXCLUSIONS:
 Machines NOT in good working condition.
 Machines sold in an “AS IS” condition.
 Machines already covered by another Caterpillar or Caterpillar Affiliate Warranty Plan.
Brazil Only:
 Imported machines.
DELAYED COVERAGE START DATE (DCSD): (EAME Only)
In order for a machine to qualify for the DCSD program:
 The machine must meet the above eligibility requirements.
 The machine must currently be active under a Caterpillar Financial Insurance Services machine parts and
labor EPP coverage.
 The DCSD enrollment must have a start date no greater than 9 months from the used machine sale date.
 The DCSD EPP coverage term must be a CCU term of 12 months or less.
 The DCSD enrollment must begin when the current active EPP coverage reaches its expiry date or
hours, whichever occurs first. (If hours are reached first, dealer should notify Caterpillar to manually
process/start the DCSD program coverage so there is no gap in coverage or delay is paying claims. The
DCSD program coverage start hours will be the hours on the machine at the time of the used machine

sale and will correspond to the hours on the applicable inspection.

 The machine must be under 10 years of age at the DCSD coverage start date.
 The DCSD CCU coverage type must be equal to or less than the current active machine coverage. (No
upgrades.)
➤ Inspections
All machines must be inspected and all inspections must be completed within the 30 days prior to the
CCU coverage start date. The CCU program may have additional requirements to qualify the machine as CCU.
See https://dealer.cat.com/en/industries/rental-used/used-equipment-regional-information.html
(These requirements may differ from CCU EPP coverage eligibility inspections requirements as described
below.)
Acceptable inspections:
 Dealer Owned Certified inspection form which can be found on CatUsed.com® under the My CatUsed
tab. (Choose the appropriate inspections type and model.) Powertrain and/or Powertrain and Hydraulics
sections of a TA-1 as applicable to the coverage level required.
 Other Cat Financial Insurance Services approved and appropriate dealer inspection.
If problems are identified in the TA-1, Dealer Owned Certified, or other Cat Financial Insurance Services
approved inspection forms, a TA-2 inspection of major components is required. In addition, any items not
passing inspection must first be repaired in order to qualify for Used Machine EPP. All fees for this
inspection and necessary repairs are the responsibility of the dealer.
Registration will not be accepted until all deficiencies are corrected. The corrective action should be noted. It is
the selling dealer’s responsibility to see that the machine is properly inspected. The completed inspection
must be signed and dated by the selling dealer. All inspections will become part of the equipment file at the
dealer.
INSPECTION ADJUSTMENTS:
Delayed Coverage Start Date Exception (EAME Only): The inspection completed within the 30 days prior to
the machine sale date is valid for the DCSD program and no additional inspection is required even though the
coverage may not start for up to 9 months. The inspection should show the same hours as those in UEMS.
(The EPP start hours under the DCSD program are those at the time of machine sale/inspection.)
Dealer Used Machine Inventory Adjustment: If the machine is currently in the dealer’s used machine
inventory, the coverage start date is more than 30 days from the last inspection date, the dealer must confirm
there is no significant change (more than 50 additional hours) in machine SMU. The dealer should verify
that the original inspection is still an accurate representation of the machine. The dealer would then adjust/
update the hours and inspection date to coincide with the current SMU reading and date. (Significant change
is a difference of more than 50 additional hours.) An additional inspection is not required provided the level of
machine coverage is not transitioning to a higher coverage level.
Inspection files of the selling dealer are subject to audit. Further, the dealer is obligated to forward a
copy of the inspection if directed to do so.
 Confirm that the machine has not experienced a failure prior to the CCU coverage start date. If a
 Repair machines using the most economical method, and install only genuine Cat parts.
 Keep on file the applicable inspection and all parts and labor invoices relative to required repairs.
 Register each machine for EPP under the CCU program and pay applicable fees.

Components Covered
For a summary of Service Management Control System (SMCS) codes and major component categories,
refer to the appropriate Bulletin(s) based on the coverage type. (Powertrain - Bulletin 8.01 and/or Hydraulics -
Bulletin 8.02) Parts and components replaced during the EPP term are covered for the remainder of the current
EPP coverage period. Coverage for all parts and labor ceases when the specified time or hour limitation is
reached, regardless of when the part was repaired or replaced. All Bulletins are located on the Global Warranty
website at https://warranty.cat.com.
Parts and Labor

 Parts: Qualifying Cat parts are reimbursable.
 Americas South and APD – Reimbursable at D/N+33%.
 EAME – Reimbursable at D/N+10% or D/N+25%.
 Labor: Reimbursable at registered dealer sell rate for EPP qualifying claims.

Programs (PSP)
All Service Letters (PIPs, PSPs) performed on machines covered by EPP, must be claimed under the
appropriate Service Letter. Do not claim these repairs under EPP. Refer to Bulletin 1.16 for claiming practices
on both pre-failure and after-failure repairs under PIPs and PSPs.

Emissions
See Bulletin 7.01 for complete details regarding emissions warranty. See Bulletin 8.01 for an explanation of
emissions related Powertrain components.

 Operator abuse, neglect, improper or abusive use of the machine, including but not limited to the failure to
perform the recommended preventive maintenance as specified in the Operation and Maintenance Manual.
 Operation beyond the design and/or capacity of the machine.
 Wear-out and normal deterioration in performance, accelerated wear-out of components due to operating
 Chemical corrosion and physical or mechanical erosion.
 Unauthorized fuel setting changes.
 Acts of war, vandalism, riot, theft, explosion, collision, fire and/or any other act of nature, person or
vermin.
 Operating equipment with improper fuel/fluids or filters, incorrect fuel/fluid levels or contaminated fuel/
fluid.
 Modifications, unless requested and authorized by Caterpillar and performed at an approved repair
facility.
 Any repair if the service meter has been stopped, altered, or misrepresents the equipment’s actual usage.
 Transportation, towing costs or field service travel expenses.
4 08.51-04 (06/18)
 Loss of time, inconvenience, downtime, downtime-related expenses or other incidental or consequential

loss that results from a defect in material workmanship.
 Storage or miscellaneous shop supplies.
 Mechanical breakdown resulting from the failure of a non-covered component.
 Freight and taxes.
 Any costs covered by any warranty of the manufacturer, including emissions warranty or repairer’s
guarantee, regardless of whether the warranty or guarantee is honored.
 Performance complaints, including but not limited to, adjustments to fuel settings or electronic unit
ejectors to comply with emissions standards under the Environmental Protection Agency or similar
 Any costs incurred for the manufacturer to comply with the Environmental Protection Agency or similar
Enrollment
General:
 The EPP enrollment must be submitted within 30 days of the requested EPP coverage start date.
 Entered into UEMS within 30 days of the Used Delivery Date.
 The EPP coverage start date must be after but within 30 days of the inspection date. (Excludes a
Delayed Coverage Start Date enrollment in EAME)
 All enrollment exception requests will be reviewed on an individual case-by-case basis.
 Dealer must keep on-file a copy of the machine inspection for verification if requested by Caterpillar.
Enrollments may be completed using the Corporate Claims System (Claimsi) at https://claims.cat.com, by
submitting the monthly enrollment form on or before the 10th of each month. The form can be found at
https://dealer.cat.com/en/ps/esc-epp/machine-worktool/used/blanket.html under the CCU tab, or, in EAME
only; enrollments are completed via a download of dealer entered sales data in UEMS by Caterpillar Financial
Insurance Services.
Note: (EAME Only) A Delayed Coverage Start Date enrollment is an enrollment that has a coverage start date
in the future but is sold to the end user at the time of the machine sale/transaction.
Note: Typically, the download of UEMS enrollment data for participating dealers in EAME is initiated twice per month.
Validating Coverage
Dealers can verify CCU coverage in the Service Information Management System (SIMSi). The Sales and
Service screens will show the coverage details and other relative information.
Note: The Delayed Coverage Start Date EPP coverage will not be visible to dealer in SIMSi until the actual and
specified coverage start date.
08.51-04 (06/18) 5
➤ Transfer of Equipment Protection Plan

Cat Financial Insurance Services intends for the EPP coverage to follow the machine by providing global claims
reimbursement with the following exceptions:
• To/from sanctioned individuals or countries
• Brazil, China and as otherwise prohibited due to legal restrictions
CCU, Individual Used and Rental Rollout EPP program transfer guidelines:
• From one end user, to another end user
° EPP typically follows the machine within the same Caterpillar region (APD, EAME, Americas South,
and Americas North), however the transfer approval is at the original EPP selling dealer’s discretion.
° If approved, the original EPP selling dealer must submit an email to EquipmentProtectionPlan@cat com.
(Include the machine serial number, date of transfer, transferring dealer name and number, and receiving
dealer name and number).
• From one servicing/repair dealer to a different servicing repair dealer within the same Caterpillar
region (APD, EAME, Americas South, Americas North).
° The original EPP selling dealer must submit an email to EquipmentProtectionPlan@cat.com.
(Include the machine serial number, date of transfer, transferring dealer name and number).
• From one Caterpillar region (APD, EAME, Americas South, Americas North) to another / different
Caterpillar region.
° Transfer of EPP from region-to-region is not allowed.

Americas South and APD - Reimbursable at Dealer Net+33%
Parts
EAME - Reimbursable at Dealer Net+10% or Dealer Net+25%
If made unusable:
Service Items Americas South and APD - Reimbursable at Dealer Net+33%
EAME - Reimbursable at Dealer Net+10% or Dealer Net+25%
Reimbursable at the Dealer’s Registered Sell Rate, unless otherwise
Repair Labor
specified.
Parts Salvage Labor Reimbursable at Warranty Labor Rate, if justified.
Outside Repair Expenses Reimbursable at Cost
Overtime Labor Rate, Hauling
Costs, Freight Charges, Travel Time Not reimbursable
and Mileage, Meals and Lodging

SERVICE
Machines
Cat® Certified Rebuild (CCR)

➤ Overview
The purpose of this bulletin is to provide an overview of the Equipment Protection Plans (EPP) available for
CCR machines sold by Cat® dealers.
(A CCR involves the complete disassembly of the machine and all individual components. All paint is removed
and all parts that do not meet minimal standards are either replaced or reconditioned. Upon reassembly, the
entire machine is repainted. See bulletin 4.04 for more information on the Cat Certified Rebuild Program.)
Most models under the following Cat Certified Rebuild programs ARE eligible for EPP:
 Cat Certified Rebuild (CCR) for full and complete machine rebuilds.
 Cat Certified Powertrain (CPT) for powertrain only or powertrain and complete hydraulic system rebuilds.
 Cat Certified Machine Component Rebuild (CMCR) for machine engine only or for the combined
transmission and torque converter component rebuilds.
The following Cat Certified Rebuild programs ARE NOT eligible for EPP:
 Cat Certified Engine Rebuild (CER) for engine only rebuilds.
 Cat Certified Hydraulics Rebuild (CHR) for complete hydraulic systems only rebuilds.
This bulletin applies to CCR’s only.
There are two EPP coverage types available for CCR machines;
 Powertrain (PWT)
 Powertrain and Hydraulics (P+H)
Coverage terms range from 12 to 60 months with 3,000 to 10,000 hours, depending on model.
EPP covers qualifying parts and labor repair costs on eligible machines for covered powertrain and/or
hydraulic components, depending on the EPP coverage type. EPP coverage applies only to failures caused
by defects in materials and workmanship and starts at the machine delivery date as stated on the Certified
Rebuild Delivery Notice. (The Certified Rebuild Delivery and Enrollment Notices for all models eligible for the
Cat Certified Rebuild programs can be found on the Cat Certified Rebuild web page at:


Please refer to the Global Warranty (https://warranty.cat.com) website for appropriate Bulletins containing
details on programs and/or coverages.
Cat Rebuild and Parts Programs:
 Bulletin 4.01 – Parts
 Bulletin 4.04 – Cat Certified Rebuild Program & Cat Certified Rebuild Upgrade Programs
EPP Programs:
 Bulletin 8.53 – Cat Certified Powertrain Equipment Protection Plan
 Bulletin 8.54 – Cat Certified Machine Component Rebuild Equipment Protection Plan
EPP Coverage:
 Bulletin 8.01 – Powertrain Equipment Protection Plan
 Bulletin 8.02 – Hydraulics Equipment Protection Plan
EPP rate tables for eligible models can be found at https://dealer.cat.com/en/ps/esc-epp/machine-worktool/
used/cert-rebuild.html and are also published in Quote Plus.
You may also contact your Cat Financial Insurance Services Territory Manager (TM) or Area Sales
Operations Manager (ASOM) with questions or send an email to the appropriate regional mailbox.
Caterpillar determines machine eligibility through publication of a Rebuild Manual for each specific model and
serial number prefix, except in Brazil where only domestically manufactured machines are eligible for the EPP
Rebuild programs. Prior to starting a Certified Rebuild on a Cat machine, the dealer must submit a Certified
Rebuild Enrollment Request form to Caterpillar. This request form and the Rebuild Manuals are made available
on the Certified Rebuild webpage at: https://dealer.cat.com/en/ps/repair-options/certified-rebuild.html. Only
machines eligible for the Caterpillar Certified Rebuild programs are listed by product family, model and serial
number prefix on this site. Contact your Caterpillar Certified Rebuild representative to request the addition of a
non-listed machine or manual.
Following the submission of the Certified Rebuild Enrollment Request form and the completion of the rebuild
itself, Caterpillar requires the dealer to complete and submit a Certified Rebuild Delivery Notice when the rebuilt
machine is delivered to the end-user customer. The Delivery Notice is used to notify Caterpillar that the machine
has been delivered to the customer and also indicates that EPP was included/sold as part of the rebuild. It
does not initiate or to complete the EPP enrollment. The dealer is responsible to initiate and complete the EPP
enrollment.
Note: Machines eligible for EPP coverage (see https://dealer.cat.com/en/ps/esc-epp/machine-worktool/used/
cert-rebuild.html) must also be eligible for the CCR or CPT rebuild programs. (see https://dealer.cat.com/en/ps/
repair-options/certified-rebuild.html).
Only machines originally manufactured in Brazil are eligible for rebuild EPP in Brazil if they are also
eligible for the CCR or CPT rebuild programs.
Note: The date of delivery specified by the dealer on the Certified Rebuild Delivery Notice is used as the
coverage start date for both the Parts Warranty and EPP.
Note: The coverage start hour for EPP is the service meter unit (SMU) reading at the date of delivery. This
should match the hours shown on the Certified Rebuild Delivery Notice. (Usually “1” for a CCR.)
 Confirm that the machine has not experienced a failure prior to the EPP coverage start date. (The
coverage start date is the delivery date as shown on the Certified Rebuild Delivery Notice.) If a

 Confirm that the machine has been rebuilt according to the specific published Cat Rebuild Manual
requirements.
• Requirements may include but are not limited to:
• Parts that must always be replaced.
• Procedures and quality checks that must be performed.
• Product engineering updates that must be incorporated.
 Repair machines using the most economical method, and install only genuine Cat parts (including
remanufactured parts).
 Keep on file all parts invoices of new and Reman Cat parts that were installed during the rebuild.
 Pay for any loss in excess of what is covered by EPP if broader coverage was offered to the
customer.
 If the rebuilding dealer is not the EPP registering dealer, please contact your Cat Financial
Insurance Services representative before initiating the rebuild itself.
Note for Repair Claim:
• If the Part causing the failure is a Reused Part:
• Indicate the type of rebuild (CCR) and state that the Part causing the failure was a Reused
Part in the Claim Story and enter Group Number 772R.
Covered Components under EPP
Covered components are the same as those covered under Powertrain (Bulletin 8.01) and/or Hydraulics
(Bulletin 8.02) depending upon coverage type. For a summary of Service Management Control System
(SMCS) codes and major component categories, refer to the appropriate bulletin(s). Parts and components
replaced under the terms of the Cat Parts warranty or under EPP are covered for the remainder of the current
EPP coverage period. Coverage for all parts and labor ceases when the specified time or hour limit is reached,
regardless of when the part was repaired or replaced.
Components commonly mistaken as powertrain, which are not covered include: undercarriage, external hoses
and lines (except hydrostatic), the engine radiator, and engine attachments (alternator, starter, air compressor,
air conditioner compressor). Radiators are reconditioned or replaced during the rebuild process, but are not
covered under EPP.
Parts and Labor
New or Remanufactured (Reman) Part Causing Failure
 During the Cat Parts Warranty:
 Parts: Refer to Bulletin 4.04.
 Labor: Labor is reimbursable at registered dealer sell rate for EPP qualifying repairs.
 After the Cat Parts Warranty:
 Parts: Qualifying repair costs resulting from a defect in material or workmanship are reimbursable.
 APD and EAME – Qualifying Cat parts are reimbursable at D/N + 10%.
 Americas North and South – Qualifying Cat parts are reimbursable at D/N + 33%. (Prior
to January 1, 2016, some contracts were underwritten with Customer List as the defined
reimbursement rate rather than D/N + 33%. For those contracts, claims will continue to
be honored at Customer List through the duration of their specified term.)
➤  Labor: Labor is reimbursable at registered dealer sell rate for EPP qualifying repairs.
Reused Part Causing Failure (See also Dealer’s responsibilities section above)
 During the Cat Parts Warranty: Refer to Bulletin 4.04
 Parts: When a qualifying Cat part is reused in the CCR rebuild and that part causes a failure
resulting from a defect in material or workmanship:
 Americas North - Dealer is responsible for all parts costs.

 Americas South and APD– Qualifying Cat parts are reimbursable under EPP at D/N.
 EAME – Qualifying Cat parts are reimbursable under the Improved* EPP coverage at D/N.
 Labor:
 Americas North - Dealer is responsible for labor costs.
 Americas South, APD and EAME – Labor is reimbursable at registered dealer sell rate
for EPP qualifying repairs.
* EAME Only - Improved coverage allows dealers to claim for parts cost reimbursement, no labor, during the Cat Parts
Warranty period on failures resulting from a defect in material or workmanship of EPP qualifying Cat Reused Part,
according to the Cat reusability guidelines, in the CCR.
• The Improved CCR EPP “Reused Parts” coverage, customized coverage code: 3624CCR940100, is automatically
enrolled following the dealer’s filing of the Certified Rebuild Delivery Notice and the applicable flat fee charged
to the dealer. (The fee is currently reimbursed through an EAME Marketing Program (OIL) with other program
support fees on a monthly basis.)
 Parts: Qualified repair costs resulting from a defect in material or workmanship are
reimbursable under EPP.
 APD and EAME – Qualifying Cat parts are reimbursable under EPP at D/N +10%.
 Americas North and South – Qualifying Cat parts are reimbursable under EPP at D/N +
33% (Customer List prior to January 1, 2016).
 Labor: Labor is reimbursable at registered dealer sell rate for applicable EPP qualifying
repairs.

Programs (PSP)
There is no participation under EPP for before failure PIPs or PSPs.
 All Service Letters (PIPs, PSPs) announced after the Certified Machine Rebuild will be supported by
Caterpillar to the extent of the Service Letter. (See bulletin 1.16)
 An additional claim may be filed under an active certified rebuild EPP where the reimbursement for parts
and labor under the after failure Service Letter is proportionately reduced over time.
 Only parts and labor for the amount of dealer/customer participation listed in the Service
Claim Allowances section for the prescribed repair (the remainder of proration not covered by
Caterpillar under the Service Letter) is reimbursable.

