INDUSTRIAL

APPLICATION and
INSTALLATION GUIDE

TABLE OF CONTENTS
Page
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3
Engine Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Engine Installation Considerations:

Power Transmissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

19

Mounting and Alignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

37

Air Intake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

69

Exhaust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

75

Cooling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

79

Lubrication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

93

Fuel Governing and Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

99

Starting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Instrumentation, Monitoring, and Shutoff . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
Application and Installation Audit Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
Start-Up Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Maintenance and Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
Conversion Tables and Rules of Thumb . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149

2000 Caterpillar Tractor Co.

1

INTRODUCTION
Reliability of machinery is a major factor affecting satisfactory performance. Engines must be properly installed
in an acceptable environment if reliability of each engine
system and the total installation are to be achieved.
The objective of this guide is to outline application and
installation requirements of Caterpillar Diesel Engines
applied in material handling and agricultural applications
and to provide the installer with data needed to complete an installation with satisfactory results.
A layout for engine installation should include space for
connections to functional systems, including ventilation,
and working space or access allowing performance of
repair and scheduled maintenance.
Current technical information for all engines other than
the 3000 Family can be found on-line using the
Technical Marketing Information (TMI) program
(https://tmiweb.cat.com). 3000 Family information is on
CD and can be ordered through the Media Logistics
System asking for LERH9330.
View specification sheets, Product News bulletins, the
3400 Performance and Drawing Book (LEBH9181), and
other industrial engine information including this book
on the Electronic Media Center (EMC). The URL address
is http://emc.cat.com
A complete library of installation drawings for all Caterpillar
Engines is available on CD by ordering LERQ2015.
Subscribers to this library will automatically receive updates four times a year.
The goal of each engine sale should be a good installation
in an appropriate application.

ENGINE SELECTION
Page
General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Power Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Comparison with Experience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Horsepower, Torque, and Machine Productivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Calculated Horsepower Demand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Dynamometer Measured Horsepower Demand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Engine Measured Horsepower Demand. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Torque Rise Effect on Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Response Effect on Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Adequate Machine Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Tolerances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Fuel Heating Value . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Auxiliary Loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
SAE Standard Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Determining Total Power Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Simulating Performance of a Smaller Engine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Life Related to Load Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Engine Ratings and Configurations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Engine Capability Determines Ratings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Power Setting Determines Maximum Fuel Rate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Factors Involved in Establishing a Rating. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Engine Usage Determines Rating Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Engines are Developed for Specific Rating Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Rating Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Continuous Rating Defined . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Intermittent Rating Defined . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Maximum Rating Discussed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Application Ratings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Special Ratings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Altitude Derating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Regulatory Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Homologation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Actual Power Output Derives From Load Demand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Laboratory Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Engine Configuration Variations Provide Rating Range . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Aftercooling Variations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Aftercooling Configurations Versus Ratings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Wiring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Mechanically Governed Engines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Electronically Governed Engines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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ENGINE SELECTION
GENERAL
The purpose of this section is to discuss
power demand, engine ratings, and engine
selection to result in satisfactory machine
performance and engine life.

Horsepower is the time rate of doing work.

Or restated, horsepower is proportional to
the product of torque times rpm. Some basic
relationships are:
TxN
bhp = _____
5252

POWER REQUIREMENTS
Comparison with Past Experience
Before selecting an engine model and rating,
power demand must be analyzed. This task
is simplified if experience is available with
a similar machine powered by an engine of
known rating and fuel rate performance.
This experience provides a basis for deciding
whether the machine was under powered,
correctly powered, or over powered.
Horsepower, Torque, and Machine
Productivity
To better understand torque and horsepower, consider that a very small engine
can provide sufficient torque for a very
large machine, if there is enough speed
reduction. But, although the machine could
have sufficient torque, it would operate at
such a slow speed as to be unproductive.
Productivity of most machines is approximately proportional to horsepower input.

5252 bhp
T = ________
N
33,000 ft-lb
1 hp = _________
min
Where: T = Torque, ft-lb
N = rpm
Calculated Horsepower Demand
An estimate of machine load demand can
be made mathematically, when no actual
machine experience is available to serve
as a baseline of comparison. Using basic
engineering principles on work and energy
and data on the type of task to be accomplished, it is possible to convert all functions of a machine to ft-lb per minute and
then convert to horsepower demand. Mathematical calculation may be the only way
available to estimate power requirements
at the start of a new machine design. Of
course, this approach is accurate only to
the extent that all factors are considered
and assumptions are correct. For certain
applications such as pumps or other continuous loads, where demand is known
quite well, calculated values are quite accurate. In other applications, actual demand
can be significantly different than calculated
levels.

Dynamometer Measured
Horsepower Demand
Actual load demand measurement by
powered dynamometer is the most accurate way to determine power demand of
components or of a total machine. It is recommended that a manufacturer do this to
more accurately determine where power is
being consumed. This can identify a device
or system which is using more power than
it should and is in need of redesign for
improved efficiency. For example, this occasionally happens with hydraulic systems.
However, a dynamometer normally measures only the steady-state power demand.
More sophisticated instrumentation is
required to measure load demand under
dynamic, transient conditions. If this type of
measuring apparatus is available, the dynodriven load must accurately simulate the real
machine operation to yield accurate data.
Estimated h.p. loss due to: 1) torque converter, 2) transmissions, 3) generators, 4)
belt drives, 5) gear reducers.
Engine Measured Horsepower Demand
Usually, the most practical way to assess
power demand, and capability of an engine
to perform adequately, is to make a logical
selection based on calculation or comparison with past experience and test it. There
is no substitute for a rigorous evaluation of
an engine in the machine or application.
This provides the final proof of machine
performance acceptability, or it will identify
shortcomings in need of correction.

Torque Rise % =
(Peak
Torque) (Rated Torque)
__________________________

x 100

Rated Torque
Cat Diesel Engines typically provide high
torque rise to perform well in a wide variety
of applications.
A torque curve is the graphical representation of torque versus speed.
Some modification to a torque curve is
possible in those cases where this is
required to achieve satisfactory machine
performance. Consult your engine supplier
if this need exits.
If torque rise is higher than necessary,
those parts of the machine driveline ahead
of the transmission may be subjected to
torque levels which may shorten the life of
gearing and bearings. For this reason it is
sometimes desirable to let the machine
operator shift to a lower gear to increase
engine speed, instead of always lugging
the engine without a gear change. So, the
decision to use an extra high torque rise
engine must also consider driveline capability. By contrast, an engine with insufficient torque rise will seem weak and may
even stop running before the operator has
time to make a shift change. This is not
acceptable either. The best compromise is
to use enough torque rise to satisfy
machine performance requirements, but
not so much that driveline life becomes
unacceptable.

Torque Rise Effect on Performance

For machines which are capable of lugging
the engine (i.e., applying sufficient load to
pull the engine speed down below rated
speed, at full throttle), it is important to consider two other characteristics of engine
performance. These are torque rise and
response to sudden load change.

Devices such as blowers, pumps, and propellers cannot lug an engine because
power demand drops off much more quickly than engine capability as speed is
reduced. The amount of torque rise available in these applications is generally
meaningless because torque rise is not
required, except as it may contribute to the
ability to accelerate the load.

Response Effect on Performance

Fuel Heating Value

A naturally aspirated engine has the fastest

response to sudden load increase because
required combustion air is immediately
available.

Heating value of the fuel affects power output because fuel is delivered to the engine
on a volumetric basis. Allowance should
be made for a fuel with lower heat content
(higher API than standard) where the
power level is critical. Caterpillar Diesel
ratings are based on use of 35 API fuel
with HHV of 19,590 Btu/lb (45570 kJ/kg) or
138,000 Btu/gal.

A turbocharged engine will not respond

quite as fast because it takes a moment for
the turbo to accelerate upon sudden load
increase. Steady progress in turbocharger
development has produced smaller, faster
responding turbochargers and, therefore,
turbocharged engines which respond quickly to sudden load increase. In a steady load
and speed situation, turbo response is of
no consequence. Air/fuel ratio controllers,
also called smoke limiters, momentarily
limit fuel delivery until sufficient air is available for combustion. They respond to inlet
manifold boost pressure. The air/fuel ratio
setting is a compromise between machine
responsiveness and acceptable level of
transient smoke for a particular application.
Adequate Machine Performance
Manufacturers and customers develop
their own ideas of what constitutes adequate machine performance. Insufficient
power causes low productivity and user
dissatisfaction. Excessive power costs
more to purchase, requires heavier driveline components, and may reduce
machine life if the operator is careless. The
ideal machine is responsive, productive,
and durable, satisfying the owners need
for performance and overall value.
Tolerances
Actual engine horsepower output may vary
by up to 3% from nameplate value on a
new engine. Similarly, where load demand
of some work-producing device is published, the manufacturers tolerance
should be added to demand horsepower if
power needs are to be met in all cases.

Auxiliary Loads
In addition to the main load carried by the
engine, allowance must also be made for
all other engine-driven auxiliary loads. Extra
loads imposed by a cooling fan, alternator,
steering pump, air compressor, and hydraulic
pump may represent a significant proportion of total engine power available.
SAE Standard Conditions
Engine ratings express actual usable power
available under standard SAE (Society of
Automotive Engineers) specified conditions of 29.38 in Hg (99.2 kPa) barometer,
85F (30C). Devices, such as the oil pump,
fuel pump, and jacket water pump, which
are part of a runnable engine, do not subtract from rated power.
Determining Total Power Needs
After establishing main load power demand
and adding all auxiliary power demands,
some additional power should be allowed
for peak loads (such as grades and rough
terrain) and reserve for acceleration.

Simulating Performance
of a Smaller Engine
If a machine is thought to be overpowered
and a change to a smaller engine is being
considered, it is possible to simulate a
lower horsepower engine by resetting the
fuel system on the larger engine to some
lower horsepower. Then, an experienced
operator can fully evaluate machine performance at the lower horsepower. Although
performance will not be exactly the same,
because of greater rotational inertia and
displacement (which both improve ability
to handle sudden load changes), this will
roughly simulate performance to be expected with a smaller engine. This may demonstrate that a smaller engine is a viable possibility which should be tested further. Or,
such testing may show that the lower power
level cannot meet the peak demands satisfactory; that the larger engine will deliver
sufficient performance advantage to justify
its cost.
Life Related to Load Factor
Use of an oversized engine contributes to
longer engine life because it runs at a lower
overall load factor. It also provides quicker
response to sudden load changes. Load
factor is the ratio of average fuel rate to the
maximum fuel rate the engine can deliver
when set at a rating appropriate for a particular application, expressed as a percent.
Fuel usage is a better indicator of engine
life than engine hours.
ENGINE RATINGS AND
CONFIGURATIONS

Engine Capability Determines Ratings

Horsepower rating capability is determined
by engine design. Combined capability and
durability of all engine components determine how much horsepower can be produced successfully in a particular application.
Power Setting Determines Maximum
Fuel Rate
The horsepower output of a basic engine
model can be varied within its design range
by changing the engine fuel setting or speed
setting. Both of these settings affect the
engines maximum fuel rate and, therefore,
the power output capability. Thermal and
mechanical design limits will not be
exceeded, if an appropriate engine and
rating is selected.
Factors Involved in Establishing
a Rating
Some of the application conditions considered by a manufacturer in determining a rating for an application are: load factor, duty
cycle, annual operating hours, and historical experience at a particular rating level.
Engine Usage Determines Rating Validity
A properly maintained engine in actual use
will determine whether or not a particular
rating level is appropriate. Ratings which
are validated by acceptable field experience are retained. Continuing engine
development results in on-going engine
improvement, and some increases in ratings result from this process.

A major concern in applying engines is the

proper application of engine horsepower to
obtain desired performance, economic operation, and satisfactory engine life. Successful
application of engines requires an understanding of how they are rated and how to
properly select and use these ratings.
9

Engines are Developed for Specific

Rating Levels
Engines are designed and developed to
produce specific power levels for particular
applications. Subsequent lab and field
experience confirms the validity of these
ratings. Increasing the engine horsepower
beyond approved levels by increasing the
fuel rate, to compensate for excessive load,
is not an acceptable practice. Excessive
engine wear or damage can result and
could invalidate the warranty. Published
ratings express engine power and speed
capability under specified loading conditions or for specific applications.

range of applications characterized by the

fluctuating load and speed. The majority of
material handling and agricultural applications are in this category.
Maximum Rating Discussed
Maximum rating developed when only naturally aspirated engines were available.
Although this was never intended as a
usable rating, it was used by some as a
point of reference. The actual rating was
sometimes compared with the maximum,
and the difference was somewhat erroneously considered to be a power reserve
or an indication of degree of conservatism
of the rating.

Rating Curves
Consult TMI for Industrial Engine rating
curves which show available ratings at various speeds for each model and configuration. Specification sheets also carry some
of this information, for preliminary sizing
purposes.
Continuous Rating Defined
The CONTINUOUS rating is the power
and speed capability of the engine, which
can be used without interruption or load
cycling. Few industrial or agricultural applications require a rating as low as the continuous rating because load and speed
fluctuation is usually present. However, the
continuous rating will extend engine life
and reliability in any application.
Intermittent Rating Defined
The INTERMITTENT rating is the power and
speed capability of the engine which can be
utilized for about one hour followed by an
hour of operation at or below the continuous
rating. Any rating with the horsepower or
engine speed above the continuous rating
is also considered an intermittent rating.
An intermittent rating, when properly applied,
provides excellent engine life in a broad

10

Today, with turbocharged engines, a maximum rating has even less significance. An
engine can often produce power levels
well beyond approved application ratings;
but, unless the effect of these ratings on
engine life in a particular application is
known, there is no basis for judging conservatism of ratings. Use of maximum ratings
was also encouraged, unfortunately, by
competitive pressures between manufactures trying to extend the apparent capability of their engines. Appropriate Caterpillar
ratings are established for each application
or type of duty. Rely upon these recommendations rather than attempts at comparison with almost meaningless maximum ratings.
Application Ratings
Ratings other than continuous and intermittent are approved for certain specific
applications. Examples of these application
ratings are irrigation pumping continuous,
off-highway truck, and locomotive.

Special Ratings

Homologation

Most engine applications are well understood and utilize one of the above existing
published ratings which have been confirmed by thousands of hours of successful
experience. However, occasionally, a unique
application merits special rating consideration because of unusually low load factor
or unusually short life requirements. In this
case, consult dealer. Factory application
engineers will require that a special rating
request data sheet be submitted for review
before a special rating can be considered
for approval.

Machine manufacturers who plan to export

product to other countries should investigate
the need for homologation (approval) in that
country. This may affect acceptability of
engines, ratings, and other machine features.
Ultimately the end user is responsible to make
sure his engine complies with all regulations.

Altitude Derating
Each model and rating has established
maximum altitude capabilities for lug and
for nonlug applications. For higher altitude
operation, power settings must be reduced
approximately 3% per 1000 ft (305 m) above
the altitude limit for that rating. Diesel
engines do not self-derate enough so that
the fuel setting can be left unchanged. If
they are not reset to appropriate power levels, naturally aspirated engines may smoke
badly and turbocharged engines may suffer
excessive thermal and mechanical loading,
resulting in internal damage, without giving
external indication of distress.
Regulatory Requirements
Regulatory requirements often dictate the
use of specific regulatory agency-approved
rating levels, as required in underground
mining and in mobile industrial equipment
designed to be self-propelled on-highway.
Caterpillar works with certain of these agencies (for example, Mine Safety and Health
Administration [MSHA] and Environmental
Protection Agency [EPA]) to provide preapproved ratings. Compliance with these regulations can make it difficult to get special ratings or to derate the engine.

Actual Power Output Derives

from Load Demand
Regardless of engine rating (power and
speed setting), the actual power developed by an engine derives from the load
imposed by driven equipment. For example, an engine set to produce 500 hp
(373 kW) will actually produce only 40 hp
(30 kW), if the driven load demands only
40 hp (30 kW). For this reason, average fuel
consumption is an indicator of average load
demand. Average fuel consumption is also
used as an indicator of load severity on the
engine by comparing it with maximum fuel
rate associated with the approved rating for
that application. When this ratio is expressed
as a percent, it is called load factor.
Laboratory Testing
Engine ratings are set at levels which provide both satisfactory performance and
engine life. This requires consideration of
many operating variables used to assess
severity of operation on internal engine
parts. To provide data for this purpose, all
engine models are run in the laboratory to
acquire part load data. It shows how each
of the significant operating parameters varies
with load and speed. Measured parameters include turbo speed, exhaust temperature before and after turbocharger, fuel
consumption, boost, smoke level, and fuel
limit setting position. To assure good performance and long life, limits on each of
these parameters are established. These
are run under controlled reference conditions so that valid comparison with other
data and with other ambient conditions can
be made.
11

Engine Configuration Variations

Provide Rating Range
On a given engine model, a horsepower
range capability is created by providing
different engine configurations such as
naturally aspirated, turbocharged, and turbocharged-aftercooled. Internally, these
engines may differ significantly.
Also, Caterpillar offers both direct injected
(DI) and prechamber injected (PC) engines
to provide a more complete product offering. Each system has its own advantage.
Increasing horsepower output by injecting
more fuel requires additional air for complete combustion and internal cooling. This
requires additional mechanical strength of
internal components and additional design
features, such as oil jet cooling for pistons.
In an engine, the mass flow of air supplied
to each cylinder determines the amount of
fuel which can be efficiently burned. But, the
entire engine must be designed for strength
and durability at approved power levels.
The limit on a naturally aspirated engine
horsepower rating is usually the amount of
air available for combustion, because of
exhaust temperature and smoke levels.
Turbocharging, using energy from waste
exhaust gas, provides an efficient means
to increase air flow. Compression of the air
by the turbocharger increases the air temperature. The horsepower rating of a turbocharged engine is usually limited by the
internal temperatures, turbocharger speed,
and structural limits.

12

An aftercooler between the turbocharger and

the engine intake manifold cools the hot
compressed air. Cooling the air increases
its density and allows more air to be
packed into the cylinder and more fuel to
be burned. The rating is typically limited by
internal temperature limits, turbocharged
speed, and structural limits.
Because the effect of turbochargers and
aftercoolers is to provide more air to the
engine, and fuel rate can usually be
increased to use this extra combustion air,
engine component loading or turbo speed
become the limit on rating. Caterpillar Diesel
Engines do not utilize turbos or aftercoolers
as add-ons. Rather, engines are designed
and developed in all aspects for these
higher loading levels. Then they are tested
thoroughly to assure long life and satisfactory performance.
Aftercooling Variations
Engine jacket water is usually used in the
aftercooler to cool the turbocharger-compressed air. This jacket water aftercooled
(JWAC) configuration includes the aftercooler and piping required to flow engine
jacket water through the aftercooler. This
is the most reliable aftercooling system
because it is an integral part of the engine
jacket water circuit and a separate water
pump is not required.
Lower aftercooler water temperatures permit higher engine ratings because cooler,
denser air allows the burning of more fuel
without exceeding exhaust temperature
limits. The use of a separate circuit aftercooled (SCAC) engine configuration
requires a separate source of lower temperature aftercooler water. This is not
practical in most material handling and ag
applications.

Battery Recommendations

Engine

Aftercooling Configurations
Versus Ratings
Depending upon the type of engine configuration, a variety of ratings is available.
Naturally aspirated (NA) engines have the
lowest ratings. Turbocharged (T) configurations are next, and ratings are higher
with various types of turbocharged aftercooled (TA) engines. The jacket water
aftercooled (JWAC) system is based on
175F (80C) average temperature water
to the aftercooler, while a higher rating is
possible by the use of separate circuit
water to the aftercooler. For example, a
rating designated SCAC 85F (30C)
would require 85F (30C) water at appropriate flow required for a particular model.
(See TIF for flow requirements.)

System
Voltage

Cold Cranking Amperes 18C

0C & Up 18 1C

32 19C

3406

12
24
30/32

1740
800
800

1800
870
870

2000
1000
870

3408/3412

24
30/32

870
870

1000
870

1260
1260

Electronically Governed Engines

In addition to the same starter and alternator considerations for mechanical governed engines, electronically governed
engines have additional electronic/electrical considerations. These additional considerations involve electrical/control, display, sensors external to the engine, power
supply to the engine/display electronics,
grounding, and finally customer parameter
programming via service tool. Considering
the following will help prevent potential
wiring/electrical installation problems.

WIRING
Mechanically Governed Engines
Because of the variety of attachments and
starter/alternator combinations available, it
is difficult to generalize, other than to refer
to wiring schematics and installation guides
for any given attachments. One word of
caution would be to consider ambient temperature, engine size, and primary battery
cable length recommendations given in
Application and Installation manuals when
specing starting circuit components. Cable
recommendations are as follows:
Total Cable Length
Cable Size
awg

12V m

24-32V m

1.22

4.57

00

1.52

5.49

000

1.83

6.40

0000

2.29

8.24

1. Electronic capability, equipment, and

features change rapidly, so consult the
most recent engine wiring schematics
and installation guides available before engine installation.
2. Do NOT modify or splice into the onengine wiring harness that comes with
the engine from the factory. Communicate with the engine only through the
40-pin customer connector (usually
identified on wiring schematics as
J3/P3).
3. Switching circuits and grounds for
electronic components (engine ECM,
displays) are very critical. An AWG 4
ground wire from the engine ground
stud (located on the customer connector mounting bracket) to the battery negative buss must be installed.
Ground paths through machine frames
are NOT permitted

13

4. Other battery positive and negative

control wiring should be with AWG 14
wire.
5. All other engine, display, sensor, and
data link wiring can be accommodated
by AWG 16.
6. All circuits for engine related power,
control and displays must be dedicated
to engine functions (isolated from other
machine electrical/electronic functions)
to minimize the risk of introducing
electrical noise into engine related
circuits. For example do not operate a
machine control solenoid from power
or ground wires also serving engine
electronics.
7. All wire insulation outside diameter
must be 2.2 to 3.4 mm to facilitate
adequate environmental sealing when
used with Deutsch connectors.
8. Any unused Deutsch connector wire
location MUST have an 8T-8737 sealing plug installed for environmental
sealing.
9. Any wire bundle exiting a Deutsch
connector must have at least twice
the bundle diameter as a bend radius
if a bend is necessary. This is to avoid
excessive stress on the back-side
Deutsch connector environmental
seals. A minimum straight length of
25 mm is recommended for wires
exiting a Deutsch connector.
10. Do not paint Deutsch connectors.
Paint will wick into the mating connector components and prevent easy
future disassembly if required.
11. The recommended master disconnect
switch is between the engine ECM
power/start switch and the unswitched
power connection to the engine ECM.

14

12. J1587 (ATA) and CAT Data Link (CDL)

positive and negative leads must be
unshielded twisted pairs (1 twist per
25 mm) within each data link (not
combined). These leads must NOT be
installed in a metal conduit, because
the conduit acts as a shield.
13. The J1939 (CAN) data link MUST be
shielded and its positive and negative
leads must be twisted (1 twist per
25 mm). Consult the engines wiring
schematic for proper routing of the wire
shield. Extended wire end Deutsch pins
and sockets are available to facilitate
shield routing through Deutsch connectors (133-0967 & 133-0969).
14. All wire bundles must be adequately
protected from accidental damage
(stepping, dropping hard objects,
pinch points, or grabbing).
15. The only electrical connections (not
considering the starter circuit) required
to allow an electronic engine to start
and achieve low idle are all positive
and negative battery connections to
the engine ECM. It may be advantageous for the initial start-up of a new
machine powered by an electronic
engine to start with the basic positive
and negative battery circuits for the
initial start, then connect one circuit
at a time to the customer connector to
validate each circuit (one at a time).
16. Caterpillar electronic engines leave the
factory with all customer programmable parameters/features programmed
to default values. Consult the most current version of the Electronic Application
and Installation Guide (SENR1025) for
default and parameter/feature ranges/
options. To change any customer
parameter, an electronic engine service tool is required. Currently the
Electronic Technician (ET) and the
Electronic Computer Analyzer Programmer (ECAP) are the only two

industrial electronic engine service tools

supported by Caterpillar. All Caterpillar
industrial engines have a service tool connection as part of the on-engine wire harness. The service tool connector is located
on the customer interface connector
(J3/P3) mounting bracket.
17. A Caterpillar electronic engine installation audit checklist is included in
this manual on page 137.
18. Caterpillar also provides detailed
electronic troubleshooting manuals.
Contact your servicing CAT dealer or
Factory contact for this appropriate
electronic engine manual. This manual MUST be used in any electronic
diagnostic troubleshooting journey for
a comprehensive orderly diagnostic
journey.
19. Caterpillar currently has an industrial
electronic engine display attachment.
This display is referred to as an
Electronic Monitoring System (EMS).
The EMS consists of three separate
units: a main unit (warning lamps and
scrollable parameter window), a tachometer unit (engine speed), and a quad
gauge unit (oil pressure, water temperature, battery voltage, and fuel
transfer pump pressure). If any of the
display units are used, the main unit
must be used (it decodes the CDL
data link information for itself and the
other two units). The tachometer and
quad gauge units are optional. Multiple
display units can be used, and a maximum total wire length of 33 meters is
suggested. Refer to the engine wiring
schematics or EMS wiring schematic
(148-5625) for proper wiring and feature implementation. The EMS requires
24V for operation even though the
engine ECM may operate on 12V
power. A 12V to 24V converter is
available (127-8853). Caterpillar has
available an EMS interconnect harness (160-1050) if more than the
main unit is utilized.

20. The most up-to-date indications of

electronic features available can be
found by referring to the customer
connector (J3/P3) pin-out descriptions given on the industrial engine
wiring schematic. Please note that
customer connector pin-outs HAVE
minor differences between industrial
inline six cylinder and vee engines,
and possibly major differences between
on-highway truck, marine, machine
and EPG applications. So, while an
electronic capability might be similar
to another non-industrial application,
the capability probably will NOT be
identical (e.g. cruise control for onhighway vs. PTO mode for industrial
cruise control operates on vehicle
ground speed, PTO operates
on engine speed). Please refer
to the most current version of
SENR1025 for the latest
industrial electronic descriptions.
21. Please be aware that the service tool
will not allow anyone the capability of
damaging the engine by features activated or operational limits selected.
The OEM has the ability to select any
rating available (A E tier) contained
within the personality flash file without factory passwords for any given
family of industrial iron. It IS the responsibility of the OEM or engine selling
dealer to make sure the appropriate
tier rating for the application is selected. If an OEM or customer arbitrarily
selects a higher rating, drive train
damage or reduced engine time to
overhaul could result. If drive train
damage occurs because of misapplied rating, Caterpillar is NOT responsible for drive train damage. OEMs
have the option of locking out critical
parameters to prevent tampering
e.g. rating. If a parameter is locked
out, factory passwords are required
to unlock the parameter.