Dealer Reimbursement under EPP

During the applicable Parts Warranty period, Parts Warranty will reimburse the dealer for approved failure claim
parts costs caused by a defect in material or workmanship of a new or Reman part that was replaced during
the rebuild. (See Bulletins 4.01 and 4.04.) Other parts removed in the process of repair will be reinstalled as
is, unless the customer authorizes the additional cost at the customer’s expense. Repair costs caused by a
Reused Part are the responsibility of the dealer but may be covered under an EPP program where applicable
and available.
Associated labor costs of failure claims are also the responsibility of the dealer but also may be covered under
an EPP program where applicable and available.
Parts - All parts needed to correct a defect of a covered Cat part, including gaskets, seals, salvage materials,
and any resultantly damaged Cat parts are reimbursable.
Replacement parts or components may either be new, Reman, or a Cat approved repaired, at Caterpillar’s
choice. When there is a Cat Reman part offered that is at standard dimensions, dealers must always use the
Reman part.
4 08.52-03 (01/18)
Parts reimbursement includes only those Cat parts needed to restore the product to its operating condition
just prior to the covered failure. It does not include reimbursement for parts to restore the product to a like-new
condition.
Parts Service Charges - Cat Parts Distribution service charges for parts obtained on an emergency order are
reimbursable.
Service Items - Lubricants, filters, antifreeze, and other service items made unusable due to contamination by
the failure are reimbursable. Service items not affected by the failure, which are replaced in the normal course
of the repair, are not covered.
Repair Labor - Includes labor to inspect, test, diagnose, remove, disassemble, clean, assemble, and install.
Parts Salvage Labor - Parts salvage labor is reimbursable, if the Cat part can be satisfactorily repaired for a
cost that does not exceed 50% of the D/N price for a new or Reman part. Salvage labor includes only the time
to perform salvage operations such as machining, cutting, burning, trimming, bending, heating, welding, etc. It
does not include the labor to disassemble and assemble the part or component associated with performing the
salvage operation. Such labor is the responsibility of the dealer.
Salvage labor reimbursement is at the registered dealer sell rate. Materials such as steel that are used to
perform the salvage operation are reimbursable at the dealer’s acquisition cost.
Overtime Labor Rate - Labor that is performed after normal working hours will be reimbursed at the
registered dealer sell rate.
Outside Repair Expenses - Outside repair expenses are reimbursable, if the expense is justified and
reasonable. Such expenses are reimbursed at the dealer’s actual cost. These expenses are for parts and/
or labor from an outside vendor. Examples of labor expenses for sublet repairs include, machining, cylinder
head milling, or radiator repair. It is the dealer’s responsibility to ensure that invoice charges for outside repair
expenses are reasonable in order to assure full reimbursement.
Shop Supplies - Shop supplies are not reimbursable as an itemized parts expense line or parts summary
(NLOW) expense line. Allowance for shop supplies has been included in the dealer’s labor rate. Examples
of shop supplies includes, shop towels, welding rod, wire ties, gasket maker, sealants, solvents, adhesives,
primers, paint, assembly lubricants, anti-seize compounds, buffing discs & pads, emery cloth, etc.
Hauling Costs - Costs associated with transporting or hauling a machine for repair are not reimbursable.
Freight Charges - Inbound surface or airfreight charges from the dealer’s assigned Parts Distribution Center
to the dealership are not reimbursable as dealers are expected to stock parts needed to repair equipment in
their territory.
However, if the parts are not available in the dealer’s assigned Parts Distribution Center, the emergency
airfreight from the source Distribution Center to the dealer’s assigned Parts Distribution Center is reimbursable.
This portion of the airfreight is on the Cat parts invoice.
The cost of freighting parts from another branch or dealership is not claimable or reimbursed.
Note: Reimbursement practices for airfreight charges may differ for dealers that are covered by an Emergency
Freight Plan.
Note: Dealer must provide the Caterpillar invoice number or DBS customer backorder reference number
(backorder to Caterpillar Parts Distribution channel) in the Claim Story.
Meals & Lodging - Mechanic’s meals and lodging associated with field service repairs are not reimbursable
and are the responsibility of the dealer or customer.
reimbursable and are the responsibility of the dealer or customer.

 Any coverage not identified and not enrolled in the manufacturer’s enrollment program.
 Lube oils, grease, coolant, or air conditioner refrigerant, alternator, starter, air compressor, air
08.52-03 (01/18) 5
conditioner, compressor, and other bolt-on attachments, unless required in conjunction with the repair
of a covered part.
 Machine transportation or towing costs.
 Field service travel expenses.
 Engine tune-up.
 Loss of time, inconvenience, downtime or downtime-related expenses, or other incidental or
consequential loss that results from a defect in material or workmanship.
 Normally scheduled preventive maintenance or maintenance services, including, but not limited
to, valve lash adjustments and maintenance items including filters, fuel nozzles, fuel injectors,
thermostats, and seals and gaskets.
 Performance complaints including, but not limited to, adjustments to fuel settings or electronic unit
injectors.
 Wear-out and normal deterioration.
 Any costs incurred to improve operating performance due to normal wear and tear. This includes,
but is not limited to, valve and ring repairs designed to improve engine compression or reduce oil
consumption.
 Losses caused by equipment alterations or modifications in any manner which affects the mechanical
operation as designed by the equipment manufacturer.
 Replacement, adjustments, or alignment of any part not covered by this Agreement unless required in
conjunction with the repair of a covered part.
 Storage or miscellaneous shop supplies charges.
 A mechanical breakdown caused by or involving modifications unless those modifications were
performed at the request of the manufacturer by an authorized Caterpillar repair facility.
 A mechanical breakdown resulting from the failure of a non-covered part.
 A mechanical breakdown due to an application not approved by the manufacturer.
 A mechanical breakdown resulting from fuel settings inconsistent with manufacturer-recommended
settings.
 Freight and taxes additional to Transportation & Importation [T&I] as may be applicable.
 Costs covered by any warranty of the manufacturer or repairer’s guarantee regardless of whether they
honor such warranty or guarantee.
 Physical damage resulting from causes other than mechanical breakdown.
 A mechanical breakdown caused by vermin, collision, fire, theft, vandalism, riot, explosion, lightning,
earthquake, windstorm, hail, water, freezing, flood, or other acts of God.
 If the service meter has been stopped or altered or misrepresents the equipment’s actual usage.
 A mechanical breakdown caused by or attributed to by the use of improper or contaminated fuel,
fluids, or filters.
 A mechanical breakdown caused by abuse, neglect, misuse, or lack of customary maintenance, per
the “Operation and Maintenance Manual” for the equipment.
 Damage caused by or contributed to operating equipment that does not have proper levels of
lubricants or coolant.
 A mechanical breakdown caused by chemical corrosion or physical or mechanical erosion.
Brazil only:
 Any machine not originally manufactured in Brazil.
 Any machine ever imported new or used.
Illustration of Standard Parts Warranty and EPP Coverage

Refer to the applicable section of the ‘Reimbursement Chart’ located on the website at:
https://dealer.cat.com/en/ps/esc-epp/machine-worktool/used/cert-rebuild.html under the Administration/
Registration/Claims heading.
6 08.52-03 (01/18)
➤ EPP Enrollment
General:
 The intent to register for EPP must be indicated on the Certified Rebuild Delivery Notice form. The
completion of the Certified Rebuild Delivery Notice does not constitute enrollment of EPP.
 The EPP enrollment must be submitted within 60 days of the delivery date shown on the Certified
Rebuild Delivery Notice for that specified machine.
 Late enrollments, after 60 days from the delivery date shown on the Certified Rebuild Delivery Notice,
may be requested and will be reviewed for an exception on an individual case-by-case basis.
 Dealer must keep on-file a copy of the customer signed Delivery Notice, for verification if requested by
Caterpillar.
 The enrollment claim must use the Service Management Control System (SMCS) code 7944
Process:
Machines are enrolled in EPP by entering the details into the Caterpillar Service Claims System. Certain fields
will require specific values, which alert the system that this is a registration. The customer’s name and address
should be updated (if necessary) in the customer information network.
The Caterpillar Service Claims System is used to process the registration. Anyone not familiar with the
procedures for filing a claim might consult the dealership’s service department for help. We recommend
that the people who presently file service claims also file the EPP1 registrations. All rules that pertain to the
submission of the service claim also apply to registrations. The normal procedure is to submit a service claim
to Caterpillar, which will also be used to submit a registration.
If you are a Dealer Business System (DBS) dealer or dealer who uses the claim class concept for claim
preparation, you should establish a special claim class for registrations. The DBS help desk or their website for
FAQ (Frequently Asked Questions) should be consulted when first starting.
If you are not a Caterpillar DBS dealer, or do not have access to the Caterpillar Service Claims System, we
request that you use the Corporate Claims System (Claimsi) to enroll in EPP.
You can link to Claimsi here: https://claims.cat.com
 Click the tab labeled “claim entry” in the horizontal menu at the top of the page to open the
claim entry screen/fields. Enter the registration data in the required fields.
EPP Claim Entry Control Screen: (Required fields)
 Enter applicable dealer code in Repairing Dealer Code field.
 Use a Repairing Dealer Claim # with a prefix of “CU%...”.
 Enter “None” in the Alternate Dealer Code field.
 Use the EPP coverage start date you are requesting the Repair Date.
 Use the machine Serial Number, not the engine serial number.
 Parts SMU (H/M/K) entry for a CCR is “1” unless meter was not replaced.
 Usage Code is “H” for hours.
 Part Number is “0”.
 Description Code is “00”.
 Group Number is “7944” for all rebuild machines.
 Labor Hours is “0”.
 Enter the customized coverage code in the Findings/Comments field.
 Cab Type defaults to “No”. Leave as “No”.
 Parts is “0”.
 Labor is “0”.
Misc/Parts Summary Screen:

 Choose “Miscellaneous” from the Type drop down menu.

 Qty is “1”.
 Description is ”EPPFEE”.
 Total is the numeric fee amount.
 Currency is USD or applicable local currency.
 Leave Dec blank
Story screen:
 Note who is entering request, rebuild type (CCR), coverage type (PWTor P+H), coverage term
requested, rebuild delivery date, EPP amount from rate table. (Comment if meter was replaced and/or
note special quote number if either is applicable.)
Click Submit Claim when you are ready to submit for enrollment.
Validating EPP Coverage

Service screens will show the new delivery date, the coverage details, and the customer name and address.


New, Remanufactured (Reman)
and Reused Parts
During the Cat Parts Warranty: (Bulletin 4.04)

 All Regions - Reimbursable at D/N under Parts Warranty.
- New or Reman Part Causing After the Cat Parts Warranty:
Failure  Americas North and South - Reimbursable under EPP at
D/N + 33% (Customer List prior to January 1, 2016).
 APD, EAME - Reimbursable under EPP at D/N+10%

 Americas North - Dealer is responsible.
 Americas South, APD - Reimbursable under EPP at D/N.
 EAME – Reimbursable under ‘Improved’ EPP at D/N.
- Reused Part Causing Failure
After the Cat Parts Warranty:
 Americas North and South - Reimbursable under EPP at
APD, EAME - Reimbursable under EPP at D/N+10%.
Labor
 All Regions - Reimbursable under EPP at registered dealer sell
- New or Reman part causing rate.
failure After the Cat Parts Warranty:
 All Regions – Reimbursable under EPP at registered dealer sell
rate.
 Americas South, APD and EAME - Reimbursable under EPP at
- Reused Part Causing Failure registered dealer sell rate.
rate.
Parts Salvage Labor Reimbursable at registered dealer sell rate, if justified.
Outside Repair Expenses Reimbursable at cost rate, if justified.
Overtime Labor, Not reimbursable

Shop Supplies, Hauling Costs,  Overtime labor can be reimbursed at normal labor rate.
Freight Charges, (See Labor above)
Meals & Lodging,  Freight charges may be reimbursed if parts are not at dealer’s
and Travel Time & Mileage assigned PDC
08.52-03 (01/18) 9
10 08.52-03 (01/18)
SERVICE
Machines
Cat® Certified Powertrain (CPT)

➤Overview
The purpose of this bulletin is to provide an overview of the Equipment Protection Plans (EPP) available for CPT
rebuild machines sold by Cat® dealers.
(A CPT Rebuild involves the complete disassembly of the machine powertrain and all individual components. All parts that do
not meet minimal standards are either replaced or reconditioned. See Bulletin 4.04 for more information on the Cat Certified
Rebuild Program.)
Most models under the following Cat Certified Rebuild programs ARE eligible for EPP:
 Cat Certified Rebuild (CCR) for full and complete machine rebuilds.
 Cat Certified Powertrain (CPT) for powertrain only or powertrain and complete hydraulic system rebuilds.
 Cat Certified Machine Component Rebuild (CMCR) for machine engine only or for the combined
transmission and torque converter component rebuilds.
The following Cat Certified Rebuild programs ARE NOT eligible for EPP:
 Cat Certified Engine Rebuild (CER) for engine only rebuilds.
 Cat Certified Hydraulics Rebuild (CHR) for complete hydraulic systems only rebuilds.
This bulletin applies to CPT’s only.
There are two EPP coverage types available for CPT machines;
 Powertrain (PWT)
 Powertrain and Hydraulics (P+H)
Coverage terms range from 12 to 60 months with 3,000 to 10,000 hours, depending on model.
EPP covers qualifying parts and labor repair costs on eligible machines for covered powertrain and/or hydraulic
components, depending on the EPP coverage type. EPP coverage applies only to failures caused by
defects in materials and workmanship and starts at the machine delivery date as stated on the Certified
Rebuild Delivery Notice. (The Certified Rebuild Delivery and Enrollment Notices for all models eligible for the
Cat Certified Rebuild programs can be found on the Cat Certified Rebuild web page at https://dealer.cat.
com/en/ps/repair-options/certified-rebuild.html.)
Please refer to the Global Warranty (https://warranty.cat.com) website for appropriate Bulletins containing
details on programs and/or coverages.


Cat Rebuild and Parts Programs:

 Bulletin 4.01 – Parts
 Bulletin 4.04 – Cat Certified Rebuild Program & Cat Certified Rebuild Upgrade Programs
EPP Programs:
 Bulletin 8.52 – Cat Certified Rebuild Equipment Protection Plan
 Bulletin 8.54 – Cat Certified Machine Component Rebuild Equipment Protection Plan
EPP Coverage:
 Bulletin 8.01 – Powertrain Equipment Protection Plan
 Bulletin 8.02 – Hydraulics Equipment Protection Plan
EPP rate tables for eligible models can be found at:
https://dealer.cat.com/en/ps/esc-epp/machine-worktool/used/cert-rebuild.html.
You may also contact your Cat Financial Insurance Services Territory Manager (TM) or Area Sales Operations
Manager (ASOM) with questions or send an email to the appropriate regional mailbox.
➤Machine Eligibility
Caterpillar determines machine eligibility through publication of a Rebuild Manual for each specific model and
serial number prefix, except in Brazil where only domestically manufactured machines are eligible for the EPP
Rebuild programs. Prior to starting a Certified Rebuild on a Cat machine, the dealer must submit a Certified
Rebuild Enrollment Request form to Caterpillar. This request form and the Rebuild Manuals are made available on
the Certified Rebuild webpage at: https://dealer.cat.com/en/ps/repair-options/certified-rebuild.html. Only machines
eligible for the Cat Certified Rebuild programs are listed by product family, model and serial number prefix on this
site. Contact your Cat Certified Rebuild representative to request the addition of a non-listed machine or manual.
Following the submission of the Certified Rebuild Enrollment Request form and the completion of the rebuild
itself, Caterpillar requires the dealer to complete and submit a Certified Rebuild Delivery Notice when the
rebuilt machine is delivered to the end-user customer. The Delivery Notice is used to notify Caterpillar that
the machine has been delivered to the customer and also indicates that EPP was included/sold as part of the
rebuild. It does not initiate or complete the EPP enrollment. The dealer is responsible to initiate and to complete
the EPP enrollment.
Note: Machines eligible for EPP coverage (see https://dealer.cat.com/en/ps/esc-epp/machine-worktool/
used/cert-rebuild.html) must also be eligible for the CCR or CPT rebuild programs. (see https://dealer.cat.
com/en/ps/repair-options/certified-rebuild.html.) Only machines originally manufactured in Brazil are
eligible for rebuild EPP in Brazil if they are also eligible for the CCR or CPT rebuild programs.
Note: The date of delivery specified by the dealer on the Certified Rebuild Delivery Notice is used as
the coverage start date for both the Parts Warranty and EPP.
Note: The coverage start hour for EPP is the service meter unit (SMU) reading at the date of delivery.
This should match the hours shown on the Certified Rebuild Delivery Notice.
➤Dealer’s Responsibilities
 Confirm that the machine has not experienced a failure prior to the EPP coverage start date. (The
coverage start date is the delivery date as shown on the Certified Rebuild Delivery Notice.) If a
failure exists, the machine must be repaired prior to registering it for an EPP.
 Confirm that the machine has been rebuilt according to the specific published Cat Rebuild Manual
requirements.
Requirements may include but are not limited to:


• Procedures and quality checks that must be performed.
• Product engineering updates that must be incorporated.
 Repair machines using the most economical method, and install only genuine Cat parts (including
 Keep on file all parts invoices of new and Reman Cat parts that were installed during the rebuild.
 If the rebuilding dealer is not the EPP registering dealer, please contact your Cat Financial
Insurance Services representative before initiating the rebuild itself.
Note for Repair Claim:
 If the Part causing the failure is a Reused Part:
 Indicate the type of rebuild (CPT) and state that the Part causing the failure was a Reused Part
in the Claim Story and enter Group Number 772R.
Covered Components under EPP

Covered components are the same as those covered under Powertrain (Bulletin 8.01) and/or Hydraulics
(Bulletin 8.02) depending upon coverage type. For a summary of Service Management Control System
(SMCS) codes and major component categories, refer to the appropriate bulletin(s). Parts and components
replaced under the terms of the Cat Parts warranty or under EPP are covered for the remainder of the current
EPP coverage period. Coverage for all parts and labor ceases when the specified time or hour limit is reached,
regardless of when the part was repaired or replaced.
Components commonly mistaken as powertrain, which are not covered include: undercarriage, external hoses
and lines (except hydrostatic), the engine radiator, and engine attachments (alternator, starter, air compressor,
air conditioner compressor). Radiators are reconditioned or replaced during the rebuild process, but are not
covered under EPP.
➤Parts and Labor

New or Remanufactured (Reman) Part Causing Failure
 During the Cat Parts Warranty:
 Parts: Refer to Bulletin 4.04
 Parts: Qualifying repair costs resulting from a defect in material or workmanship are reimbursable.
 APD and EAME – Qualifying Cat parts are reimbursable at Dealer Net (D/N) +10%.
 Americas North and South – Qualifying Cat parts are reimbursable at D/N + 33%
(Prior to January 1, 2016, some contracts were underwritten with “Customer List” as
the defined reimbursement rate rather than Dealer Net + 33%. For those contracts,
claims will continue to be honored at Customer List through the duration of their
specified term.)
Reused Part Causing Failure (See also Dealer’s responsibilities section above)
 During the Cat Parts Warranty: Refer to Bulletin 4.04
 Parts: When a qualifying Cat part is reused in the CPT rebuild and that part causes a failure
resulting from a defect in material or workmanship:
 Americas North - Dealer is responsible for all parts costs.
 Americas South and APD– Qualifying Cat parts are reimbursable under EPP at D/N.
 EAME – Qualifying Cat parts are reimbursable under the Improved* EPP coverage at D/N.

 Labor:
 Americas North - Dealer is responsible for labor costs.
 Americas South, APD and EAME – Labor is reimbursable at registered dealer sell rate
for EPP qualifying repairs.
* EAME Only - Improved coverage allows dealers to claim for parts cost reimbursement, no labor, during the Cat Parts
Warranty period on failures resulting from a defect in material or workmanship of EPP qualifying Cat parts reused,
according to the Cat reusability guidelines, in the CPT rebuild.
• The appropriate CPT P+H (customized coverage code: 3624CPH910100) or CPT PWT(customized
coverage code: 3624CPT910100) improved coverage is automatically enrolled following the dealer’s
filing of the Certified Rebuild Delivery Notice and the applicable flat fee charged to the dealer. (The fee
is currently reimbursed through an EAME Marketing Program (OIL) with other program support fees on a
monthly basis.)
 Parts: Qualifying repair costs resulting from a defect in material or workmanship are
reimbursable under EPP.
 APD and EAME – Qualifying Cat parts are reimbursable under EPP D/N +10%.
 Americas North and South – Qualifying Cat parts are reimbursable under EPP at D/N
+ 33% (Customer List prior to January 1, 2016).
 Labor: Labor is reimbursable at registered dealer sell rate for applicable EPP qualifying
repairs.

Programs (PSP)
There is no participation under EPP for before failure PIPs or PSPs.
 All Service Letters (PIPs, PSPs) announced after the Certified machine rebuild will be supported by
Caterpillar to the extent of the Service Letter. (See bulletin 1.16)
 An additional claim may be filed under an active certified rebuild EPP where the reimbursement for parts
and labor under the after failure Service Letter is proportionately reduced over time.
 Only parts and labor for the amount of dealer/customer participation listed in the Service
Claim Allowances section for the prescribed repair (the remainder of proration not covered by
Caterpillar under the Service Letter) is reimbursable.

Dealer Reimbursement under EPP

During the applicable Parts Warranty period, Parts Warranty will reimburse the dealer for approved failure claim
parts costs caused by a defect in material or workmanship of a new or Reman part that was replaced during the
rebuild. Resultant damaged parts are also covered. (See Bulletins 4.01 and 4.04.) Other parts removed in the
process of repair will be reinstalled as is, unless the customer authorizes the additional cost at the customer’s
expense. Repair costs caused by a Reused Part are the responsibility of the dealer but may be covered under
Associated labor costs of failure claims are also the responsibility of the dealer but also may be covered under
Parts - All parts needed to correct a defect of a covered Cat part, including gaskets, seals, salvage materials,
and any resultantly damaged Cat parts are reimbursable.
Replacement parts or components may either be new, Reman, or a Caterpillar approved repaired, at Caterpillar’s
choice. When there is a Cat Reman part offered that is at standard dimensions, dealers must always use the
Reman part.
4 08.53-04 (01/18)
Parts reimbursement includes only those Cat parts needed to restore the product to its operating condition just prior to
the covered failure. It does not include reimbursement for parts to restore the product to a like-new condition.
Parts Service Charges - Cat Parts Distribution service charges for parts obtained on an emergency order are
reimbursable.
the failure are reimbursable. Service items not affected by the failure, which are replaced in the normal course
of the repair, are not covered.
Parts Salvage Labor - Parts salvage labor is reimbursable, if the Cat part can be satisfactorily repaired for a
cost that does not exceed 50% of the D/N price for a new or Reman part. Salvage labor includes only the time
to perform salvage operations such as machining, cutting, burning, trimming, bending, heating, welding, etc.
Labor to disassemble and assemble the part or component associated with performing the salvage operation
is the responsibility of the dealer.
Salvage labor reimbursement is at the registered dealer sell rate. Materials such as steel that are used to
perform the salvage operation are reimbursable at the dealer’s acquisition cost.
Overtime Labor Rate – Overtime labor rate is not reimbursable. Labor that is performed after normal working
hours will be reimbursed at the registered dealer sell rate.
expenses are reasonable in order to assure full reimbursement.
primers, paint, assembly lubricants, anti-seize compounds, buffing discs & pads, emery cloth, etc.
Hauling Costs - Costs associated with transporting or hauling a machine for repair are not reimbursable.
Freight Charges - Inbound surface or airfreight charges from the dealer’s assigned Parts Distribution Center
(PDC) to the dealership are not reimbursable as dealers are expected to stock parts needed to repair
equipment in their territory.
This portion of the airfreight is on the Cat parts invoice.
The cost of freighting parts from another branch or dealership is not claimable or reimbursable.
Note: Reimbursement practices for airfreight charges may differ for dealers that are covered by an Emergency
Freight Plan.
Note: Dealer must provide the Caterpillar invoice number or DBS customer backorder reference number
(backorder to Caterpillar Parts Distribution channel) in the Claim Story.
Meals & Lodging - Mechanic’s meals and lodging associated with field service repairs are not reimbursable.
reimbursable.

 Any coverage not identified and not enrolled in the manufacturer’s enrollment program.
 Lube oils, grease, coolant, or air conditioner refrigerant, alternator, starter, air compressor, air
of a covered part.
08.53-04 (01/18) 5
 Machine transportation or towing costs.

 Field service travel expenses.
 Engine tune-up.
 Loss of time, inconvenience, downtime or downtime-related expenses, or other incidental or
 Normally scheduled preventive maintenance or maintenance services, including, but not limited
 Performance complaints including, but not limited to, adjustments to fuel settings or electronic unit injectors.
 Wear-out and normal deterioration.
 Any costs incurred to improve operating performance due to normal wear and tear. This includes,
consumption.
 Losses caused by equipment alterations or modifications in any manner which affects the mechanical
 Replacement, adjustments, or alignment of any part not covered by this Agreement unless required in
 Storage or miscellaneous shop supplies charges.
 A mechanical breakdown caused by or involving modifications unless those modifications were
performed at the request of the manufacturer by an authorized Caterpillar repair facility.
 A mechanical breakdown resulting from the failure of a non-covered part.
 A mechanical breakdown due to an application not approved by the manufacturer.
 A mechanical breakdown resulting from fuel settings inconsistent with manufacturer-recommended
settings.
 Freight and taxes additional to Transportation & Importation [T&I] as may be applicable.
 Costs covered by any warranty of the manufacturer or repairer’s guarantee regardless of whether they
honor such warranty or guarantee.
 Physical damage resulting from causes other than mechanical breakdown.
 A mechanical breakdown caused by vermin, collision, fire, theft, vandalism, riot, explosion, lightning,
 If the service meter has been stopped or altered or misrepresents the equipment’s actual usage.
 A mechanical breakdown caused by or attributed to by the use of improper or contaminated fuel,
fluids, or filters.
 A mechanical breakdown caused by abuse, neglect, misuse, or lack of customary maintenance, per
 Damage caused by or contributed to operating equipment that does not have proper levels of
 A mechanical breakdown caused by chemical corrosion or physical or mechanical erosion.
Brazil only:
 Any machine not originally manufactured in Brazil.
 Any machine ever imported new or used.
Illustration of Standard Parts Warranty and EPP Coverage

Refer to the applicable section of the ‘Reimbursement Chart’ located on the website at:
https://dealer.cat.com/en/ps/esc-epp/machine-worktool/used/cert-rebuild.html under the Administration/
Registration/Claims heading.
6 08.53-04 (01/18)
EPP Enrollment
General:
 The intent to register for EPP must be indicated on the Certified Rebuild Delivery Notice form. The
completion of the Certified Rebuild Delivery Notice does not constitute enrollment of EPP.
 The EPP enrollment must be submitted within 60 days of the delivery date shown on the Certified
Rebuild Delivery Notice for that specified machine.
 Late enrollments, after 60 days from the delivery date shown on the Certified Rebuild Delivery Notice,
may be requested and will be reviewed for an exception on an individual case-by-case basis.
 Dealer must keep on-file a copy of the customer signed Delivery Notice, for verification if requested by
Caterpillar.
 The enrollment claim must use the Service Management Control System (SMCS) code 7944
Process:
Machines are enrolled in EPP by entering the details into Caterpillar Service Claims System. Certain fields will
require specific values, which alert the system that this is a registration. The customer’s name and address
The Caterpillar Service Claims System is used to process the registration. Anyone not familiar with the
procedures for filing a claim might consult the dealership’s service department for help. All rules that pertain
to the submission of the service claim also apply to registrations. The normal procedure is to submit a service
claim to Caterpillar, which will also be used to submit a registration.
If you are a “DBS” (Dealer Business System) Dealer or Dealer who uses the claim class concept for claim
preparation, you should establish a special claim class for registrations. The DBS help desk or their website for
FAQ (Frequently Asked Questions) should be consulted when first starting.
If you are not a Caterpillar DBS Dealer, or do not have access to the Caterpillar Service Claims System, we
request that you use the Corporate Claims System (Claimsi) to enroll in EPP.
• You can link to Claimsi here: https://claims.cat.com/
 Click the tab labeled “claim entry” in the horizontal menu at the top of the page to open the
claim entry screen/fields. Enter the registration data in the required fields.
EPP Claim Entry Control Screen: (Required fields)
 Enter applicable dealer code in Repairing Dealer Code field.
 Use a Repairing Dealer Claim # with a prefix of “CU%...”.
 Enter “None” in the Alternate Dealer Code field.
 Use the EPP coverage start date you are requesting the Repair Date.
 Use the machine Serial Number, not the engine serial number.
 Parts SMU (H/M/K) entry for a CPT is current SMU reading. (Enter “1” if meter replaced.)
 Usage Code is “H” for hours.
 Part Number is “0”.
 Description Code is “00”.
 Group Number is “7944” for all rebuild machines.
 Labor Hours is “0”.
 Enter the customized coverage code in the Findings/Comments field.
 Cab Type defaults to “No”. Leave as “No”.
 Parts is “0”.
 Labor is “0”.
Misc/Parts Summary Screen:
 Choose “Miscellaneous” from the Type drop down menu.
08.53-04 (01/18) 7
 Qty is “1”.
 Description is ”EPPFEE”.
 Total is the numeric fee amount.
 Currency is USD or applicable local currency.
 Leave Dec blank
Story screen:
 Note who is entering request, rebuild type (CPT), coverage type (PWT or P+H), coverage term
requested, rebuild delivery date, EPP amount from rate table. (Comment if meter was replaced and/or
note special quote number if either is applicable.)
Click Submit Claim when you are ready to submit for enrollment.
Validating EPP Coverage

Service screens will show the new delivery date, the coverage details, and the customer name and address.
8 08.53-04 (01/18)

New, Remanufactured (Reman)
and Reused Parts
 All Regions - Reimbursable at D/N under Parts Warranty.
- New or Reman Part Causing After the Cat Parts Warranty:
Failure  Americas North and South - Reimbursable under EPP at
 APD, EAME - Reimbursable under EPP at D/N+10%.

 Americas North – Dealer is responsible.
 Americas South and APD - Reimbursable under EPP at D/N.
 EAME – Reimbursable under ‘Improved’ EPP at D/N.
- Reused Part Causing Failure
 Americas North and South - Reimbursable under EPP at
 APD, EAME - Reimbursable under EPP at D/N+10%.
Labor
- New or Reman part causing rate.
failure After the Cat Parts Warranty:
 All Regions – Reimbursable under EPP at registered dealer sell
rate.

 Americas South, APD and EAME - Reimbursable under EPP
- Reused Part Causing Failure at registered dealer sell rate.
 All Regions - Reimbursable under EPP at registered dealer
sell rate.
Parts Salvage Labor Reimbursable at registered dealer sell rate, if justified.
Outside Repair Expenses Reimbursable at cost rate, if justified.
Not Reimbursable.
Overtime Labor, Shop Supplies,
 Overtime labor can be reimbursed at normal labor rate. (See
Hauling Costs, Freight Charges,
Labor above)
Meals & Lodging and Travel Time
 Freight charges may be reimbursed if parts are not at dealer’s
& Mileage
assigned PDC.
08.53-04 (01/18) 9
10 08.53-04 (01/18)
SERVICE
Machines
Cat® Certified Machine Component Rebuild

(CMCR)
Overview
The CMCR Equipment Protection Plan (EPP) program covers designated components in eligible machines for
parts and labor reimbursement when failures are caused by defects in material or workmanship. The program
reimburses for labor beginning at the first date of service and reimburses for parts after the new parts warranty
ends. The parts warranty for the Cat® Certified Machine Component Rebuild (CMCR) program covers Cat®
remanufactured components and Cat new components, as per Caterpillar warranty bulletin 4.01. Five component
coverage options are eligible for the CMCR program: engines only, torque converters and transmissions
combined, final drive only, differential only, and a complete drive axle. Because some torque converters and
transmissions share an oil supply, both must be rebuilt or replaced, and enrolled, at the same time. If the engine
is also rebuilt or replaced at the same time as the transmission and torque converter, a separate enrollment for
each is required. Only components going into machines that are eligible for the Cat Certified Rebuild program by
model and serial number are eligible for CMCR EPP*. For a list of eligible models, please visit: https://dealer.cat.
com/en/ps/repair-options/certified-rebuild.html.
*Brazil Specific: This program is available only for machines that were originally manufactured in Brazil
(domestic) and are eligible for the Cat Certified Rebuild program by model and serial number. (If a machine has
at any time been imported, it is not eligible for this program.
Other Certified Rebuild Programs:
• For Cat Certified Machine Rebuild (CCR), please refer to bulletins 8.52
• For Cat Certified Powertrain Rebuild (CPT), please refer to bulletins 8.53
➤Certified Machine Component Rebuild (CMCR)

Dealers must be authorized under the terms of an agreement with Caterpillar in order to perform a CMCR. The
rebuild process includes specific Caterpillar requirements such as:
• Procedures, quality checks, and other work that must be performed.
• Product engineering updates that must be incorporated in the rebuild.
• Ensuring all open Product Improvement Plans (PIP) are completed and reported against the original
serial number during the certified rebuild process.
• Dealer completion of all component removal and installation.


• Enrollment into the dealer’s scheduled oil sampling program for the duration of the CMCR EPP
coverage period. (This is recommended, not required.)
It also involves a complete disassembly of the component(s), removal of all paint and replacement or
reconditioning of parts that do not meet minimal standards. Upon reassembly, the entire component is repainted
and new decals affixed.
Caterpillar Machine Component Rebuild Enrollment Request

Prior to commencing a CMCR, the authorized dealer submits an enrollment request form to Caterpillar. The
enrollment form can be found at: https://dealer.cat.com/en/ps/repair-options/certified-rebuild.html. This is a Cat
Certified Rebuild form. It is not and does not initiate an EPP enrollment.
Caterpillar Machine Component Rebuild Delivery Notice

Upon completion of the rebuild, Caterpillar requires the dealer to submit a Delivery Notice at the time the
component has been installed and the machine delivered to a customer. Separately, the dealer is responsible
for the CMCR EPP enrollment. The date of delivery, specified by the dealer on the Delivery Notice, is used as
the coverage start date for both the standard parts warranty and the EPP. The Parts Information System (PIS)
delivery date remains as the original delivery date. The Delivery Notice form can be found at
EPP Coverage Options

Several coverage terms are available under the applicable portion of the Powertrain and Powertrain+Hydraulics
coverage definitions. Please visit: https://dealer.cat.com/en/ps/esc-epp/machine-worktool/used/cert-rebuild.html.
➤EPP Enrollment
Enrollment in the CMCR Equipment Protection Plan must be done within 60 days of the date the machine was
delivered to the customer. Complete the EPP enrollment by using Quote Plus: https://epp.cat.com, on-line Machine
Enrollment and Registration (MER) process or Corporate Claims System (Claimsi): https://claims.cat.com. Dealers
must keep a copy of the customer signed Delivery Notice on file for verification if requested by Caterpillar.
In the Findings/Comment field, enter the customized coverage code located under the coverage period on the
pricing tables.
In the claim story, enter the serial number of the component(s) and the source of the component(s). (Cat
Remanufactured component or Cat new component.) When enrolling a torque converter and transmission,
include the serial number of both. When enrolling drive axles, final drives and/or differentials, include the tag
tracking number provided by the Caterpillar Certified Rebuild group.
EPP Covered Components

A complete list of covered components by Service Management Control System (SMCS) code is located at the
end of this document. There are separate lists for each of the five eligible components: engines only, torque
converters and transmissions combined, final drive only, differential only, and a complete drive axle. Some parts
that are not covered include: external hoses and lines, the engine radiator and engine attachments (i.e. alternator,
starter, air compressor and air conditioner compressor).
Validating Coverage
Dealers can verify EPP enrollment / coverage through Caterpillar’s on-line computer system using the dealer
Service Information Management System (SIMSi). The coverage / customer information screens will show the
coverage start date, coverage terms and the customer name and address.
Wear Out and Extent of Repair During EPP Term

Wear out and normal deterioration is not covered. Such occurrences are not due to defects in the material or
workmanship.

The intent of a repair is not to restore the product to a like-new condition, but rather to restore the product to its
operating condition just prior to the covered failure. The repair or replacement of the failed part or component and
any associated resultant damaged parts are reimbursable on allowed claims. Other parts removed in the process
of repair will be reinstalled as is, unless the customer authorizes the additional cost at the customer’s expense.
➤Dealer Reimbursement During the New Parts Standard Warranty Period

Cat Remanufactured or Cat New Parts Installed in the Cat CMCR
The new parts standard warranty will reimburse the dealer for defects in material and workmanship for Cat
remanufactured or Cat new parts installed in the CMCR during the warranty period. Please refer to Bulletin 4.01.
• Americas North / Americas South / EAME - CMCR Equipment Protection Plan will reimburse labor
at the dealer’s registered selling labor rate for repairs associated with the replacement of covered parts.
• Asia Pacific - CMCR Equipment Protection Plan will reimburse labor at the dealer’s warranty cost
rate for replacement of covered parts. (Effective January 1, 2013 CMCR Equipment Protection
Plan will reimburse labor at the dealer’s registered selling labor rate for repairs associated with the
replacement of covered parts.)
Re-used Parts Installed During Rebuild:
• Americas North / EAME* - During the new parts standard warranty period (Bulletin 4.01), the
dealer will not be reimbursed for parts to make the repairs or labor associated with the repairs if a
re-used part causes a failure.
*EAME Improved EPP coverage is not available under this CMCR program.
• Americas South / Asia Pacific - During the new parts standard warranty period (Bulletin 4.01), the
dealer will be reimbursed for re-used parts at Dealer Net (D/N). Applicable labor will be reimbursed
under EPP at the dealer’s registered selling labor rate to make repairs if a re-used part causes failure.
If the Part causing the failure is a Reused Part:
 Indicate the type of rebuild (CMCR) and state that the Part causing the failure was a Reused
Part in the Claim Story and enter Group Number 772R.
Unique Claim Field Information for CMCR

The unique claim field information that is required for parts warranty claims associated with CMCR Equipment
Protection Plan is outlined below:
Delivery Date - Always leave blank.
Parts Start Date - Always leave blank.
Product Hr/Mi/Km - Enter the hours shown on the service hour meter.
Parts Hr/Mi/Km - Enter the machine hours accumulated since enrollment in this CMCR Equipment Protection
Plan program.
Parts Expense Lines - No longer need to mark resultant damage parts as “RD.” (Reference Bulletin 4.01)
Claim Story - Note who is entering request, rebuild type (CMCR and if Reused Part caused failure, coverage
type (engine, transmission/torque converter, drive axles, differentials or final drives), coverage term requested,
rebuild delivery date, EPP amount from rate table. (Note special quote number if either is applicable.)
Dealer Reimbursement After the Parts Standard Warranty

After the new parts standard warranty, dealer reimbursement for covered repair expenses related to the EPP
will be per the Summary of Reimbursement Practices Chart found below, and in accordance with applicable
reimbursement practices as outlined in Bulletin 1.02. Prior to January 1, 2016, some contracts were
underwritten with Customer List as the defined reimbursement rate rather than D/N + 33%. For those contracts,
claims will continue to be honored at Customer List through the duration of their specified term.