15

Safety
Every machine manufacturer is concerned about the safety of those who will own,
operate, or be near any machine. The following suggestions/considerations
may help minimize the risk of injury:
Acknowledge
1.

Guard or shield all rotating exposed components

(e.g. fans, belt drives, drive shafts).

____

2.

Locate the fuel filler where it is convenient for service and will not allow
spilling of fuel on the engine, even by a careless operator. Make sure the
fuel tank is vented and contains enough expansion volume to allow fuel
expansion as it warms.

____

3.

Route, enclose, and clip all electrical wires to avoid wearing through
the insulation and causing an electrical short. Also route wiring away
from hot components.

____

4.

Guard hot parts (exhaust manifold, water lines, air lines from the turbocharger
(air-to-air aftercooling systems)) to help prevent contact by the operator unless
the component is adequately surrounded by machine features to prevent
accidental contact.

____

5.

Route, clip, and guard hydraulic/fuel lines and hoses away from sharp
edges, hot engine components, and pinch points to avoid damage.
Supplementary shielding may be necessary.

____

6.

Install a fire extinguisher on the machine for quick access in the case of
an emergency.

____

7.

Provide instruction and warning labels where needed to inform the

operator against improper actions.

____

8.

Factory supplied engine operation and maintenance literature must be

available to the owner/operator of the machine.

____

9.

Consider means for locking open inspection doors, shields, and guards.
to avoid accidental closure.

____

10. Consider non-slip steps and grab handles for routine inspections,
especially for radiator coolant level/fill checks.

16

____

Application/Engine: Industrial S/N Prefixes:

2AW1 UP .....3176C
1DW1 UP .....3196
3LW1 UP ......3456
7PR1 UP ......3408E

6BR1 UP .....3406E
4CR1 UP .....3412E

General Wiring Considerations: (Ref. SENR1025) read before audit

Special note: pg. 17 voltage thresholds; pg. 32 sensor return; pg. 25 welding
(SENR1025-03; Jun 98)

Acknowledge

1.

Caterpillar does not accept warranty responsibilities for customer wiring.

____

2.

An AWG 4 wire must be installed between the ground lug on the J3/P3
mounting bracket and the battery negative buss. Using a frame member
as a ground conductor is not acceptable for engine electronics.

____

3.

A maximum of three terminal lugs per any single electrical lug recommended.

____

4.

Wire insulation outside diameter is 2.2 3.4 mm when used with Deutsch
connectors. This assures proper environmental sealing.

____

5.

Allen head bolt lock torque on Deutsch connectors = 2.26 Nm.

____

6.

8T-8737 sealing plugs must be installed in every unused Deutsch connector

pin location.

____

7.

Every wire exiting a Deutsch connector must withstand a 45 N pull test.

____

8.

Wire bundle exiting Deutsch connectors should have a minimum bend radius
of 2X bundle diameter, and 25 mm straight before bend starts.

____

9.

Deutsch connector back seals are not stressed allowing moisture entry.

____

10. All wires bundled, secured, and protected from accidental damage
(stepping, dropping hard objects, pinch points, grabbing).

____

11. All electronic features utilized by the customer have been demonstrated.

____

12. Deutsch connectors are not painted. Paint will wick and impair serviceability.

____

13. Logged faults caused by installation audit activity cleared, and any other logged
faults corrected and cleared.

____

14. Customer instructed on how operational and configuration checks can be

made before shipment to end user, so consistent engine operation is insured
for a given application.

____

15. No modifications to on-engine wire harness permitted.

____

16. Suggested battery master disconnect is between engine pwr/start switch and
ECM unswitched positive battery junction. If master disconnect is located in
the battery negative cable, the last hour of ECM job data will be lost (sw opened).

____

17. The J1587 data link (143-5018) must be unshielded twisted pair (1 twist/25 mm).

____

18. The CDL data link (143-5018) must be unshielded twisted pair (1 twist/25 mm).

____

19. The J1939 data link (153-2707) must be shielded twisted pair (1 twist/25 mm).

____

17

Application/Engine: Industrial All Engines with Cat Data Link

Engine Monitoring System (EMS) Considerations:

Acknowledge

1.

Reference EMS wiring schematic 148-5625 for wiring instruction.

____

2.

If display option is utilized, EMS main unit must be used. Other two units of
EMS display (quad gauge, tach) are optional.

____

3.

Caterpillar interconnect harness between EMS units is available (160-1050) used? ____

4.

If auxiliary temperature and pressure sensors are utilized, trip points must be
programmed via, ET for enunciation on the main EMS unit.

____

5.

EMS requires 24V supply. If 12V electrics are utilized, install a 127-8853 converter.
Is a jumper wire across the negative battery in and out terminals on the converter
in place?

____

6.

Caterpillar does not supply engine to EMS wire harness.

____

7.

Wire size for EMS = (+) & () BAT.14AWG; ALL OTHER 16AWG dedicated to
CAT electronics only (other machine functions not permitted).

____

8.

Battery positive supply must be 5A circuit breaker protected (single unit).

____

9.

Multiple EMS display stations are permitted. Ref. page 59 in SENR1025-03 or

LEXH6427 (Product News) for details (NON-shielded data link wire required).

____

10. Total length of CAT data link cable should not exceed 33 m.

____

11. Cat data link cable must be a twisted pair (1/25 mm) non-shielded.

____

REF. SENR1025 (change level 03 dated June 98) Electronic A&I Guide
SENR1073 (change level 01 dated February 98) 6 Cyl Troubleshooting
SENR1065 (change level 01 dated March 98) 8 & 12 Cyl Troubleshooting
LEXH7530 (change level 00 dated 1997) EMS Operators Guide
LEXH6427 (dated Nov. 1996) Engine Monitoring System (EMS) for Caterpillar
Industrial Engines

18

POWER TRANSMISSIONS
Page
General Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20

Clutches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20

General Description and Selection Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Engine-Mounted Enclosed Clutches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Light-Duty (LD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Normal-Duty (ND) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Heavy-Duty (HD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Extra Heavy-Duty (EHD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Typical Light-Duty (LD) Clutch Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Typical Normal-Duty (ND) Clutch Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Typical Heavy-Duty (HD) Clutch Applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Typical Extra Heavy-Duty (EHD) Clutch Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Automotive-Type Clutches. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Air Clutches. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Centrifugal Clutches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20
21
21
21
21
22
22
22
22
22
23
24
25

Transmissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25

Mechanical Transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Automatic, Semiautomatic, and Preselector-Type Transmissions . . . . . . . . . . . . . . . . . . . . .
Speed Increasers/Reducers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Compounds. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Stub Shafts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Hydraulic Drives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Fluid (Hydraulic) Couplings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Torque Converters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Single-Stage Torque Converters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Multistage Torque Converters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Special Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Side Loading. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Overhung Power Transmission Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Wet Flywheel Housings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

26
26
28
28
29
30
30
30
32
32
32
32
33
34

Couplings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

34

Misalignment Capability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Stiffness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Serviceability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Coupling Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

35
35
35
36

Auxiliary Drives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

36

Gear Drives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Belt Drives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Crankshaft Pulleys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Gear Drive Pulleys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

19

POWER TRANSMISSIONS
GENERAL CONSIDERATIONS
The first decision in designing an engine
installation is selection of the coupling and
drive method to connect the engine to the
driven equipment.
The coupling and drive selection connections are closely related to the proper
selection of engine support and mounting. This ensures a successful troublefree installation from the standpoint of
both the engine and driven equipment,
as well as the power transmission components. (Refer to Mounting and
Alignment section.)

Piston-type pumps, most compressors,

belt- and chain-driven equipment, and all
mobile vehicles will require an engine disconnect system.

Drive components which utilize universal

joints, drive shafts or belts, and chaintype drives permit slightly greater alignment deviations.

The engine disconnect feature provides an

important safety and service function. It permits rotating the engine for service and
adjustment, as well as servicing the driven
equipment without disconnecting the drivetrain. It also permits engine warm up before
applying load an accepted requirement
for extended engine life. On multiple
engine installations driving into a common
compound or driven machine, it permits
operating at less than full power level if
desired, as well as at partial power should
one engine be down for routine service or
because of failure.

When selecting the power transmission

system, the possible need for a complete torsional analysis must be considered. System incompatibility will result in
premature and/or avoidable failures.
(Refer to Mounting and Alignment section, Page 33, Torsional.)

Numerous devices are available for connection or engagement of the engine to

the driven machine. The device selection
will depend on the desired engagement
function; however, several general considerations must be made regardless of the
device selected.

A rigid precision-type mounting system

must be provided for both the engine
and driven equipment if a solid or nearly
solid driveline is utilized.

CLUTCHES
General Description and Selection
Considerations
Engine starting capability is normally limited and the direct connection of large mass
driven equipment makes starting difficult
or impossible, therefore, a type of clutch or
disconnect device may not only be desirable but necessary.

20

Exceptions, if properly sized to the engine

starting capability, may be centrifugal
pumps, fans or propellers, and generators
which provide a direct connected load with
a low starting torque requirement. Certain
compressors which utilize a starting unloading device may also be direct connected.

The selected device must have adequate

capacity to transmit the maximum engine
torque to the driven equipment. With the
exception of dog-type clutches, which are
generally not acceptable on material handling equipment, clutches rely on friction
for power transmission.
(Dog-type clutches provide a direct mechanical connection and cannot be engaged
during operation nor do they have any
modulating [slipping] capability.)

Engine-Mounted Enclosed Clutches

Light-Duty (LD)

Caterpillar offers, as price list attachments,

a wide selection of power takeoff -type
enclosed clutches suitable for most industrial-type applications.

A light-duty clutch is used primarily to disconnect and pick up light inertia loads, but
does more work during engagement than
cut-off duty.

These clutches (power takeoffs) will be covered in greater detail under the following
classifications (clutch rating definitions), as
well as the specific selection considerations
for the type of clutch and application.

A light-duty clutch should engage within

two seconds, start the load less than six
times per hour, and never heat the pressure plate outer surface above hand holding temperature.
Example: Disconnect clutch between engine
and hydraulic torque converter with engine
above low idle when engaging clutch, as in
power shovel master clutch, generator, or
similar drives.
Normal-Duty (ND)
A normal-duty clutch is used to start inertia
loads with frequencies up to 30 engagements per hour. More important is that the
clutch can start the heaviest inertia load
within three seconds, and that the product
of seconds of clutch slip per engagement
times number of engagements per hour be
under 90.

Figure 1

ENGINE MOUNTED ENCLOSED CLUTCH

Enclosed clutch selection for either rear or

front engine mounting must be made in
accordance with the Horsepower Absorption
Capability.
The following rating definitions are applicable to clutch arrangements offered by
Caterpillar.

A normal-duty application may raise the

outer clutch surface temperature to under
100F (37.8C) rise above ambient air
temperature.
Example: Power takeoff starting average
inertia loads where starting load is 40% of
the running load.
Heavy-Duty (HD)
A heavy-duty clutch is used to start inertia
loads with frequencies up to 60 engagements per hour. More important is that the
clutch can start the heaviest inertia loads
within four seconds, and that the product
of seconds of clutch slip per engagement
times number of engagements per hour be
under 180.
21

Heavy-duty applications may raise the

clutch outer surface temperature to a maximum of 150F (65.6C ) rise above ambient air temperature.
Example: Power takeoff starting average
inertia loads whose starting load is 80% of
the running load. Also, rock crusher applications where the clutch is not used to
break loose jammed loads.
Extra Heavy-Duty (EHD)
An extra heavy-duty clutch is used to start
inertia loads requiring over four seconds to
start the heaviest load, with longest slip period per engagement not exceeding 10 seconds. Also, when the product of seconds of
clutch slip per engagement times number of
engagements per hour exceeds 180, it is
beyond extra heavy-duty. Contact your
Caterpillar dealer for application approval
of extra heavy-duty-type service.
Example: Power takeoff starting inertia
loads whose starting load approaches or
exceeds the running load.
Typical Light-Duty (LD)
Clutch Applications
A. Agitators pure liquids.
B. Cookers cereal.
C. Elevators, bucket uniform loads,
all types.
D. Feeders disc-type.
E. Kettle brew.
F. Line shafts light-duty.
G. Machines, general all types with
uniform loads, nonreversing.
H. Pumps centrifugal.

22

Typical Normal-Duty (ND)

Clutch Applications
A. Agitators solid or semisolids.
B. Batchers textile.
C. Blowers and fans centrifugal
and lobe.
D. Bottling machines.
E. Compressors all centrifugal
and lobe-type.
F. Elevators, bucket uniformly
loaded or fed.
G. Feeders apron, belt, screw, or vane.
H. Filling machine can type.
I. Mixers continuous.
J. Pumps three or more cylinders;
gear- or rotary-type.
K. Conveyor uniform load.
Typical Heavy-Duty (HD)
Clutch Applications
A. Cranes and hoist working clutch.
B. Crushers ore and stone.
C. Drums braking.
D. Compressors lobe rotary plus three
or more cylinder reciprocating-type.
E. Haulers car puller and barge-type.
F. Mills ball-type.
G. Paper mill machinery except
calenders and driers.
H. Presses brick and clay.
I. Pumps one- and two-cylinder
reciprocating-type.
J. Mud pumps one- and two-cylinder
reciprocating-type.
Typical Extra Heavy-Duty (EHD)
Clutch Applications
A. Compressors one- and two-cylinder reciprocating-type.
B. Calenders and driers paper mill.
C. Mills hammer-type.
D. Shaker reciprocating-type.

Once all machine parameters have been

established, contact your Caterpillar dealer
for selection assistance.
Automotive-Type Clutches
Also known as diaphram or spring-loadedtype clutches, this category is generally a
light-duty classification; it is normally used
in strictly mobile applications, such as onhighway trucks or higher speed mobile
machines, which utilize a multispeed transmission. The automotive-type clutch is
normally foot-operated for disengagement
or is engaged with the friction being generated by spring force acting on an enginedriven plate.

Although this type of clutch is not a

Caterpillar price list attachment, on the
smaller engine families, there is offered a
selection of flywheels to accommodate the
more common commercial models offered
by a number of manufacturers.
If the machine design requires this type of
clutch, the package designer and installer
should work very closely with the clutch
manufacturer to ensure proper selection.
CAUTION: THIS TYPE OF CLUTCH, DUE
TO ITS INHERENT TORQUE CAPACITY
LIMITATIONS, SHOULD NOT BE USED
WITH THE LARGER 3500 FAMILY
CATERPILLAR ENGINES.

Figure 2

SPRING-LOADED AUTOMOTIVE TYPE CLUTCH

23

Air Clutches
Air-type clutches are commercially available in sizes to fit the entire Caterpillar
Diesel Engine line. Basically, engagement
friction is maintained by air pressure. This
feature is particularly advantageous when
remote control of the engagement/disengagement functions is required.
Air clutches utilize an expanding air bladder for the clutch element. (See Figure 3.)

the output shaft must be supported by two

support bearings. These bearings must be
mounted on a common base with the engine
package. Air pressure to operate the clutch
is supplied by an air connection through the
drilled passage in the output shaft. Clutch
alignment tolerances are reduced as air
pressure to the clutch increases.
Caterpillar does not offer air clutches on an
attachment basis. When selecting an air
clutch, the package designer/installer must
work closely with the clutch manufacturer.

Air clutches do not normally have side load

capability, so if such capability is required,

Figure 3

AIR CLUTCH

24

Centrifugal Clutches

TRANSMISSIONS

Centrifugal clutches are commercially available in sizes to fit the entire Caterpillar
Diesel Engine line. The centrifugal clutch
accomplishes the engagement/disengagement functions by centrifugal force which is
generated by the engine operating speed. It
provides a power engagement/disengagement function controlled strictly by the
engine governor speed control (throttle).

Over the years rapid technological advances have enabled numerous commercial
manufacturers to offer a broad range of
transmissions with nearly unlimited features and options.

Centrifugal clutches offer smooth automatic engagement of load without complicated

controls. Typically, a diesel engine with a
full load operating speed of 1800 rpm will
be fitted with a centrifugal clutch which
effects engagement at a speed of about
1000 engine rpm. Once engaged, most
clutches of this type will remain engaged
even if the engine speed is pulled down
due to load as low as the engagement
speed (i.e., 1000 rpm) or lower (e.g., disengagement at 800 rpm). If the load is
such that engine stall speed is
approached, the clutch will disengage.
Centrifugal clutches are not offered by
Caterpillar as standard price list attachments. As with the air-type clutches, they
have limited or no side load capability and
for other than in-line drive loads, a separately supported output shaft with two support bearings must be provided and must
be mounted on a common base with the
engine package.
When selecting a centrifugal clutch, the package designer/installer must work closely with
the clutch manufacturer.

For this discussion transmissions will be

divided into three broad classifications all
of which transmit power through sets of
mechanical gears, either spur or helical
types, or planetary designs. Where multispeed capability is provided, it is accomplished either mechanically or automatically (hydraulically, pneumatically, etc.).
Due to the large number of transmissions
commercially available and the fact that
Caterpillar does not offer transmissions (with
the exception of marine transmissions
single speed forward/reverse functions)
as price list attachments, the transmission
discussion will be restricted to general operating principles and considerations.
When selecting a transmission, the package designer must work closely with the
transmission manufacturer.
CAUTION: REGARDLESS OF THE TYPE
OR BRAND OF TRANSMISSION SELECTED, THE DESIGNER MUST ENSURE
THAT IT HAS THE CORRECT HORSEPOWER, TORQUE, AND SPEED CAPABILITY TO MATCH THE DIESEL ENGINE
PERFORMANCE CHARACTERISTICS.

25

Mechanical Transmission
The mechanical transmission provides the
lowest cost method of providing multiple
output speeds when the driven equipment
input speed range or torque requirements
exceed the operating capability of the diesel
engine. Mechanical transmissions are usually equipped with some type of clutch
assembly to facilitate not only engine starting but also to change gear ratios.

Figure 4

MECHANICAL TRANSMISSION

This type of transmission is applicable to

both semimobile and mobile installations
where the momentary loss of power to the
driven equipment when gear changes are
effected does not pose operating problems.
Generally, the mechanical transmission is
employed when the gear speed change
requirements are not a constant requirement and the speed shifts do not have to
be executed rapidly.
Todays modern mechanical transmission,
when properly matched to the engine-driven equipment, will provide reliable trouble-free service. Frequent gear changes,
however, will accelerate clutch wear and
maintenance costs.
Installation is simplified since mechanical
transmissions do not normally require oil
cooling systems as do the automatic type.

26

Automatic, Semiautomatic, and

Preselector-Type Transmissions
As the names imply, these transmission
types effect the gear changes either completely automatically or as predetermined
by the machine operator.
Engine power engagement/disengagement
clutching is normally fully automatic and
does not require the machine operator to
physically move a clutch pedal or lever. For
disengagement the operator need only
move the selector lever to a neutral position.
As with the mechanical transmission, the
automatic type must be carefully matched
to the engine operating horsepower, torque,
and speed characteristics. However, with
the automatic types, additional match consideration may be required since they normally utilize a torque converter, hydraulic
coupling, or other type of nonmechanical
engagement device for the power engagement/disengagement function. This is nearly always accomplished hydraulically.
The automatic-type transmissions provide
operator ease of machine operation, as
well as a nearly constant power flow to the
driven equipment during gear changes.
A number of commercial manufacturers
offer a wide range of automatic-type transmission. The package designer/installer
must work closely with the transmission
supplier to ensure the transmission properly matches the machine application and
provides the desired operating features.
Some automatic transmission designs utilize a lockup feature. This device, in effect,
turns the transmission into a direct
mechanical drive to eliminate the inherent
inefficiencies of the hydraulic clutching
device.

Figure 5

AUTOMATIC TRANSMISSIONS

Generally, the higher cost of an automatic

transmission can be justified with a machine
requiring high productivity and frequent load
cycle changes.
When using automatic-type transmissions,
other installation considerations are required
since most types require a system to cool
the transmission oil. Caterpillar offers jacket water connections to supply cooling
water to customer or transmission manufacturer-supplied heat exchangers.
Also offered are complete heat exchanger
packages, but care must be exercised to
ensure that the Caterpillar system is capable of handling the transmission heat rejection. The cooling system capacity of the systems offered by Caterpillar can be obtained
from your Caterpillar dealer and is in the
Owners Maintenance Manual.

27

Speed Increasers/Reducers

Compounds

These power transmission devices resemble a mechanical transmission in that

power is normally transmitted through a
mechanical gear set of spur or helical
gears. They are used when the engine
speed range is not compatible with the driven equipment input speed requirements
and when the installation is best suited to
an in-line drive arrangement rather than
the offset belt of chain drive systems.

Although infrequently found in material handling/agriculture applications, specific designs may require an engine compound.

Figure 6

Basically, a compound is an enclosed gear or

chain device which permits several engines
to provide input power with the power output coming from one or more shafts.
Compounds providing a single engine input
and multiple outputs is most common. An
example would be a hydrostatic machine
where a single engine provides power to
multiple hydraulic pumps when separate
pumps are used for the various functional
drives of the machine.

SPEED REDUCER

Speed increasers/reducers generally utilize a mechanical cutoff clutch for engine

starting and are usually of a single-speed,
nonreversing design, although exceptions
to the above do exist. They seldom exceed
two speed ratios.
Speed increasers/reducers are available for
either direct engine mounting or for remote
mounting. The remote-mounted type should
be on a rigid common base with the engine
for ease of alignment.
Caterpillar does not offer speed increasers/
reducers as price list attachments. The package designer/installer must work closely
with the commercial gear supplier to ensure
proper selection and installation.

Figure 7

MULTIPLE PUMP DRIVE

Multiple engine compounds can be used in

applications where less than the installed
horsepower capability is occasionally
called upon for part load operation of the
driven machine.
When part load operation is adequate, the
excess capability can be removed by
declutching engines, reducing overall
operating costs and maintenance.

28

Caterpillar does not offer compounds as

standard price list attachments, however, a
number of commercial manufacturers offer
a variety of different compounds.

Figure 8

The package designer/installer must work

closely with the compound manufacturer
to ensure proper selection and installation.

MULTIPLE ENGINE COMPOUND DRIVE

Stub Shafts
Where the application permits, a stub shaft
will provide a low cost, simple method of
direct power transmission.

Caterpillar offers, as standard price list

attachments, stub shafts for mounting on
both the front and rear of the engine crankshaft.
Stub shaft drives must not be used when
the starting load of the driven equipment is
sufficient to impair engine starting unless a
declutching or unloading device is utilized.
Stub shafts also have limited side load
capability.
Complete details on the physical size, as
well as the power transmission and side
load capability of the Caterpillar-supplied
stub shafts, are available from your
Caterpillar dealer.

Figure 9

FRONT MOUNTED STUB SHAFT

29

Hydraulic Drives
Hydraulic drive devices generally fall into
two major classifications: fluid or hydraulic
couplings and torque converters.
The theory involved is similar in all types of
hydraulic drives although the internal
design may vary. Basically, the engine output is absorbed by a turbine-type pump.
The oil or fluid in the pump housing is accelerated outward, and the engine power is
transmitted to the outer edge of the pump
as kinetic energy in the form of high velocity fluid. This energy is then transferred
back towards the center of the output
shaft. This is where the differences occur
between a hydraulic or fluid coupling and a
torque converter.
Fluid (Hydraulic) Couplings
In the fluid couplings, the high velocity fluid
is directed into a matching turbine located
very close to the turbine-type pump which
is engine driven. The matching turbine
absorbs the energy as the fluid is directed
back toward the center of the coupling and
the energy is delivered to the output shaft.

The primary advantage of a hydraulic coupling is the total lack of a mechanical connection between the driving engine and the
driven equipment.
This isolates or greatly reduces the transfer
of mechanical shocks, vibration, and undesirable torsional effects between the driven
load and the engine.
A hydraulic coupling will prevent engine stall
under load; however, the engine can be
pulled down in speed by varying degrees
depending on the hydraulic coupling fluid
cooling capacity. It also permits starting high
inertia-driven loads without the use of a cutoff clutch.
The main disadvantages of a hydraulic coupling are the reduced efficiency over a
mechanically coupled drive and its inability
to generate a torque multiplication as is
possible with a torque converter.
Normally, hydraulic couplings are best suited to applications which are constant speed
applications where the slip capability is
desirable to compensate for shock loads,
overloads, high inertia load startups, and
assist in torsional vibration reduction.
Torque Converters
As with hydraulic couplings, torque converters differ considerably in internal construction and refinement but can generally be
placed in two classifications: single-stage
and multistage. These differences will be
expanded later in this section.

Figure 10

HYDRAULIC COUPLING

The output torque will always equal the input

torque less internal friction losses which will
be observed as a lower output speed (rpm)
than the input speed (engine rpm).

30

The torque converter differs from the

hydraulic coupling in that one or more third
members, called stators or turbine reactors,
are utilized in addition to the input pump and
the output turbine. These stators or reactor
members are imposed in the fluid flow path

in such a manner as to produce a multiplication of the input torque to the output shaft
at reduced output speeds (rpm).

Figure 11

TORQUE CONVERTER

The maximum torque is transmitted to the

output shaft (driven equipment) at stall condition (output shaft is not rotating) when it
will equal from 1.6 to more than 6.0 times the
converter input torque (engine output torque)
value. When operating at full rated engine
speed, with the imposed load at a level
which permits the output speed to be close
to the engine speed, the torque converter
acts in principle like a hydraulic coupling.

Figure 12

The necessity of matching a torque converter to the engine cannot be overemphasized. An improperly sized converter, one
with the wrong blading or one which operates in a highly inefficient speed range, will
prove unsatisfactory. An improperly matched
torque converter can result in engine overload, high inefficiency, high fuel consumption, poor engine response, and other
undesirable results.
The torque converter manufacturer generally has computer programs which, when
coupled to the performance characteristics
of the engine, can ensure a correct match
for any installation/application. Most converter manufacturers have performance
data on the Caterpillar Diesel Engine models or data can be obtained from your
Caterpillar dealer. This data is covered in
the Caterpillar Technical Information File
(TIF). Performance data for nonstandard
ratings is also available from your
Caterpillar dealer.