**General Parts and Labor reimbursement charts can be found at:

https://dealer.cat.com/en/ps/esc-epp/machine-worktool/used/cert-rebuild.html.
CMCR EPP - Summary of Reimbursement Practices

Reimbursable at D/N + 33% (Customer List Prior to January 1, 2016)
Parts - Americas (North/South)
Reimbursable at D/N + 10% - EAME and Asia Pacific
Service Items Reimbursable at dealer/acquisition cost, if made unusable.
Reimbursable at dealer’s registered selling labor rate- Americas
(North/South), EAME, Asia Pacific*
Repair Labor
*Reimbursable at warranty cost prior to January 1, 2013 for Asia
Pacific, if justified.
Reimbursable at dealer’s registered selling labor rate -
Americas (North/South), EAME, Asia Pacific*, if justified.
Parts Salvage Labor
*Reimbursable at warranty cost prior to January 1, 2013 for Asia
Pacific, if justified.
Overtime Labor Rate, Travel Time
& Mileage, Meals & Lodging, Freight Not Reimbursable.
Charges and Hauling Costs

Management Control System (SMCS) component code. These SMCS codes are used to describe the area of
primary use for the parts and/or components listed on that page and can be used as a mechanism for helping to
determine if a failed part may be considered part of the CMCR. On the following pages are the SMCS codes in
numeric order that are covered under the CMCR EPP program. For CMCR qualification, the component code
listed on the parts book page should be compared to this list of acceptable components codes.
NOTE: Sometimes a parts book page with an acceptable component code will include parts that are not covered
and parts that are broken out on another parts book page (i.e. brakes). When in doubt, submit inquiries through
the Warranty Service Desk.

Caterpillar simplified some of the SMCS component codes by phasing out some and combining others. As a
result, some component codes listed on the following pages indicate in their code description to use another
component code as a substitute code. For example: 1299 Hydraulic Timing Advance (use 1272)
These references, which indicate use of a substitute code, apply only when using the component code on a labor
expense line if labor reimbursement is applicable. In some cases, a component code, which indicates use of a
substitute code, may have been canceled. Using a canceled component code on a labor expense line will cause
the entire service claim to be canceled. To avoid this, dealers should use the substitute component code listed in
parentheses for claiming labor reimbursement in the expenses detail section of the claim.
4 08.54-06 (01/18)
-------------------------------------------- SMCS Codes --------------------------------------------

Engine 1108 Valve Spring
1014 Engine & Output Drive Assembly 1109 Valve Rotator
1020 Long Block 1113 Camshaft Housing Assembly

1115 Water Director
Air Induction & Exhaust System 1117 Threaded Insert
1052 Turbocharger Group 1118 Compression Release
1053 Turbocharger Cartridge 1119 Jake Brake (removed effective Jan. 1, 2008)
1056 Turbocharger Cartridge Housing 1120 Valve Cover Base
1057 Exhaust Bypass Valve 1121 Valve Bridge
1058 Inlet Manifold 1123 Rocker Arm
1059 Exhaust Manifold 1124 Cylinder Head Gasket
1060 Turbocharger Compressor Housing 1125 Injector Sleeve
1063 Aftercooler Group 1126 Cylinder Head Manifold
1064 Aftercooler Core 1129 Engine Brake
1065 Turbocharger Turbine Housing

1066 Turbocharger Thrust Plate Assembly
1151 Cover/Housing (use 1162 or 1166)
1070 Water Cooled Turbocharger
1155 Brakesaver Group
1073 Turbocharger Heat Shield
1156 Flywheel
1076 Differential Pressure Ratio Regulator
1157 Flywheel Housing
1077 Turbocharger Shaft & Wheel Assembly
1158 Flywheel Ring Gear
1079 Aftercooler Intake Manifold
1159 Brakesaver Control Valve
1080 Exhaust Gas Recirculation System
1160 Crankshaft Front Seal
1081 Boost Control Valve
1161 Crankshaft Rear Seal
1085 Hydra-Mechanical Shutoff Control
1162 Timing Gear Housing
1086 Hydra-Mechanical Shutoff Drive
1163 Timing Gear Housing Plate
1096 Oxygen Sensor
1164 Engine Output Transfer Gear
Cylinder Head Assembly 1165 Engine Power Takeoff Drive

1166 Timing Gear Housing Cover
1101 Cylinder Head Casting
1167 Flywheel Housing Scavenge Pump
1102 Rocker Shaft Assembly
1103 Valve Seat/Insert
Short Block
1104 Valve Guide
1201 Cylinder Block
1105 Inlet/Exhaust Valve
1202 Crankshaft
1106 Prechamber/Nozzle Adapter
1203 Crankshaft Main Bearing
1107 Valve Cover
1204 Crankshaft Gear
08.54-06 (01/18) 5
1205 Crankshaft Damper/Pulley 1256 Fuel Transfer Pump

1206 Timing/Accessory Gears 1257 Rack/Control Shaft
1207 Accessory Drive 1259 Fuel Shutoff Solenoid
1208 Push Rod 1264 Governor
1209 Camshaft Roller/Follower/Lifter 1268 Speed Limiter
1210 Camshaft 1272 Timing Advance
1211 Camshaft Bearing 1275 Air Control Valve
1212 Camshaft Gear 1278 Air/Fuel Ratio Control
1213 Piston & Liner 1281 Fuel Injection Pump-Lifters
1214 Piston 1286 Injection Pump & Governor Group
1215 Piston Rings 1287 Governor Housing
1216 Cylinder Liner 1288 Fuel Pump/Governor Drive
1217 Liner Seat/Insert 1289 Hydraulic/Hydra-Mechanical Governor
1218 Connecting Rod 1290 Unit Injector
1219 Connecting Rod Bearing 1292 Fuel Camshaft
1220 Balancer 1295 Auxiliary Fuel Transfer Pump
1221 Spacer Plate 1298 Unit Injector Control Linkage
1222 Cylinder Block Sleeve 1299 Hydraulic Timing Advance (use 1272)
1223 Cylinder Block Cylinder 1705 Variable Horsepower Control Valve/Solenoid
1224 Cylinder Block Main Bearing Bores 1714 Unit Injector Hydraulic Pump
1225 Piston & Connecting Rod 1715 Fuel Pressure Regulator Valve
1230 Crankshaft Main & Rod Bearings 1716 Governor Actuator
1231 Crankshaft Counterweight 1718 Fuel Pressure Sensor
1232 Crankshaft Thrust Plate
1233 Crankcase Explosion Relief Valve Lubrication System
1234 Idler Gear 1302 Engine Oil Pan Group
1237 Engine Stub Shaft 1304 Engine Oil Pump
1239 Cylinder Pack 1306 Engine Oil Filter Housing/Base
1240 Block Underframe 1309 Turbocharger Lube Valve
1241 Timing Chain/Belt 1312 Oil Scavenge Pump

1313 Oil Pump Drive
Fuel System 1314 Oil Cooler Bypass Valve
1251 Fuel Injection Pump
1319 Prelube Pump
1252 Fuel Injection Lines
1329 Shutoff Valve
1253 Fuel Injection Pump Housing
1330 Oil Temperature Regulator
1254 Fuel Injection Valve/Nozzle
1255 Fuel Transfer Pump Housing
1332 Oil Sequence Valve
6 08.54-06 (01/18)
Cooling System 1921 Inlet Air Temperature Sensor
1355 Thermostat/Regulator 1922 Fuel Temperature Sensor
1356 Fan & Fan Drive 1923 Atmospheric Pressure Sensor
1358 Fan Belt Tightener 1924 Engine Oil Pressure Sensor
1359 Fan Drive Assembly 1925 Injection Actuation Pressure Sensor
1361 Jacket Water Pump, Drive Group 1929 Engine Oil Temperature Sensor
1362 Water Manifold 192T Injection Actuator Temperature Sensor
1363 Aftercooler Water Pump

1364 Water Pump Impeller
Torque Converter, Divider,
Retarder
1373 Water Pump Housing
1378 Engine Oil Cooler 1366 Brake/Torque Converter Cooler
1384 Water Pump Pulley 1368 Retarder Cooler
1389 Water Pump Shaft 1375 Torque Converter/Transmission Cooler

1376 Torque Converter Trans. & Hydraulic Cooler
Starting System 3101 Torque Converter
1469 Prelube Starter 3102 Torque Converter Clutch
3105 Torque Converter Housing
Engine Electronic Control System 3107 Power Takeoff Drive
1901 Electronic Control Module (ECM) 3108 Pump Drive
1902 Ratings Personality Module 3109 Torque Converter & Retarder
1904 Transducer Module 3110 Torque Divider Transmission (use 3030)
1905 Timing Position Sensor 3111 Torque Divider Control Valve (use 3073)
1906 Water Temperature Sensor 3112 Torque Divider Governor (use 3151)
1907 Engine Speed Sensor 3113 Torque Divider

3114 Torque Divider Planetary Carrier
1908 Electronic Governor
3115 Torque Converter Scavenge Pump
1909 Rack Solenoid
3116 Transfer Gears, Torque Divider, & Retarder
1910 Timing Solenoid (use 3031)
1911 Rack Position Sensor 3117 Transfer Gears and Retarder
1912 Engine Speed/Timing Sensor 3118 Torque Divider & Retarder (use 3032)
1913 Throttle Speed Sensor 3120 Retarder
1914 Machine Speed Buffer 3121 Retarder Extended Braking Control
1915 Engine Speed Control 3123 Retarder Control Valve
1916 Crankcase Pressure Sensor 3124 Lockup Clutch Pressure Control Valve
1917 Boost Pressure Sensor 3126 Retarder Selector Valve
1918 Throttle Lock Control 3127 Torque Converter Bearing Retainer
1919 Exhaust Temperature Sensor 3128 Torque Converter Flange
1920 Engine Software 3129 Torque Converter Stator
08.54-06 (01/18) 7
3130 Torque Divider/Torque Converter Shaft Powershift Transmission

3131 Torque Converter Turbine Wheel 3151 Transmission Governor
3133 Torque Converter Relief Valve 3153 Transmission Oil Pump (use 3066)
3134 Torque Converter Impeller 3155 Transmission Clutches
3135 Torque Converter Carrier 3157 Transmission Manual Selector Valve
3136 Torque Converter Hub 3159 Transfer Gear Group
3137 Torque Converter Pressure/Sequence Control 3160 Transmission Planetary
Valve
3164 Oil Filter Base (use 3068)
3138 Torque Converter & Park Brake Release Pump
3167 Transmission Hydraulic Control
3139 Modulating Valve
3168 Transmission Electronic Control (includes
3140 Torque Converter Control finger tip controls)
3141 Torque Converter Speed Sensor 3169 Transmission Clutch Housing
3143 Torque Converter Electronic Control 3170 Transmission Clutch Piston
3171 Transmission Manual Switch
Transmission 3172 Transmission Slave Switch
3173 Transmission Synchronous Switch
Powertrain Transmission
3174 Transmission Shift Solenoid
3017 Drive Train Oil Pump (use 3066)
3175 Transmission Speed Sensor
3011 Bevel and Transfer Case
3180 Transmission Priority Valve
301T Drive Train Oil Temperature Sensor
3181 Transmission Neutralizer Control Valve
3030 Transmission
3182 Transmission Lubrication Relief Valve
3032 Transmission and Retarder
3183 Transmission Control Lock
3184 Transmission Oil Cooler Bypass Valve
Clutch & Manual Shift/Direct Drive
3186 Transmission Planet Carrier
Transmission
3187 Transmission Planet Carrier Thrust Disc/Plate
3060 Manual Shift Direct Drive Trans. (use 3030)
3188 Transmission Case (use 3064)
3061 Transmission Gears
3189 Transmission Shaft (use 3063)
3062 Transmission Reverse Box
3190 Transmission Clutch Plate
3063 Transmission Shaft
3191 Transmission Neutralizer
3064 Transmission Case
3194 Transmission Temperature Sensor
3066 Transmission Oil Pump
3068 Transmission Oil Filter Base Hydrostatic Transmission
3071 Flywheel Clutch Hydraulic Control 3202 Hydraulic Flow Control
3073 Transmission Hydraulic Control Valve 3203 Drive Pump
3074 Transmission Pressure Control Valve 3204 Charge Pump
3075 Transmission Output Gears 3205 Servo Control Valve
3077 Transmission Brake 3206 Manifold/Metering Valve
3083 Transmission Selector & Pressure Control Valve 3207 Servo Cylinder
8 08.54-06 (01/18)
3208 Hydrostatic Control Valve (use 3073) 3271 Transaxle

3210 High Pressure Relief Valve 3272 Differential Lock Control Valve
3211 Hydrostatic Transmission Input Shaft (use 3273 Differential Lock Actuator Valve
3063)
3274 Constant Velocity Universal Joint
3212 Hydrostatic Transmission Output Shaft (use
3278 Drive Axle
3063)
3279 Engine Output Drive Assembly/Coupling
3213 Charge and Main Relief Valve
3281 Bevel Gear Case
3214 Synchronizing Valve
3283 Differential Gear Case
3216 Transmission Underspeed/Overspeed Valve
3284 Differential Carrier
3218 Hydrostatic Lines & Hoses
3287 Interaxle Differential
3219 Hydrostatic Pilot Overspeed Valve
3288 Anti-Spin Control
3220 Hydrostatic Transmission Speed Control Valve
3290 Differential Temp Sensor
3221 Hydrostatic Power Case
3291 Drive Axle Oil Pump
3222 Hydrostatic Pump Head
3292 Differential Lock Pump
3223 Transmission Underspeed/Override Valve
3226 Downshift Inhibitor 4070 Final Drive Oil/ Filter excluding friction plates
and pads
Drive Line / Drive Axle 4100 Steering Clutch excluding friction plates and
pads
3006 Trans & Differential Unit
4129 Differential Steering
3251 Universal Joint
4130 Differential Steer Planetary
3252 Flexible Coupling
4131 Differential Steering Drive
3253 Drive Shaft
4132 Differential Steering Plan
3254 Drive Line Pinion
4135 Differential Steering & Tran Control
3256 Bevel Gear/Shaft
4136 Differential Steering Motor
3267 Bevel Gear Shaft Bearing
4296 Brake Differential Press Switch
3258 Differential
5633 Rotor Drive Differential
3259 Axle Shaft
3260 Axle Housing Assembly Countershaft Transmission
3261 Drive Chain 3401 Countershaft Transmission Case (use 3064)
3262 Double Reduction Differential 3402 Countershaft Oil Pump (use 3066)
3263 Limited Slip Differential 3403 Countershaft Lines/Hoses
3264 Differential Lock 3404 Countershaft Clutches (use 3155)
3265 No-Spin Differential 3405 Countershaft Clutch Housing (use 3169)
3266 Differential Lock Cylinder 3406 Countershaft Clutch Piston (use 3170)
3267 Drive Shaft Support 3407 Countershaft Transfer Gear (use 3159)
3268 Axle Housing Support/Trunnion 3408 Countershaft Shaft (use 3063)
3269 Pinion Housing 3409 Countershaft Output Gears (use 3075)
3270 Locking Differential 3410 Countershaft Brake (use 3077)
08.54-06 (01/18) 9
3412 Countershaft Pressure Control Valve (use 4091 Final Drive Pinion
3074)
4092 Planetary Final Drive Carrier
3417 Hydrostatic Control Groups (use 3167)
4093 Final Drive Planet Carrier Thrust Surface
3418 Electrical Control Groups (use 3168)
4094 Final Drive Pinion & Flange
4095 Drive Train Relief Valve
Power Consumption Drive
4001 Final Drive & Brake Wheel
4009 Final Drive, Brake & Differential Steering
Planetary
4010 Final Drive, Brake & Differential Steering
Drive
Final Drive
4008 Final Drive Wheel
4011 Final Drive
4050 Final Drive & Torque Hub
4051 Final Drive & Wheel
4052 Final Drive Seal
4053 Drive Axle Hub/Gear Assembly
4054 Final Drive Hub
4055 Final Drive Gears
4056 Final Drive Shaft
4057 Final Drive Pinion Flange
4058 Sprocket Shaft/Bore
4059 Final Drive Case/Bore
4060 Final Drive Oil Pump
4062 Tandem Drive
4063 Tandem/Single Drive Chain
4064 Tandem Drive Housing
4065 Final Drive Oil Cooler
4066 Final Drive Outer Bearing Support
4068 Tandem Drive Stub Axle
4069 Final Drive Chain
4072 Tandem Drive Sprocket
4073 Tandem Drive Driven Sprocket
4074 Final Drive – Outer Section
4075 Final Drive – Inner Section
4076 Tandem Drive, Bevel Gear & Final Drive
4084 Final Drive Planet Carrier Hub/Ring Gear
10 08.54-06 (01/18)
SERVICE
EQUIPMENT PROTECTION PROGRAM Global
Machines
➤
THIS PROGRAM IS NO LONGER AVAILABLE AS OF JANUARY 1, 2017
Precious Metals Machine Engine

Rebuild Kit Equipment Protection Plan
Overview
This Equipment Protection Plan covers Precious Metals Engine Rebuild Kits for Cat® machines. The program
provides parts coverage for all kits, and part and labor coverage for kits installed by an authorized Cat dealer.
There are four levels of kits eligible for coverage:
• Bronze
• Silver
• Gold
• Platinum
The kits may either be installed by a certified Cat dealer or sold by a certified Cat dealer. Only kits installed on
Cat machines with Cat serial numbers are eligible. Prior to January 1, 2016, some contracts were underwritten
with “Customer List” as the defined reimbursement rate rather than Dealer Net + 33%. For those contracts,
claims will continue to be honored at Customer List through the duration of their specified term. Additional
information about Machine Engine Precious Metals Kits can be found at:
https://dealer.cat.com/en/ps/parts/parts-mktg/engine/c/industry/precious-metals.html.
Kits Installed by a Certified Cat Dealer

The program reimburses for labor starting on the last date of labor of the work order. After any applicable
warranties, the program reimburses both parts and labor. The program applies to the parts included in the
Precious Metals Kits, new crankshaft bearings, and new crankshaft thrust plates installed during the engine
rebuild. Resultant damaged parts are reimbursable. For complete details regarding reimbursement, please see
the Summary of Reimbursement Practices table on page 4.
Kits Not Installed by a Certified Cat Dealer

After any applicable warranties, the program reimburses for parts only, starting on the date the kit was purchased
from the Cat dealer. The program applies to the parts included in the Precious Metals Kits, new crankshaft
bearings, and new crankshaft thrust plates installed during the engine rebuild. Resultant damaged parts that
were not included in the Precious Metals Kit are not reimbursable. Repair labor is not reimbursable. For complete
details regarding reimbursement, please see the Summary of Reimbursement Practices table on page 5.


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➤ Enrollment
Enrollments will not be allowed for any kits sold on or after January 1, 2017
Enrollment is done by the dealer using the on-line Machine Enrollment Registration (MER) process or the
Corporate Claims System (Claimsi) at https://claims.cat.com. Enrollment instructions are located under the
Administration/Registration/Claims header at:
Kits installed by a certified Cat Dealer: Enrollment must be done within 30 days after the date the machine was
returned to service. Coverage starts the date the part is put into service by the first user.
Kits not installed by a certified Cat Dealer: Enrollment must be done within 30 days after the date the kit was
purchased. Coverage begins on the date the kit was purchased.
Coverage Options
Coverage options and pricing are located under the Precious Metals header at:
Covered Components
This program covers only those parts included in the Precious Metals Kits, new crankshaft main bearings, and
new crankshaft thrust plates installed during the engine rebuild. This program does not cover any other Cat new,
remanufactured, or reused parts that are installed during the engine rebuild.
Validating Coverage
Dealers can verify Precious Metals Machine Engine Rebuild Kit Equipment Protection Plan enrollment using
Caterpillar’s online computer system using the Service Information Management System (SIMSi) at
https://sims.cat.com. The coverage / customer information screens will show the new delivery date for the
Equipment Protection Plan coverage, the coverage details including Equipment Protection Plan coverage, and
the customer name and address.
Precious Metals Machine Engine Rebuild Kit Equipment Protection Plan does not cover the following:
• Operator abuse, neglect, improper or abusive use of the machine including but not limited to the failure to
perform the recommended preventative maintenance as specified in the Operation and Maintenance Manual.
• Improper or abusive use of machine.
• Operation beyond the design and/or capacity of the machine.
• Chemical corrosion and physical or mechanical erosion.
• Unauthorized fuel setting changes.
improper filters.
• Mechanical transportation or towing costs or field service travel expenses.
• Any costs incurred to improve operating performance due to normal wear and tear.

• Storage or miscellaneous shop supplies.

• Mechanical breakdown resulting from failure of a non-covered component.
• Freight and taxes.
regardless of whether the warranty or repairer’s guarantee is honored.
provincia or state law.
Protection Agency or similar national, federal, provincial or state law.
manufacturer as specified in the operations manual or other technical bulletins.
For machines enrolled in the Precious Metals Machine Engine Rebuild Kit Equipment Protection Plan, please
refer to the Contractual Liability Policy (CLIP) for a complete list of exclusions and limitations. In the event of any
ambiguity, the CLIP will govern. Additional information on the CLIP policy may be obtained by contacting your
dealership[’s] designated Warranty Manager.
limited to, the servicing, adjusting and/or replacing of specified components.
Precious Metals Machine Engine Rebuild Kit Equipment Protection Plan does not cover failure of any components
as a result of not performing scheduled maintenance. The dealer may be required to provide proof of compliance
with the maintenance schedules, at the time of a failure. Proof may include receipts or copies of work orders or
invoices showing the performed maintenance services.
S.O.SSM Fluid Analysis Test Results

S•O•S is not a requirement of the Equipment Protection Plan program, however it is recommended that at
the point of enrollment, S•O•S sampling begin at the first recommended interval and continue throughout the
remainder of the Equipment Protection Plan coverage term.
Wear-out and/or deterioration are not covered by Precious Metals Machine Engine Rebuild Kit Equipment
Protection Plan. The intent is not to restore the product to a like-new condition, but rather to restore the product
to its operating condition just prior to the covered failure. Precious Metals Machine Engine Rebuild Kit Equipment
Protection Plan covers only the repair or replacement of the failed component and any resultant-damaged
parts. Other parts removed in the process of repair will be reinstalled as is, unless the customer authorized the
additional cost for their account.
Example: While performing a Precious Metals Machine Engine Rebuild Kit Equipment Protection Plan program
repair or a piston ring failure, the dealer service technician notices the vee belts and coolant hoses are worn and
deteriorated. He also notices some wear (within acceptable limits) on the cylinder head valve guides. In addition
to the piston ring failure, the service technician replaces the vee belts and coolant hoses, and reconditions the
valve guides to avoid future downtime.
because they did not have a defect nor were they damaged as a result of the piston ring failure. They were
NOTE: If the piston ring failed due to abuse (running without changing oil at the proper interval), the ring failure
and resultant-damage would not be due to a Caterpillar defect and therefore not a covered failure.
Coverage for Parts Replaced Under the Plan
Parts replaced under the terms of the Precious Metals Machine Engine Rebuild Kit Equipment Protection Plan are
covered by the plan for the remainder of the plan’s coverage period. The coverage on such parts ceases when
08.55-02 (01/17) 3
the program’s Equipment Protection Plan coverage period expires, regardless of when the parts were replaced.
Claiming Practices for PIP / PSP on Machines Covered by the Precious

Metals Machine Engine Rebuild Kit Equipment Protection Plan
Product Improvement Programs (PIPs) and Product Support Programs (PSPs), except PS6 - - - - and PS9 - - - -
containment programs, performed on machines covered by this program must be claimed under the appropriate
PIP or PSP. Do not claim these repairs under the Precious Metals Machine Engine Rebuild Kit Equipment
Protection Plan. Refer to Bulletin 1.16 Service Letters (PIP/PSP) for additional information.
New or Remanufactured Parts During the Parts Warranty, see Parts Warranty bulletin
included in the kit, new crankshaft After the Parts Warranty:
main bearings, new crankshaft thrust -Americas North - Reimbursable at D/N + 33% (Customer List prior to
plates installed during the engine January 1, 2016).
rebuild -Americas South - Reimbursable at D/N + 33% (Customer List prior to
January 1, 2016).
-EAME - Reimbursable at D/N + 10%
-Asia Pacific - Reimbursable at D/N
Resultant Damage from During the Parts Warranty, see Parts Warranty bulletin
New or Remanufactured Parts After the Parts Warranty:
included in the kit, new crankshaft -Americas North - Reimbursable at D/N + 33% (Customer List prior to
main bearings, new crankshaft thrust January 1, 2016).
plates installed during the engine -Americas South - Reimbursable at D/N + 33% (Customer List prior to
rebuild January 1, 2016).
Other New or Remanufactured Parts During the Parts Warranty, see Parts Warranty bulletin
not listed above After Parts Warranty:
-Not Reimbursable
Reused Parts Not Reimbursable
Service Items Reimbursable at dealer acquisition cost, if made unusable.
Repair Labor -Americas North - Reimbursable at dealer’s registered selling labor rate
-Americas South - Reimbursable at dealer’s registered selling labor rate
-EAME - Reimbursable at warranty cost rate
-Asia Pacific - Reimbursable at warranty cost rate
Shop Supplies -Americas North - Not Reimbursable as an itemized expense
-Americas South - Not Reimbursable
-EAME - Not Reimbursable
-Asia Pacific - Not Reimbursable
4 08.55-02 (01/17)

Overtime Labor Rate, Hauling Costs, Not Reimbursable
Freight Charges, Meals & Lodging
and Travel Time & Mileage
Kits Not installed by a Certified Cat Dealer
New or Remanufactured Parts included in During the Parts Warranty, see Parts Warranty bulletin
the kit, new crankshaft main bearings, new After the Parts Warranty:
crankshaft thrust plates installed during the -Americas North - Reimbursable at D/N + 33% (Customer List
engine rebuild prior to January 1, 2016).
-Americas South - Reimbursable at D/N + 33% (Customer List
prior to January 1, 2016).
Resultant Damage from During the Parts Warranty, see Parts Warranty bulletin
New or Remanufactured Parts included in After the Parts Warranty:
the kit, new crankshaft main bearings, new - Not Reimbursable
crankshaft thrust plates installed during the
engine rebuild
Other New or Remanufactured Parts not During the Parts Warranty, see Parts Warranty bulletin
listed above After Parts Warranty:
-Not Reimbursable
Reused Parts Not Reimbursable
Service Items Not Reimbursable
Repair Labor Not Reimbursable
Parts Service Charges Not Reimbursable
Outside Repair Expenses Not Reimbursable
Shop Supplies Not Reimbursable
Overtime Labor Rate, Hauling Costs, Not Reimbursable
Freight Charges, Meals & Lodging and
Unique Claim Field Information for Precious Metals Machine Engine

Rebuild Kit Equipment Protection Plan
The Unique Claim Field Information that is required for claims associated with the Precious Metals Machine
Engine Rebuild Kit Equipment Protection Plan is outlined below:
Product Identification/Serial No. – Enter the machine serial number.
Parts Start Date – Leave blank.
Product Hr/Mi/Km – Enter the hours shown on the service hour meter.
Parts Hr/Mi/Km - Enter actual part hours since the part was installed.
Part Number - Enter the actual part number causing failure. Do not enter the Precious Metals Kit part number.
Group Number – Enter the group number of the actual part causing failure. Do not enter the Precious Metals Kit
part number.
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Parts Expense Lines – See Parts Warranty bulletin.

Claim Story -In addition to the usual description of the complaint, cause, correction and complication for the
repair, the first line of the claim story should state: “This claim is in conjunction with Precious Metals Machine
Engine Rebuild Kit Equipment Protection Plan, engine serial number XXX99999”.
Related Serial Number - Enter the engine serial number.
6 08.55-02 (01/17)
SERVICE
Machines
New Power Modules in OEM Product

This bulletin addresses the Equipment Protection Plan (EPP) available for Cat® Power Modules in Original equip-
ment Manufacturers (OEM) product. The OEM or authorized servicing dealer may purchase the EPP coverage for
a power module through Caterpillar.
A power module in the equipment business is a grouping of Cat components sold to other manufacturers, called
an original equipment manufacturer (OEM), for incorporation into their machines or vehicles. These power mod-
ules are sold directly to OEMs by OEM Solutions Group, a division of Caterpillar Inc.
The EPP for Power Modules in OEM product provides parts and labor coverage beyond the standard factory war-
ranty for defects in material and/or workmanship for covered components and parts.
➤ Coverage
See appropriate bulletins for definitions of coverage and regional differences located at the Global Warranty web
site at https://warranty.cat.com:
• Machine Component Power Module - Bulletin 2.03 (Standard Warranty)
• Powertrain - Bulletin 8.01 - Powertrain EPP
• Hydraulics - Bulletin 8.02 - Hydraulic EPP
• Premier - Bulletin 8.03 - Premier EPP
EPP Period
The new machine program structure provides the dealer with the following two distinct options:
New EPP Year 1 – Labor Only
Provides protection for dealer labor cost exposures under standard factory warranty. It is effective at the
delivery date to the first customer. The program provides three levels of coverage: Powertrain, Powertrain +
Hydraulics, or Premier.
New EPP – Year 2 & Beyond
Provides protection for coverage beyond Cat Machine Component Power Modules for parts and labor.
Three levels of coverage are provided: Powertrain, Powertrain + Hydraulics, or Premier.

➤ Validating Coverage
Dealers can view the EPP details in the Caterpillar Corporate Claims System (Claimsi) at https://claims.cat.com,
or through the Service Information Management System (SIMSi) at https://sims.cat.com.
The stated coverage period for the EPP Power Module coverage starts from the product delivery date, and
includes the Standard Power Module warranty period. Coverage under the EPP Power Module coverage does
not begin until the Standard Power Module warranty expires. The EPP Power Module coverage expires when the
length of time and/or usage limit is reached.
Enrollment
Enrollment of a machine in EPP is done by the dealer using Quote Plus https://epp.cat.com or the Corporate
Claims System (Claimsi) at https://claims.cat.com.

S•O•S is not a requirement of the EPP program, however it is recommended that at the point of enrollment, S•O•S
sampling begin at the first recommended interval and continue throughout the remainder of the EPP coverage term.

Product ID / Serial Number: Enter the power module serial number
Reimbursement for repair expenses related to EPP for Power Modules in OEM Products will be per the Summary
of Reimbursement Practices chart found below and in accordance with applicable reimbursement practices as
outlined in Bulletin 1.02 Dealer Reimbursement Practices.

During Standard Warranty: Reimbursable at Dealer Net (D/N).
Parts
After Standard Warranty: Reimbursable at D/N +10% or +25% or 33%.
During Standard Warranty: Reimbursable at (D/N).
Service Items
After Standard Warranty: Reimbursable at D/N +10% or +25% or 33%.
Reimbursable at the dealer’s registered Sell Rate, unless otherwise
Repair Labor
specified.
Parts Salvage Labor Reimbursable at Warranty Cost Labor Rate, if justified.
Outside Repair Expense Reimbursable at Cost.
Outside Repair Expense Reimbursable at Cost.
Overtime Labor Rate, Hauling
Costs, Freight Charges, Travel Time Not reimbursable.
and Mileage, Meals and Lodging
2 08.58-01 (07/17)
SERVICE
Extended Coverage NACD (U.S. and Canada)
Machines
Engine Emissions Retrofit

Extended Program
➤ Effective January 1, 2015, this program is discontinued.
Overview
The Engine Emissions Retrofit Extended Program is a program that is available to all U.S. dealers. This bulletin
addresses extended coverage for Cat® engines on approved Cat models, that use the emission retrofit program.
The NACD Cat dealer must perform the entire emission retrofit. Any customer completed retrofits are not
addressed by this bulletin.
Enrollment
Enrollment of the Engine Emissions Extended Retrofit Program must be done promptly by dealers, s, using the
on-line Machine Enrollment Registration (MER) system (Claimsi https://claims.cat.com). Dealers must keep
on-file a copy of the customer signed dealer Coverage Agreement, for verification if requested by Caterpillar.
Coverage starts at the Retrofit start date and includes the standard warranty period for the engine. Coverage
ends (termination date) either at the applicable months or SMU hours from the Retrofit start date. The start date
is the parts start date.
Please see URL: https://dealer.cat.com/EPPAMNORTHRETROFIT
Cat Financial Insurance Services’ Engine Emissions Extended Retrofit

For repairs performed under this insurance coverage, Insurance Services pays for the parts after the parts
warranty expires and labor from day one.
Insurance Services offers dealers coverage for the Engine Emissions Extended Retrofit Program that start at the
retrofit start date.


1
Validating Coverage
Dealers can verify Engine Emissions Retrofit Extended Program in Caterpillar’s on-line computer system using
the Dealer Service System (Claimsi https://claims.cat.com), just like any other coverage. The coverage /
customer information screens will show the new coverage start date and coverage start hours for the Engine
Emissions Retrofit Extended Program, the coverage details including extended coverage, and the customer
name and address.
S·O·S Fluid Analysis

SM
For eligibility under any coverage option, the machine must be promptly enrolled in a Cat dealer’s S·O·S
Fluid Analysis program upon enrollment, and remain enrolled in S·O·S throughout the entire Engine Retro Fit
coverage period(s).
The cost of the oil sampling cannot be claimed to Caterpillar, but the dealer may elect to charge the customer.
Samples must be taken, processed, and analyzed at prescribed intervals. For the prescribed oil sample
intervals, dealers should reference the machine’s Operation and Maintenance Manual. Records of the analysis
must be kept on-file for verification, if requested by Caterpillar.
Product Improvement and Product Support Programs

All PIP’s and PSP’s announced after the retrofit will be supported by Caterpillar, to the extent of the announcing
Service Letter. For PSP’s having prorated Caterpillar participation based on machine age or service hours, the
start date and the resulting SMU’s are used to determine the amount of Caterpillar Participation.
Parts Replaced Under Parts Warranty and Extended Coverage

Parts replaced under the terms of parts warranty or extended coverage are covered by the remainder of the
specific warranty or coverage period. The warranty or coverage on such parts ceases when the original specific
period expires, regardless of when the parts were replaced.
Other Extended Coverage

This program only covers the parts and labor for the Retrofit engine arrangement itself. It does not cover any
dealer fabricated parts or other parts added to install the engine. This program does not extend to any other
terms of Extended Coverage that maybe in place.
Wearout And Extent Of Repair

Wearout and normal deterioration are not covered by the Engine Emissions Retrofit Extended Program. Such
occurrences are not due to defects in the material or workmanship.
The intent is not to restore the product to a like-new condition, but rather to restore the product to its operating
condition just prior to the covered failure. Engine Emissions Retrofit Extended Program cover only the repair or
replacement of the failed part or component and any associated resultant damaged parts. Other parts removed
in the process of repair will be reinstalled as is, unless the customer authorizes the additional cost for their
account.
Claim Submission and Reimbursement

Under the Engine Emissions Retrofit Extended Program, the dealer is reimbursed Labor at NACD Sell Rate
for covered retrofit engines starting with the retrofit engine start date. Parts are reimbursed according to Parts
Warranty practices for the first six months of coverage. Following the conclusion of Parts Warranty, covered
parts are reimbursed at Cat Consumer List price. The coverage term expires at the applicable months or SMU
hours from the retrofit start date.
2 08.90-00 (08/15)
The following outlines the reimbursement practices to dealers for repair expenses associated with Engine
Emissions Retrofit Extended Program:
Parts - Parts are reimbursed according to Parts Warranty practices for the first six month of coverage. There after
all parts needed to correct the defect, including gaskets, seals, salvage materials, and any resultant damaged Cat
parts are dealer reimbursable at the dealer list (D/L) price in effect on the date of repair.
Caterpillar’s choice. When there is a Cat remanufactured part offered that is at standard dimensions, dealers must
always use the remanufactured part. For an emergency Class 1 parts order (warranty with machine down) of a
remanufactured part that is not-in-stock, the dealer will be shipped the equivalent new part and invoiced at the
remanufactured price, plus the standard core charge. This parts department practice is not applicable for major
components (i.e. engines, transmissions).
Parts reimbursement includes only those Cat parts needed to restore the product to its operating condition just prior
to the covered failure. It does not include reimbursement for parts to restore the product to a like-new condition.
Under parts warranty, the following reimbursement practices apply for resultant damaged parts:
 Resultant damaged parts that were replaced during the rebuild are totally covered, and will be dealer
reimbursed at 100% of the dealer net (D/N) price.
 Resultant damaged parts that were reused (not replaced) during the rebuild are only partially covered,
and will be dealer reimbursed at 33 1/3 % of the dealer net (D/N) price.
Dealers should keep on-file all parts invoices of new and remanufactured Caterpillar parts that were installed
during the rebuild for possible verification.
Parts Service Charges - Caterpillar Service Department service charges for parts obtained on an
emergency order are dealer reimbursable. The service charge is a percentage of the dealer list (D/L) price of
the part, as per the following:
 0 % for slow moving parts
 5 % for medium moving parts
 8 % for fast moving parts
Service Items - Lubricants, filters, antifreeze, and other service items made unusable due to contamination
by the failure are dealer reimbursable. Such items are reimbursed at the dealer list (D/L) price in effect on the
date of repair.
Service items not affected by the failure, which are replaced in the normal course of the repair are not covered
by the Blanket Equipment Protection Plan.
Repair Labor - repair labor is reimbursable. This includes labor to inspect, test, diagnose, remove,
disassemble, clean, assemble, and install. Such labor is the responsibility of the dealer.
Parts Salvage Labor - Parts salvage labor is dealer reimbursable, if the Caterpillar part can be
satisfactorily repaired for a cost that does not exceed 50% of the consumer list (C/L) price for a new or
remanufactured part. Salvage labor includes only the time to perform salvage operations such as machining,
cutting, burning, trimming, bending, heating, welding, etc. It does not include the labor to disassemble
and assemble the part or component associated with performing the salvage operation. Such labor is the
responsibility of the dealer.
Labor reimbursement is at the dealer’s selling labor rate. Materials such as steel, that are used to perform the
salvage operation are dealer reimbursable at the dealer’s acquisition cost.
Salvage labor is claimed on a miscellaneous expense line.
Overtime Labor Rate - Labor that is performed after normal working hours will not be reimbursed at the
dealer’s premium overtime labor rate.
08.90-00 (08/15) 3
Outside Repair Expenses - Outside repair expenses are dealer reimbursable, if the expense is justified
and reasonable. Such expenses are reimbursed at the dealer’s actual cost. These expenses are for parts and/
head milling, or radiator repair.
It is the dealer’s responsibility to ensure that invoice charges for outside repair expenses are reasonable, to
insure full Caterpillar reimbursement.
Shop Supplies - Shop supplies are not dealer reimbursable as an itemized parts expense line or parts
summary (NLOW) expense line. However, allowance for shop supplies is included in the dealer’s labor rate.
Examples of shop supplies includes, shop towels, welding rod, wire ties, gasket maker, sealants, solvents,
adhesives, primers, paint, assembly lubricants, anti-seize compounds, buffing discs & pads, emory cloth, etc.
Hauling Costs - Costs associated with transporting or hauling a machine for repairs, are not dealer
reimbursable.
Freight Charges - Inbound surface or air freight charges for parts shipped from a Caterpillar Parts
Distribution Center to the dealer are not dealer reimbursable. Dealer shuttle service expenses between a
Caterpillar Parts Distribution Center and the dealer, or between the dealer’s stores are also not reimbursable.
Meals & Lodging - Mechanic’s meals and lodging associated with field service repairs are not dealer
reimbursable. Such expenses are the responsibility of the dealer or customer.
dealer reimbursable. Such expenses are the responsibility of the dealer or customer.
Unique Claim Field Information