TORQUE CONVERTERS

31

Additionally, cooling of the torque converter fluid is required. Torque converter cooling must be provided for the equivalent of
at least 30% of the total engine heat rejection when using a precombustion chamber-type engine. When using a direct injection-type engine, torque converter cooling
must be provided for the equivalent of at
least 50% of the total engine heat rejection.
Caterpillar offers, as price list attachments,
either jacket water connections for heat
exchanger-type coolers or, on the 3200,
3300, and 3400 Series Engines, complete
heat exchanger cooling packages.
It is imperative that the cooling package be
of adequate capacity. The capacity of
Caterpillar-supplied cooling systems can
be obtained from your Caterpillar dealer.
Most commercially available converters
are also offered with attachment cooling
packages.
If the engine cooling system is used to cool
the torque converter, adequate reserve
radiator capacity must be provided. (Refer
to Cooling section.)

Multistage Torque Converters

Most applications will utilize a multistage
converter. They provide a broader usable
range and higher torque multiplication value
than single-stage converters.
Torque converter manufacturers provide
excellent manuals and assistance in the
selection of the correct converter for a specific application. Consequently, rather than
elaborating on selection guidelines in this
publication, it is suggested that the package designer/installer counsel with the converter manufacturer for expert advice.
In addition to offering the same benefits as
a hydraulic drive, the torque converter also
offers a torque multiplication benefit as
well as, if properly matched, higher power
transmission efficiency. The multistage
converter is particularly preferred for variable output speed applications.
As standard price list attachments,
Caterpillar offers flywheels to couple to
most commercial torque converters and
hydraulic drives.
Special Considerations

Single-Stage Torque Converters

This type of converter is normally selected
for light-duty applications. It has a decreasing torque absorption curve as the output
speed approaches stall condition and will
not pull down the engine input speed (lug
the engine).

With the selection of any of the above

methods of power transmission, several
general areas must also be given special
consideration to ensure a successful
installation.
Side Loading
Excessive side loading is one of the most
commonly encountered problems in the
transmission of engine power.
It is impossible to overemphasize the need
for accurate evaluation of side load imposition on all types of power transmission
devices.

32

For Caterpillar-supplied attachment power

takeoffs, the Caterpillar Industrial Engine
Price List LEKI8162 provides complete
instructions and capacity data for side load
evaluation.
For power transmission devices supplied by
others, the manufacturer must be consulted
for a capability analysis of his equipment.
Overhung Power Transmission
Equipment
Power transmission equipment, which is
directly mounted to the engine flywheel
housing, must be evaluated to ensure that
the overhung weight is within the tolerable
limits of the engine. If not, adequate additional support must be provided to avoid
damage.

Figure 13

CAUTION: CERTAIN APPLICATIONS,

SUCH AS AGRICULTURE MACHINES,
DRILLS, OFF-HIGHWAY TRUCK, ETC.,
REQUIRE CONSIDERATION OF THE
EFFECTS OF THE DYNAMIC BENDING
MOMENT IMPOSED DURING NORMAL
MACHINE MOVEMENT OR ABRUPT
STARTING AND STOPPING.
The dynamic load limits and the maximum
bending moment that can be tolerated by
the flywheel housing can be obtained from
your Caterpillar dealer.
For determination of the bending moment
of overhung power transmission equipment
installations, see Figure 13.

DETERMINATION OF BENDING MOMENT FOR OVERHUNG

TRANSMISSION INSTALLATION

33

To compensate for power transmission

systems which create a high bending
moment due to overhung load, a third
mount is required. Proper design of the
support is essential. Forces and deflections of all components of the mounting
system must be resolved. If the third
mount is in the form of a spring, with a vertical rate considerably lower than vertical
rate of the rear engine support, the effect
of the mount is in a proper direction to
reduce bending forces on the flywheel
housing due to downward gravity forces,
but the overall effect may be minor at high
gravity force levels. The use of supports
with a vertical rate higher than the engine
rear mount is not recommended since
frame bending deflections can subject the
engine power transmission equipment
structure to high forces. Another precaution is to design the support so that it provides as little resistance as possible to
engine roll. This also helps to isolate the
engine/transmission structure from mounting frame or base deflection.
Wet Flywheel Housings
Certain types of power transmission equipment require a wet flywheel housing.
Wet housing equipment requires that the
flywheel housing be able to accommodate a
degree of flooding by the fluid medium of the
power transmission equipment. The standard Caterpillar Diesel Engine does not:
A. Contain sufficient provisions for sealing in the area of the rear crankshaft
seal to prevent the transfer of the
power transmission fluid into the
engine lubricating oil reservoir (pan).

B. Have the capability of evacuating the

transmission fluid from the flywheel
housing back to the transmission
reservoir to prevent engine crankshaft seal flooding.
These provisions can be provided on
Caterpillar Engines but additional cost will
normally be incurred.
COUPLINGS
Unless a belt, chain, or universal joint-type
drive is taken directly from the output shaft
of the engine-driven power transmission
device, the use of some type of mechanical coupling device is recommended.
The coupling must be installed between
the power transmission output shaft and
the input drive shaft of the driven machine.
On close-coupled driven equipment, the use
of a coupling can be avoided if two basic
criteria are met:
A. Is the torsional compatibility of the
driven machine compatible with the
engine to the point that lack of a coupling will not cause either engine or
driven machine problems?
B. Is the package base sufficiently rigid to
avoid any distortion during operation?
Does it contain sufficient alignment
control features to successfully retain
alignment during operation to preclude
the need for the misalignment tolerance capability of a coupling?
Seldom can both of these questions be
answered affirmatively.
A large number of commercial coupling
designs, are available to the package
designer/installer.
CAUTION: THE COUPLING MUST BE
TORSIONALLY COMPATIBLE.

34

Commercial couplings make use of resilient

materials ranging from rubber and tough
fabrics to springs and air-filled tubes and
drums in order to absorb minor mechanical misalignment and relative movement
between engine and load. It is important to
have the best possible alignment and put a
minimum load and reliance on the flexible
coupling. Air clutches are not flexible couplings and imposing misalignment on them
will cause damage.

If single bearing equipment is used,

the coupling must be torsionally and
radially rigid to transmit the load and
support the weight of the driven equipment input shaft. It must be flexible to
compensate for angular misalignment
due to:
1. Thermal growth differences between the diesel engine and driven
equipment.
2. Dimensional tolerances between
the two units and dynamic conditions, such as torque reaction.
3. Momentary misalignment due to
shock or other transient conditions.
B. Stiffness

Figure 14

VULKAN RESILIENT COUPLING

Four distinct characteristics must be taken

into account in the selection of a suitable
coupling:

The coupling must be of proper torsional stiffness to prevent critical

orders of torsional vibration from
occurring within the operating speed
range. For single-bearing driven equipment, a complete torsional analysis is
necessary to ensure compatibility. For
two-bearing driven equipment, a simpler type of analysis is adequate. A
complete torsional vibration analysis
can be obtained from your Caterpillar
Engine supplier, as can mass-elastic
data on the diesel engine to permit
customer analysis.
C. Serviceability

A. Misalignment Capability
The coupling must be capable of
compensating for any misalignment
between the engine and equipment
to prevent damage to the machine
and/or diesel engine crankshaft and
bearings.

When selecting a coupling, ease of

installation and service is an important consideration. If spacers can be
used to permit removal and installation of the coupling without disturbing
the diesel engine driven machine
alignment, time can be saved if service or replacement of the coupling is
ever required.

35

When selecting a coupling, ensure

that the design can withstand reasonable misalignment without materially
decreasing the service life of the flexible elements.
When coupling design demands
extremely close alignment, one of the
major purposes for using a coupling
is defeated.
D. Coupling Selection
In any installation, the coupling
should be the weakest part of the
entire power train; the first part to fail.
If failure does occur, the chance of
damage to the diesel engine and driven machine is minimized. Safety
measures must be considered to prevent major equipment damage should
coupling failure occur. The use of a
standard, commercially available coupling offers the benefit of parts availability and reduced downtime in case
of failure.

Belt Drives
Several options exist for belt driving various
auxiliary attachments. Both of the following
methods are available from Caterpillar:
A. Crankshaft Pulleys
Additional stack-on pulleys can be
added to the front of the crankshaft.
The number of additional grooves
which can be added depends on other
belt-driven equipment such as cooling
fans and charging alternators and the
amount of total side load which will be
imposed on the front of the crankshaft.
B. Gear Drive Pulleys
The gear drive auxiliary positions
may be equipped with output pulleys.

AUXILIARY DRIVES
Many applications have a requirement for
auxiliary drive capability to power charging
alternators, air compressors, hydraulic
steering pumps, etc.
Caterpillar offers, as price list attachments,
various auxiliary drive options for all engine
models. These attachments provide either
mechanical gear or belt drive capability.
Gear Drives
These drives are suitable for direct mounting of air compressors and hydraulic
pumps for power assist steering, etc.

36

Figure 15

Complete data on the available attachment

drives, their power transmission ratings,
and usage limitations are available from
your Caterpillar dealer and Industrial
Engine Price List LEKI8162.
Because of the large number of options
offered, they will not be detailed in this
publication.

MOUNTING AND ALIGNMENT

Page
General Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Fixed Installations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Semimobile Installations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Mobile Installations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
General Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Vibration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Out-of-Balance Driven Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Alignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Engine Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Bases
.................................................................
Purpose and Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Thermal Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Types of Engine Mountings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Rigid Mounting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Subbase Mounting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Skid Mounting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Semi-flexible Mounting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flexible Mounting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Collision Stops . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Isolation Antivibration/Noise Mounting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flexible Isolation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Bulk Isolation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Shimming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Alignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Checking Face Run Out . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Checking Outside Diameter Run Out . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Checking Parallel Alignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Checking Angular Alignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Torque Reaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Belt and Chain Drives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Couplings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Alignment Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
General Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Single-Bearing Driven Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flexible-Type Couplings Flywheel Housing-Mounted Driven Equipment. . . . . . . . . . . .
Droop . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flywheel Concentricity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Crankshaft End Play . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flywheel Face Run Out. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flywheel Housing Concentricity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Engine Mounting Face Depth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Driven Equipment Mounting Face Depth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flexible-Type Coupling Remote-Mounted Driven Equipment . . . . . . . . . . . . . . . . . . . .
Droop . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flywheel Concentricity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Crankshaft End Play . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flywheel Face Run Out . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Mounting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Coupling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Angular Alignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Linear Relationship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Crankshaft End Play . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Tolerances and Torque Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Vibration and Isolation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Vibration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Linear Vibration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Torsional Vibration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

38
38
38
39
40
40
40
40
41
41
41
42
42
42
42
43
44
45
46
47
48
48
49
49
51
51
52
53
53
54
54
55
55
56
56
56
56
56
56
56
57
57
57
58
60
60
60
60
60
61
61
61
61
62
62
63
63
63
66

37

MOUNTING AND ALIGNMENT

GENERAL DISCUSSION
The correct mounting and coupling to the
load are essential to the success of any
engine installation. (See Power Transmission
section.)
Agriculture and material handling installations may incorporate all types of mounting
methods; consequently, no single system
will be universally successful. It is just as
possible to encounter problems from an
extremely rigid constrained mounting system if improperly applied as it is with a flexible mounting if incorrectly applied to the
installation or machine to be powered.
All installations will fall into three basic categories:
A. Fixed Installations
Where usable, fixed installations offer
positive benefits. Some examples are
more permanent plant installations
such as mine ventilation blowers, cotton gins, pumps, standby power systems, etc.

Figure 16

38

Fixed installations offer positive benefits in that they involve fewer mounting
and design problems than the other
categories; but conditions may dictate
isolation against vibration or sound,
which will complicate the engine
mounting.
B. Semimobile Installations
In these installations, although part of
a machine is occasionally moved, the
engine is not generally used as
motive power to move the machine,
nor is it normally operated while the
machine is in motion. Examples of
semimobile installations would be
rock crushers, batch plants, concrete
mixers, airport support vehicles, portable air compressors, conveyors, and
portable irrigation engine drives. Within this category are several examples
of machines which do move while the
engine is in operation, but only at a
slow, steady pace. Examples of these
machines are continuous pavers or
overlayers, paving finishers, certain soil

FIXED INSTALLATION

shredders, and continuous mining

machines, as well as certain types of
cranes, shovels, and draglines.

Although similar to the fixed installation, semimobile installations involve

other considerations in the area of
power transmission components.
Mounting considerations are imperative to minimize machinery stress and
maintain proper alignment.
C. Mobile Installations
Installations in this category move
during the performance of their job.
Examples are off-highway trucks,
mining machines, personnel carriers,
and support vehicles as well as
heavy-duty construction equipment,
and many special purpose machines.
The installed engine normally propels
the machine and also operates its
auxiliary functions, either electrically,
hydraulically, or mechanically.
Retention of alignment and provisions for movement are a prime consideration in this category.

Figure 17

SEMIMOBILE INSTALLATION

Figure 18

MOBILE MACHINE INSTALLATION

39

GENERAL CONSIDERATIONS

Out-of-Balance Driven Equipment

The Caterpillar Diesel Engine is a rigid,

self-contained structure which will operate
and maintain its inherent alignment unless
subjected to extreme external stresses.

The engine itself is designed and built to run

very smoothly. Objectionable vibration generally arises from either poor driveline component match to the engine or unbalance of
the driven equipment. Reciprocating compressors, for example, can cause premature failure of the mounting structure or
undesirable vibration even though the unit
is properly mounted and isolated from the
engine.

Due to the diversity of types of installations,

no one mounting system or method is
universally acceptable. If the engine is not
mounted in a manner suited to the specific
application, taking into account the characteristics of the engine, the driven loads, and
the operating cycle of the machine, one or
more of the following results will occur.
Vibration
Transmission of undesirable vibration to
driven equipment or to the machine structure may occur. In certain types of heavy
mobile installations such as rock crushers,
the engine vibration is insignificant compared to the drive equipment vibration of
the operating machine. In this case the
machine vibration could be detrimental to
the engine and its mounting and could
possibly result in cracking of fatigue of a
structural member which happened to
vibrate in natural harmony with the engine.
The same amplitude and frequency of
vibration generated by the engine could
result in structural damage if a fixed installation were housed in a building or close to
sensitive instruments or equipment such
as computers. (For a more complete discussion of vibrations, refer to Isolation
Antivibration/Noise Mounting, Page 44.)

Even though the engine and the driven

load are in balance, it is also possible to
encounter undesirable and damaging vibration as a result of the driving or connecting
equipment having a misalignment or outof-balance condition. Long shafts, drives,
gear assemblies, clutches, or any type of
coupling where misalignment, out of balance, or mass shifting may occur are probable sources of vibration.
Alignment
An unsatisfactory engine mounting nearly
always results in alignment problems
between the engine and the driven machinery. Assuming that failure of the driven
equipment does not occur first, the forces
or loads transmitted to the engine in the
form of pounding, twisting, flexing, or thrust
could result in engine crankshaft and bearing failure. Costly failures of this nature can
be avoided if, at the design and installation
stage, the importance of proper alignment
between the engine and driven load and
providing an adequate mounting to maintain alignment is considered.
Should this for some reason be impossible,
a suitable flexible coupling must be incorporated into the drive train to compensate
for misalignment. (For further detail, see
Alignment, Page 47.)

40

Engine Construction

BASES

As previously stated, the Caterpillar Diesel

Engine is built as a rigid, self-supporting
structure within itself. If the engine is
mounted on a foundation which is true
(flat) or on a pair of longitudinal beams, the
tops of which are in the same plane, the
engine will hold it own alignment. If subjected to external forces or restrained from
its thermal growth by the mounting, affected tolerances will easily result in bearing
or crankshaft failure.

Purpose and Function

The main structural strength of an engine

is the cast-iron block. On the 3200, 3300,
and 3400 Series Engines, engine mounting is by mounts on both sides of the flywheel housing and by a front mount
securely mounted to the engine block
through the front cover. Mobile equipment
arrangements differ from the industrial
configurations in that the front mounting
bracket or yoke is a trunnion-type or narrow rigid mount which, in effect, offers a
three-point mounting. This is most desirable in any type of mobile application.
Some engine families are mounted by the
plate steel lube oil pan. This pan is a deep
heavy weldment which has mounting
brackets or lugs welded to the sides which
are used to mount the engine. The
3500 Family Engines should be mounted
with the brackets to a set of rigid rails
which, in turn, are flex mounted to the
foundation or machine frame.

A prime consideration in base design is

rigidity. A base must be torsionally rigid to
prevent twisting forces from passing to the
diesel engine. The base must also offer
rigidity adequate to oppose the twist due to
torque reaction from the diesel engine.
This is especially critical on drives where
the driven equipment is mounted on the
engine base assembly but not bolted directly to the diesel engine flywheel housing.

The first design consideration for an

engine base is its physical dimensions.
The base must provide the proper mounting holes for the diesel engine and all other
base-mounted components. The holes
must also make allowance for servicing of
the engine and other components and provide clearance and provisions for proper
alignment.

The base design must also consider the

main structural members of the machine
which support the base assembly. Cross
bracing must also be used to provide lateral
stability.
Lack of adequate stability both torsionally
and laterally can result in natural frequencies within the operating speed range of
the unit. These frequencies can, if they
occur in a noncompatible band, amplify the
exciting forces present, resulting in critical
linear vibrations.

41

Thermal Growth
Design consideration must also be given
to compensate for the change in distance
between the mounting bolts, which secure
the diesel engine to the base, occurring
when engine temperature changes from
cold to operating temperature level. As
engine temperature increases to operating
level, the entire engine grows in length due
to thermal expansion.
Cast iron has a coefficient of expansion of
0.0000055, and that of steel is 0.0000063.
This means that the block of an engine 94 in
(238.8 cm) in length will grow 0.083 in
(0.212 cm) if its temperature is increased
from 50F (10C) to 200F (98.8C). Using
0.0000063 as the plate steel coefficient of
expansion, a steel weldment of 94 in
(238.8 cm) will grow 0.089 in (0.226 cm)
through the same temperature range. The
small difference in growth between the
block and the lubricating oil pan is compensated for in the design of the engine by
making the holes in the flange of the
attached component (rails) larger than the
attaching bolts.
Due to the growth resulting from thermal
expansion, the engine must not be dowel
located in more than one location. It is
recommended that a dowel locator be used
only on one engine mounting rail located at
the flywheel housing. Clearance between
the mounting bolts and the mounting brackets to the base will then allow slip to compensate for thermal growth.
Type of Engine Mountings
There are five basic types of engine
mounting, with variations possible within
each of the basic categories.
A. Rigid Mounting
Although frequently utilized in heavyduty applications such as earthmoving
42

equipment, locomotives, etc., this type

of mounting is generally not desirable. It is suitable only on machines
where the frame is so rigid that no
operating-induced stresses or distortions are transmitted to the engine.
This is normally possible only in
machines where weight is desirable;
hence, the use of extremely heavy
frames will impose no operating or
cost problems. Rigid mounting is suitable for all fixed installations; however,
engine vibration and driven equipment
vibration will be transmitted to any
adjoining areas unless the foundation
is isolated. (See Isolation, Page 44.)
In normal service most semimobile
and mobile installations will undergo
some frame twisting and distortion,
although it may be limited to a few
thousands of an inch (several mm).
Rigid mounting in this type of installation may result in broken engine
mounting lugs or cracked flywheel
housing, mount and base failures,
and possible crankcase and cylinder
block cracks. Heavy inertia shock
loads can also be experienced, as
any machine shock such as moving
heavy material, or emergency stop,
or accident imposes impact loads on
the engine mounting. (See Collision
Stops, Page 43.)
B. Subbase Mounting
This is the most common method of
engine mounting in semimobile applications and is frequently used in fixed
installations and occasionally in mobile
applications.
The subbase method allows the package designer/installer to properly support the engine and support and align
the driven equipment on a common
rigid base which can also be isolated

from the main machine structure. Its

single disadvantage is additional
weight.
The subbase mounting may use various designs ranging from a reinforced concrete slab isolated by cork,
rubber, sand, etc., to a rigid steel
weldment isolated by rubber mounts

Figure 19

The value of mounting the engine

and driven equipment on a common
base is immeasurable in maintaining
proper alignment, particularly if an
outboard bearing is utilized.

LIGHT DUTY BASE

C. Skid Mounting
The skid mounting, conceptually, is
identical to the subbase; however, a
properly designed skid mounting will
be heavier than the subbase mounting.
Skid mounts are generally most suitable for the semimobile type of
power unit or fixed installation which

Figure 20

or spring supports to isolate vibration

without imposing external forces.

may be subject to the need for occasional relocation. The unit cannot be
operated during such movement as
the skid base is not supported on a
machine subframe.
Skid mounting is normally used when
the engine drives pumps, blowers,
generators, air compressors, or if an
outboard bearing is used.

SKID MOUNTING
43

D. Semi-flexible Mounting
This type of mounting is occasionally
used in semimobile types of machines
and nearly always used for mobile
applications. Rare exceptions to the
above statement are where a rigid
mounting is used in heavy machines
where the weight of frame rigidity is
not a problem.
The semi-flexible mounting concept
is not applicable to the 3500 Family
Engines and should be considered
only for mobile equipment diesel
engine arrangements. The mobile
equipment engine arrangements utilize a front mount which has the flexibility to effect a three-point mounting.

Figure 21

44

Caution: The industrial-type front supports must not be used for semi-flexible
mounting. They lack the flexibility of a
three-point mounting and will allow
frame distortion to cause engine
mounting component failure.
A semi-flexible engine mounting will
always require the use of a flexible
coupling or universal joint-type drive
unless the drive load is directly
mounted to the engine flywheel housing. An example of this is a hydraulic
pump where hose connections provide the flexibility to completely isolate the engine pump system.

SEMI-FLEXIBLE MOUNTING

The semi-flexible mounting benefits

can be summarized as isolating the
engine vibration from the vehicle
while preventing distortion of the
vehicle structure and vehicle vibration
from being transmitted to the engine
structure.
This type of mounting requires a
knowledge of the frequency, amplitude, and planes of vibration to select
the proper isolation mounts. (See
Vibration and Isolation, Page 59.)
Consideration must also be given to
a suitable means of maintaining a
smooth working drive between the
engine and the driven unit. Each is
normally free to move; however, their
movement is not necessarily related in
an orderly fashion. An example would
be a material hauling unit such as a
mechanical drive off-highway truck.
The engine may move in response to
inertia loads, ground surface displacements, and torque reactions; yet
it must be connected to provide a
smooth positive drive to an axle which
is subjected to surface displacement
and angularity as well as inertia and
driving torque.
A successful semi-flexible mounting,
in addition to requiring a high level of
technical expertise, will normally
require lab and field testing for ultimate qualification of suitability.

E. Flexible Mounting
Full flexible mounting systems are
rarely required or suitable for most
material handling applications, however, there may be specific installations where the characteristics of this
concept are desirable.
Probably the most common usage of
flexible mounting is in the propellerdriven airplane. The engine and propeller are directly and positively connected, and the power package is
nearly completely isolated vibration
wise from the machine structure. No
external shafts, belts, chains, or other
types of drives are connected
hence, the power package has great
freedom of movement.
The degree of expertise and complications involved in developing a successful flexible mounting, coupled with
the fact that such mounting is seldom
required or desirable in agriculture/
material handling applications, deems
it inappropriate to devote further discussion in this publication.
It is strongly recommended that if you
or your customer finds it necessary to
utilize a flexible-type mounting that
your Caterpillar dealer be contacted
for consultation before any significant
effort is invested in design development. Should all concur that such a
system is desirable, a team effort of
the involved parties is necessary to
develop a suitable system.

45

To calculate the necessary foundation

depth, use:

FOUNDATIONS
For fixed installations it is frequently preferred to install a permanent foundation of
reinforced concrete.
Historically, concrete foundations have been
massive structures. The Caterpillar multicylinder modern speed engine does not
require the enormous traditional structure.
If a concrete foundation is required, some
minimum design guidelines to consider are:
The foundation length and width
should exceed the length and width
of the engine-driven equipment a
minimum of 1 ft (0.305 m) on all sides.
The foundation depth should be sufficient to attain a minimum weight
equal to the engine-driven equipment
package wet weight.

Figure 22

46

W
Foundation Depth (ft) = ___________
150 2 B 2 L
W
Foundation Depth (m) = _____________
2402.8 2 B 2 L
W = Total wet weight of enginedriven equipment pounds
(kg).
150 = Density of concrete (pounds
per cubic foot).
2402.8 = Density of concrete (kilograms per cubic meter).
B = Foundation width feet
(meters).
L = Foundation length feet
(meters).

CONCRETE FOUNDATION INSTALLATION

Suggested concrete mixture by volume is

1:2:3 of cement, sand, and aggregate with
a maximum 4 in (101.8 mm) slump with a
28-day compressive strength of 3000 psi
(27,000 Nm2).

separated from the foundation by expan

sive joint material. This prohibits the vibration from traveling from the block to the
floor and also eliminates the possibility of
losing tools in the pit during servicing.

The foundation should be reinforced with

No. 8 gauge steel wire fabric or equivalent,
horizontally placed on 6 in (152 mm) centers. An alternate method of reinforcing is
to place No. 6 reinforcing bars on 12 in
(304 mm) centers horizontally. Bars should
clear the foundation surface a minimum of
3 in (76.3 mm).

Cork is normally not effective with vibration

frequencies below 1800 cps and, if not
kept dry, will rot. For these reasons it is seldom used with fixed installations. It can be
used as a separator between the unit foundation and surrounding floor due to its
resistance to oils, acids, or temperatures
between 0F (18C) and 200F (93C).

When effective vibration isolation equipment is used, the depth of floor concrete
required need only support the static
weight of the load. If isolators are not used,
dynamic loads will be transmitted to the
facility floor and the floor must be designed
to support 125% of the engine-driven
equipment package weight.

Collision Stops

Also contained in this data are mounting

dimensions; however, be aware that this
data covers only the Caterpillar Engine or
Engine-Generator package, and design
modification will be required to accommodate other driven equipment to be mounted on the foundation.
The Caterpillar Industrial Engine Drawing
Book also lists foundation construction
hardware available through your Caterpillar
Engine supplier.
Rubber, asphalt-impregnated felt, and fiberglass have also been used for isolating the
foundation block from the subsoil, but they
do not provide significant vibration isolation, isolating only those high-frequency
vibrations which cause noise. Whatever
method is used, the floor slab surrounding
the foundation block should always be

General practice dictates the installation of

collision stops in most mobile installations
with non-rigid mounting. Collision stops
are strategically located limit-of-motion
stops which prevent the engine-power
train package from breaking loose from the
machine frame or platform due to shock
resulting from collision or normal operation. Normally, the stops are designed to
permit only very limited movement of the
power package in both the horizontal or
lateral planes when subjected to shock
loads ranging up to 2-1/2 to 5 times the
force of gravity.
CAUTION: WHEN INSTALLING COLLISION STOPS, LEAVE SUFFICIENT
CLEARANCE BETWEEN THE STOPS
AND THE ENGINE MOUNTING SUPPORTS TO ALLOW FOR THERMAL
EXPANSION. (See Page 38). UNLESS
SUFFICIENT SPACE IS PROVIDED,
THERMAL EXPANSION RESTRICTED
BY THE COLLISION STOPS CAN DISTORT THE ENGINE CYLINDER BLOCK
AND CRANKSHAFT, CAUSING EXTENSIVE ENGINE FAILURE.

47

Isolation Antivibration/Noise
Mounting
Caterpillar Engines are capable of withstanding all self-induced vibrations and no
isolation is required to prolong service life.
However, vibrations from surrounding equipment, if severe, can harm an engine which
is inoperative for long periods of time. If
these vibrations are not isolated, the lubricating oil film between bearings and shafts
can be reduced to the point where damage
could result.
For a fixed installation where a reinforced
concrete foundation is utilized, a separate
method of isolation is possible. The system
is covered under Bulk Isolation, Page 45.
For all other types of installations, flexibletype isolators are used.
CAUTION: MOST COMMERCIAL ISOLATION DESIGN HAS LIMITED SIDE LOAD
CAPABILITY. FLEXIBLE-TYPE ISOLATORS ARE ONLY GENERALLY ACCEPTABLE FOR DRIVES NOT IMPOSING
HIGH SIDE LOADS.
Flexible Isolation
Several commercial isolators are available
which will provide varying degrees of isolation. Care must be taken to select the
best isolator for the application. Generally,

Figure 23

48

the lower the natural frequency of the isolator (soft), the greater the deflection and
the more effective the isolation. However,
the loading limit of the isolator must not be
exceeded.
No matter what type of isolation is used, it
should be sized to have its natural frequency as far removed from the exciting
frequencies of the engine as possible. If
these two frequencies were similar, the
entire unit would be in resonance.
The static weight of the machinery must
load a resilient mount close to the center of
its deflection range. Therefore, the weight
that will rest on each isolator must be known
and the isolators properly matched in
respect to the load and its center of gravity.
The most effective isolators are of the steel
spring design. They are capable of isolating up to 96% of all vibrations, provide
overall economy, and permit mounting the
power unit on a surface which need only
be capable of supporting the static load.
No allowance for torque or vibratory loads
is required. Spring isolators are also available with rubber side thrust isolation for
use when the engine is side loaded or
located on a moving surface.

By the addition of a rubber plate beneath

the spring isolator, the high frequency
vibrations which are transmitted through
the spring are also blocked. These high
frequency vibrations are not harmful but
can result in annoying noise.
CAUTION: THIS SYSTEM REQUIRES
THAT ALL CONNECTIONS TO THE
BASE-MOUNTED EQUIPMENT HAVE
SUITABLE FLEXIBLE CONNECTORS.
THIS WOULD INCLUDE SUCH CONNECTIONS AS EXHAUST, WATER, AIR,
FUEL, ELECTRICAL, CRANKCASE
BREATHER, ETC.

The foundation pit should be made slightly

longer and wider than the foundation block
base. A wooden form the size and shape
of the foundation is then placed on the
gravel or sand bed for pouring the concrete. After the wooden form is removed,
the isolating material is placed around the
foundation sides, completely isolating the
foundation from the surrounding earth.

Fiberglass, felt, composition, and flat rubber

of a waffle design do little to isolate major
vibration forces, but do isolate much of the
high frequency noise. Fabric materials may
tend to compress with age and become
ineffective. Because deflection of these
types of isolators is small, their natural frequency is relatively high compared to the
engines. Attempting to stack these isolators
or apply them indiscriminantly could cause
the total system to go into resonance.
Bulk Isolation
Bulk isolating materials can be used
between the foundation and supporting
surface but they are not as foolproof as the
spring- or rubber-types.
Isolation of block foundations may also
be accomplished by using 8 in to 10 in
(203.2 mm to 254 mm) of wet gravel or
sand in the bed of the foundation pit. Sand
and gravel are capable of reducing the
amount of engine vibration transmitted by as
much as one-third to one-half. The isolating
value of gravel is somewhat greater than
sand. To minimize settling of the foundation,
the gravel or sand should be thoroughly
tamped before pouring the concrete block.

Figure 24

Shimming
The modern diesel engine, as well as most
driven equipment, must be mounted on a
surface which is true to prevent prestressing
the engine or driven equipment frame when
torquing it to the mounting structure, when
more than three support points are used.
Large Caterpillar Diesel Engines such as
3500 Family are fastened to the mounting
structure at four or more points. All mounting
points must bear equally on the mounting

49

structure. To determine if shims are required,

set the engine on the mounting structure
but do not attempt to secure it by bolting it
in place. Using a feeler gauge, check all
mounting points for clearance between the
mounting point and the base. If clearance
exists which exceeds 0.005 in (0.127 mm)
compensation must be provided.
If the mounting base is a rigid steel structure, the areas where the engine mounts
make contact may be machined to bring
them all into a true plane. If this is impractical, shims should be used.
Shim packs under all equipment should be
0.200 in (5 mm) minimum thickness to permit later corrections requiring the removal
of shims, if necessary.

Figure 25

50

Shim packs should be of nonrusting material. Handle shims carefully. After alignment, each mounting surface must carry its
portion of the load.
Before the engine and driven equipment
can be aligned, each foot must carry its
portion of the load. Failure to do this can
result not only in misalignment, but also in
springing of the substructure causing resonant vibrations, high stress in welds or
base metal, and high twisting forces in the
engine or generator.
This same requirement for a true plane
(flat) mounting is also necessary for most
driven equipment. If specific instructions
are not provided by the driven equipment
manufacturer, the same principles as recommended for the engine can be applied.

ALIGNMENT
Principles
To provide the necessary alignment between
the diesel engine and all mechanically driven components, an understanding of the
types of misalignment and the methods of
measurement is required.
Many crankshaft and bearing failures are
the result of improper alignment of drive
systems at the time of initial engine installation. Misalignment always results in
some type of vibration or stress loading.
CAUTION: BEFORE MAKING ANY
ATTEMPTS TO MEASURE RUN OUT OR
ALIGNMENT, IT IS IMPORTANT THAT
ALL SURFACES TO BE MEASURED OR
MATED BE COMPLETELY CLEAN AND
FREE FROM GREASE, PAINT, OXIDATION, OR RUST AND DIRT ALL OF
WHICH CAN CAUSE INACCURATE MEASUREMENTS.

Common mistakes include failure to detect

run out of rotating assemblies and parallel or angular misalignment of the engine
and driven machine.
The run out of a hub or flywheel can be
measured by turning the part in question
while measuring from any stationary point
to the surface being checked. This can be
done with a dial indicator. Note: Measure
to the pilot surface being used, not to an
adjacent surface, because surfaces not
used for pilots normally are not machined
as closely.
This check should be made first on the
face of the wheel or hub, as illustrated in
Figure 26. Whenever making a face check,
make sure the shaft end play does not
change as you rotate it. The crankshaft
must be moved within the diesel engine to
remove all end play and that position must
be maintained throughout the alignment
procedures.

Figure 26

51

Checking Face Run Out

While turning the wheel 360, note any
change in the dial indicator reading.
Any change is caused by face run out.
Face run out may be caused by foreign
material between a crankshaft flange and
flywheel, uneven torquing or from machining variations.
Cocking of the wheel being measured
may cause indications of outside diameter

Figure 27

52

run out in addition to face run out. For this

reason the face run out is checked first.
After the face run out has been eliminated,
outside diameter run out can be checked.
This must also be done with a dial indicator.
(See Figure 27.)

Checking Outside Diameter Run Out

While turning the hub through 360 of rotation, check for any change in indicator
reading. The indicator is held stationary
and, if the reading changes, the outside
diameter is off center.
After the flywheel or driving hub has been
checked for run out, the same procedure

should be followed on the driven side of

the coupling.
After the run out of both the driving and driven sides of the coupling have been found
within limits, the engine and load alignment can be checked. There are two kinds
of misalignment: parallel and angular (bore
and face). (See Figures 28.)

Figure 28

Checking Parallel Alignment

Parallel misalignment can be detected by
attaching a dial indicator, as shown in
Figure 29, and observing the dial indicator
readings at several points around the outside diameter of the flywheel as the wheel
holding the indicator is turned.

As a rule of thumb, the load shaft should

indicate to be higher than the engine shaft
because:
A. Engine bearings have more clearance
than most bearings on driven equipment.
B. The flywheel or front drive rotates in a
drooped position below the centerline of rotation.

Figure 29
53

C. The vertical thermal growth of the

engine is usually more than that of the
driven equipment. Engine main bearing clearance should be considered
when adjusting for parallel alignment.
Note: Both parts can be rotated together if
desired. This would eliminate any out-ofroundness of the parts from showing up in
the dial indicator reading. In most cases
rubber driving elements must be removed
or disconnected on one end during alignment since they can give false parallel
readings.
Checking Angular Alignment
Angular misalignment can be determined
by measuring between the two parts to be
joined. The measurement can be easily
made with a feeler gauge, and it should be
the same at four points around the hubs
Figure 30.
If the coupling is installed, a dial indicator from
one face to the other will indicate any angular
misalignment. In either case, the readings will
be influenced by how far from the center of
rotation the measurement is made.

Figure 30

54

Note: the face and bore alignment affect

each other. Thus, the face alignment should
be rechecked after the bore alignment and
vice versa.
After determining that the engine and load
are in alignment, the crankshaft end play
should be checked to see that bolting and
coupling together does not cause end thrust.
Torque Reaction
The tendency of the engine to twist in the
opposite direction of shaft rotation and the
tendency of the driven machine to turn in
the direction of shaft rotation is torque
reaction. It naturally increases with load
and may cause a torque vibration. This
type of vibration will not be noticeable at
idle but will be felt with load. This usually is
caused by a change in alignment due to
insufficient base strength allowing excessive base deflection under torque reaction
load. This has the effect of introducing a
side to side centerline offset which disappears when the engine is idled (unloaded)
or stopped.

Belt and Chain Drives

Couplings

Belt and chain drives may also cause the

engine or driven machine to shift or change
position when a heavy load is applied.
Belts and chains may also cause PTO
shaft or crankshaft deflection, which can
cause bearing failures and shaft bending
failures. The driving sprocket or pulley
must always be mounted as close to the
supporting bearing as possible. Side load
limits must not be exceeded. Sometimes,
due to heavy side load, it is necessary to
provide additional support for the driving
pulley or sprocket. This can be done by
providing a separate shaft which is supported by a pillow block bearing on each
side of the pulley or sprocket. This shaft
can then be driven by the engine or clutch
through an appropriate coupling. The size
of the driving and driven sprockets or pulleys is also important. A larger pulley or
sprocket will give a higher chain or belt
speed. This allows more horsepower to be
transmitted with less chain or belt tension.
If it is suspected that the engine or the driven machine is shifting under load, it can
be checked by measuring from a fixed
point with a dial indicator while loading and
unloading the engine. Torque reactive
vibrations or torque reactive misalignment
will always occur under load.

A coupling must be torsionally compatible

with engine and driven load so that torsional vibration amplitudes are kept within
acceptable limits. A mathematical study
called a torsional vibration analysis should
be done on any combination of engine-driveline-load for which successful experience
doesnt already exist. A coupling with the
wrong torsional stiffness can cause serious
damage to engine or driven equipment.

Figure 31

All couplings have certain operating ranges

of misalignment, and the manufacturers
should be contacted for this information.
Some drives, such as U-joint couplings,
have different operating angle limits for different speeds.
As a general rule, the angle should be the
same on each end of the shaft. (See
Figure 31.) The yokes must be properly
aligned and sliding spline connections
should move freely. If there is no angle at
all, the bearings will brinell due to lack of
movement.

UNIVERSAL JOINT SHAFT DRIVE

55

ALIGNMENT INSTRUCTIONS
General Considerations
Alignment methods will vary depending on
the coupling method selected. On Caterpillar
Diesel Engines either a flexible-type or rigidtype coupling is acceptable, depending on
the specific installation characteristics and
the results of the Torsional Analysis.

which results from engine bearing

clearances and natural droop as a
result of the overhung weight of the
flywheel. The flywheel should be
raised several times to get a feel
for the bearing clearance to prevent
excessive lift which means reverse
bending of the crankshaft.

Before attempting any alignments, refer to

Alignment Principles, Page 47.
CAUTION: IT IS IMPORTANT THAT THE
PACKAGE ALIGNMENT BE CARRIED
OUT AND COMPLETED WITHIN THE
PERMISSIBLE TOLERANCES OF THE
DRIVEN EQUIPMENT MANUFACTURER.
Alignment Instructions
Single-Bearing Driven Equipment
A. Flexible-Type Couplings Flywheel
Housing-Mounted Driven Equipment
1. Droop
Mount a dial indicator on the engine
flywheel housing. Mark the engine
flywheel housing. Mark the flywheel
at points A, B, C, and D in 90 increments as shown in Figure 32. The
indicator tip must contact the pilot
diameter of the flywheel assembly.
With the dial indicator in position (A),
set the reading to zero. Place a pry
bar under the flywheel assembly at
position (C) and, by prying against a
floor mounted support, raise the flywheel until it is stopped by the main
bearings. (Caution: Do not pry against
the flywheel housing.) Record the
reading of the dial indicator. This is
the amount of droop in the crankshaft,

56

Figure 32

2. Flywheel Concentricity
Remove the pry bar and check to
ensure that the dial indicator has
returned to zero. If not, reset. Rotate
the crankshaft, in the normal direction
only, and record the Total Indicator
Reading (TIR) when the flywheel
positions (A), (B), (C), and (D) are at
the top. (Refer to Page 58 for proper
tolerances.)
3. Crankshaft End Play
Ensure the crankshaft-flywheel
assembly is completely to the rearmost position of the engine assembly. Reset the dial indicator to zero.
Relocate the pry bar and move
crankshaft-flywheel assembly forward in the engine assembly. The
dial indicator reading in this position
is the crankshaft end play.

4. Flywheel Face Run Out

Set the tip of the indicator on the face
of the flywheel Figure 33. Position the
crankshaft to the front of its end play
and zero the indicator. Shift the crankshaft to the rear of its end play, and
record the TIR. With the crankshaft
to the rear of its end play, zero the
indicator. Rotate the crankshaft and
record the TIR when the flywheel
positions (A), (B), (C), and (D) are at
the top. Be sure to remove the crankshaft end play before recording these
readings. Remove the flywheel housing access cover and place a pry bar
between the rear face of the flywheel
housing and the front face of the flywheel assembly. Move the crankshaftflywheel assembly to the rear of the
engine to remove all end play.

the indicator readings at positions (A),

(B), (C), and (D). Subtract the droop
dimension (Step 1) from the reading
indicated at position (C) and subtract
one-half the droop dimension from
the reading indicated at positions (B)
and (D) on the flywheel housing to
determine the true concentricity.

Figure 34

6. Engine Mounting Face Depth

Figure 33

5. Flywheel Housing Concentricity

Mount the dial indicator on the flywheel assembly with the tip located
on the pilot bore of the flywheel housing and set the reading to zero.
Rotate the crankshaft in the direction
of normal engine rotation and record

With the crankshaft-flywheel assembly moved to the frontmost position,

place a straight edge across the
mounting face of the flywheel housing, from position (A) to (C). With a
scale measure the distance from the
rear face of the flywheel housing to
the coupling mounting face of the
flywheel as shown in Figure 34.
Repeat the same measurement with
the straight edge located on positions
(B) and (D).
Steps 1 through 6 establish the engine
tolerances. The following Steps, 7 and
8, determine the driven equipment
57

tolerances or refer to manufacturers

specifications.
7. Support the driven equipment input
shaft until it is centered (all droop is
removed).
8. Driven Equipment Mounting
Face Depth
With the driven equipment mounting
and driving flange or face centered,
as described in Step 7, and the flexible coupling attached to the input
shaft, the face depth can be measured. Place a straight edge across
the surface of the front face of the
coupling which mates to the flywheel
assembly. With a scale measure the
distance from the coupling mounting
face to the mounting face of the driven equipment housing as shown in
Figure 35.

Figure 35

58

This dimension must equal the engine

mounting face depth Step 6 less onehalf of the crankshaft end play as
described in Step 4. If not, it must be
corrected by changing the adapting
parts, or by shimming if the required
correction is small. Shimming is usually the less desirable approach.
With the engine and driven equipment tolerances known, proceed to
mount the driven equipment to the
engine.
9. Support the driven machine on a hoist
and bring it into position with the engine.
10. Align the driven equipment housing
mounting flange with the flywheel
housing, using locating dowels if
required. Install connecting bolts with
sufficient torque to compress the
lockwashers, but not to final torque.

11. Install the bolts which secure the coupling to the flywheel and torque as
recommended.
12. Check crankshaft end play to ensure
that the proper relationship exists
between the engine mounting face
depth Step 6 and the driven equipment mounting face depth Step 8.
Place a pry bar between the flywheel
assembly and the flywheel housing.
The crankshaft should move both forward and backward within the engine
and, in both positions, remain fixed
when pressure on the pry bar is
relaxed. Any tendency of the crankshaft to move when pry bar pressure
is released indicates that the driven
equipment and coupling assembly
are imposing a horizontal force on the
crankshaft, which will result in thrust
bearing failure. If this condition exists,
readjust the thickness of shims used
between the driven equipment input
shaft and the coupling as described
in Step 8.

readjust the driven equipment housing position by changing the shims.

There must be clearance at all points
when making this check.
15. With the proper number of shims
installed to align the driven equipment housing parallel to the flywheel
housing, tighten the bolts securing
the driven equipment housing to the
flywheel housing sufficiently to compress the lockwashers.
16. Torque the bolts holding the driven
equipment frame to the base assembly
to one-half the recommended value.
17. Repeat Step 14. If the feeler gauge
measurements indicate that misalignment is still present, repeat operation
described in Steps 14 through 17
until proper alignment is obtained.
18. Retorque all coupling and mounting
bolts to the specified torque value.

13. Determine quantity and thickness of

shims required between the driven
equipment mounting pads and the
base assembly; locate the shim
packs and install driven equipment
mounting bolts to the base assembly.
NOTE: Always use metal shims.
Tighten the bolts to one-half the
torque recommendation.
14. Loosen the bolts holding the driven
equipment housing to the flywheel
housing until the lockwashers move
freely. Using a feeler gauge, check the
clearance between the two housings
to determine if the driven equipment
is properly shimmed. Measurement
should be made in four 90 increments in the vertical and horizontal
planes. If the feeler gauge indicates
any area where the clearance varies
by more than 0.005 in (0.13 mm),
59

B. Flexible-Type Couplings
Remote-Mounted Driven Equipment
1. Droop
Mount a dial indicator on the engine
flywheel housing. Mark the flywheel
at points A, B, C, and D in 90 increments as shown in Figure 36. The
indicator tip must contact the pilot
diameter of the flywheel assembly.
With the dial indicator in position (A),
set the reading to zero. Place a pry
bar under the flywheel assembly at
position (C) and, by prying against a
floor mounted support, raise the flywheel until it is stopped by the main
bearings. (Caution: Do not pry against
the flywheel housing.) Record the
reading of the dial indicator. This is
the amount of droop in the crankshaft
which results from engine bearing
clearances and natural droop as a
result of the overhung weight of the
flywheel.
The flywheel should be raised several times to get a feel for the bearing
clearance to prevent excessive lift
which means reverse bending of the
crankshaft.

Figure 36

60

2. Flywheel Concentricity
Remove the pry bar and check to
ensure that the dial indicator has returned to zero; if it is not, reset. Rotate
the crankshaft, in the normal direction only, and record the TIR when
the flywheel positions (A), (B), (C),
and (D) are at the top. (Refer to Page
58 for proper tolerances.)
3. Crankshaft End Play
Ensure the crankshaft-flywheel assembly is completely to the rearmost position of the engine assembly. Reset
the dial indicator to zero. Relocate the
pry bar and move crankshaft-flywheel assembly forward in the engine
assembly. The dial indicator reading in
this position is the crankshaft end play.
4. Flywheel Face Run out
Set the tip of the indicator on the face
of the flywheel Figure 36. Position the
crankshaft to the front of its end play
and zero the indicator. Shift the crankshaft to the rear of its end play and
record the TIR. With the crankshaft at
the rear of its end play, zero the indicator. Rotate the crankshaft and
record the TIR when the flywheel positions (A), (B), (C), and (D) are at the
top. Remove all end play before
recording each reading. Remove the
flywheel housing access cover. Then
place a pry bar between the rear face
of the flywheel housing and the front of
the flywheel assembly. Move the crankshaft-flywheel assembly to the rear of
the engine, removing all end play.

5. Mounting
The engine and the driven equipment
should be mounted so that any necessary shimming is applied to the driven
equipment. The centerline of the engine
crankshaft should be lower than the
centerline of the driven equipment by
approximately 0.0065 in (0.165 mm) to
allow for thermal expansion of the
engine. The value 0.0065 in (0.165 mm)
allowed for thermal expansion is for the
engine only. If it is anticipated that thermal expansion will also affect the driven equipment centerline to mounting
plane distance, that value must be subtracted from the engine thermal expansion value in order to establish the total
engine centerline to driven equipment
centerline distance. When measuring
this value, the TIR will be 0.013 in
(0.330 mm) plus the droop as established in Step 1.
Shim packs under all equipment
should be 0.200 in (5 mm) minimum
thickness to provide for later corrections which might require the removal
of shims.
6. Coupling
Attach the driven member of the coupling to the flywheel and tighten all
bolts to the specified torque value.
Gear-type couplings, double sets of
plate-type rubber block drives, and Cat
viscous-damped couplings are the only
ones that can be installed prior to making
the alignment check. Most couplings

are stiff enough to affect the bore alignment and give a false reading.
7. Angular Alignment
Mount a dial indicator to read between
the driven equipment input flange and
the flywheel face and measure angular
misalignment. Adjust position of driven
equipment until TIR is within 0.008 in
(0.20 mm).
8. Linear Relationship
Mount dial indicator to the driven
equipment side of the flexible coupling
and indicate on the outside diameter of
the flywheel side of the coupling. Zero
the indicator at 12 oclock and rotate
the engine in its normal direction of
rotation and check the total indicator
reading at every 90. Subtract the full
droop from the bottom reading to give
the corrected alignment reading.
The value of the top-to-bottom reading
should be 0.008 in (0.20 mm) or less
under operating temperature conditions, with the engine indicating low.
Adjust all shims under the feet of the
driven equipment the same amount
to obtain this limit.
The final value of the top-to-bottom
alignment should include a factor for
vertical thermal growth.

61

Subtract one-half the droop from the

3 oclock and 9 oclock reading. This
should be 0.008 in (0.20 mm) or less.
Shift the driven equipment on the
mounts until this limit is obtained.
Note: the sum of the side raw reading
should equal the bottom reading within
0.002 in (0.051 mm). Otherwise the
mounting of the dial indicator is too
weak to support the indicator weight.

10. Crankshaft End Play

The crankshaft end play must be
rechecked to ensure that the driven
equipment is not positioned in a manner which imposes a preload on the
crankshaft thrust washers. (Refer to
Step 4.) Place a pry bar between the
flywheel assembly and the flywheel
housing. The crankshaft should move
both forward and backward within the
engine and, in both positions, remain
fixed when pressure on the pry bar is
relaxed. Any tendency of the crankshaft to move when pry bar pressure
is released indicates that the driven
equipment assembly must be moved
rearward on the base assembly or, if
used, the number of shims between
the input flange and the flexible coupling must be reduced.
Tolerances and Torque Values

Figure 37

9. The combined difference or readings

at points B and D should not exceed
a total of 0.008 in (0.20 mm). (See
Figure 37.)

62

Permissible alignment tolerances and torque

values for Caterpillar standard mounting
hardware are available from your Caterpillar
Engine supplier and are listed in the
Caterpillar service manuals for each specific engine model.
CAUTION:
DURING
OPERATION,
SHOULD A CHANGE IN THE VIBRATION
OR SOUND LEVEL OCCUR, ALIGNMENT SHOULD BE RECONFIRMED.
THIS IS PARTICULARLY TRUE FOR
SEMIMOBILE INSTALLATIONS AND ON
ANY FIXED INSTALLATIONS WHICH
ARE SUBJECT TO INFREQUENT RELOCATION. ALIGNMENT SHOULD ALSO
BE CHECKED ON A PERIODIC BASIS
OR AT TIME OF MOVEMENT IF INSTALLATION IS ON A SUBBASE OR SKIDTYPE BASE.

VIBRATION AND ISOLATION

Vibration
Any mechanical system which possesses
mass and elasticity is capable of relative
motion. If this motion repeats itself after a
given time period, it is known as vibration.
An engine produces many vibrations as it
operates due to combustion forces, torque
reactions, structural mass and stiffness
combinations, and manufacturing tolerances on rotating components. These
forces require that mounting and driveline
design be correct, or they can create a wide
range of undesirable conditions, ranging
from unwanted noise to high stress levels
and ultimate failure of engine or driven
equipment components.

frequency of the system coincides with the

frequency of the vibrations. The total
engine-driven equipment system must be
designed to avoid critical linear or torsional vibrations.
Linear Vibration
Linear vibration is usually identified by a
noisy or shaking machine. Its exact nature
is difficult to define without instrumentation. The human senses are not adequate
to detect relationships between the magnitude of displacement of a vibration and its
period of occurrence. For instance, a first
order (1 2 rpm) vibration of 0.010 in
(0.254 mm) displacement may feel about
the same as third order measurement of
0.002 in (0.051 mm).

Vibrating stresses can reach destructive

levels at engine speeds which cause resonance. Resonance occurs when the natural

Figure 38

FREQUENCY
CYCLES PER MINUTE (CPM)

63

However, as depicted in Figure 38, the

severity of vibration does correlate reasonably well with levels of perception and
annoyance.
Vibration occurs as a mass is deflected
and returned along the same plane, and
can be illustrated as a single mass spring
system Figures 39 and 40.