The following is the unique claim field information that is required when submitting an Engine Emissions Retrofit
Extended Program coverage claim:
Serial No. - Machine Serial Number.
Parts Start Date - Enter the date that the Engine Retrofit machine was delivered to the customer.
Claim Story - In addition to the usual description of the complaint, cause, and correction, the first line of the
claim story should state:
 “This claim is in conjunction with Engine Emission Retrofit program.”
4 08.90-00 (08/15)
Summary Of Reimbursement
The chart below summarizes the reimbursement practices for expenses associated with Engine Emissions Retrofit
Extended Program.
Summary Of Reimbursement Practices

Parts Reimbursable at C/L
Service Items Reimbursable at C/L,
if made unusable.
Repair Labor Dealer sell rate
Parts Salvage Labor Reimbursable at wty
Shop Supplies Not Reimbursable as
an itemized expense.
08.90-00 (08/15) 5
6 08.90-00 (08/15)
SERVICE
EXTENDED COVERAGE Asia Pacific Marketing
Extended Coverage for Certified

Machine Rebuild (CCR) Overview
This bulletin is discontinued. Effective July 1, 2014, refer to Bulletin 8.52.
➤ Overview
There are two types of Certified Rebuild Programs; Certified Machine Rebuild (CCR) and Certified Powertrain
Rebuild (CPT). This bulletin applies to CCR only, please refer to Extended Coverage Bulletin 8.93 for CPT.
New and remanufactured Caterpillar parts replaced in the certified rebuild machine are covered by Caterpillar
parts warranty for a period of twelve months.
The purpose of this bulletin is to provide an overview of Extended Coverage available for CCR machines sold by
Caterpillar dealers and to help the dealer enroll in Extended Coverage.
Extended Coverage covers eligible units for repair costs (parts and labor) as a result of failure of covered
Powertrain or Powertrain and Hydraulic components. Extended Coverage applies only to failures caused by
defects in materials and workmanship.
➤ Powertrain and Powertrain plus Hydraulics
Two Extended Coverage options are available:
• Extended Coverage for Powertrain
Covered and excluded Powertrain components are defined in Bulletin 8.01.
• Extended Coverage for Powertrain plus Hydraulics
Covered and excluded Hydraulic components are defined in Bulletin 8.02.
Extended Coverage Period Options

The core Extended Coverage period options are:
• 24 months / 6,000 hours, for parts and labor
• 24 months / 10,000 hours, for parts and labor for eligible models.


1

• 36 months / 10,000 hours, for parts and labor for eligible models.
Extended Coverage price tables for these options are available from https://apdnet.cat.com. To request
quotations for parts only coverage and/or alternative period options please email APD.ExtendedCoverage@cat.com.
Extended Coverage New Parts Coverage

• Covered failure of new parts replaced at the time of the rebuild is reimbursed by Caterpillar standard
parts warranty for 12 months following the delivery date at Dealer Net.
• Extended Coverage covers new parts from the 13th month until expiry of enrolled term at Dealer Net.
Extended Coverage Reused Parts Coverage

If the reused part is damaged during the initial 12 months as a direct result of failure of a covered new part:
• Standard warranty reimburses 1/3rd of the Dealer Net
• Extended Coverage reimburses 2/3rd of the Dealer Net.
If a covered reused part fails, Extended Coverage reimburses 100% of Dealer Net in the initial 12 months and
for the balance of the term.
Extended Coverage Labor Coverage
• If labor coverage is enrolled it applies during the Extended Coverage period, commencing with the
delivery date of CCR machine
• Labor reimbursement applies to repairs for covered new and remanufactured and reused Caterpillar
parts
• Dealer reimbursement is Warranty Cost Rate price in effect at the time of repair.
Validating Coverage
Dealers can verify certified rebuild warranty and support in the Service Information Management System
(SIMSi). The Sales & Service screens will show the new delivery date, the coverage details, and the customer
name and address.

All PIP’s and PSP’s announced after the Certified machine rebuild will be supported by Caterpillar, to the extent
of the announcing service letter. For PSP’s having prorated Caterpillar participation based on machine age or
service hours, the certified rebuild delivery date and/or service hours since rebuild are used for determining the
amount of Caterpillar participation. Service letters that apply to certified rebuild machines will always list the
new certified rebuild serial number for all applicable certified rebuild machines. There is no participation under
Extended Coverage except as otherwise stated in Exclusions and Limitations.

Wear-out and normal deterioration are not covered. Such occurrences are not due to defects in the material
or workmanship.
The repair or replacement of the failed part or component and any associated resultant damaged parts are
covered. Other parts removed in the process of repair will be reinstalled as is, unless the customer authorizes
the additional cost at the customer’s expense.
Parts - All parts needed to correct the defect, including gaskets, seals, salvage materials, and any resultant
damaged Caterpillar parts are reimbursable.
2 08.92-00 (08/15)
Replacement parts or components may be either new, remanufactured, or Caterpillar approved repaired, at
Caterpillar’s choice. When there is a Caterpillar remanufactured part offered that is at standard dimensions,
dealers must always use the remanufactured part. For warranty parts order of a remanufactured part that is not
in stock, the dealer will be shipped the equivalent new part and invoiced at the remanufactured price, plus the
standard core charge. This practice is not applicable for major components (e.g. engines, transmissions).
Parts reimbursement includes only those Caterpillar parts needed to restore the product to its operating
condition just prior to the covered failure. It does not include reimbursement for parts to restore the product to a
like-new condition.
Parts Service Charges - Caterpillar Parts Distribution service charges for parts obtained on an emergency
order are reimbursable. The service charge is a percentage of the dealer net (D/N) price of the part, as per the
following:
• 0 % for slow moving parts;
• 5 % for medium moving parts;
• 8 % for fast moving parts.
the failure are reimbursable. Service items not affected by the failure, which are replaced in the normal course of
the repair are not covered.
Parts Salvage Labor - Parts salvage labor is reimbursable, if the Caterpillar part can be satisfactorily repaired
for a cost that does not exceed 50% of the dealer net (D/N) price for a new or remanufactured part. Salvage
labor includes only the time to perform salvage operations such as machining, cutting, burning, trimming,
bending, heating, welding, etc. It does not include the labor to disassemble and assemble the part or component
associated with performing the salvage operation. Such labor is the responsibility of the dealer.
Labor reimbursement is at the dealer’s warranty cost rate. Materials such as steel that are used to perform the
salvage operation are reimbursable at the dealer’s acquisition cost.
expenses are reasonable, to insure full Caterpillar reimbursement.
primers, paint, assembly lubricants, anti-seize compounds, buffing discs & pads, emory cloth, etc.
Hauling Costs - Costs associated with transporting or hauling a machine for repairs, are not reimbursable from
Caterpillar.
Freight Charges - Inbound surface or airfreight charges from the dealer’s assigned Parts Distribution Center to
the dealership are not reimbursable as dealers are expected to stock parts needed to repair equipment in their
territory.
This portion of the airfreight is on the Caterpillar parts invoice.
The cost of freighting parts from another branch or dealership is not claimable.
Note: Reimbursement practices for airfreight charge may differ for dealers that are covered by Emergency
Freight Plan.
08.92-00 (08/15) 3
Note: Dealer must provide Caterpillar invoice number or DBS customer backorder reference number (backorder
to Caterpillar Parts Distribution channel) in the claim story.
Such expenses are the responsibility of the dealer or customer.
• Confirm that the machine has not experienced a failure prior to the time the machine is registered. If a
failure exists, the machine must be repaired prior to registering it for coverage.
• Confirm that the machine has been rebuilt according to the specific Caterpillar requirements, such as
• Parts that must always be replaced, and
• Procedures and quality checks which must be performed and
• Product engineering updates which must be incorporated
• Repair machine using the most economical method, and install only genuine Caterpillar parts
(including remanufactured parts).
• Keep on file all parts invoices of new and remanufactured Caterpillar parts that were installed during
the rebuild for possible verification.
• Pay for any loss in excess of what is covered by Extended Coverage1, if broader coverage was
offered to the customer.
• Register each machine for coverage, and pay fees using the Caterpillar Service Claims System.

• Any coverage not identified and not enrolled in the manufacturer’s enrollment program.
• Lube oils, grease, coolant, or air conditioner refrigerant, alternator, starter, air compressor, air
of a covered part.
• Machine transportation or towing costs or field service travel expenses.
• Engine tune-up.
• Loss of time, inconvenience, downtime or downtime-related expenses, or other incidental or
• Normally scheduled preventive maintenance or maintenance services, including, but not limited
injectors.
• Wear out and normal deterioration.
• Any costs incurred to improve operating performance due to normal wear and tear. This includes,
consumption.
• Losses caused by equipment alterations or modifications in any manner which affects the mechanical
• Replacement, adjustments, or alignment or any part not covered by this Agreement unless required in
• Storage or miscellaneous shop supplies charges.
4 08.92-00 (08/15)
• A mechanical breakdown caused by or involving modifications unless those modifications were

performed at the request of the manufacturer by an authorized repair facility.
• A mechanical breakdown resulting from the failure of a non-covered part.
• A mechanical breakdown due to an application not approved by the manufacturer.
• A mechanical breakdown resulting from fuel settings inconsistent with manufacturer-recommended
settings.
• Freight and taxes additional to Transportation & Importation [T&I] as may be applicable.
• Costs covered by any warranty of the manufacturer or repairer’s guarantee regardless of whether they
honor such warranty or guarantee
• Physical damage resulting from causes other than mechanical breakdown.
• A mechanical breakdown caused by vermin, collision, fire, theft, vandalism, riot, explosion, lightning,
• If the service meter has been stopped or altered or misrepresents the equipment’s actual usage.
• A mechanical breakdown caused by or attributed to by the use of improper or contaminated fuel,
fluids, or filters.
• A mechanical breakdown caused by abuse, neglect, misuse, or lack of customary maintenance, per
• Damage caused by or contributed to operating equipment that does not have proper levels of
• A mechanical breakdown caused by chemical corrosion or physical or mechanical erosion.
• A Service letter, including PSP’s and PIP/s, which has been issued for a component or failure
that normally would be covered. The exception to this is where the reimbursement for parts and
labor under the service letter is proportionately reduced over time. For example the reimbursement
is for 100% up to 1,000 hours and 50% from 1,000 hours, etc. If the failure would normally be covered
by Extended Coverage for CCR, then Extended Coverage for CCR would reimburse the difference
under an additional claim. Extended Coverage for CCR would reimburse the difference of a separate
claim under the appropriate group number (7751 PIP or 7755 PSP), if the failure was normally
covered by Extended Coverage for CCR.
Illustration of Standard Parts Warranty and Extended Coverage
08.92-00 (08/15) 5

New or Remanufactured Parts Reimbursable at D/N by Standard Warranty during initial 12 months
Reimbursable at D/N by Extended Coverage after initial 12 months
Reused Parts During the initial 12 months:
• If damage results from failure of a covered new part standard
warranty reimburses 1/3rd of D/N and Extended Coverage
reimburses 2/3rd of D/N
• For any other covered failure of a reused part Extended Coverage
reimburses 100% of D/N
After the initial 12 months:
• Extended Coverage reimburses at D/N
Repair Labor Reimbursable at warranty cost rate
Parts Salvage Labor Reimbursable at warranty cost rate, if justified
Outside Repair Expenses Reimbursable at cost rate
Overtime Labor, Shop Supplies, Not Reimbursable
Meals & Lodging and Travel Time &
Mileage
Enrollment for Extended Coverage

General Guidelines
Enrollment for Extended Coverage is the Dealer’s responsibility. The intent to register for Extended Coverage
must be indicated on the Customer Delivery Notice form (see APD procedures for CCR). Delivery Notice does
not constitute enrollment for Extended Coverage.
The enrollment must be submitted within 60 days of the delivery date of the rebuilt machine.
Machines are enrolled in Extended Coverage by entering the details into the Caterpillar Service Claims System.
Certain fields will require specific values, which alert the system that this is a registration. The customer’s name
and address should be updated (if necessary) in the customer information network.
Enrollment Codes – Parts & Labor
Period Coverage Enrollment Code

24 months / 6,000 hours Powertrain 8624CCR206010
24 months / 6,000 hours Powertrain + Hydraulics 8624CCR206030
6 08.92-00 (08/15)
Filing a Claim
Unique Claim Field – Information that is required for parts warranty claims associated with Extended Coverage
outlined below:
Product ID / Serial No. – Enter the new Certified Rebuild serial number, not the machine’s original serial
number.
Delivery Date – Enter the date that the Certified Rebuild machine was delivery to the customer.
Parts Start Date – Leave blank
Parts Hr/Mi/Km – Enter the hours shown on the service hour meter.
Parts HR/MI/KM – Leave blank
Claim Story – In addition to the usual description of the complaint, cause, and correction, the first line of the
“This claim is in conjunction with Extended Coverage for a CCR machine.”
If the part causing the failure was a reused part, the second line of the story should state: “Par causing failure
was a reused part.”
Parts Expense Lines – To claim for each resultant damaged part number where standard warranty will be
reimbursing 1/3 of the Dealer Net price and EPP will be reimbursing 2/3 of the Dealer Net price, dealers must
enter a parts expense line with the following unique claim field information:
COMP – in the first 2 digits, enter the letters “RD”, which stands for resultant damage.
Unit Cost – The Service Claim System will automatically calculate the 1/3 D/N price and place that amount
in the extended price field. The Cat warranty analyst will remove the RD after calculating the 1/3 – 2/3 split,
reimbursing the dealer 100%.
NOTE: If a reused part caused the failure and EPP will be reimbursing 100% of the Dealer Net price, resultant
damaged parts do not need to be identified with the “RD” comp code.
08.92-00 (08/15) 7
8 08.92-00 (08/15)
SERVICE
EXTENDED COVERAGE Asia Pacific Marketing
➤ Extended Coverage for Certified

Powertrain Rebuild (CPT)
➤ Overview
Rebuild (CPT). This bulletin applies to CPT only. Please refer to Extended Coverage Bulletin 8.92 for CCR.
New and remanufactured Caterpillar parts replaced in the certified rebuild machine are covered by Caterpillar
parts warranty for a period of twelve months.
The purpose of this bulletin is to provide an overview of Extended Coverage available for CPT machines sold by
Caterpillar dealers and to help the dealer enroll in Extended Coverage.
Extended Coverage covers eligible units for repair costs (parts and labor) as a result of failure of covered
Powertrain components. Extended Coverage applies only to failures caused by defects in materials and
workmanship.
➤
Powertrain
One Extended Coverage option is available:
• Extended Coverage for Powertrain
Extended Coverage Period Options

The core Extended Coverage period options are:
• 24 months / 10,000 hours, for parts and labor for eligible models
• 36 months / 10,000 hours, for parts and labor for eligible models


1
Extended Coverage price tables for these options are available from https://apdnet.cat.com.
To request quotations for parts only coverage and/or alternative period options please email
APD.ExtendedCoverage@cat.com.
Extended Coverage New Parts Coverage

• Covered failure of new parts replaced at the time of the rebuild is reimbursed by Caterpillar standard parts
warranty for 12 months following the delivery date at Dealer Net
• Extended Coverage covers new parts from the 13th month until expiry of enrolled term at Dealer Net
Extended
Coverage Reused Parts Coverage

If the reused part is damaged during the initial 12 months as a direct result of failure of a covered new part:
• Standard warranty reimburses 1/3rd of the Dealer Net
• Extended Coverage reimburses 2/3rd of the Dealer Net.
If a covered reused part fails, Extended Coverage reimburses 100% of Dealer Net in the initial 12 months and
for the balance of the term.
Extended Coverage Labor Coverage

• If labor coverage is enrolled it applies during the Extended Coverage period, commencing with the delivery
date of CCR machine
• Labor reimbursement applies to repairs for covered new and remanufactured and reused Caterpillar parts
• Dealer reimbursement is Warranty Cost Rate price in effect at the time of repair
Validating Coverage
name and address.

amount of Caterpillar participation. Service letters that apply to certified rebuild machines will always list the new
certified rebuild serial number for all applicable certified rebuild machines. There is no participation under
Extended Coverage except as otherwise stated in Exclusions and Limitations.

Wear-out and normal deterioration are not covered. Such occurrences are not due to defects in the material or
workmanship.
2 08.93-00 (08/15)
dealers must always use the remanufactured part. For warranty parts order of a remanufactured part that is not
in stock, the dealer will be shipped the equivalent new part and invoiced at the remanufactured price, plus the
standard core charge. This practice is not applicable for major components (e.g. engines, transmissions).
Parts reimbursement includes only those Caterpillar parts needed to restore the product to its operating
condition just prior to the covered failure. It does not include reimbursement for parts to restore the product to a
like-new condition.
following:
Labor reimbursement is at the dealer’s warranty cost rate. Materials such as steel that are used to perform the
expenses are reasonable, to insure full Caterpillar reimbursement.
Caterpillar.
territory.
Freight Plan.
08.93-00 (08/15) 3
• Parts that must always be replaced, and \
• Repair machine using the most economical method, and install only genuine Caterpillar parts (including
• Keep on file all parts invoices of new and remanufactured Caterpillar parts that were installed during the
rebuild for possible verification.
• Pay for any loss in excess of what is covered by Extended Coverage1, if broader coverage was offered to
the customer.