Figure 41

The period of time required for the weight to

complete one full movement is a period.
The maximum displacement is called
peak-to-peak amplitude. The displacement
from the mean position is referred to as the
half amplitude. Time interval in which the
motion is repeated is called the cycle.

Figure 39

If the weight needs one second to complete

a full cycle, the vibration frequency of this
system would be one cycle per second.

Figure 40

MASS-SPRING SYSTEM

As long as no external force is imposed on

the system, the weight remains at rest and
there is no vibration. But, when the weight
is moved or displaced and then released,
vibration occurs. The weight will continue
to travel up and down through its original
position until frictional forces again cause it
to rest. When a specific external force,
such as engine combustion, continues to
affect the system while it is vibrating, it is
termed forced vibration.

64

If one minute, hour, day, etc., were required,

its frequency would be one cycle per
minute, hour, day, etc. A system that completed its full motion 20 times in one minute
would have a frequency of 20 cycles per
minute or 20 cpm.
Establishing the vibration frequency is
necessary when analyzing the type of
problem. It allows identification of the engine
component or mass system which is causing the vibration. The total distance traveled by the weight, that is from one peak to
the opposite peak, is referred to as the
peak-to-peak displacement.
This measurement is usually expressed in
mils, where one mil equals one-thousandth of an inch (0.001 in). It can be used
as a guide in judging vibration severity.

Vibration amplitude can be expressed as

either a peak-to-peak average value or a
root-mean-square (rms) value which is
0.707 times the peak amplitude. These
readings are referred to in theoretical discussions.
Another popular method used to determine the magnitude of vibration is to measure that vibration velocity. Note that the
weight is not only moving, but also changing direction. This means that the speed of
the weight is also constantly changing. At
its limit of motion, the speed of the weight
is 0. As it passes through the neutral
position, its speed or velocity is greatest.
The velocity is an extremely important
characteristic of vibration but because of
its changing nature, a single point has
been chosen for measurement. This is the
peak velocity and is normally expressed in
inches per second peak.
Velocity is a direct measure of vibration and,
as such, provides the best overall indicator
of machinery condition. It does not, however, reflect the effect of vibration on brittle
material which fractures or cracks more
readily than ductile or softer materials.

Vibration acceleration is another important

characteristic of vibration. It is the rate of
change of velocity. In the example, note that
peak acceleration is at the extreme limit of
travel where velocity is 0. As the velocity
increases, the acceleration decreases until
it reaches 0 at the neutral point.
Acceleration peak is normally referred to in
units of g, where g equals the force of
gravity at the earths surface. (980 2
655 cm/s2 = 386 in/s2 = 32.2 ft/s2.)
The vibration acceleration can be calculated as:
g Peak = 1.42 D F2 2 108
Most machinery vibration is complex and
consists of many frequencies. Displacement, velocity, and acceleration are all
used to diagnose particular problems.
Displacement measurements tend to be a
better indication of vibration under conditions of dynamic stress and are, therefore,
most commonly used. Note that the overall
or total peak-to-peak displacement described
in Figure 42 is approximately the sum of all
the individual vibrations.

The relationship between peak velocity

and peak-to-peak displacement can be
found by the following formula:
V Peak = 52.3 D F 2 106
Where:

V Peak = Vibration velocity

in inches per
second peak.
D = Peak-to-peak
displacement in mils
(1 mil = 0.001 in).

Figure 42

F = Frequency in
cycles per minute
(cpm).
65

Torsional Vibration
Torsional vibration occurs as an engine
crankshaft twists and returns.
Torsional vibration originates with the
power stroke of the piston. The simplified
drive train in Figure 43 illustrates the relationship of shaft diameter, length, and inertia on the natural frequency of the system.
To ensure the compatibility of an engine
and the driven equipment, a theoretical
torsional vibration analysis is necessary.
Disregarding the torsional compatibility of
the engine and driven equipment can

result in extensive and costly damage to

components in the drive train, or engine
failure. Conducted at the design stage of a
project, the mathematical torsional analysis may reveal torsional vibration problems
which can be avoided by modification of
driven equipment shafts, masses or couplings. The torsional report will show the
natural frequencies, the significant resonant speeds, and either the relative amplitudes or a theoretical determination of
whether the maximum permissible stress
level is exceeded. Also shown are the
approximate nodal locations in the mass
elastic system for each significant natural
frequency.

Figure 43

The following technical data is required to

perform a torsional analysis:
A. Operating speed ranges, lowest speed
to highest speed, and whether it is variable or constant speed operation.
B. Load curve on some types of installations for application with a load dependent variable stiffness coupling.

C. With driven equipment on both ends of

the engine, the horsepower requirement of each set of equipment is
required and whether operation at the
same time will occur.
D. A general sketch of the complete system showing the relative location of
each piece of equipment and type of
connection.
E. Identification of all couplings by make
and model, along with WR2 and torsional rigidity.

66

F. WR2 or principal dimensions of each

rotating mass and location of mass on
attached shaft.
G. Torsional rigidity and minimum shaft
diameter, or detailed dimensions of all
shafting in the driven system whether
separately mounted or installed in a
housing.
H. If a reciprocating compressor is utilized, a harmonic analysis of the compressor torque curve under various
load conditions is required. If this is not
available, then a torque curve of the
compressor under each load condition
is required. The WR2 of the available
flywheels for the compressor should be
submitted.

Since compatibility of the installation is the

system designers responsibility; it is also
his responsibility to obtain the theoretical
torsional vibration analysis. Upon request
mass elastic systems of items furnished by
Caterpillar will be supplied to the customer
without charge so that he can calculate the
theoretical torsional vibration analysis.
Mass elastic data for the Caterpillar Diesel
Engine is covered in the Technical
Information File, as well as a complete list
of the required data should you wish
Caterpillar to perform a torsional analysis.
There is a nominal charge for this service
from Caterpillar.

I. The ratio of the speed reducer or

increaser is required. The WR2 and
rigidity that is submitted for a speed
reducer or increaser should state
whether or not they have been adjusted by the speed ratio squared.

67

68

AIR INTAKE
Page
Air Cleaner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

70

Service Life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Air Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Restriction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Service Indicator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Air Cleaner Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Performance Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Dust Particle Size Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Two-Stage Air Cleaners. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Oil Bath Air Cleaners. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Exhaust Ejector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

70
70
70
71
71
71
71
72
72
72

System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

73

Intake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
System Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Routing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Diameter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flexibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Pipe Ends and Hose Connections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Breakaway Joints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Piping Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Straight Section Before Turbocharger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

73
73
73
73
73
74
74
74
74

69

AIR INTAKE
The function of the air intake system is to
furnish an adequate supply of clean, dry,
low temperature air to the engine. Failing
this, increased maintenance costs and/or
performance problems are certain to result.
The following recommendations must be
observed in order to obtain a satisfactory
installation:
A. Every installation must include an efficient provision for removing dirt particles from the intake air.
B. The air inlet location and piping routing
must be chosen to best obtain cool air.
All joints should be air tight and all
pipes properly supported. The air inlet
must be designed to minimize the
ingestion of water from rain storms,
road splash, or during the engine
washing process.
C. The system maximum restriction recommended values must be adhered to.
THE DIRTY AIR CLEANER MAXIMUM
IS 25 IN. H2O (6.2 kPa) FOR NATURALLY ASPIRATED ENGINES AND
30 IN. H2O (7.5 kPa) FOR TURBOCHARGED ENGINES. For specific
engine limits refer to the TMI.
AIR CLEANER
Dirt is the basic source of engine wear.
Most dirt enters the engine via the inlet air.
Cylinder walls or liners, pistons, piston
rings, valves, valve guides and, in fact, any
engine moving part is subjected to accelerated wear when undue amounts of dirt
are contained in the inlet air. Therefore,
careful air cleaner selection is vital to a
good engine installation.
Dry-type air cleaners are recommended
for Caterpillar Engines.

70

Caterpillar offers an air cleaner package

as optional equipment for all engines. The
Caterpillar air cleaner is matched to the
engine to meet its requirements; however,
vehicle requirements often result in the
choice of an alternate package. The following information will be helpful where modifications are made to the Caterpillar system or where an alternate system is used.
A. Service Life
The air cleaner must be sized so that
initial restriction is low enough to give
acceptable life within the maximum allowable restriction of the air inlet system.
Air Flow
Refer to the Industrial Engine Data Sheet.
The value given as combustion air flow
is for full load bhp at SAE conditions.
Restriction
Pressure drop across a typical air cleaner
will be 6.0 in. H2O (1.5 kPa) when clean.
the piping system might typically add
another 3.0 in. H2O (0.75 kPa) pressure
drop. For maximum permissible air restriction for a dirty air cleaner element refer to
the Industrial Engine Data Sheet. To provide for satisfactory engine performance
and adequate filter element service life,
the element should be sized as large as
practical. The 9.0 in. H2O (2.2 kPa) initial
pressure drop is an important measure
of the expected element service life.
Generally, the maximum initial (clean dry)
restriction recommendation is 15 in. H2O
(3.7 kPa). See the Industrial Engine Data
Sheet for specific engine limits.

Service Indicator

b. Use sonic dust feeder.

Vacuum sensing devices designed to

indicate the need for air cleaner servicing are commercially available and
when added to the air intake system,
serve a vital function. Either one of two
types is recommended for use. One is
a trip lock device which indicates that
the air cleaner condition is either satisfactory or when in need of service; it
has a red display. The trip or latching
type is preferred. The other type is a
direct reading gauge. Both measure
inlet restriction and, on NA engines,
would be connected to the inlet manifold. On turbocharged engines the recommended connection point would be
on the straight length of pipe immediately upstream of the turbocharger. If
the indicator is mounted on the air cleaner, the setting should be adjusted to
indicate need for service before the point
of maximum system restriction, producing engine performance degradation, is reached (since additional piping
restriction is encountered downstream
of the air cleaner).

c. Use AC fine dust.

B. Air Cleaner Efficiency

The air cleaner selection should be
based upon the following efficiency
considerations:
1. Performance Test
A satisfactory air cleaner must meet
the requirements of the SAE Air
Cleaner Test Code J726a, Section
8.1. The FILTER - SHOULD HAVE
99.5% EFFICIENCY MINIMUM as
calculated by this test code with additions and exceptions as follows:
a. Air flow corrected to ft3/min at
29.6 in Hg pressure and 90F
(m3/min at 99.9 kPa pressure and
32.2C).

d. Dust quantity determined by lightduty class.

e. Filter to be dried and weighed in
an oven at 200F to 225F (93C
to 107C) before and after test.
99.5% filtration of the AC fine dust
has been determined to be a practical combination of the kind of dirt
likely encountered in service at an
air cleaner efficiency expected to
give optimum engine wear life.
2. Dust Particle Size Effects
The above test procedure will have
established sufficient control on the
filter media particle size filtering ability of the tested air cleaner. Variables
needing further control include:
a. Choose filters supplied by manufacturers that can best provide
quality control.
b. Filters should be designed to be
resistant to damage at initial
assembly or during cleaning. End
seal and filter media both are subject to damage which can result in
dust leakage into the engine.
c. Dirt can be built into the piping at initial assembly, enter the system during the filter change, or be sucked
into leaks in the piping system.
Engine wear tests have shown that dust
particles under 1.0 micron (0.001 mm)
size have little effect on the engine.
99.5% of this dust will pass out through
the engine exhaust. 1.0 micron to

71

10 micron (0.001 mm to 0.01 mm) size dust

has a measurable effect on engine life; however, ONE TEASPOONFUL PER HOUR OF
125 MICRON (0.125 mm) SIZE DUST WILL
WEAR OUT AN ENGINE IN 24 HOURS.
Put another way, inlet air dust particle sizes
larger than bearing oil film thicknesses will
seriously affect bearing and piston ring life.

E. Exhaust Ejector
In extremely dusty environments where
dust and other particles cause air cleaners to plug up quickly, precleaners are
often used to extend the service life of air
cleaner elements. However, at the same
time, precleaners can often become an
added maintenance problem.

C. Two-Stage Air Cleaners

For conditions where dust concentrations
are higher or where increased service
life is desired air cleaners are available
with a precleaning stage. This precleaner
imparts a swirl to the air, centrifuging out
a major percentage of the dirt particles
which may be collected in a reservoir or
exhausted out on either a continuous or
an intermittent basis.
D. Oil Bath Air Cleaners
Oil bath air cleaners, while sometimes
required to meet customer specifications,
are not recommended by Caterpillar. At
best their efficiency is 95% as compared
to 99.5% for dry-type filters. Their relative ease of service and insensitivity to
water are advantages easily outweighed
by disadvantages such as:
Lower efficiency
Low ambient temperatures, low oil
level, low air flow (such as at low
idle), and installed tilt angle
lessens efficiency further.
Oil carry-over, whether resulting
from overfilling or increased air
flow, can seriously affect turbocharger and engine life.

72

An improved precleaner has been

designed as an integral part of any
exhaust aspirated air cleaner system.
Using a louvered body design, the precleaner has a very high separator efficiency. It will separate and remove over
90% of the dirt and chaff from the incoming air stream.
The system provides a good solution to
a difficult problem.

SYSTEM
The dry-type filter efficiency is not affected
by angle of orientation on the vehicle.
Special care should be taken, though, in
arranging the filter housing and the piping,
to ensure that dirt retained in the filter
housing is not inadvertently dumped into
the engine air supply by service personnel
during the air cleaner service operation. A
vertically mounted air cleaner with bottommounted engine supply pipe would be particularly vulnerable to this occurrence. For
applications involving off-highway operation, a filter design incorporating a secondary or safety element which remains
undisturbed during many change periods
should be used. Its higher initial cost is offset by its contribution to longer engine life.
A. Intake
The air inlet should be shielded against
direct entrance of rain or snow The
most common practice is to provide a
cap or inlet hood which incorporates a
coarse screen to keep out large
objects. This cap should be designed
to keep air flow restriction to a minimum. Some users have designed a
front air intake which gives a direct air
inlet and an internal means of achieving water separation.
Precleaners and prescreeners incorporated into the intake cap design are
also available. They can be used where
special conditions prevail or to increase
the air cleaner service life. These
devices can remove 70% to 80% of the
dirt. The prescreener is designed to
protect the inlet system when trash is
encountered.

B. System Design
Routing
In addition to locating the inlet so that
the coolest possible air from outside the
engine compartment is used, and
engine exhaust gas is not used, it is best
to locate the air piping away from the
vicinity of the exhaust piping when possible to do so. Air temperature to the air
inlet should be no more than 20F
(11C) above ambient air temperature.
Diameter
Piping diameter should be equal to or
larger than the air cleaner inlet and outlet and the engine air inlet. A rough guide
for pipe size selection would be to keep
maximum air velocity in the piping in
the 2,000 fpm to 3,000 fpm (10 m/s to
15 m/s) range.
Flexibility
To allow for minor misalignment due to
manufacturing tolerances, engine-toenclosure relative movement and isolate vibrations, segments of the piping
should consist of flexible rubber fittings.
These are designed for use on diesel
engine air intake systems and are commercially available. These fittings include
hump hose connectors and reducers,
rubber elbows, and a variety of special
shapes. Wire reinforced flexible hose
should not be used. Most material
available is susceptible to damage from
abrasion and abuse and is very difficult
to seal effectively at the clamping
points unless special ends are provided on the hose.

73

Pipe Ends and Hose Connections

Piping Support

Beaded pipe ends at hose joints are recommended. Sealing surfaces should be
round, smooth, and free of burrs or sharp
edges that could cut the hose. The tubing
should have sufficient strength to withstand the hose clamping forces. Avoid the
use of plastic tubing since it can lose much
of its strength when subjected to temperatures of 300F (149C) or above. Either T
bolt-type or SAE-type F hose clamps providing 360 seal should be used. They
should be top quality clamps. Double
clamps are recommended on connections
downstream of the air cleaner.

Bracing and supports are required for the

piping. The turbocharger inlet pipe must be
supported when its weight exceeds 25 lb
(11.3 kg). Unsupported weight on clamptype joints should not exceed 3 lb (1.4 kg).

Breakaway Joints
A breakaway joint allows the cab or hood to
tilt away from the engine compartment for
accessibility and servicing of the engine.
Half of the rubber seal flange remains on the
engine air intake and the other half of the
flange is secured to the enclosure or hood.
Breakaway joints may, if carefully designed,
be used upstream of the air cleaner but
never between the air cleaner and engine.
When breakaway joints are required choose
a joint designed for lifetime sealing under
the most severe conditions and needing little or no maintenance.

74

Straight Section Before Turbocharger

When possible, the piping to the turbocharger inlet should be designed to
ensure that air is flowing in a straight, uniform direction into the turbocharger compressor. A straight section of at least two
or three times pipe diameter is recommended because air striking the compressor wheel at an angle can create pulsations which can cause premature compressor wheel failure.

EXHAUST
Page
General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

76

Exhaust Silencer Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

76

Exhaust Backpressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

76

Piping

.................................................................

77

Exhaust Pyrometers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

78

75

EXHAUST
GENERAL
In order for an engine to produce its rated
horsepower, attention should be given to
exhaust gas flow restriction. Stringent legislation requirements on vehicle noise limits may require more restrictive exhaust
systems.
When checked by Caterpillars recommended method, the exhaust backpressure must not exceed limit given on the
Industrial Engine Data Sheet.
The exhaust piping must allow for movement and thermal expansion so that undue
stresses are not imposed on the turbocharger structure or exhaust manifold.
Never allow the turbocharger to support
more than 25 lb (11.3 kg).

a small increase in pipe size can cause an

appreciable reduction in exhaust pressure.
Since silencer restriction is related to inlet
gas velocity, in most cases a reduction in
muffler restriction for a given degree of sound
attenuation will require a larger silencer
with larger pipe connections.
It is essential that the system does not
impose more than the allowable maximum
backpressure.
Excessive backpressure can also cause
excessive exhaust temperature and loss of
horsepower. To avoid these problems,
exhaust system backpressure should be
calculated before finalizing the design.
Estimation of the piping backpressure can
be done with this formula.
0.22LQ2
____________
P=
D5 (460 + T)

EXHAUST SILENCER SELECTION

The muffler or silencer is generally the single element making the largest contribution
to exhaust backpressure. The factors that
govern the selection of a silencer include:
available space, cost, sound attenuation
required, allowable backpressure, exhaust
flow, and appearance.
Silencer design is a highly specialized art.
The silencer manufacturer must be given
responsibility for the details of construction.
For exhaust gas flow see the Industrial
Engine Data Sheet.

Where:
P = Pressure drop (backpressure)
measured in inches of water.
L = Total equivalent length of pipe in
feet.
Q = Exhaust gas flow in cubic feet per
minute.
D = Inside diameter of pipe in inches.
T = Exhaust temperature in F.

EXHAUST BACKPRESSURE

Values of D5 for common pipe sizes are

given below.

Sharp bends in the exhaust system will

increase exhaust backpressure significantly.
The pipe adapter diameter at the turbocharger outlet is sized for an average
installation. This size decision assumes a
minimum of short radius bends and reducers.
If a number of sharp bends are required, it
may be necessary to increase the exhaust
pipe diameter. Since restriction is proportional to the fifth power of the pipe diameter,

Nominal
Pipe Diameter
In Inches
____________
3.0
3.5
4.0
5.0
6.0

76

Actual
Inside Pipe
Diameter
In Inches ____
D5
_________
2.88
198.
3.38
441.
3.88
879.
4.88
2768.
5.88
7029.

To determine values of straight equivalent

length for smooth elbows use:
Standard 90 Elbow =
33 2 Pipe Diameter
Long Sweep 90 Elbow =
20 2 Pipe Diameter
Standard 45 Elbow =
15 2 Pipe Diameter
To determine values of straight pipe equivalent length for flexible tubing use:
L = Lf 2 2
Exhaust backpressure is measured as the
engine is operating under rated conditions.
Either a water manometer or a gauge measuring inches of water can be used. If not
equipped, install a pressure tap on a
straight length of exhaust pipe. This tap
should be located as close as possible to
the turbocharger or exhaust manifold on a
naturally aspirated engine, but at least
12 in (305 mm) downstream of a bend. If
an uninterrupted straight length of at least
18 in (457 mm) is not available (12 in
[305 mm] preceeding and 6 in [152 mm]
following the tap) care should be taken to
locate the probe as close as possible to the
neutral axis of the exhaust gas flow. For
example, a measurement taken on the outside of a 90 bend at the pipe surface will
be higher than a similar measurement taken
on the inside of the pipe bend. The pressure
tap can be made by using a 1/8 NPT half
coupling welded or brazed to the desired
location on the exhaust pipe. After the coupling is attached, drill a 0.12 in (3.05 mm)
diameter hole through the exhaust pipe
wall. If possible, remove burrs on the
inside of the pipe so that the gas flow is not
disturbed. The gauge or gauge hose can
then be attached to the half coupling.

PIPING
When routing the exhaust system, each of
the following factors should be considered:
1. Flexible joints are needed to isolate
engine movement and vibration and to
offset piping expansion and contraction. From its cold state, a steel pipe will
expand 0.0076 in per foot per 100F
(0.63 mm per meter per 37.8C) temperature rise. For example, the expansion of 10 ft (3.05 m) of pipe with a temperature rise of 50F to 850F (10C to
400C) is 0.61 in (15.49 mm). If not
accounted for, the piping movement
can exert undue stress on the turbocharger structure and the pipe supports.
The maximum allowable load that the
turbocharger is permitted to support is
25 lb (11.3 kg). This usually requires that
a support be located within 4 ft (1.2 m)
of the turbocharger, with a flexible connection located between the turbocharger and the support. Manifolds for
naturally aspirated engines can support up to 50 lb (22.7 kg).
Flexible joints should be located in a
longitudinal run of pipe rather than on a
transverse section. This allows flexibility
for engine side motion.
2. Water must not be permitted to enter
the engine through the exhaust piping.
On mobile machine installations, a low
horizontal exhaust pipe mounting is
sometimes used, but it is difficult to find
a place under the chassis where the
exhaust gas can be discharged without
adversely affecting some aspect of
machine design. The tailpipe should be
tipped to the side and inboard to avoid
noise bouncing off the road and excessive heat on the tires.

77

A vertical silencer mounting is more common. The exhaust outlet should be located
so that fumes do not enter the air cleaner
or the cab under any operating condition of
the machine. Water protection for vertical
systems can involve these items:
A. Rain cap.
B. A bend at the outlet is quite common. If
it is the sole method of excluding moisture, the bend should be a full 90, and
the exhaust outlet directed towards the
rear of the machine. However, local laws
should be considered since silencing
effectiveness may be altered.

78

C. Drain holes near a low point in the piping are used. Holes smaller than 1/8 in
(3.17 mm) have a tendency to become
plugged, and unfortunately holes of that
size or larger are likely to be a source
of noise and focus for corrosion.
Consider installing a small drained expansion chamber to the piping.
EXHAUST PYROMETERS
An exhaust pipe thermocouple and related
instrument panel-mounted pyrometer is
sometimes installed. Care should be taken
in mounting the thermocouple so as to not
increase the exhaust backpressure.

COOLING
Page
General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

80

Radiator Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

81

Cooling Capability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

82

Filling Ability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

83

Pump Cavitation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

83

Cooling Level Sensitivity (Drawdown) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

83

Air/Gas Venting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

84

Shunt-Type Radiators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

84

Other Radiator Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

85

Radiator Core . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Water Treatment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Antifreeze Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Coolant Conditioners and Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Plumbing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

87

Fan Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Fan Diameter and Speed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Fan Performance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Fan Shrouds and Fan Location . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Air Flow Losses and Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Obstructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Gauges and Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

90

Water Temperature Gauges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90

Warning Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Block Heaters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Heat Exchanger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

91

Expansion Tank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

92

79

COOLING
GENERAL
A No. 2 diesel fuel, when mixed with the
proper amount of air and compressed to the
ignition temperature, will produce in excess
of 19,500 Btu/lb of fuel (45,500 kJ/kg). As a
general rule, one-third of this energy will be
used to produce useful work, one-third will
be discharged into the exhaust system, and
one-third will be rejected into the cooling
system of an engine.
The cooling system consists of two parts
which must be compatible to perform the

necessary function of limiting the temperature of the engine components. A specific

quantity of coolant flow and a flow path is
provided by the engine design. One part of
the cooling system comprises all the areas
within the engine that limit component temperature and collect the energy transferred
during combustion. The other part is the
external component that transfers heat to
the atmosphere (radiator) or to a cooling
liquid medium (heat exchanger). A typical
radiator and heat exchanger system is
shown in Figures 44 and 45, respectively.

Figure 44

RADIATOR COOLING
CONTROLLED OUTLET THERMOSTATS

Figure 45

HEAT EXCHANGER COOLER

CONTROLLED INLET THERMOSTATS

80

Caterpillar provides a radiator or heat exchanger and expansion tank system

designed to perform satisfactorily with each
engine manufactured and to be compatible
with various power levels selected. Modifications to the cooling packages are not
acceptable without approval because of
possible disturbance to coolant flow paths.
The expansion tank and heat exchanger
perform the same function as the radiator.
Whereas a radiator fan provides air flow
through the cooling fins of the radiator to
transfer coolant heat to the air, an external
coolant supply passes through the tubes
of the heat exchanger to accomplish heat
transfer.
On 3400 and 300 Series Engines the thermostats in the heat exchanger systems
sense coolant temperature supplied to the
engine jacket water circulating pump rather
than the coolant discharged from the
engine cylinder heads, as in radiator and
heat exchanger systems of Models 3208,
3304, 3306, and D353. The pump inlet
temperature-controlled heat exchanger
system provides less variation in temperature because bypass coolant and heat
exchanger flow mix at the thermostat sensing bulb and in the expansion tank before
passing to the pump. Water pump inlet pressure is greater because the external cooling
restriction is eliminated from the flow path.
The material handling and agricultural
business includes many different applications of industrial engines. But, for the most
part, the cooling system requirements are
not unique. With the exception of pumping
applications and some permanent on-site
compressor applications, radiators are used
for engine cooling. Although Caterpillardesigned cooling packages are recommended for many applications, there are
occasions where equipment manufacturers prefer to supply their own radiators,

partly because the large majority of mobile

equipment applications cannot be adequately served by Caterpillar industrial
radiators.
RADIATOR STRUCTURE
Caterpillar industrial radiators such as the
3200 and 3300 Series unit construction
type and the 3400 Series bolted core are
not designed for mobile equipment applications. Applications of these radiators
require isolation from machine vibration,
and large impact loads. The maximum
total amplitude of vibration allowed at any
point on the radiator core is 10 mil (5 mil).
Core isolation is provided by rubber mounts
from the radiator frame sufficient to limit
core vibration amplitude for relatively high
frequency vibration; but low frequency
vibration in the order of 15 Hz may amplify
radiator core motion beyond 10 mil. In these
cases special machine frame or radiator
support modifications must be made.
Mobile equipment applications require
radiator construction which incorporates
bolted top and bottom tanks with side
channel support. Reinforcing strips should
be used on both sides of the core headerto-tank bolted joint to limit distortion.
Compressed rubber is often incorporated
between the core and the inboard side of
the channel members to provide additional
core support.
Since many of the radiators used by equipment manufacturers will not be Caterpillar
designed, a complete evaluation of the
cooling system is required to prove the
capability of the system. Reference material
for such an evaluation is provided by Engine
Data Sheet EDS 50.5. Another useful reference for evaluating radiator top tank
design is provided by EDS 52.1.

81

COOLING CAPABILITY
Caterpillar requires the maximum coolant
discharge temperature to the radiator to be
210F (98C) for sea level operation and
recommends a minimum ambient capability
of 110F (42.9C) during full load operation at all operating speeds. This includes
all additional heat loads which might be
imposed on the cooling system such as
torque converter coolers or air-to-oil coolers
which might be added in front of the radiator.
As indicated in EDS 50.5, certain measuring devices are required to evaluate cooling capability. A suitable method for measuring engine power could be a fuel meter,
fuel setting indicator (rack position), or
dynamometer. Additional measured data
are engine speed, coolant temperatures in
and out of radiator, air temperature to the
radiator (several locations), and ambient
air temperature which is sampled far
enough from the machine to eliminate
effects of heat generated by the operating
machine.
Location of the test site should be such
that heated air which has passed through
the radiator is not forced back through the
radiator in an unrealistic manner by walls
or other adjacent structures (recirculation
of air). Recirculation of air can also be an
inherent characteristic of the cooling system, but should be avoided. Locating narrow strips of cloth on small pieces of wire
fastened at various locations around the
outside surface of the radiator provides an
excellent flow path indicator. Another useful tool for indicating air flow path can be
made by attaching a narrow strip of cloth
to the end of a long piece of wire which
can be used as a probe around the engine
or radiator periphery. Baffling of the radiator or air flow directors are often necessary
to ensure that unheated ambient air is
directed to the radiator for most effective
cooling. This is an insidious problem which
should not be overlooked.

82

Cooling capability of a radiator and torque

converter cooler are referenced to a 70%
efficiency operating level as a general
design consideration. Normally, the performance characteristics of speed and torque
ratio, input and output power, and the heat
generated by lost power is provided by the
torque converter manufacturer. The efficiency characteristic will be associated with
an engine speed, and cooling system operating characteristics should be observed at
this engine speed whenever possible.
Equipment manufacturers often find that
imposing a load on the engine is difficult to
accomplish during cooling test operations.
Direct drive machines are the most difficult
and usually require that some type of
dynamometer or other load absorbing
device be fastened to the output shaft.
Torque converters can be used as load
absorbing devices if a separate cooling
method (such as cold plant water) is provided to the cooler. Extended operation at
converter stall can be accomplished allowing all coolant temperatures to stabilize
without excessive torque converter oil temperature. Note, however, that the cooling
capability established in this manner does
not include the equivalent of 30% flywheel
horsepower which would normally be
cooled by the engine cooling system. This
must be included by calculation in the
same manner as the calculation shown in
EDS 50.5 for extrapolating observed temperature data to 210F (90C) radiator top
tank conditions. The additional heat load
which must be added is 30% of flywheel
horsepower multiplied times 42.4 Btu/
min/hp.
Some correction factors to the observed
ambient air temperature capability for the
machine must not be overlooked. Altitude
above sea level reduces the density of air
and its ability to cool the radiator. A good
correction factor is 2.5F (1.38C) deducted

from the observed ambient temperature

capability for each 1,000 ft (304.9 m) above
sea level.
Another correction which must be included
is the effect of antifreeze. The ability to
transfer heat diminishes when water is
mixed with ethylene glycol. Antifreeze solutions of 50% will reduce ambient temperature capability approximately 6F (3.3C).
FILLING ABILITY (Reference EDS 50.5)
The cooling system must accept a bucket
fill method (interrupted) and continuous fill
method at a minimum rate of 5 gpm
(18.9 L/min) without air lock (false fill). The
coolant should not be below the qualified
low operating level after engine start and
warm-up. The low coolant level is established during drawdown tests. False fill is a
potential problem with all types of radiators
but especially with shunt-type radiators on
low profile machines.
Several items regarding filling problems
are worthy of special mention. The engine
outlet hose (to radiator) should slope
upward continuously as should all air vent
lines from the engine to the radiator top
tank. Vent lines should enter as near to the
top of the tank as possible. The shunt line
on a shunt-type radiator should be as large
as possible, should slope downward continuously toward the water pump, and
should be connected as close as possible
to the inlet of the engine cooling water
pump. The shunt hose opening in the radiator should be as low as possible in the
upper chamber of the baffled tank. Do not
overlook the effect of filling characteristics
when the machine is resting on a slope or
uneven ground.
PUMP CAVITATION (Reference EDS 50.5)

state (boiling point). In the cooling system

pump inlet, a gas or vapor bubble will displace liquid and reduce the amount of liquid
that can be pumped. This loss of pumping
volume can be observed as a loss in water
pump pressure rise. The maximum pump
rise loss that is acceptable at the cavitation
temperature is 10% of the pressure rise
observed at 120F coolant temperature to
the pump while operating at rated speed.
The acceptable cavitation temperature for
a given engine is 210F (98C) minus the
temperature rise across the engine when
fully loaded. EDS 50.5 shows a method for
calculating temperature rise. As a general
rule, the temperature rise will be in the
range of 10F to 15F (5.5C to 8.3C). The
TIF provides heat rejection to jacket water
and pump flow which allows temperature
rise calculations.
Cavitation characteristics observed during
an evaluation can be affected by the system air venting capability. If air venting
problems are present, the cavitation temperature should be rechecked after a solution to the venting problem is found.
COOLING LEVEL SENSITIVITY
(DRAWDOWN)
(Reference EDS 50.5)
The drawdown capability from full level
with 180F (82C) pump inlet temperature
and engine operating at rated speed must
be 12% of the total system volume with no
more than a 10% loss in pump pressure
rise. This level, so established, is the low
level reference position and should be
marked in such a manner that it can be
accurately detected by visual inspection. A
metal plate or sight glass should be provided. The 12% value is appropriate for a
system which uses a 7 psi pressure cap,
but lower pressure systems should provide
16% drawdown capability.

Given the proper conditions of pressure and

temperature, all liquids will form a gaseous

83

An open volume above the cold full level

should be 10% of the total system volume
to allow for expansion of the coolant during
warm-up and for additional expansion due
to afterboil, during shutdown of a hot engine.
The cold full level should be established
with a fill tube which extends into the top tank
below the top surface enough to establish
the correct volume. See EDS 52.1. A small
air bleed hole (0.12 in. diameter [3.0 mm
diameter]) in filler tube, just below top of
radiator top tank is required to render this
expansion volume usable.
Shunt-type radiators, and especially those
which are used in low profile machines,
are occasionally marginal for expansion
and afterboil volume. This may cause discharge of liquid sufficient to lower the cold
level near the shunt tube opening. This, in
combination with start and warm-up of the
machine on a side slope, may allow induction of air into the cooling system. Large
quantities of air induction may cause an
additional discharge of liquid. Such a condition, if not detected, may cause overheating. Location of a shunt tube on the
side of a top tank accentuates the sensitivity to tilted operation.
AIR/GAS VENTING
(Reference EDS 50.5)
A certain amount of combustion gas leakage and entrained air must be vented from
the cooling liquid. The venting requirement
for each engine is shown in EDS 50.5.
Separation of gas from a liquid medium
requires a low coolant velocity at the top of
the radiator and a relatively quiescent flow.
The coolant velocity across the top of a
radiator core should be approximately
2 fps (9.4 cm/s). Another way of stating
this limit is based on the rate of change of
the fluid volume above the core. The maximum rate of change of volume should be

84

200 changes per minute. For example, if the

volume of water above the core is 1 gal and
the engine coolant flow rate is 1.10 gpm,
the 1 gal volume would be changed
110 times per minute. In the case of the
shunt-type radiator, the volume between
the baffle and core should receive the same
maximum volume change rate.
SHUNT-TYPE RADIATORS
A shunt cooling system helps prevent
pump cavitation by maintaining a positive
pressure head of coolant at the pump inlet
at all times. The radiator top tank is divided into two compartments (upper and
lower) with a small air/coolant bleed or baffle vent tube connecting them. A shunt line
located as low as possible in the upper
chamber directs coolant to the circulating
pump inlet. When the coolant reaches the
temperature required to open the thermostat, the coolant is directed to the lower
chamber of the radiator top tank, across
the top of the radiator core, and down
through the core to the circulating pump
inlet. The small baffle vent connecting the
lower compartment to the upper should be
located remote from the primary entry of
coolant into the lower chamber. Air or gas
which is entrained in the coolant tends to
separate from the coolant, if a low velocity is
provided, and it collects above the core on
the bottom of the baffle, to be carried up
through the small baffle tube where it collects at the top of the upper chamber and
is eventually discharged through the pressure cap. The deaerated coolant in the upper
compartment flows slowly down the shunt
tube to the pump inlet and provides a nearly static pressure. The shunt tube should
pro-gress downward continuously without air locks. Use as large an inside diameter as possible with one inch minimum
preferred. (See Figure 46.) Any vent tube
provided from the engine should be connected near

Figure 46

SHUNT COOLING SYSTEM

the top of the upper compartment. In some

extreme cases, the space allotted to the
radiator is so small that the top tank must
be limited in size. For these cases a
remote shunt tank can be used in available
space to provide the same function as an
integral top tank. Under no circumstances
can the remote tank be located below the
radiator top tank or any extremity of the
engine cooling system. Design criteria for
all expansion and top tanks remains the
same in regard to required expansion volumes, reserve, and fill characteristics. See
EDS 52.1.
OTHER RADIATOR CONSIDERATIONS
Radiator inlet and outlet diameters should
be the same or, if possible, larger on the
outlet and should be located on diagonally
opposite sides to limit channeling of
coolant flow on one side of the core. The
bottom tank height of the radiator should
be no less than the outlet tube diameter.

Radiator Core
Core frontal area should be as large as
possible to minimize restriction to air flow.
Low radiator core restriction usually results
in being able to provide a larger diameter,
quieter, slower turning fan, which demands
less drive horsepower. Radiators which
are nearly square can provide the most
effective fan performance. They can be
installed with a minimum of unswept core
area. As a general rule, keep core thicknesses to a minimum with a maximum of
11 fins per inch. Increasing the number of
fins per inch does increase the radiator
heat rejection for a given air velocity
through the core but at the cost of increasing the resistance to air flow. While the
most economical initial cost will be maximum core thickness and fins per inch, this
involves higher fan horsepower with consequent operating cost and noise penalties throughout the life of the installation. In
addition, a radiator with more fins per inch
is much more susceptible to plugging from
insects and debris.

85

Water Treatment

Antifreeze Protection

Of prime consideration in any closed cooling system is the proper treatment of the
cooling water. The water should be treated
to ensure that neither corrosion nor scale
forms at any point in the system. Usually
water hardness is expressed in grains per
gallon; one grain being equal to 17.1 parts
per million (ppm) expressed as calcium
carbonate. Water containing up to 3.5 grains
per gallon is considered soft and causes
few deposits.

Installations which expose the engine

coolant to subfreezing temperatures necessitate the addition of antifreeze to the water
system. Ethylene glycol or Dowtherm 209
are recommended to protect against freezing and to inhibit corrosion. Borate-nitrite
solutions such as Caterpillar corrosion
inhibitor or NALCO 2000 are compatible
only with ethylene glycol and can be used
to replenish the original corrosion inhibitors
in the antifreeze.

Usable water must have the following characteristics:

pH
Chloride and Sulfate
Total Dissolved Solids
Total Hardness

6.5 to 8
100 ppm
500 ppm
200 ppm

Water softened by removal of calcium and

magnesium is acceptable.
A corrosion inhibitor is then added to the
system to keep it clean, reduce scale and
foaming, and provide pH control. With the
addition of an inhibitor, a pH of 8.5 to 10
should be maintained. The inhibitor must
not damage hoses, gaskets, or seals.
Caterpillar cooling corrosion inhibitor is
compatible with ethylene glycol base
antifreeze but cannot be used with
Dowtherm 209. A 3% to 6% concentration
of inhibitor is recommended. Soluble oil or
chromate solution should not be used
because of damaging effects on water
pump seals.
NOTE: In cases where there is a possibility of the cooling water coming into contact
with a domestic water supply, water treatment may be regulated by local codes.

86

COOLANT FREEZING AND BOILING

TEMPERATURES US. ETHYLENE GLYCHOL
CONCENTRATION
Figure 47

Coolant Conditioners and Filters

PLUMBING

All 3400 Series direct injection Engines

require the use of a chemical coolant conditioner. The conditioner reduces potential
cylinder block and liner pitting and corrosion.

Piping between the engine and radiator

should be flexible enough to provide for
relative motion between the two. Hoses
less than 6 in (15.24 cm) in length provide
little flexibility and are difficult to install. If
the hose is more than 18 in (45.7 cm) in
length, it is susceptible to failure from
vibration or coming loose at the connections. Support the piping with brackets,
when necessary, to take weight off a vertical joint. High quality hose, clamps, and fittings are a prerequisite for long life and are
necessary to avoid premature failure. It is
also necessary to bead pipe ends to
reduce the possibility of a hose blowing off.
Double clamps are desirable for all hose
connections under pressure. Vent lines
and shunt lines must slope downward
without high or low areas that may trap air
and cause an air lock. In order to maintain
the correct flow relationship in a baffled
radiator top tank, it is recommended that
no lines tee into the shunt or vent lines.

A. Consult the factory for suitable coolant

conditioners which should be applied
and maintained in accordance with
published instructions.
B. If a dry charged additive water filter is
selected, the following plumbing recommendations should be followed.
1. The filter inlet and outlet are ordinary
0.375 in (9.5 mm) inside diameter
rubber hoses. Connect the hoses to
obtain the highest possible coolant
pressure differential across the unit.
Heater hose connecting points at
the coolant pump inlet and the temperature regulator housing are recommended. If uncertain, plumb the
inlet to a point on the discharge side
of the water pump and the outlet to
a point near the water pump inlet.
2. The outlet should be orificed with a
0.125 in (3.2 mm) internal diameter
orifice. This will prevent excessive
coolant flow through the filter which
can bypass the radiator core and
reduce effectiveness of the cooling
system. Inlet and outlet lines should
include shutoff valves so the filter
can be serviced without draining the
cooling system.

FAN RECOMMENDATIONS
A. Fan Diameter and Speed
As a general rule, the most desirable
fan is one having the largest diameter
and turning at the lowest speed to deliver the required air flow. This also results
in lower fan noise and lowest fan horsepower draw from the engine. Blade tip
speed, while being only one of the elements of cooling fan design, is an item
easily changed with choice of fan drive
pulley diameter. An optimum fan tip
velocity of 14,000 fpm (7112 cm/s) is a
good compromise for meeting noise legislation requirements and cooling system
performance requirements. Maximum
acceptable tip speed is 16,000 fpm
(9144 cm/s) for Caterpillar fans.

87

B. Fan Performance
Proper selection and placement of the
fan is critical to the efficiency of the
cooling system. It requires careful
matching of the fan and radiator by
determining air flow needed and static
air pressure which the fan must overcome. This must be done since most
discrepancies between cooling system
calculated performance and test results
are traceable to the air side and directly related to items affecting fan air flow.
There are two major considerations for
proper fan selection:
1. Air flow needed to provide the
required cooling.
2. Select a fan that provides the
required air flow, and one that is relatively insensitive to small changes in
static pressure. This desired design
point is where a small change in static pressure does not cause a large
change in air flow. Selecting a lower
pressure point is not recommended
as it could be in the unstable stall
area where a small change in static
pressure causes a large change in
air flow. Performance curves for
available Caterpillar fans are shown
as air flow (cfm), static pressure
head, (inches of water, gauge) and
horsepower in TMI. The Caterpillar
curves are based on standard air
density, an efficient fan shroud, and
no obstructions.
This is a theoretical air flow which is
seldom possible because of some
obstruction. Theoretical air flow sometimes can be approached with the
fan in a properly designed close fitting shroud with no more than
0.0625 in (1.6 mm) blade tip clearance. Such a close fitting shroud is

88

not practical, and tip clearance is

increased; a 0.5 in (12.7 mm) clearance is generally recommended.
When a fan speed different from
those shown in the curves is needed,
the additional performance data can
be calculated using these fan rules:
For Speed Changes
cfm2 = cfm1

rpm 2
____
rpm1

Ps2 = Ps1

( )
( )

hp2 = hp1

rpm 2
____
rpm1

rpm 2
____
rpm1

For Diameter Changes

cfm2 = cfm1

Ps2 = Ps1

hp2 = hp1

( )
( )
( )
Dia 2
____
Dia1

Dia 2
____
Dia1

Dia 2
____
Dia1

For Air Density Changes

Ps2 = Ps1

r2
___
r1

hp2 = hp1

r2
___
r1

Ambient Capability Adjustments

(Air Flow or Fan rpm Changes)
nT2 = nT1

nT2 = nT

( )

cfm1 0.7
____
0.
cfm 2 .

( )
rpm
1
____
0.
rpm 2 .

0.7

Maximum Ambient Capability =

210 nT2
cfm = Air flow in cubic feet per minute.
rpm = Fan speed in revolutions per
minute.
Ps = Stack pressure in inches of
water.
hp = Fan horsepower.
Dia = Fan diameter in inches.
r = Air density in pounds per cubic
foot.
nT = Coolant top tank temperature
minus ambient air temperature.
C. Fan Shrouds and Fan Location
Two desirable types of shrouds are:
venturi and box.
Maximum air flow and efficiency is provided by a tight fitting venturi shroud
with sufficient tunnel length to provide
straight air streamlines. Small fan
clearances require a fixed fan or an
adjustable shroud. Although they are
somewhat less efficient than the venturi shroud, box type shrouds are most
commonly used because of lower cost.
Properly positioned, a simple orifice
opening in the box shroud is practical.
Straight tunnel shrouds are usually less
effective than venturi or box shrouds.

The fan tip clearance should be 0.5 in

(12.7 mm) or less. A properly designed
shroud will:
1. Increase air flow.
2. Distribute air flow across core for more
efficient use of available area.
3. Prevent recirculation of air.
As a general rule, suction fans should
be no closer to the core than the projected blade width of the fan. Greater
distance gives better performance.
Consider also that engine-mounted
items close to the back side of the fan
can introduce vibrations into the fan to
cause fan failure, increase fan noise,
and reduce air flow. Suction fans should
be positioned so that two-thirds of the
projected width is inside a box shroud
orifice plate while a blower fan position
is one-third inside the shroud.
D. Air Flow Losses and Efficiency
Obstructions
Particular attention should be given to
items restricting air flow, both in front of
the radiator and to the rear of the fan.
The additive affects of guards, bumpers,
grills, and shutters in front of the radiator,
pulleys, idlers, engine-mounted accessories, and the engine itself behind the
fan can drastically reduce air flow.

89

GAUGES AND DEVICES

A. Water Temperature Gauges
The size and location of the water temperature gauge connection is shown on
the Engine General Dimension Drawing
available in the Industrial Drawing
Book. Be certain the temperature bulb
is located in the water flow. Use of a pipe
fitting reducer may remove the bulb
from the coolant stream and cause an
erroneous reading. The gauge should
be marked with a red band or warning
at 210F (98C) and above.
B. Warning Devices
A large number of warning devices are
available to indicate high coolant temperature, low radiator top tank level,
loss of coolant flow, and air in the water.
These should be installed in accordance with the manufacturers recommendations. A temperature sensing unit
should be set so that warning is given
at 210F (98C) engine outlet (top tank)
temperature, or lower. Caterpillar recommends this device be part of every
installation and should be of high quality
with accuracy of 2F (1.1C). Depending on engine model, this unit should be
mounted on the cylinder head or coolant
regulator housing to monitor the coolant
temperature as it leaves the engine to
the radiator top tank.

block and heads when the heater is

operating and to avoid overheating
caused when coolant recirculates
through the heater during normal engine
operation. The principle involved in
operation is called thermosyphoning.
The heated coolant rises in the tank or
block. Since the coolant system is a
closed loop, the rising hot coolant will
be replaced by cold coolant and circulation results. Some heater systems
incorporate coolant pumps. To prevent
coolant bypassing the cylinder heads
during engine operation, a check valve
must be included in the block heater
circuit. Many external heaters have
built-in check valves, but test the heater
first before installing it to be sure. Pour
water in the outlet of the heater; the
check valve should prevent the water
from flowing through the heater. If the
block heater chosen does not contain
an integral check valve, one must be
installed. The check valve should be
installed on the inlet side of the tank.
The inlet to the heater should be taken
near the oil cooler outlet for optimum
flow. The outlet should be directed
upward to the engine connection without loops or downward turns to as high
a point in the cylinder heads as possible.
The greatest mixing and flow should
occur by connecting to the rear of the
engine cylinder head. Vee engines
often require two heaters to provide
adequate circulation of coolant through
both banks.

C. Block Heaters
Devices which heat engine coolant to
provide faster engine warm-up are commonly called engine block heaters.
They fall into two categories: internal or
immersion type and external or tank type.
Correct installation of the external type
is very important to ensure adequate
coolant circulation through the cylinder

90

The outlet from the heater tank should

be directed upward to the engine connection with no loops or downward
turns. If the engine connection is made
at the normal block drain, a tee fitting
and drain plug in this line is recommended.

HEAT EXCHANGER
Most shell and tube heat exchangers are
of either the single-pass or the two-pass
type. This designation refers to the flow in
the cold water circuit of the exchanger. In
the two-pass type, the cold water flows
twice through the compartment where
jacket water is circulated; in the singlepass type only once. See Figure 48. When
using a single-pass exchanger, the cold
water should flow through the exchanger
in a direction opposite to the flow of jacket coolant to provide maximum differential
temperature and heat transfer. This results
in improved heat exchanger performance.
In a two-pass exchanger, cooling will be
equally effective using either of the jacket
water connection points for the input and
the other for return.

For a given jacket water flow rate, the performance of a heat exchanger depends on
both the cold water flow rate and differential temperature. To reduce tube erosion,
the flow rate of the cold water through the
tubes should not exceed 6 fps (183 cm/s).
The heat exchanger should be selected to
accommodate the cold water temperature
and flow rate needed to keep the temperature differential of the jacket water below
about 15F (8.3C) at maximum engine heat
rejection. Thermostats must be retained in
the jacket system to assure that the temperature of the jacket water coolant returned to
the engine is approximately 175F (79C).
Heat exchangers should be sized to accommodate a heat rejection rate approximately
10 percent greater than the tabulated engine
heat rejection. The additional capacity is

HEAT EXCHANGER TYPES

Figure 48

91

intended to compensate for possible variations from published or calculated heat

rejection rates, overloads, or engine malfunctions which might increase the heat
rejection rate momentarily. It is not intended
to replace all factors which affect heat transfer, such as fouling factor, shell velocity, etc.
Occasionally, special applications exist
which require an inboard heat exchanger
size not available as a Caterpillar unit.
When these conditions exist, it is necessary
to obtain a heat exchanger from a supplier
other than Caterpillar. Heat exchanger
suppliers will provide information and aid
in selecting the proper size and material
for the application.
Since heat exchanger tubes can be cleaned
more easily than the surrounding jacket; the
cold water usually is routed through tubes
and the engine coolant through the shell.
EXPANSION TANK
Unlike radiators, heat exchangers have no
built-in provision for jacket water expansion. A surge (expansion) tank or tanks
must be included in a heat exchanger system. A factory-designed tank is normally
specified to assure proper performance of
the total system.
Water expands about 5% of its volume
between 32F and 212F (0C and 100C).
The expansion tank should have a capacity
of at least 20% of the system water volume
for this expansion and coolant reserve. It
must be vented to the atmosphere or incoporate a pressure cap to assure system
pressure. It must be located after the heat
exchanger to prevent the formation of a
vacuum, a primary cause of cavitation on
the suction side of the pump.

92

Provision is made in all Caterpillar expansion tanks to deaerate the jacket water to
prevent the formation of air pockets within
the system and minimize pump cavitation.
Entrained air encourages both corrosion
and erosion in the engine. Coolant may be
lost because air will expand more than
water when it is heated. Entrained air is
caused by air trapped during a fill operation, combustion gases leaking into the
cooling system, leaks in piping (particularly on inlet side of pump), or low water level
in the expansion tank. A low velocity area
is provided where deaeration can occur.
Entrained air separates from the water
because the tanks are sized and baffled to
slow the full water flow to less than 2 fps
(60 cm/s).
The expansion tank is the highest point in
the jacket water circuit. The heat exchanger must be mounted at a level lower than
the coolant in the expansion tank, preferably several feet. The system should be
designed so the total jacket water flows
from the engine outlet to the heat exchanger, to the expansion tank, and back to the
jacket water pump inlet. This facilitates
purging of air and also creates a positive
pressure at the jacket water pump inlet.
Caterpillar expansion tanks should be
used on all installations with heat exchanger cooling, unless customer-supplied tank
has successfully met all Caterpillar cooling
system test criteria.

LUBRICATION
Page
General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

94

Prelubrication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

94

Duplex Oil Filter System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

95

Scheduled Oil Sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

95

Lubricating Oil Heaters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

96

High Sulfur Fuels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

96

Remote Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

97

Tilt Angles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

97

Lubricating Oil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

97

Supplemental Bypass Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

93

LUBRICATION
GENERAL

PRELUBRICATION

The lubricating system of a modern diesel

engine accomplishes three purposes. First,
it lubricates surfaces to minimize friction
losses. Second, it cools internal engine
parts which cannot be directly cooled by
the engines watercooling system. Third, it
cleans the engine by flushing away wear
particles.

All 3500 Family engines have the capability

to prelubricate all critical bearing journals
before energizing the starting motors. This
feature is available regardless of starter
motor type (i.e., pneumatic or electric).