• Lube oils, grease, coolant, or air conditioner refrigerant, alternator, starter, air compressor, air conditioner,
compressor, and other bolt-on attachments, unless required in conjunction with the repair of a covered part.
• Engine tune-up.
• Loss of time, inconvenience, downtime or downtime-related expenses, or other incidental or consequential
lash adjustments and maintenance items including filters, fuel nozzles, fuel injectors, thermostats, and seals
and gaskets.
• Performance complaints including, but not limited to, adjustments to fuel settings or electronic unit injectors.
• Any costs incurred to improve operating performance due to normal wear and tear. This includes, but is not
limited to, valve and ring repairs designed to improve engine compression or reduce oil consumption.
Replacement, adjustments, or alignment or any part not covered by this Agreement unless required in
• A mechanical breakdown caused by or involving modifications unless those modifications were performed at
the request of the manufacturer by an authorized repair facility.
4 08.93-00 (08/15)

• A mechanical breakdown resulting from fuel settings inconsistent with manufacturer-recommended settings.
• A mechanical breakdown caused by or attributed to by the use of improper or contaminated fuel, fluids, or
filters.
• A mechanical breakdown caused by abuse, neglect, misuse, or lack of customary maintenance, per the
“Operation and Maintenance Manual” for the equipment.
• Damage caused by or contributed to operating equipment that does not have proper levels of lubricants or
coolant.
• A Service letter, including PSP’s and PIP/s, which has been issued for a component or failure that normally
would be covered. The exception to this is where the reimbursement for parts and labor under the service
letter is proportionately reduced over time. For example the reimbursement is for 100% up to 1,000 hours
and 50% from 1,000 hours, etc. If the failure would normally be covered by Extended Coverage for CPT, then
Extended Coverage for CPT would reimburse the difference under an additional claim. Extended Coverage
for CPT would reimburse the difference of a separate claim under the appropriate group number (7751 PIP or
7755 PSP), if the failure was normally covered by Extended Coverage for CPT.
Illustration of Standard Parts Warranty and Extended Coverage
08.93-00 (08/15) 5

Reimbursable at D/N by Extended Coverage after initial 12 months
Reused Parts During the initial 12 months:
• If damage results from failure of a covered new part standard
warranty reimburses 1/3rd of D/N and Extended Coverage
reimburses 2/3rd of D/N
• For any other covered failure of a reused part Extended Coverage
reimburses 100% of D/N
After the initial 12 months:
• Extended Coverage reimburses at D/N
Repair Labor Reimbursable at warranty cost rate
Overtime Labor, Shop Supplies, Not Reimbursable
Meals & Lodging and Travel Time &
Mileage
Enrollment for Extended Coverage

General Guidelines
Enrollment for Extended Coverage is the Dealer’s responsibility. The intent to register for Extended Coverage
must be indicated on the Customer Delivery Notice form (see APD procedures for CPT). Delivery Notice does
not constitute enrollment for Extended Coverage.
The enrollment must be submitted within 60 days of the delivery date of the rebuilt machine.
Machines are enrolled in Extended Coverage by entering the details into the Caterpillar Service Claims System.
Certain fields will require specific values, which alert the system that this is a registration. The customer’s name
and address should be updated (if necessary) in the customer information network.
Enrollment Codes – Parts & Labor

6 08.93-00 (08/15)
Filing a Claim
Unique Claim Field – Information that is required for parts warranty claims associated with EPP outlined below:
Product ID / Serial No. – Enter the machine’s original serial number.
Delivery Date- Leave blank.
Parts Start Date – Enter the date that the CPT machine was delivered to the customer.
Product Hr/Mi/Km – Enter the hours shown on the service hour meter.
Parts Hr/Mi/Km – Enter the hours on the machine since the rebuild.
“This claim is in conjunction with EPP for a CPT machine.”
If the part causing failure was a reused part, the second line of the story should state:
“Part causing failure was a reused part.”
Parts Expense Lines – To claim for each resultant damaged part number where standard warranty will be
reimbursing 1/3 of the Dealer Net price and EPP will be reimbursing 2/3 of the Dealer Net price, dealers must
enter a parts expense line with the following unique claim field information:
COMP – in the first 2 digits, enter the letters “RD”, which stands for resultant damage.
Unit Cost – The Service Claim System will automatically calculate the 1/3 D/N price and place that amount
in the extended price field. The Cat warranty analyst will remove the RD after calculating the 1/3 – 2/3 split,
reimbursing the dealer 100%.
NOTE: If a reused part caused the failure and EPP will be reimbursing 100% of the Dealer Net price, resultant
damaged parts do not need to be identified with the “RD” comp code.
08.93-00 (08/15) 7
8 08.93-00 (08/15)
SERVICE
EXTENDED COVERAGE CATERPILLAR SARL/EAME
➤
Equipment Protection Plan Program for
Certified Rebuild/Certified Powertain Rebuild
Program (CCR/CPT) (Effective 01May10)
This bulletin is discontinued. Effective July 1, 2014, refer to Bulletins 8.52 and 8.53.
➤ Overview
The purpose of this bulletin is to provide an overview of the Equipment Protection Plan program for Certified
Rebuild and Powertrain Rebuild machines.
The Equipment Protection Plan covers eligible units against failures on powertrain or powertrain and hydraulic
components. The purpose of the coverage is to provide protection for repair costs (parts & labor) for certified
rebuild or certified powertrain rebuild machines sold by Cat dealers.
Equipment Protection Plan bulletins for powertrain and powertrain and hydraulics identify the components
included and excluded for use with this program. The following bulletins are available at the Global Warranty
web site, https://warranty.cat.com:
• Powertrain - Bulletin 8.01 – Powertrain Equipment Protection Plan
• Hydraulics - Bulletin 8.02 – Hydraulic Equipment Protection Plan
Equipment Protection Plan Enrollment

The intent to register for the Equipment Protection Plan for the Certified Rebuild programs must be indicated on
the Customer Delivery Notice form.
The machine must be enrolled within 30 days of the machine delivery date, using the on-line Machine Enrollment
Registration (MER) system or the Corporate Claims System (CLAIMSI) located at https://claims.cat.com. Dealers
must keep on-file a copy of the customer signed Delivery Notice, for verification if requested by Caterpillar.
The enrollment claim must use dealer claim prefix CU% and SMCS 7944.


1
Coverage Options
Certified Rebuild
2010 Coverage Code Coverage Description

3624CCR511106 CERT MACH REBUILD P&L +10 PWT 12/6000
3624CCR531304 CERT MACH REBUILD P&L +10 P+H 36/4000
Power Train Only Rebuild (CPT) coverage options include:

2010 Coverage Code Coverage Description
3624CPT511206 CERT PWT REBUILD +10 P&L 24/6000
Additional options may be available by sending a special quote request to the email address
EAME.Equipmentprotectionplan@cat.com.
Dealer reimbursement for covered repair expenses related to Equipment Protection Plan for CCR/CPT will
be per the Summary of Reimbursement Practices Chart found below and in accordance with applicable
Reimbursement Practices as outlined in Bulletin 1.02.
Equipment Protection Plan - CCR/CPT

New and Reused Parts after month standard warranty period* Reimbursable at D/N + 10%
Repair Labor Reimbursable at warranty cost labor rate + 10%
*CCR/CPT “Improved Coverage provided during the 12 month standard warranty period for reused parts can
be included for an additional fee of 1,100 EUR for CPT or 2,000 EUR for CCR.
2 08.94-00 (8/15)
SERVICE
EPP BULLETIN LACD (Latin America)
➤
EPP for Certified Machine Rebuild (CCR)
➤ Overview
Rebuild (CPT). This bulletin applies to CCR only. Please refer to EPP Bulletin 8.96 for CPT.
New and remanufactured Cat parts replaced in the certified rebuild machine are covered by Caterpillar Parts
Warranty for a period of twelve months, as defined in LACD Claim Submission Procedures for CCR.
The purpose of this bulletin is to provide an overview of EPP available for CCR machines sold by Caterpillar
dealers and to help the dealer enroll in EPP.
EPP covers eligible units for repair costs (parts and labor) as a result of failure of covered Powertrain or
Powertrain and Hydraulic components. EPP applies only to failures caused by defects in materials and
workmanship.
➤ Powertrain and Powertrain plus Hydraulics
Two EPP options are available:
• EPP for Powertrain
• EPP for Powertrain plus Hydraulics
Covered and excluded Hydraulic components are defined in Bulletin 8.02.
EPP Period Options

The core EPP period options are:
• 24 months / 6,000 hours, for parts and labor or parts only
• 24 months / 10,000 hours, for parts and labor or parts only for eligible models.
• 36 months / 6,000 hours, for parts and labor or parts only
EPP price tables for these options are available from https://lacd.cat.com
To request quotations for alternative period options please email LACD.ExtendedCoverage@cat.com


1
EPP Parts Coverage

During Initial twelve-month period:
• Caterpillar parts reused in the certified rebuild machine are covered
• Dealer reimbursement is Dealer Net price in effect at the time of repair.
After initial twelve-month and during the EPP period:
• Both new and remanufactured and reused Caterpillar parts are covered
• Dealer reimbursement is US Consumer List price in effect at the time of repair.
EPP Labor Coverage

• If labor coverage is enrolled it applies during the EPP period, commencing with the delivery date of CCR
machine
parts
• Dealer reimbursement is Dealer Sell Rate price in effect at the time of repair.
Validating Coverage
name and address.

certified rebuild serial number for all applicable certified rebuild machines. There is no participation under EPP
except as otherwise stated in Exclusions and Limitations.

or workmanship.
covered.
Other parts removed in the process of repair will be reinstalled as is, unless the customer authorizes the
additional cost at the customer’s expense.
dealers must always use the remanufactured part. For an emergency Class 1 parts order (warranty with
machine down) of a remanufactured part that is not-in-stock, the dealer will be shipped the equivalent new part
and invoiced at the remanufactured price, plus the standard core charge. This practice is not applicable for
major components (e.g. engines, transmissions).
Parts reimbursement includes only those Caterpillar parts needed to restore the product to its operating condition just
prior to the covered failure. It does not include reimbursement for parts to restore the product to a like-new condition.
2 08.95-00 (08/15)
following:
Labor reimbursement is at the dealer’s labor selling rate. Materials such as steel that are used to perform the
reasonable.
Such expenses are reimbursed at the dealer’s actual cost. These expenses are for parts and/or labor from an
outside vendor. Examples of labor expenses for sublet repairs include, machining, cylinder head milling, or
radiator repair. It is the dealer’s responsibility to ensure that invoice charges for outside repair expenses are
reasonable, to insure full Caterpillar reimbursement.
Caterpillar.
territory.
Freight Plan.
08.95-00 (08/15) 3
• Pay for any loss in excess of what is covered by EPP1, if broader coverage was offered to the customer.
• A Service letter, including PSP’s and PIP/s, which has been issued for a component or failure that
normally would be covered. The exception to this is where the reimbursement for parts and labor under
the service letter is proportionately reduced over time. For example the reimbursement is for 100%
up to 1,000 hours and 50% from 1,000 hours, etc. If the failure would normally be covered by EPP for
CCR, then EPP for CCR would reimburse the difference under an additional claim. EPP for CCR would
reimburse the difference of a separate claim under the appropriate group number (7751 PIP or 7755
PSP), if the failure was normally covered by EPP for CCR.
Illustration of Standard Parts Warranty and EPP

Standard Warranty
12 Months
Year 1 Year 2 Year 3
4 08.95-00 (08/15)

New or Remanufactured Parts Reimbursable at D/N by Standard Warranty during initial 12
months Reimbursable at US Consumer List by EPP after
initial 12 months.
Reused Parts Reimbursable at D/N by EPP during initial 12 months
Reimbursable at US Consumer List by EPP after initial 12
months.
Repair Labor Reimbursable at dealer’s labor sell rate
Overtime Labor Not Reimbursable
Enrollment Procedure for EPP

General Guidelines
Enrollment for EPP is the Dealer’s responsibility. The intent to register for EPP must be indicated on the
Customer Delivery Notice form (see LACD Claim Submission Procedures for CCR). Delivery Notice does not
constitute enrollment for EPP.
The enrollment must be submitted within 60 days of the delivery date for the dealer to receive reimbursement for
covered repair labor costs back to the delivery date (see “repair date field”).
Enrollment after the 60-day period is permitted up to one year after the delivery date but covered repair labor
cost reimbursement becomes effective at the enrollment date and not the delivery date.
Completing and Filing the Registration
• The Caterpillar Service Claims System is used to process the registration. Anyone not familiar with the
that the people who presently file service claims also file the EPP1 registrations.
• All rules that pertain to the submission of the service claim also apply to registrations.
• The normal procedure is to submit a service claim to Caterpillar, which will also be used to submit a
registration.
• If you are a “DBS” (Dealer Business System) Dealer or Dealer who uses the claim class concept for
claim preparation, you should establish a special claim class for registrations. The DBS help desk or their
08.95-00 (08/15) 5
website for FAQ (Frequently Asked Questions) should be consulted when first starting.
• If you are not a Caterpillar DBS Dealer, or do not have access to the Caterpillar Service Claims System,
we request that you use the Corporate Claims System (Claimsi) to enroll in EPP.
Claimsi
You will find a link to Claimsi on CatAmericasNet following the path:
Product Support >>> Warranty >>> Related Links >>> Claimsi
Click the category “claim entry” in the horizontal menu at the top of the page to open the claim entry fields. Enter
the registration data in the required fields.
Some key points to remember are:
• Use a dealer claim number with a prefix of “CUE$” for new machines
• Submit the enrollment claim with SMCS code “7944” as the group number
• Use the date you are requesting the enrollment as the repair date
When you have completed data entry you may click either:
• “Save Draft”. A benefit of Claimsi is that you can save the entry in Claimsi as a draft for each coverage,
and then create a claim for each serial number, or
• “Submit Claim” when you are ready to submit for enrollment. LACD warranty & data receives your
submitted claim, and uploads it as a machine registration to the Caterpillar Service Claims System.
Pages 7 and 8 show sample Claimsi screens for a CCR enrollment in EPP:
6 08.95-00 (08/15)
Claimsi Control Screen
Important Note:
When you enroll using Claimsi you may enter the enrollment code in the “Findings / Comments’ box. See
following pages for more information on enrollment codes.
08.95-00 (08/15) 7
Claimsi Miscellaneous & Parts Summary
Claimsi Claim Entry Story
8 08.95-00 (08/15)
Entrollment Codes
Parts and Labor

24 months / 6,000 hours Powertrain ZQ24CCR206010
24 months / 6,000 hours Powertrain + Hydraulics ZQ24CCR206030
Check List on required Claim data entries, valid for all claim procedures used:
DBS, STR, Dealer system, Paper Form, Claimsi, etc.
Claim Fields R & G Codes Claim Data Entry Requirements

CCR Registration Claims
(04) The new Certified Rebuild Serial Number XXX76nnn
(05) The date that the Certified Rebuilt unit was delivered to the customer
(Delivery Notice)
(06) The servicing Dealer Code
(07) The Dealer selected Claim Number must start with prefix CUE$. A
maximum of 7 positions are permitted (no spaces, dots, dashes, etc.)
(15) Total SMUs the Unit has operated at delivery to the customer (Delivery
Notice)
(16) The date of delivery of Rebuilt unit to customer (must be within 60 days
of enrollment)
(17) The SMUs the Unit has operated – enter total SMU on machine counter
(18) The Description Code 00
(19) The Substitute Group Number 7944
(23) The Customized Coverage code (See CCR matrix, e.g.
ZQ24CCRnnnnnn)
(25) The Parts Credit is 0%
(26) The Labor Credit is 0%
(27) Indicate SMU: hours, miles, or kilometers (paper claims: “X” marking)
(38) The claim story must contain details on Quote – otherwise text is
optional. In order to display text on the Settlement Notice, enter %% at
the beginning of each line.
(50) The EPP Fee amount in US$
(51) The description EPP Fee
(52) The EPP Fee amount in US$ [as in field (50)]
08.95-00 (08/15) 9
Filing a Claim
Unique Claim Field – Information that is required for parts warranty claims associated with EPP outlined below:.
Parts Start Date - Enter date of rebuild.
Parts Hr/Mi/Km - Enter the service hours on the machine since the rebuild.
“This claim is in conjunction with EPP for a CCR machine.”
10 08.95-00 (08/15)
SERVICE
EPP BULLETIN LACD (Latin America)
➤
EPP for Certified Powertrain Rebuild (CPT)
➤
Overview
Rebuild (CPT). This bulletin applies to CPT only. Please refer to Bulletin 8.95 for CCR.
New and remanufactured Cat parts replaced in the certified rebuild machine are covered by Caterpillar Parts
Warranty for a period of six months, as defined in LACD Claim Submission Procedures for CPT.
The purpose of this bulletin is to provide an overview of EPP available for CPT machines sold by Caterpillar
Dealers and to help the Dealer enroll in EPP.
EPP covers eligible units for repair costs (parts and labor) as a result of failure of covered Powertrain
components. EPP applies only to failures caused by defects in materials and workmanship.
➤ Powertrain
One option is available:
• EPP for Powertrain
EPP Period Options

The core EPP period options are:
• 24 months / 6,000 hours, for parts and labor or parts only.
• 36 months / 6,000 hours, for parts and labor or parts only.
EPP price tables for these options are available from https://lacd.cat.com.
To request quotations for alternative period options please email LACD.ExtendedCoverage@cat.com.


1
EPP Parts Coverage

During Initial six-month period:
• Caterpillar parts reused in the certified rebuild machine are covered
• Dealer reimbursement is Dealer Net price in effect at the time of repair.
After initial six-month and during the EPP period:
• Both new and remanufactured and reused Caterpillar parts are covered
• Dealer reimbursement is US Consumer List price in effect at the time of repair.
EPP Labor Coverage

• If labor coverage is enrolled it applies during the EPP period, commencing with the delivery date of CPT
machine.
parts.
• Dealer reimbursement is Dealer Sell Rate price in effect at the time of repair.
Validating Coverage
name and address.

certified rebuild serial number for all applicable certified rebuild machines. There is no participation under EPP
except as otherwise stated in Exclusions and Limitations.

or workmanship.
dealers must always use the remanufactured part. For an emergency Class 1 parts order (warranty with
machine down) of a remanufactured part that is not-in-stock, the dealer will be shipped the equivalent new part
and invoiced at the remanufactured price, plus the standard core charge. This practice is not applicable for
major components (e.g. engines, transmissions).
Parts reimbursement includes only those Caterpillar parts needed to restore the product to its operating condition just
prior to the covered failure. It does not include reimbursement for parts to restore the product to a like-new condition.
2 08.96-00 (08/15)
following:
Labor reimbursement is at the dealer’s labor selling rate. Materials such as steel that are used to perform the
reasonable.
Such expenses are reimbursed at the dealer’s actual cost. These expenses are for parts and/or labor from an
outside vendor. Examples of labor expenses for sublet repairs include, machining, cylinder head milling, or
radiator repair. It is the dealer’s responsibility to ensure that invoice charges for outside repair expenses are
reasonable, to insure full Caterpillar reimbursement.
Caterpillar.
territory.
Freight Plan.
08.96-00 (08/15) 3
• Pay for any loss in excess of what is covered by EPP1, if broader coverage was offered to the customer.
• Lube oils, grease, coolant, or air conditioner refrigerant, alternator, starter, air compressor, air
conditioner, compressor, and other bolt-on attachments, unless required in conjunction with the repair of a
covered part.
• Engine tune-up.
• Loss of time, inconvenience, downtime or downtime-related expenses, or other incidental or
seals and gaskets.
injectors.
• Any costs incurred to improve operating performance due to normal wear and tear. This includes, but is
not limited to, valve and ring repairs designed to improve engine compression or reduce oil consumption.
• Replacement, adjustments, or alignment or any part not covered by this Agreement unless required in
• A mechanical breakdown caused by or involving modifications unless those modifications were
performed at the request of the manufacturer by an authorized repair facility.
• A mechanical breakdown resulting from fuel settings inconsistent with manufacturer-recommended
settings.
4 08.96-00 (08/15)
• A mechanical breakdown caused by or attributed to by the use of improper or contaminated fuel, fluids,
or filters.
• A mechanical breakdown caused by abuse, neglect, misuse, or lack of customary maintenance, per the
“Operation and Maintenance Manual” for the equipment.
• Damage caused by or contributed to operating equipment that does not have proper levels of lubricants
or coolant.
• A Service letter, including PSP’s and PIP/s, which has been issued for a component or failure that
normally would be covered. The exception to this is where the reimbursement for parts and labor under
the service letter is proportionately reduced over time. For example the reimbursement is for 100% up to
1,000 hours and 50% from 1,000 hours, etc. If the failure would normally be covered by EPP for CPT, then
EPP for CPT would reimburse the difference under an additional claim. EPP for CPT would reimburse the
difference of a separate claim under the appropriate group number (7751 PIP or 7755 PSP), if the failure
was normally covered by EPP for CPT.
Illustration of Standard Parts Warranty and EPP
Standard Warranty
6 Months
Year 1 Year 2 Year 3
08.96-00 (08/15) 5