Proper lubrication requires clean oil, free

from abrasive particles and corrosive compounds. It also requires a lubricant with
sufficient film strength to withstand bearing
pressures, low enough viscosity index to
flow properly when cold, and high enough
to retain film strength when subjected to
heat exposure on cylinder and piston walls.
The lubricant must also be capable of neutralizing harmful combustion products and
holding them in suspension for the duration of the oil change period. Your local
Caterpillar Dealer should be consulted to
determine the best lubricant for local fuels.
Solid particles are removed from the oil by
mechanical filtration. The size of the mesh
is determined by the maximum particle
size that can be circulated without noticeable abrasive action. The standard oil filter
systems on Caterpillar Engines meet
these requirements and are sized to provide reasonable time intervals between
element changes. The filter change intervals relate to oil change periods.
Caterpillar filters are designed to provide
excellent engine protection. Use of genuine Caterpillar elements is encouraged
for adequate protection of your engine.

94

The automatic system utilizes an electric

motor powered pump which fills the engine
oil galleries from the engine oil sump until
the presence of oil is sensed at the upper
portion of the lubrication system. The
starter motors are automatically energized
only after the engine has been adequately
prelubricated.
The manual system uses the engines
manually operated sump pump and allows
the engine operator to fill all engine oil passages after oil changes, filter changes,
periods of idleness, and before activating
the starter motors.
Either prelube system will allow the engine
operator to fill all engine oil passages after
oil changes, filter changes, and before
activating the starter motors. Either system
will allow the engine user to reduce the
sometimes severe engine wear associated
with starting an engine after periods of
idleness.

DUPLEX OIL FILTER SYSTEM

The optional Caterpillar duplex oil filter
system meets the requirements of the
standard filter system plus an auxiliary filter system with the necessary valves and
piping, Figure 49. The system provides the
means for changing either the main or auxiliary filter elements with the engine running at any load or speed. A filter change
indicator is included to tell when to change

the main filter elements. A vent valve

allows purging of air trapped in either the
main or auxiliary system when installing
new elements. AIR MUST BE PURGED
FROM THE CHANGED SECTION TO ELIMINATE POSSIBLE TURBOCHARGER AND
BEARING DAMAGE. The auxiliary system
is capable of providing adequate oil filtration for at least 100 hours under full load
and speed operation. The same filter elements are used in both systems.

DUPLEX LUBE OIL FILTER

Figure 49

SCHEDULED OIL SAMPLING

Many Caterpillar Dealers offer Scheduled
Oil Sampling as a means of determining
engine condition by analyzing lubricating oil
for wear particles. This program will analyze the condition of your engines, indicate
shortcomings in engine maintenance,
show first signs of excessive wear which
would mean an upcoming failure, and help
reduce repair costs.

This program will not indicate the condition

of the lube oil nor predict a fatigue or sudden failure. Caterpillar recommendations
for oil and oil change periods are published
in service literature. Caterpillar does not
recommend exceeding the published oil
change recommendations.

95

LUBRICATING OIL HEATERS

Heating elements in direct contact with
lubricating oil are usually not recommended due to the danger of oil coking. To avoid
this condition, heater skin temperatures
should not exceed 300F (150C) and
have a maximum heat density of 8 W/in2
(12.5 W/1000 mm2).
HIGH SULFUR FUELS
Caterpillar lube oil change period recommendations are based on the use of diesel
fuels containing 0.4% or less of sulfur by
weight. Fuel sulfur can produce rapid
engine wear. Fuels of higher sulfur content
than 0.4% will require reducing the oil
change interval. Shortened oil change

Figure 50

96

periods reduce the corrosive effect of the

sulfuric acid that is formed by the sulfur
and other byproducts of combustion. (See
Figure 50.)
The properties of the specific lube oil
used, load factor, and other variables may
affect the rate of wear due to sulfur. The
lube oil supplier should be consulted for
the analysis parameters and limits which
will assure satisfactory engine performance with his products.
The alkaline reserve level of the lube oil
is important when high sulfur fuel is
used. Caterpillar limits have not yet been
established.

REMOTE FILTERS

TILT ANGLES

Some Caterpillar Engines have the capability for remote mounting the oil filter when
space limitation or serviceability is a problem. However, authorization from Caterpillar
Tractor Co. must be obtained before making any modification to the engine lubrication system.

Installations at a permanent tilt or slant

angle should be reviewed by Caterpillar
Tractor Co. to ensure the lubrication system will function properly.

While remote filters have more potential for

oil leaks, they seldom cause problems
when the following recommendations are
followed:
A. Exercise cleanliness during removal
and installation of oil filters and lines.
Keep all openings covered until final
connections are made.
B. Use medium pressure, high temperature (250F [120C]) hose equivalent to
or exceeding SAE 100R5 specification.
C. Keep oil lines as short as possible.
D. Support hose as necessary to keep from
chafing or cutting on sharp corners.
E. Use care in connecting oil lines so the
direction of oil flow is correct. (CAUTION:
ENGINE DAMAGE WILL OCCUR IF
OIL FILTER IS IMPROPERLY CONNECTED.)

Transient tilt angle limits are shown for all

engines in the TIF.
LUBRICATING OIL
Oils meeting Engine service classification
CD or MIL-L-2104C are recommended for
Caterpillar Engines. As shown in Figure 51,
multigrade oils are acceptable.
SUPPLEMENTAL BYPASS FILTERS
Caterpillar Engines do not require a supplemental bypass oil filter system, but one
can be installed if requested by the user. If
used, system must have a non-drainback
feature when the engine is shut down and
a 0.125 in maximum diameter orifice limiting flow to 2 gpm (7.57 L/min). Refer to the
engine general dimension drawings for the
recommended bypass filter supply location
and oil return to the crankcase.
Supplemental bypass filters increase the
oil capacity and may allow the oil and filter
change periods to be extended. Refer to
the Caterpillar Operation Guide for recommended change periods.

RECOMMENDED OIL VISCOSITIES AT VARIOUS STARTING TEMPERATURES

COMPONENT

VISCOSITY

TEMPERATURE RANGE

DIESEL ENGINE LUBRICATION SYSTEM

SAE 10W

20F to +70F (29C to +21C)

SAE 10W/30

10F to +90F (23C to +32C)

SAE 20W/40

+15F to +120F (9C to +49C)

SAE 30

+20F to 120F (7C to +49C)

SAE 40

+45F to 120F (+7C to 49C)

SAE 10W

ALL TEMPERATURES

AIR STARTING MOTOR OILER JAR:

SAE 40 is preferred above +90F (32C).
Figure 51

97

98

FUEL GOVERNING AND CONTROL

Page
System Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
Component Description and Installation Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Fuel Tank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Water Separator and Primary Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Lines and Fittings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Transfer Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Secondary Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Fuel Pressure Regulator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Priming Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Injection Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Injection Lines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Injectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Governor and Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

101
102
102
103
103
103
104
104
104
104
104

Governors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
Speed Droop Governors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Isochronous Governors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Electric Load Sharing Governors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Governor Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Governor Capabilities and Recommended Usage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

105
105
106
106
107

Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Governor Force and Motion Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Use of Control Cable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Design for Linkage Over-Travel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Engine Shutdown Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

108
108
108
108
108
108

Fuels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
Fuel Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Cetane Number. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Sulfur . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Gravity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Viscosity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Distillation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flash Point . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Pour Point. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Water and Sediment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Carbon Residue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Ash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Corrosion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

109
109
109
109
109
109
110
110
110
110
110
110

99

FUEL GOVERNING AND CONTROL

SYSTEM DESCRIPTION
The diesel engine fuel supply, delivery, and
governing systems have one primary purpose to deliver clean fuel at the precise
quantity and time needed to produce the
required engine performance. To do this
many precision components are needed,
but the two major devices are the fuel
injection pump and the governor which
controls it. The fuel system supplied on a
Cat Engine is essentially complete, requiring only the hook up of fuel supply and
return lines to a fuel tank and connection
of governor controls.
A complete fuel system includes all of the
following basic devices also shown by
schematic below:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.

Fuel Tank
Water Separator or Primary Filter
Transfer Pump
Secondary Filter
Injection Pump
Injection Lines
Injection Valves
Fuel Pressure Regulator
Priming Pump
Fuel Pressure Gauge
Governor and Controls
Low Pressure Lines and Fittings

Figure 52

100

In addition to these basic features, other

devices are frequently used to provide
additional functions or to modify one of the
basic functions. Examples are fuel heaters,
primary filters, duplex filters, air-fuel ratio
controllers, load limiters, glow plugs, ether
aids, load indicators, flow meters, gauges,
and shutoffs.
Fuel is drawn from the tank (1) through the
water separator or primary fuel filter (2) by
the engine-driven fuel transfer pump (3) and
pumped through the secondary fuel filter (4)
into the injection pump housing reservoir (5)
and maintained at low pressure. It is injected by individual high pressure pumps into
each cylinder through special high pressure
fuel lines (6) to individual injectors (7) contained in the prechamber (PC) or directly in
the cylinder head (DI).
Fuel in excess of the engine demand is
bypassed through a pressure regulating
valve (8) where all or part of it returns to
the fuel tank along with any air which may
have been purged out of the system. If the
system is drained, as during repair or filter
change, a hand operated fuel priming
pump (9) is used to fill the system and expel
the air. A pressure gauge (10) shows pressure of filtered fuel supplied to the injection
pump. If filters become plugged and require

REPRESENTATIVE BASIC FUEL SYSTEM

(CONSULT TIF SCHEMATICS FOR
EACH SPECIFIC MODEL)

replacing, the gauge will read low when the

engine is operating at load. The governor
(11) controls the stroke of the individual
fuel pumps from shutoff to full delivery in
order to achieve desired engine speed,
regardless of load.
COMPONENT DESCRIPTION AND
INSTALLATION REQUIREMENTS
Individual components of the fuel system
are described here more completely as to
purpose, recommended features, and installation requirements to achieve satisfactory
performance and life.
Fuel Tank
It provides fuel storage and should have the
following features:
Adequate size for the intended application. Rule of thumb for tank size with 25%
reserve is:
0.056 2 _____ hp (average)
2 _____ hours (between refills)
2 1.25 = _____ gal (U.S.)
0.27 2 _____ kW (average)
2 _____ hours (between refills)
2 1.25 = _____ liters
Adequate structural strength to avoid failure under application conditions which may
include shock loading and steady vibration.
Appropriate material. Zinc (galvanized or
zinc-bearing materials such as brass) react
with sulphur in fuel oil to form a sludge which
is harmful to the engines fuel injection system. Steel, aluminum, stainless steel, or
copper clad steel is used successfully.
Expansion volume must be adequate to
allow for expansion of stored fuel during
temperature change. Allowance of 5% of
tank volume is adequate. This can be provided by extending the filler neck down into

the tank enough to create the required

expansion volume. A small vent hole (about
0.19 in [4.81 mm] diameter) in filler tube,
just below top of tank, is required to make
this volume usable.
Venting to atmospheric pressure is necessary to prevent pressure or vacuum buildup.
A large tank can be collapsed by vacuum or
burst by pressure if not vented properly.
Filler must be adequately sized and located for convenient filling. It should also be
lockable. Fuel spillage must not reach hot
parts. Also, fuel spillage should not reach
items which can soak up or entrap fuel or
be damaged by fuel.
Filler should be located near center of tank
so that parking a mobile machine on a side
tilt will not cause expanding fuel to back up
into filler pipe and overflow. This will also
help avoid spilling fuel from a full tank
when operating on a grade.
Fuel tanks should be shielded or located
away from major heat radiating sources
such as hot exhaust manifolds and turbochargers. Also, the cooling fan blast picks
up enough heat from the radiator to raise
fuel temperatures significantly if the air is
directed at the fuel tank. This will result in
some power loss because of the heated,
expanded fuel. Fuel level should not be
above the fuel injectors on the engine to
avoid possible seepage of fuel through a
leaky injector into the cylinder (and then to
the oil pan) during engine shutdown. Also,
to avoid hard starting, the fuel level should
not cause total suction lift of more than 12 ft
(3.7 m). Much less is better.
A sloping bottom helps collect sediment
and any major amounts of water, and a
bottom drain is necessary to permit periodic removal of these contaminants.

101

Fuel supply pickup should be off of the

bottom enough to leave 3% to 5% of the
fuel in the tank. This should leave sediment
and water in the tank until drained off periodically. The pickup line must rise upward
through the top of the tank so that the connection to fuel lines is above the full level
in the tank.
Fuel return line should normally enter the
tank at the top and extend downward, exiting
above the fuel level. Inlet and return lines
should be separated in the tank by at least
12 in (304.8 mm) to avoid air pickup in the
inlet line.
Baffles reduce sloshing and resulting air
entrainment. They also prevent sudden
shifts in the tanks center of gravity, when
in motion, as on a mobile machine.
Strong fastening of the fuel tank to the
machine is essential. This is especially
important on a mobile application where
motion of a full tank generates sizeable
forces. It is good practice to use some nonmetallic cushioning material between the
tank and support members to avoid fretting
and wear on the tank.
Water Separator and Primary Filter
Fuel system components can be damaged
by water-caused corrosion or by the poor
lubricating quality of water. For this reason
separation and removal of water from the
fuel is essential. Also, because water can
collect and freeze at low points in fuel lines,
filters, or other components that contain
fuel, a water separator should be placed as
close to the fuel tank as practical in a visible, serviceable location. Usually, the separator has a see-through feature that
allows a quick visual check for presence of
water and a quick-drain valve to let the
water out. Because the compact sleeve
metering injection pump on the 3208,
3304, and 3306 Engines uses fuel as a
lubricant, it can be damaged more quickly
by water than the scroll-type system.
102

However, any system can be damaged by

water in the fuel; so the water should be
removed. Fuel system damage by water is
always the responsibility of the user.
The water separator should be sized adequately to separate and store enough
water between periodic drainings to prevent overfilling and water carryover into the
engines fuel system.
The water separator should be mounted in
a visible location. If the operator sees water,
he is more likely to drain it out periodically.
If the device is hard to see or difficult to service, it may not receive regular attention.
A primary filter is not needed when a water
separator is used as on the 3200 and 3300
Engines.
The installation should include valves which
can isolate the separator and primary filter
when the elements are changed.
Lines and Fittings
Pipes, hoses, and fittings must be mechanically strong, leak-tight, and resistant to
deterioration due to age or environmental
conditions. Sizing must be adequate to
minimize flow loss. Routing must be correct, and flex connections, such as hose
assemblies, must isolate engine motion
from the stationary members in the system.
The fuel supply and return lines should be
no smaller in size than the fittings on the
engine. Fuel line pressure measured in the
return line should be kept below 5 psi
(34.5 kPa). A check valve can be used in
the fuel return line. A shutoff valve should
not be used, because damaging pressure
would result if the valve were left closed
when engine was started.

Black iron pipe is suitable for diesel fuel

lines. Copper pipe or tubing may be substituted in sizes of 0.5 in (12.7 mm) nominal pipe size or less. Valves and fittings
may be cast iron or bronze (not brass).
Zinc plating or zinc as a major alloy should
not be used with diesel fuel because of
instability in presence of sulphur. The sludge
formed by chemical action is extremely
harmful to an engines internal components.

Transfer Pump

Joints and fittings must be leak-tight to

avoid entry of air into the suction side of
the fuel system. A joint which is leak-tight
to fuel can sometimes allow air to enter the
fuel system, causing erratic running and
loss of power. Pipe joint compound should
be used on pipe threads, taking care to
keep it out of the fuel system where it can
cause damage.

Secondary Filter

Fuel lines should be routed to avoid formation of traps which can catch sediment
or pockets of water which will freeze in
cold weather.
All connecting lines, valves, and tanks
should be thoroughly cleaned before making final connections to the engine. The
entire fuel system external to the engine
should be flushed prior to connection to
engine and startup.
Fuel lines should be designed with the
application in mind. Especially on mobile,
off-highway equipment, effects of vibration,
shock loads, and motion of parts should be
considered. Fuel lines should be well routed
and clipped, with flexible hose connections
where relative motion is present. Lines
should be routed away from hot parts, like
manifolds and turbochargers, to avoid fuel
heating and potential hazard if a fuel line
should fail.

This pump delivers low pressure (15 psi to

30 psi [103 kPa to 207 kPa]) fuel from the
tank to the injection pump housing reservoir. It is a gear-type pump with some limited priming capability when the pumping
gears are full of fuel. This pump should be
protected from abrasive wear and corrosion
by a water separator or primary fuel filter.

Because fuel injection pumps and injectors

are precision devices with extremely close
clearances between working parts, particles which can cause damage must be
removed in the secondary filter. This filter
is standard equipment on all Cat Diesel
Engines. When a secondary filter gets
plugged, an engine typically loses power
or may run erratically. The fuel pressure
gauge will indicate low fuel pressure under
these conditions. Filter media in Caterpillar
fuel filters is developed and carefully controlled to conform with Cat specifications
on filtration efficiency and durability. Use of
filters of unknown capability may not protect the precision fuel system from contamination.
Fuel Pressure Regulator
Somewhere in the fuel path, before or at the
injection pump, there is a pressure regulating valve which limits the pressure of fuel
supplied to the injection pump housing
reservoir. This pressure must be enough to
fill the individual injection pump assemblies,
but would become excessive if the transfer
pump could not pump excess fuel through a
relief circuit back to the fuel tank. A shutoff
valve should never be placed in the fuel
return line because pressure would quickly
build to damaging levels. The return line
also allows air to escape from the system.

103

Priming Pump

Governor and Controls

When a fuel system has air in it, the hand

priming pump is used to fill the system with
fuel and purge the air. Once this has been
done, the priming pump will not likely be
used again until the fuel system is emptied
for adjustment or repair.

The purpose of the governor is to control

engine speed by regulating the amount of
fuel injected. It does this by controlling the
rack or sleeve shaft position. The speed
control lever on the governor is positioned
by the operator using some type of control
lever, cable, or remote actuator (air, electric, etc.).

Injection Pump
Fuel is pumped at a very high pressure to
each cylinder injector by individual injection
pumps. For example, a six-cylinder engine
has six separate injection pumps within the
injection pump group. The fuel volume
pumped on each stroke is controlled by the
rack (scroll system) or sleeve shaft (sleevemetered fuel system) which determines
the effective pumping stroke. The governor
controls the rack or sleeve shaft position,
thereby controlling fuel delivery to produce
a governed speed, regardless of load.
Injection Lines
Individual fuel lines carry fuel at the very
high pressure required for injection, from
individual injection pumps to each cylinder
injector. These lines are heavy-walled,
strong, specially extruded tubing made only
for this purpose. Because the injection
lines carry such high pressure, they should
not be bent or damaged during installation
or operation.
Injectors
The purpose of the injector valve is to
spray the correct pattern of atomized fuel
into the combustion chamber (DI) or into
the precombustion chamber (PC). It has a
spring-loaded valve which requires that
the pressure rise to some elevated level
before valve opens at start of injection.
This is necessary for precision-timed fuel
delivery and assures a sharp cutoff of fuel
at the end of each injection period.

104

Devices such as fuel-air ratio controls,

shutdown solenoids, and manual shutoffs
also operate on the governor which, in
turn, operates on the rack or sleeve shaft.
GOVERNORS
All engine models have hydra-mechanical
speed droop governors standard on industrial models, except 3208 and 3300 Engines
which have mechanical speed droop governors as standard. Both types contain
mechanical ball-head-type speed governing devices, but the hydra-mechanical governors use a pilot valve and servo system
controlling flow of engine oil to provide the
working force to move the rack.
Types of governors available for use on all
Caterpillar Engines, except the 3208, are
speed droop, isochronous, and electric
load sharing. Only the speed droop-type is
available on the 3208. The engine application determines which one should be used.
Close regulation governors are required
for some types of processing operations.
For example, a forage harvester cutter head
or a rock crusher must operate in a narrow
speed bank for best results.

Sped Droop Governors

A speed droop governors full load speed is
less than its no-load speed. This difference
is called speed droop and is expressed as a
percentage of full-load speed. For example,
a governor with 10% regulation, or speed
droop, with a full-load speed of 2000 rpm
would have a no-load speed (high idle) of
2200 rpm.
The speed droop governors available on Cat
Engines are not all the same in construction, but their speed droop characteristics
are similar. They are generally available in
nominal 3% and 10% versions.
Engines equipped with speed droop governors can be shut down by moving the
hand throttle beyond a detent into a fuel-off
position. A manual shutoff shaft and provisions for mounting an optional DC shutoff
solenoid are standard on most Cat Engines.
The manual shutoff shaft can have a lever
installed on it to provide a mechanical or
pneumatic method of stopping the engine,
whereas the solenoid option provides for
remote electric shut down of the engine.
Speed droop governors are recommended
for most mechanical and torque converter
drives where operation is characterized by
varying speeds. If output shaft speed on
a torque converter must be controlled or
limited, an output shaft governor must be
installed.
Constant speed applications, such as
pumps and various processing operations,
also use speed droop governors successfully if the effect of speed variation due to
load change is not significant.

When operated at less than rated full load

speed, the governor speed droop percentage increases. Governor springs can be
changed to restore proper droop.
Isochronous Governors
Isochronous governors, usually referred to
as constant speed or zero percent speed
droop, are available on all Cat Engines
except the 3208. Their no-load and fullload speeds are the same.
The isochronous governors used by
Caterpillar are the Woodward PSG, UG8D
(dial-type) and UG8L (lever-type), and
EG3P-2301. These governors are serviced
by Caterpillar.
Although these governors are isochronous,
they can be adjusted to provide speed
droop. The speed droop adjustment is external on the UG8D and newer PSG governors. It is internal on the UG8L.
The PSG governor has its own oil pump
but operates on engine oil. It is available
for the smaller engines and can be supplied with an electric speed-changing
motor for remote control.
The UG8D and UG8L governors, which
have a self-contained oil pump and oil supply, are available on the larger engines.
The UG8D is available with a 24-32 Vdc,
100 VAC-50 Hz, 115 VAC-60 Hz, speedchanging motor and a 24-32 Vdc shutdown solenoid. The UG8L is available with
a 10 psi to 60 psi (69 kPa to 414 kPa) air
actuator. The PSG and UG8D are normally
used for generator set applications. These
governors and their applications are discussed more fully, with pictures, in the Oil
Field Application and Installation Guide.

105

An EG3P actuator is mounted on the engine,

and the control box is mounted remotely.

Electric Load Sharing Governors

A Woodward 2301 electric load-sharing
governor system is available on most
Caterpillar Engines except the 3208s and
3300s. This governor is isochronous. It
also has the ability to provide automatic
and proportional load division between
paralleled AC generators, even with different sized units, and still maintain isochronous speed.

Refer to Generator Set Selection and

Installation Guide for more complete information concerning electric governors.
Governor Selection
The following two charts summarize governor configurations and their capabilities:

Governor Selection

D399
G399
D398
G398
D379
G379
D353
D349
D348
G342
3412
3408
3406
3306
3304
3208

Speed
Droop
Governor*
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X

PSG

X
X
X
X
X
X

Governor With
Speed Droop
Capability
UG8D
X
X
X
X
X
X
X
X
X

UG8L
X
X
X
X
X
X
X

2301
Load-Sharing
Governor
X
X
X
X
X
X
X
X
X

2301
Standby
Governor
X**
X**
X
X**
X
X**
X
X**
X**

X
X
X

X
X
X

**Speed droop available is dependent upon the specific engine. Contact your Caterpillar
Engine supplier for specifics.
**Standard equipment for standby automatic start-stop applications.

106

Governor Capabilities and Recommended Usage

Speed
Droop
Governor

PSG

Isochronous
Governor
UG8D
UG8L

Load
Sharing At
Isochronous
Speed
Isochronous
Speed Droop

Air
Throttle
Speed
Adjustment

Shutdown by
Governor
ThrottleDiesel

Manual
Shutoff
PlungerDiesel
DC Shutoff
SolenoidDiesel

Variable
Speed
Operation

Constant
Speed
Operation

Parallel
Operation
(DC or AC)

2301
Speed
Control
Governor

Rheostat
Speed
Adjustment
Electric
Motor Speed
Adjustment
(AC-DC)

2301
LoadSharing
Governor
X

107

CONTROLS
Purpose To input the governor with a
correct speed signal, usually a mechanical
motion, to result in desired engine speed.
Description Typically, the control system will consist of a single lever-linkage
arrangement, or a push-pull cable which
translates operators action to the governor
speed control lever. Sometimes the speed
control can also move the governor to
shut-off position, but more typically, a separate shut-off device (solenoid or mechanical linkage) is attached to the governor for
this purpose.
Controls should be easy to use by the
machine operator. They control engine
speed and shut off fuel to stop the engine.
Governor Force and Motion Data
The TIF contains information on (1) arc of
motion and (2) force level required to operate the governor speed control on each
engine model. This allows the designer to
select or design an appropriate cable control, or some lever-link arrangement.
Use of Control Cable
When there is relative motion between the
engine and the machine, a cable control
may be used to avoid transmitting unwanted motion to the governor control lever
causing unacceptable speed fluctuation
which can be confused with governor surge.
Design for Linkage Over-Travel
Control mechanisms must be designed
with a stop which prevents overloading the
governor lever when it reaches its limit of
travel. But this causes a problem when the
stop on the control linkage is reached
before full speed position of governor lever

108

is reached. This causes power complaints

because the engine is prevented from
operating at rated power, because the linkage did not allow the engine to develop
rated speed.
The best approach is to use a springloaded
break-over governor lever which accepts
motion of the control linkage beyond the
travel of the governor shaft. Then it is easy
to adjust correctly and visually check that
the governor speed control lever will travel
its full range.
Engine Shutdown Control
Engine shutdown is done by shutting off
fuel supply in some manner. Usually this is
done with a direct mechanical connection
which pulls the rack to shutoff, or with a
solenoid which does the same thing.
Safety shutoffs are discussed more completely in another chapter.
FUELS
Use clean fuel meeting Caterpillars recommendations for best service life and performance. Anything less is a compromise, and
the risk is the users responsibility. Dirty
fuel not meeting Caterpillars minimum fuel
specifications will adversely affect combustion, filter life, startability, and life of internal components.
Clean fuel is of utmost importance to fuel
injection system components if long, trouble-free service life is expected. All
Caterpillar Engines are equipped with a filtering system that protects the fuel injection pumps and valves. These filters are
not designed to cope with great quantities
of sediment and water. Both should be
removed by a primary filtering system or
water separator.