Reimbursable at US Consumer List by EPP after initial 6 months
Reused Parts Reimbursable at D/N by EPP during initial 6 months
Reimbursable at US Consumer List by EPP after initial 6 months
Repair Labor Reimbursable at dealer’s labor sell rate
Overtime Labor Not Reimbursable
Enrollment Procedure for EPP

General Guidelines
Enrollment for EPP is the Dealer’s responsibility. The intent to register for EPP must be indicated on the
Customer Delivery Notice form (see LACD Claim Submission Procedures for CCR). Delivery Notice does not
constitute enrollment for EPP.
The enrollment must be submitted within 60 days of the delivery date for the dealer to receive reimbursement for
covered repair labor costs back to the delivery date (see “repair date field”).
Enrollment after the 60-day period is permitted up to one year after the delivery date but covered repair labor
cost reimbursement becomes effective at the enrollment date and not the delivery date.
Completing and Filing the Registration

• The Caterpillar Service Claims System is used to process the registration. Anyone not familiar with the
that the people who presently file service claims also file the EPP1 registrations.
• All rules that pertain to the submission of the service claim also apply to registrations.
• The normal procedure is to submit a service claim to Caterpillar, which will also be used to submit a
registration.
• If you are a “DBS” (Dealer Business System) Dealer or Dealer who uses the claim class concept for
claim preparation, you should establish a special claim class for registrations. The DBS help desk or
theirwebsite for FAQ (Frequently Asked Questions) should be consulted when first starting.
• If you are not a Caterpillar DBS Dealer, or do not have access to the Caterpillar Service Claims System,
we request that you use the Corporate Claims System (Claimsi) to enroll in EPP.
6 08.96-00 (08/15)
Claimsi
You will find a link to Claimsi on CatAmericasNet following the path:
Product Support >>> Warranty >>> Related Links >>> Claimsi
Click the category “claim entry” in the horizontal menu at the top of the page to open the claim entry fields. Enter
the registration data in the required fields.
Some key points to remember are:
• Use a dealer claim number with a prefix of “CUE$” for new machines
• Submit the enrollment claim with SMCS code “7944” as the group number
• Use the date you are requesting the enrollment as the repair date
When you have completed data entry you may click either:
• “Save Draft”. A benefit of Claimsi is that you can save the entry in Claimsi as a draft for each coverage,
and then create a claim for each serial number, or
• “Submit Claim” when you are ready to submit for enrollment. LACD warranty & data receives your
submitted claim, and uploads it as a machine registration to the Caterpillar Service Claims System.
Following are sample Claimsi screens for a CCR enrollment in EPP:
Claimsi Control Screen
Important Note:
When you enroll using Claimsi you may enter the enrollment code in the “Findings / Comments’ box. See
following pages for more information on enrollment codes.
08.96-00 (08/15) 7
Claimsi Miscellaneous & Parts Summary
Claimsi Claim Entry Story
8 08.96-00 (08/15)
Entrollment Codes
Parts and Labor

Filing a Claim
Unique Claim Field – Information that is required for parts warranty claims associated with EPP outlined below:.
Parts Start Date - Enter date of rebuild.
Parts Hr/Mi/Km - Enter the service hours on the machine since the rebuild.
“This claim is in conjunction with EPP for a CCR machine.”
08.96-00 (08/15) 9
10 08.96-00 (08/15)
SERVICE
Extended Coverage Americas North
Machine
➤
Certified Rebuild Machine and
Certified Powertrain Extended Coverage
This bulletin is discontinued. Effective July 1, 2014, refer to Bulletins 8.52 and 8.53.
Overview
Parts for Certified Rebuild Machine (CCR) and Certified Powertrain (CPT) are covered by parts warranty for the
first six months. Extended coverage is available for labor and extended parts coverage effective on the rebuilt
product with delivery dates after 5/1/03.
The Cat Financial Insurance Services’ website has CCR and/or CPT program details including premium tables
and enrollment instructions. The URL for this site is: https://dealer.cat.com/EPPCREP.
Machine Rebuild Programs (CCR and CPT)

NACD provides dealer eligibility to perform Cat Certified Rebuilds.
The URL for this site is https://dealer.cat.com/CCR.
For dealers to perform Cat Certified Rebuilds, they must be authorized under the terms of an agreement with
Caterpillar. The rebuild process includes specific Caterpillar requirements such as:
 Parts that must always be replaced, and
 Procedures and quality checks which must be performed, and
 Product engineering updates which must be incorporated.
 Ensure all open PIPs are completed and reported against the original serial number during the certified
rebuild process.
It involves a complete disassembly of the machine or powertrain and all individual components. All paint is
removed. Parts that do not meet minimal standards are either replaced or reconditioned. Upon reassembly, the
entire machine or powertrain is repainted including installation of all new decal’s and/or serial number plates.
Once the rebuild is complete, go into the original serial number record on SIMSi and delete the customer name
& address and replace it with the following text:
“Caterpillar Certified Rebuild to serial number XXXxxxxx.”
This provides a permanent reference to the new serial number and leaves the declaring dealer to the correct
dealership. The PIP reports will also show this new text as the customer name and refer to the correct serial
number in the DBS pop files.


1
 Under the old serial number, enter a SIMS entry with the “NA” code after completion in the above step
 Open all new PIP work orders in DBS against the new serial number and claim against the new serial
number. Use the appropriate description code of 56 or 96 and write the original serial number in the first
line of the claim story.
Machine Enrollment Request

Prior to commencing a certified rebuild (machine or powertrain) the authorized dealer submits to Caterpillar a
certified rebuild machine or powertrain enrollment request. This can be found on the NACD website at
URL https://dealer.cat.com/CCR - then click Certified Rebuild Enrollment Request.
Machine Delivery Notice

Upon receipt of the Enrollment Request, Caterpillar requires the dealer to submit a Delivery Notice form at the
time the machine or powertrain has been rebuilt and delivered to a customer. The Delivery Notice is used
to notify Caterpillar, that the machine has been delivered to a customer. It also indicates if the machine or
powertrain was sold with extended coverage, and if so, which coverage option. The dealer is responsible for
enrollment through the MER (Machine Enrollment Registration) process. The date of delivery specified by
the dealer on the Delivery Notice is used as the coverage start date for the standard warranty period and the
extended coverage period. The PIS delivery date remains as the original delivery date.
Extended Coverage Options

The following coverage periods and options are available. They start at the delivery date:
 24 month / 6,000 hours, parts and labor, or
 24 month / 6,000 hours, parts only, or
 36 month / 5,000 hours, parts and labor, or
 36 month / 5,000 hours, parts only, or
 24 month / 10,000 hours, parts and labor for selected mining models, or
 24 month / 10,000 hours, parts only for selected mining models.
Extended Coverage Enrollment

Enrollment in the Certified Rebuild Programs must be done within 30 days of the machine delivery date, using
the on-line Machine Enrollment Registration (MER) process (Claimsi https://claims.cat.com). Dealers must
keep on-file a copy of the customer signed Delivery Notice, for verification if requested by Caterpillar.
In the 20- position comment field, enter the following:
 EE/24/6000, for the 24 month CCR coverage parts and labor, or
 EG/24/6000, for the 24 month CCR coverage parts only, or
 DB/24/10,000, for the 24 month CCR coverage parts and labor, or
 EF/36/5000 for the 36 month CCR coverage parts and labor, or
 EH/36/5000 for the 36 month CCR coverage, parts only, or
 C9/24/6000, for the 24 month CPT coverage parts and labor, or
 EC/24/6000, for the 24 month CPT coverage parts only, or
 DF/24/10,000, for the 24 month CPT coverage parts and labor, or
 DE/24/10,000, for the 24 month CPT coverage parts only, or
 C8/36/5000 for the 36 month CPT coverage parts and labor, or
 ED/36/5000 for the 36 month CPT coverage, parts only
To obtain prices for the applicable coverage, go to URL: https://dealer.cat.com/EPPCREP.
2 08.97-00 (08/15)
➤ Covered Components
The covered components are the same as those covered under Powertrain - Extended Coverage. For a
summary of the major component categories covered, and a complete listing of powertrain components, refer to
Warranty Bulletin 8.01.
Components commonly mistaken as powertrain, which are not covered include: undercarriage, external
hoses and lines (except hydrostatic), the engine radiator, and engine attachments (alternator, starter, air
compressor, air conditioner compressor).
Note: Radiators are reconditioned/replaced during the rebuild process, but are not covered under this coverage.
Validating Coverage
Dealers can verify Extended Coverage CCR and CPT Rebuild enrollment in Caterpillar’s online computer
system using the Dealer Service System (SIMSi), just like any other coverage. The coverage / customer
information screens will show the new delivery date for the Extended Coverage CCR and CPT, the coverage
details including extended coverage, and the customer name and address.
Resold or Transferred Machines

Contact Caterpillar Certified Rebuild Products with questions about machines that will be resold or moved
outside the selling dealer’s territory during the coverage period.

All PIPs and PSPs announced after the CCR or CPT rebuild will be supported by Caterpillar, to the extent of the
announcing Service Letter. For PSPs having prorated Caterpillar participation based on machine age or service
hours, the CCR or CPT delivery date and/or service hours since rebuild are used for determining the amount of
Caterpillar Participation.
Wearout and Extent of Repair

Wearout and normal deterioration are not covered. Such occurrences are not due to defects in the material or
workmanship.
condition just prior to the covered failure. The repair or replacement of the failed part or component and any
associated resultant damaged parts are covered. Other parts removed in the process of repair will be reinstalled
as is, unless the customer authorizes the additional cost at the customer’s expense.

Dealer Reimbursement During the Parts Standard Warranty

New parts installed during rebuild:
During the first six months parts standard warranty will reimburse the dealer for defects in material and
workmanship for new parts that were replaced during the rebuild. See Bulletin 4.01. Extended Coverage CCR
and CPT will reimburse labor at the dealer’s NACD registered selling labor rate for replacement of new parts.
Re-used parts installed during rebuild:

During the first six months the dealer will not be reimbursed for parts or labor to make repairs if a re-used part
causes a failure.
The Unique Claim Field Information that is required for parts warranty claims associated with
Extended Coverage CCR and CPT is outlined below:
Product ID / Serial No for CCR. - enter the new Certified Rebuild serial number, not the machine’s original
serial number.
Delivery Date for CCR - enter the date that the Certified Rebuild machine was delivered to the customer.
Delivery Date for CPT - Always leave blank.
Parts Start Date for CPT - Always leave blank.
Product Hr/Mi/Km for CCR or CPT - enter the hours shown on the service hour meter.
Parts Hr/Mi/Km for CCR- Always leave blank.
Parts Hr/Mi/Km for CPT - enter the machine hours accumulated since enrollment in this program.
Parts Expense Lines for CCR/CPT - to claim for each resultant damaged part number that will only be partially
allowed at 33 1/3% D/N price, dealers must enter a parts expense line with the following unique claim field
information:
 COMP - in the first 2 digits, enter the letters RD, which stands for resultant damage.
 Unit Cost - The Service Claim System will automatically calculate the 33 1/3% D/N price and enter that
amount in this field, due to RD being entered in the COMP field.
 “This claim is in conjunction with CCR or CPT coverage.”
Dealer Reimbursement After the Parts Standard Warranty

After the 6 month parts standard warranty both new and re-used parts in covered components are covered for
parts and labor.
damaged Cat parts are dealer reimbursable at the customer list (C/L) price in effect on the date of repair.
Caterpillar’s choice. When there is a Caterpillar remanufactured part offered that is at standard dimensions, dealers
must always use the remanufactured part. For an emergency Class 1 parts order (warranty with machine down)
of a remanufactured part that is not-in-stock, the dealer will be shipped the equivalent new part and invoiced at the
remanufactured price, plus the standard core charge. This parts department practice is not applicable for major
components (i.e. engines, transmissions).
Parts reimbursement includes only those Cat parts needed to restore the product to its operating condition just prior
to the covered failure. It does not include reimbursement for parts to restore the product to a like-new condition.
4 08.97-00 (08/15)
Parts Service Charges - Caterpillar Service Department service charges for parts obtained on an
emergency order are dealer reimbursable. The service charge is a percentage of the dealer list (D/L) price of
the part, as per the following:
 0 % for slow moving parts
 5 % for medium moving parts
 8 % for fast moving parts
Service Items - Lubricants, filters, antifreeze, and other service items made unusable due to contamination
by the failure are dealer reimbursable. Such items are reimbursed at the dealer/acquisition cost on the date of
repair.
Service items not affected by the failure, which are replaced in the normal course of the repair are not covered
by the plan.
Repair Labor - repair labor is reimbursable. This includes labor to inspect, test, diagnose, remove,
disassemble, clean, assemble and install. Such labor is the responsibility of the dealer to perform.
Parts Salvage Labor - Parts salvage labor is dealer reimbursable, if the Cat part can be satisfactorily
repaired for a cost that does not exceed 50% of the dealer net (D/N) price for a new or remanufactured part.
Salvage labor includes only the time to perform salvage operations such as machining, cutting, burning,
trimming, bending, heating, welding, etc. It does not include the labor to disassemble and assemble the part or
component associated with performing the salvage operation. Such labor is the responsibility of the dealer to
perform.
Labor reimbursement is at the dealer’s selling labor rate. Materials such as steel, that are used to perform the
salvage operation are dealer reimbursable at the dealer’s acquisition cost.
Salvage labor is claimed on a miscellaneous expense line.
Outside Repair Expenses - Outside repair expenses are dealer reimbursable, if the expense is justified
and reasonable. Such expenses are reimbursed at the dealer’s actual cost. These expenses are for parts and/
head milling, or radiator repair.
It is the dealer’s responsibility to ensure that invoice charges for outside repair expenses are reasonable, to
insure full Caterpillar reimbursement.
Shop Supplies - Shop supplies are not dealer reimbursable as an itemized parts expense line or parts
summary (NLOW) expense line. However, allowance for shop supplies is included in the dealer’s labor rate.
Examples of shop supplies includes, shop towels, welding rod, wire ties, gasket maker, sealants, solvents,
adhesives, primers, paint, assembly lubricants, anti-seize compounds, buffing discs & pads, emory cloth, etc.
Hauling Costs - Costs associated with transporting or hauling a machine for repairs, are not dealer
reimbursable.
Freight Charges - Inbound surface or air freight charges for parts shipped from a Caterpillar Parts
Distribution Center to the dealer are not dealer reimbursable. Dealer shuttle service expenses between a
Caterpillar Parts Distribution Center and the dealer, or between the dealer’s stores are also not reimbursable.
Meals & Lodging - Mechanic’s meals and lodging associated with field service repairs are not dealer
dealer reimbursable. Such expenses are the responsibility of the dealer or customer.
08.97-00 (08/15) 5
The Unique Claim Field Information that is required when submitting an after the parts standard
warranty claims associated with Extended Coverage CCR and CPT is outlined below:
Delivery Date for CCR - enter the date that the Certified Rebuild machine was delivered to the customer.
Delivery Date for CPT - Always leave blank.
Parts Start Date for CPT - Always leave blank.
Parts Start Date for CCR- enter the date that the Certified Rebuild machine was delivered to the customer.
Product ID / Serial No. - enter the new CCR serial number, or the original machine serial number of CPT.
Products Hr/Mi/Km - enter the total machine hours shown of the service hour meter.
Parts Hr/Mi/Km for CPT - enter the part hours.
 “This is an Extended Coverage CPT or CCR machine”.
Summary of Dealer Reimbursement After the Parts Standard Warranty

The chart below summarizes the reimbursement practices for expenses associated with Extended Coverage CCR
and CPT for Cat Certified Rebuilds after the Parts Standard Warranty period has expired.

Parts Reimbursable at C/L
Service Items Reimbursable at dealer/
aquisition cost, if made
unusable.
Repair Labor Reimbursable at dealer’s
NACD registered selling
labor rate, if purchased.
Parts Salvage Labor Reimbursable at wty
Overtime Labor Rate Not reimbursable.
Shop Supplies Not Reimbursable as an
itemized expense.
Hauling Costs Not reimbursable.
Freight Charges Not reimbursable.
Meals & Lodging Not reimbursable.
6 08.97-00 (08/15)

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Caterpillar: Confidential Green

➤ WtyGuide-129G (03/20) ➤ Indicates change.

CAT, CATERPILLAR, LET’S DO THE WORK,

WARRANTY BULLETIN Global

Media Table of Contents

➤ Table of Contents & Index

Tab 1 - General Section

1.00A-129 (03/20) ➤ Indicates change.

CAT, CATERPILLAR, LET’S DO THE WORK,

1.17 Warranty Administration by

Tab 2 - Machine Section

Tab 3 - Engine Section

3.03 On-Highway Truck Extended Warranty Coverage on Specified Parts

3.04 Other Manufacturer’s Engine Peripheral Components . . . . . . . . . . . . . . . . . . . . . . . . . . 03.04-02

3.07 Caterpillar Electric Power Automatic Transfer Switches (ATS) . . . . . . . . . . . . . . . . . . . . 03.07-08

3.18 Excessive Engine Oil Consumption

3.19 Caterpillar Assembled Power Systems “Packaged Products” . . . . . . . . . . . . . . . . . . . . . 03.19-15

Tab 4 - Parts Section

➤ Tab 5 - Merchandising Programs

1.00A-129 (03/20) 3 ➤ Indicates change.

5.05 Effective for Undercarriage sales on/before 31DEC2018

5.10 Effective for Undercarriage sales on/before 31DEC2018

5.92 C Series Wheel Feller Bunchers Assurance Program . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.92-01

5.93 D Series Wheel Skidders Assurance Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.93-01

5.94 Cat® Photovoltaic Systems PV Panels Assurance Program . . . . . . . . . . . . . . . . . . . . . . 05.94-00

Tab 6 - Americas North Only Vocational On-Highway Truck

➤ Tab 8 - Cat Financial Insurance Services

1.00A-129 (03/20) 5 ➤ Indicates change.

8.05 Engine-Only Equipment Protection Plan (EPP) Mining Products . . . . . . . . . . . . . . . . . . 08.05-01

➤ Indicates change. 6 1.00A-129 (03/20)

WARRANTY BULLETIN Global

What is a Warranty Repair?

• Defective Part - is the Cat part that caused the failure.

Warranty Statement Disclaimer

01.01-03 (08/15) ➤ Indicates change.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

➤ Indicates change. 2 01.01-03 (08/15)

WARRANTY BULLETIN Global

➤ 01.02-21 (05/19) ➤ Indicates change.

Outside Repair Expenses (Sublet)

Component Serial Number

Travel Time & Mileage

Meals & Lodging

Equipment Use Fees

Resold or Transferred Products

➤ Indicates change. 4 01.02-21 (05/19)

WARRANTY BULLETIN Global

Claim Supporting Documentation and

Documentation Required for All Repairs

➤ 01.03-06 (09/15) ➤ Indicates change.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

➤ Indicates change. 2 01.03-06 (09/15)

Additional Documentation Requirements

01.03-06 (09/15) 3 ➤ Indicates change.

➤ Indicates change. 4 01.03-06 (09/15)

WARRANTY BULLETIN Global

Transportation and Importation Charges

➤ 01.04-02 (04/14) ➤ Indicates change.