Fuel Selection
Caterpillar Diesel Engines have the capacity to burn a wide variety of fuels. In general, the engine can use the lowest-priced
distillate fuel which meets the following
requirements.
(Fuel condition as delivered to engine
fuel filters.)
Cetane No. (precombustion chamber
engines) 35 minimum.
Cetane No. (direct injected engines)
40 minimum.
Viscosity 100 SUS at 100F
(37.8C) maximum.
Pour Point 10F (5.5C) below
ambient temperature.
Cloud Point not higher than ambient
temperature.
Sulfur Shorten oil change period for
higher than 0.4% sulfur in fuel.
Water and Sediment 0.1% maximum.
Some fuel specifications that meet the above
requirements:
ASTM D396 No. 1 and No. 2 fuels
(burner fuels).
ASTM D975 No. 1-D and No. 2-D
diesel fuel oil.
BS2869 Class A1, A2, B1, and B2
engine fuels.
BS2869 Class C, C1, C2, and
Class D burner fuels.
DIN51601 diesel fuel.
DIN51603 EL heating oil.

The following additional information describes certain characteristics and their

relation to engine performance.
Cetane Number
This index of ignition quality is determined
in a special engine test by comparison
with fuels used as standard for high and
low cetane numbers.
Sulfur
Since the advent of high detergent oils,
sulfur content has become somewhat
less critical. A limit of 0.4% maximum is
used for Caterpillar Engines without
reducing oil change periods. However,
the worldwide fuel shortage has caused
this problem to resurface more often
now because of very high sulfur levels in
some fuels. Oil change periods must be
reduced with higher sulfur fuel.
Gravity
This measurement is an index of the
weight of a measured volume of fuel.
Lower API ratings indicate heavier fuels
which contain more heat value by volume.
Viscosity
This factor is a time measure of flow resistance of a fuel. Some low viscosity fuels
are not good lubricants; a viscosity which
is too high makes for poor fuel atomization, decreasing combustion efficiency.
Distillation
This involves the heating of crude to relatively high temperatures. The vapor which
results is drawn off at various temperature ranges producing fuel of different
types. The lighter fuel, such as gasoline,
comes off first, and the heavier fuel last.

109

Flash Point

Corrosion

The lowest temperature at which the fuel

will give off sufficient vapor to ignite
momentarily when a flame is applied to
the vapor.

To determine corrosion a polished copper strip is immersed in the fuel for three
hours at 122F (50C). Any fuel imparting more than slight discoloration should
be rejected.

Pour Point
This denotes the lowest temperature at
which fuel will flow or pour.
Water and Sediment
The percentage by volume of water and
foreign material which may be removed
from fuel by centrifuging. No more than
a trace should be present.
Carbon Residue
Percentage by weight of dry carbon
remaining when fuel is ignited and
allowed to burn until no liquid remains.
Ash
This is percentage by weight of dirt, dust,
and other foreign matter remaining after
combustion.

110

The customer should order as heavy a

fuel as his diesel engine and temperature conditions permit. Fuel costs represent approximately 80% of total operating costs for an engine, so it is good
economy to look closely at the largest
cost first.
NOTE: Caterpillar Diesel Engine fuel rack
settings are based on 35 API (specific
gravity) fuel. The use of fuel oil with a higher
API (lower specific gravity) number will result
in some reduction of power output. When
using heavier fuels, a corrected rack setting
should be used to prevent power levels
above the approved rating. Your Caterpillar
Engine supplier should be contacted to
obtain the correct rack setting for fuels which
do not comply with the recommendations.
Operation above the approved engine horsepower rating level will result in reduced
engine life, increased owning and operating
costs, and customer dissatisfaction.

STARTING
Page
General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
Electric Starting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
Batteries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
Temperature Versus Output . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Battery Performance Specific Gravity Versus Voltage . . . . . . . . . . . . . . . . . . . . . . . . . . .
Maximum Recommended Total Battery Cable Length . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Caterpillar Engine Battery Recommendtions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Typical Wiring Diagrams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

113
113
113
114
115

Charging Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

Starting System Wiring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
Air Starting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
Compressor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Supply Line . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Air Storage Tank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Tank Sizing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Cranking Time Required per Start. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Rate of Free Air Consumption. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Free Air Consumption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

116
116
117
117
117
117
117
118

Hydraulic Starting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118

Starting Aids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Glow Plugs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Ether . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Heaters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Driven Load Reduction Devices. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

119
119
120
120

111

STARTING
GENERAL

ELECTRIC STARTING

An engine starting system must be able to

crank the engine at sufficient speed for fuel
combustion to begin normal firing and keep
the engine running.

Electric starting is the most convenient to

use. Storage of energy is compact, however,
charging the system is slow and difficult in
case of emergency. Electric starting becomes less effective as the temperature
drops due to loss of battery discharge
capacity and an increase in an engines
resistance to cranking under those conditions. It is the least expensive system and
is most adaptable to remote control and
automation.

There are three common types of engine

starting systems:
A. Electric
B. Air
C. Hydraulic
The choice of systems depends upon availability of the source of energy, availability
of space for storage of energy, and ease of
recharging the energy banks.
Startability of a diesel engine is affected
primarily by ambient temperature, lubricating oil viscosity, and the size of the cranking
system. The diesel relies on the heat of
compression to ignite the fuel. This heat is
a result of both the cranking speed and the
length of time for cranking. When the engine
is cold, a longer period of cranking is required to develop this ignition temperature.
On precombustion chamber-type engines,
additional heat can be provided by using
glow plugs.
Heavy oil imposes the greatest load on the
cranking motor. Both the type of oil and the
temperature can drastically alter its viscosity.
An SAE 30 oil will, for example, approach
the consistency of grease at temperatures
below 32F (0C). The proper engine oil
viscosity should be provided according to
recommendations in the engine operation
manual.

112

Damage can result if water enters and is

retained in the starting motor solenoid. To
prevent this, engines stored outside should
be provided with a flywheel housing cover.
If possible, the starting motor should be
mounted with the solenoid in an up position
which would provide drainage and prevent
water from collecting in the solenoid.
Engines which are subject to heavy driven
load during cold start-up should be provided
with a heavy-duty starting motor. See section on Driven Load Reduction Devices.

BATTERIES
Lead-acid storage batteries are the most
common energy source for engine electric
starting systems.

Batteries should be kept warm, if possible,

but not over 125F (52C) to ensure maximum engine cranking speed. The impact
of colder temperatures is described below:
Temperature Versus Output

Two considerations in selecting proper battery capacity are:

A. The lowest temperature at which the
engine might be cranked.
B. The parasitic load imposed on the
engine.
A good rule of thumb is to select a battery
package which will provide at least four
30-second cranking periods (total of two
minutes cranking) without dropping below
60% of the nominal battery voltage. An
engine should not be cranked continuously
for more than 30 seconds or starter motors
may overheat.

F
80
32
0

Percent of 80F (27C)

C Ampere Hours Output Rating
27
100
0
65
18
40

The cranking batteries should always be

securely mounted where it is easy to check
water level, charge condition, and cleanliness. They should be located as close to the
starting motors as is practical to minimize
voltage drop through the battery cables. All
battery connections must be kept tight and
coated with grease to prevent corrosion.

Battery Performance
Specific Gravity Versus Voltage
Freezes
Specific Gravity
1.260
1.230
1.200
1.170
1.110

% Charge
100
75
50
25
Discharged

Voltage per Cell

2.10
2.07
2.04
2.01
1.95

F
70
39
16
02
+17

C
94
56
27
19
08

Maximum Recommended Total Battery Cable Length

Cable Size
AWG
mm2
0
00
000
0000

50
70
95
120

Direct Electric Starting

12 Volt
24-32 Volt
Feet
Meters
Feet
Meters
4.0
5.0
6.0
7.5

1.22
1.52
1.83
2.29

15.0
18.0
21.0
27.0

4.57
5.49
6.40
8.24

113

Caterpillar Engine Battery Recommendations

Cold Cranking Amperes at 0F Temperature
31F and Up*
0F to 30F** 25F to 1F**
1140
1460
1600
570
730
800

Model
3208

Voltage
12
24

3304

12
24/30/32

1140
570

1500
750

1740
870

3306

12
24
30/32

1140
570
570

1500
750
750

2000
1000
870

3406

12
24
30/32

1740
800
800

1800
870
870

2000
1000
870

3408/3412

24
30/32

870
870

1000
870

1260
1260

D348

24
30/32

870
870

1000
870

1260
1260

D349

24/30/32

1260

1260

1260

D353

24
30/32

1000
1260

1260
1260

1260
1260

D379/398

24/30/32

1260

1260

1260

D399

24/30/32

1260

1260

**Below 60F use glow plugs if available.

**Below 32F use ether aid for direct injection engines.

114

Figure 53

TYPICAL WIRING DIAGRAMS

CHARGING SYSTEMS
Normally, engine-driven alternators are used
for battery charging. When selecting an
alternator, consideration should be given to
the current draw of the electrical accessories to be used and to the conditions in
which the alternator will be operating. An
alternator must be chosen which has adequate capacity to power the accessories
and charge the battery. If the alternator will
be operating in a dusty, dirty environment; a
heavy-duty alternator should be selected.
Consideration should also be given to the
speed at which the engine will operate
most of the time. An alternator drive ratio
should be selected so that the alternator
charges the system over the entire engine
speed range.

Engine-driven alternators have the disadvantage of charging batteries only while

the engine is running. Trickle chargers are
available but require an A/C power source.
Battery chargers using AC power sources
must be capable of limiting peak currents
during the cranking cycle or must have a
relay to disconnect the battery charger
during the cranking cycle. In applications
where an engine-driven alternator and a
battery trickle charger are both used, the
disconnect relay must be controlled to disconnect the trickle charger during cranking
and running periods of the engine.

115

STARTING SYSTEM WIRING

AIR STARTING

Power carrying capability and serviceability

are the primary concerns of the wiring
system.

Air starting usually offers higher cranking

speeds than electric starting. This will usually result in faster starts with less cranking
time; however, remote controls and automation are more complex. On the other
hand, the air system can be quickly
recharged; but air storage tanks are prone
to condensation problems and must be
protected against internal corrosion and
freezing.

Select starter and battery cable size from the

size/length table on Page 109. For correct
size and correct circuit for starting system
components, see typical wiring diagrams.
The wiring should be protected by fuses or
a manual reset circuit breaker (not shown
on the wiring diagrams). Fuses and circuit
breakers should have sufficient capacity
and be readily accessible for service.
Other preferred wiring practices are:
Minimum number of connections,
especially with battery cables.
Positive mechanical connections.
Permanently labeled or color-coded
wires.
Short cables to minimize voltage drop.
Ground cable from battery to starter
is preferred. If frame connections are
used, tin the contact surface. Current
path should not include high resistance points such as painted, bolted,
or riveted joints.
Protect battery cables from rubbing
against sharp or abrasive surfaces.

116

The air starting system includes: air starting

motor, air storage tank, starting valve, pressure regulator, and oiler. A starting motor
discharge air silencer/vapor arrestor is an
optional accessory to the air starting system. The pressure regulator is designed to
reduce inlet line pressure from a maximum
of 250 psi to 110 psi (1725 kPa to 759 kPa)
regulated air pressure to the motor. Higher
supply air pressures may be used by utilizing additional regulators plumbed in series.
Unregulated systems must not exceed
150 psi (1034 kPa) to the starting motor.
Compressor
The compressor can be operated by either
an electric motor or an internal combustion
engine. Space should be provided for service accessibility, inspection, and for manual
starting of the internal combustion engine.
Supply Line
The air supply line between the storage
tank and the air motor should be short and
direct and of a size equal to the discharge
opening of the air receiver. Black iron pipe
is preferable and must be properly supported to avoid vibration damage to the
compressor. Flexible connections between
the compressor outlet and the piping are
required.

Air Storage Tank

Air storage tank should meet American
Society of Mechanical Engineers (ASME)
pressure vessel specifications and should
be equipped with a safety valve and a
pressure gauge. Safety valves should be
regularly checked to guard against possible malfunction. A drain cock must be provided in the lowest part of the air receiver
tank for draining condensation.
Tank Sizing
Many applications require sizing air
receivers to provide a specified number of
starts. This can be accomplished using the
following equation:
Ns (Vs 2 Pa)
Vr = ___________
Pr P min
Vr = Receiver capacity (cubic feet or
cubic meters).
Ns = Number of starts.
Vs = Air volume requirement per start
(cubic feet or cubic meters). Use
the free air consumption value
from Page 114 times the
cranking time required per start.
Pa = Atmospheric pressure (psia or
kPa).
Pr = Receiver pressure (psia or kPa).
This is the pressure at start of
cranking.
P min = Minimum receiver pressure (psia
or kPa) required to sustain cranking at 100 rpm. (See Page 114.)

The volume of free air required per start

(Vs) depends on three factors:
A. Cranking Time Required per Start
The cranking time per start depends
upon the engine model, engine condition, ambient air temperature, oil viscosity, fuel type, and design cranking
speed. Five to seven seconds is typical
for an engine at 80F (26.7C). Restarts
of hot engines usually take less than
two seconds.
B. Rate of Free Air Consumption
The rate of free air consumption
depends on these same variables and
also on pressure regulator setting.
Normal pressure regulator setting is
100 psig (690 kPa). Higher pressure
can be used to improve starting under
adverse conditions up to a maximum of
150 psig (1034 kPa) to the starting
motor. 5 f3/s to 15 f3/s (0.14 m3/s to
0.42 m3/s) is typical for engines from
50 hp to 1200 hp (37 kW to 895 kW).
The values shown on Page 114 assume
a bare engine (no parasitic load) at
50F (10C)
C. Operation
The air supply must be manually shut
off as soon as the engine starts, or the
sensing system must close the solenoid air valve, to prevent wasting starting air pressure and prevent damage to
starter motor by overspeeding. Water
vapor in the compressed air supply
may freeze as the air is expanded
below 32F (0C). A dryer at the compressor outlet or a small quantity of
alcohol in the starter tank is suggested.

117

Pa = Atmospheric pressure (psia or

kPa).

The following formula may be used to estimate the time required for an air compressor
to raise the pressure in an air receiver to a
specified limit:

Vr = Volume of air receiver (cubic

feet or cubic meters).

Pt 2 Vr
T = _______
Pa 2 N

N = Net free air delivery of compressor (cubic feet per minute or

cubic meters per minute).

T = Time in minutes.
Pt = Final pressure of tank (psia or
kPa).

Free Air Consumption f3/s (m3/s)

for a Bare Engine at 50F (10C)
Engine
Model
3304
3306
3406
3408
3412
D348
D349
D353
D379
D398
D399

100 psig
(690 kPa)
To Starter
5.8 (0.1641)
5.9 (0.1670)
6.2 (0.1755)
6.4 (0.1811)
7.9 (0.2236)
8.3 (0.2349)
9.2 (0.2604)
6.6 (0.1868)
9.0 (0.2547)
9.5 (0.2688)
9.8 (0.2773)

125 psig
(862 kPa)
To Starter
6.8 (0.1924)
6.9 (0.1953)
7.3 (0.2066)
7.5 (0.2122)
9.0 (0.2547)
9.8 (0.2773)
10.5 (0.2972)
7.8 (0.2207)
10.3 (0.2915)
10.8 (0.3056)
11.3 (0.3198)

150 psig
(1034 kPa)
To Starter
7.7 (0.2179)
7.8 (0.2207)
8.3 (0.2349)
8.6 (0.2434)
10.1 (0.2858)
10.8 (0.3056)
11.8 (0.3339)
8.9 (0.2519)
11.6 (0.3283)
12.2 (0.3453)
12.6 (0.3566)

P min psia
(kPa)
50 (345)
51 (352)
55 (379)
54 (372)
51 (352)
51 (352)
66 (455)
55 (379)
44 (303)
63 (434)
76 (524)

HYDRAULIC STARTING
Hydraulic starting provides highest cranking
speeds and fastest starts. It is relatively
compact. Recharging time is fast, and the
system can be recharged by a hand pump
provided for this purpose. The high pressure of the system requires special pipes
and fittings and extremely tight connections. Oil lost through leakage can easily be

118

replaced, but recharging the pressurized

gas, if lost, requires special equipment.
Repair to the system usually requires special tools. The complete system is supplied
by the starter manufacturer. Due to system
complexity, hydraulic starting is not recommended except where the use of electrical
connections could pose a safety hazard.

STARTING AIDS

Ether

Starting aids are recommended when temperatures fall below certain levels, as shown
in the Operation and Maintenance Guides.
Glow plugs and/or ether starting aids are
sufficient for most conditions, with oil and
coolant heating necessary in extremely
low ambients (refer to Operations and
maintenance Guides for further data on
cold weather procedures).

Ether facilitates starting since it is a highly

volatile fluid which has a low ignition temperature. Many types of ether starting aids
are commercially available. The high pressure metallic capsule-type is recommended. When placed in an injection device and
pierced, the ether passes into the intake
manifold. This has proven to be the best
system since few special precautions are
required for handling, shipping, or storage.

Glow Plugs
Glow plugs are available for all precombustion chamber Caterpillar Engines.
These glow plugs mount in each cylinders
precombustion chamber. Depending on
the size of the engine, they alone are adequate for temperatures as low as 0F
(15C) before ether or other starting aids
are needed. Glow plugs function by supplying a source, other than compression,
to raise the air-fuel mixture to combustion
temperature.
Glow plugs are simple to use and easy to
install. An ample wiring circuit is the only
requirement. Each glow plug, regardless
of voltage, is rated at 150 watts. Current
draw for a 12-volt glow plug is 12.5 amps
and 6.25 amps for a 24-volt glow plug.

CAUTION: WHEN OTHER THAN FULLY

SEALED ETHER SYSTEMS ARE USED,
ENSURE ADEQUATE VENTILATION FOR
VENTING THE FUMES TO THE ATMOSPHERE TO PREVENT ACCIDENTAL
EXPLOSION AND DANGER TO OPERATING PERSONNEL.
Ether must be used only as directed by the
manufacturer of the starting aid device.
The ether system must be such that a
maximum of 3.0 cc of ether will be
released, each time the button is pushed.
Caterpillar ether systems are designed to
release 2.25 cc of ether each time the system is activated. Excessive injection of
ether can damage an engine.

Amperage can be measured to check the

condition of glow plugs. If all the glow plugs
are in operating condition, the ammeter
reading should equal the number of glow
plugs times the appropriate amperage
draw per plug. If not, it is reasonable to
assume a glow plug(s) has failed or the circuit is inadequate. The amperage in each
glow plug lead can be quickly checked with
an amprobe device which snaps over each
wire without making any connections.

119

Heaters
When operating in areas which experience
long winter seasons or temperatures consistently in the 0F (18C) range, it may
be desirable to use an engine coolant
heating system.
This system should maintain the engine
coolant at a temperature of approximately
90F (32C) to ensure quick starting, provide
faster warm-up, save fuel during starting,
reduce engine wear, and extend battery life.
The coolant heaters are normally supplied
to operate on single-phase alternating current, and an outside electrical source is
required. For additional information see
Block Heaters in Cooling section.
Driven Load Reduction Devices
Effect of driven equipment loads during cold
weather engine starting must be considered. Hydraulic pumps, air compressors,
and other mechanically driven devices

120

typically demand more horsepower when

they are extremely cold at start-up. The
effect of this horsepower demand may be
overcome by providing a means of
declutching driven loads until the engine
has been started and warmed up for a few
minutes. This is not always easy or practical, so other means of relieving the load at
cold start-up may be required if the
engine-load combination cannot be started with sufficient ease using the engine
starting aids described earlier.
Some air compressors provide for shutoff
of the air compressor air inlet during cold
starting. This greatly decreases drag on
the engine and improves cold startability.
This approach can only be used when the
air compressor manufacturer provides this
system and fully approves of its use. Otherwise, air compressor damage could result.

INSTRUMENTATION, MONITORING, AND SHUTOFF

Page
General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
Instrumentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
Tachometer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
Jacket Water Temperature Gauge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
Intake Manifold Air Temperature Gauge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
Exhaust Temperature Gauge (Pyrometer) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Engine Oil Temperature Gauge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Engine Oil Pressure Gauge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Fuel Pressure Gauge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Air Restriction Gauge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Oil Filter Differential Gauge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Ammeter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Alarm Contactors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Shutoff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
Solenoid Shutoff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Manual Shutoff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Shutoff Detent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Mechanical Shutoff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Hydra-Mechanical Shutoff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

124
124
124
124
124

121

INSTRUMENTATION, MONITORING, AND SHUTOFF

GENERAL
Instrumentation systems are an important
part of any engine installation. Attention to
design, installation, and testing assures a
reliable installation that will reduce maintenance costs. Suitable instrumentation
enables the operator to monitor engine
systems and make corrections before failures occur.
The following gauges can be provided. Many
are not needed or appropriate depending
on size of engine and nature of installation.
Note: Electric gauges must be on a separate circuit to avoid voltage pulses which
could give false readings.
INSTRUMENTATION
Instrumentation enables the operator to
monitor engine systems and make corrections BEFORE failure or damage occurs.
Consider the following:
1. Minimum recommended mechanically
gov-erned engine instrumentation
includes:
Water temperature

3. Electric gauges must be on a separate

circuit to avoid transient voltage that
could give false readings.
4. Warning lights and audible alarms help
a operator from overlooking a developing problem.
5. Be aware of sensor tube or lead routing,
and robustness of the gauges/supports/
clamps to minimize the risk of failure or
leakage possibly causing a fire or false
readings.
6. Electronic engines provide data link(s)
that broadcast engine operating parameters for Caterpillar or after market
display modules. Utilizing these features
minimizes duplication of features and
could provide the operator state-of-theart engine status display information.
TACHOMETER
The tachometer indicates engine rpm. It is
a self-powered electric tachometer that is
adjustable. The tachometer drive can also
be used to drive mechanical tachometers.
JACKET WATER TEMPERATURE GAUGE

Oil pressure
Ammeter/Voltmeter
Air cleaner restriction
2. Minimum recommended electronically
governed engine instrumentation
includes:
Engine warning lamp
Engine diagnostic lamp
Engine monitoring mode set to at least
warn (factory default)
Air cleaner restriction

122

This gauge indicates the temperature of the

jacket water as it leaves the engine. Jacket
water temperature must be maintained
between minimum and maximum limits.
Temperature gauge capillary tubes must
be routed to avoid hot spots, such as manifolds or turbochargers, which will cause
false readings.
INTAKE MANIFOLD AIR
TEMPERATURE GAUGE
This gauge indicates air temperature
between the aftercooler and the cylinder.
The limits will vary by engine rating. Jack

water aftercooled engines operate at a significantly higher inlet manifold air temperature than do the engines rated for 85F
(29.9C) or 110F (43.3C) aftercooler water
temperatures.
EXHAUST TEMPERATURE GAUGE
(Pyrometer)
The pyrometer measures exhaust gas temperatures, normally after the turbocharger.
On Vee engines with two turbochargers, a
single instrument is supplied with dual
temperature read-out for both banks. On
engines with single turbochargers, one
instrument with a single read-out is provided. DO NOT USE EXHAUST TEMPERATURE AS A LOAD SETTING INDICATOR
WITH TURBOCHARGED AND TURBOCHARGED/AFTERCOOLED ENGINES.
The pyrometer should be used only to
monitor changes in the combustion system and to warn of required maintenance.

FUEL PRESSURE GAUGE

The fuel pressure gauge indicates the pressure of the filtered fuel. A power reduction
will occur if the fuel pressure drops too low.
Plugged fuel filters decrease fuel pressure
High fuel pressure can burst fuel filter
housings, damage gaskets, and cause
erratic speed control because of increased
friction drag in injection pumps.
AIR RESTRICTION GAUGE
The air restriction gauge measures the
vacuum caused by the air filter restriction.
Clogged air cleaners will result in reduced
air flow causing high exhaust temperature
and sometimes excessive smoke. The air
restriction gauge should be checked regularly, and air filters should be changed
when restriction limits are reached.

ENGINE OIL TEMPERATURE GAUGE

OIL FILTER DIFFERENTIAL GAUGE

This gauge indicates oil temperature after

the lube oil cooler. On most engines, the
oil is cooled by engine jacket water. A high
jacket water temperature or a clogged oil
cooler will prevent the engine lube oil from
being properly cooled.

This gauge measures the difference in

pressure between the filtered and unfiltered sides of the oil filter; a high reading
will indicate plugged oil filters. This gauge
should be checked regularly.

ENGINE OIL PRESSURE GAUGE

This gauge indicates the pressure of the
filtered oil. Oil pressure will be greatest after
starting a cold engine and will decrease
slightly as the oil warms up. Oil pressure is
greater at operating speeds than at low
idle rpm. The specified minimum oil pressure is for an engine running at continuous
rated speed. Plugged oil filter elements will
decrease engine oil pressure. The oil filter
service indicator (where provided) should be
checked regularly for premature filter plugging. STOP THE ENGINE IMMEDIATELY
IF OIL PRESSURE DROPS RAPIDLY.

AMMETER
An ammeter measures electrical current to
or from the battery.
ALARM CONTACTORS
Low oil pressure and high water temperature alarms are recommended for every
engine installation. These are preset temperature and pressure switches that will
activate a customer-supplied alarm, or light,
when temperature or pressure limits of the
switch are exceeded. In addition, a low
water level alarm switch can be provided to
warn of a low water level condition. It may

123

be installed in the radiator top tank or the

heat exchanger expansion tank depending
on the type of cooling system provided.
Any engine function involving speed, temperature, and pressure control may be
sensed with an appropriate alarm or shutoff system.
Alarm switches available from Caterpillar will
operate on AC or DC voltage, from 6 volts
to 240 volts. These switches (single-pole
double-throw) may be used to activate
alarm horns or lights up to 5 amp rating.
SHUTOFF
The following engine shutoffs are available
on Caterpillar Engines. Consult the Industrial Engines Price List for shutoff availability
on a particular engine model. In some
cases multiple shutoffs may be provided.

Shutoff Detent
This shutoff can be activated by pushing
the governor speed control lever from
the high position to the low idle position,
then snapping through the low idle position into the shutoff position. To use this
feature, the linkage must be designed
and sized to tolerate full loading reversal
without undue stress or deflection.
Mechanical Shutoff
This attachment provides a mechanical
shutoff system that will automatically
shut down the engine in case of low oil
pressure or high coolant temperature.
The system is hydraulically operated and
contains a shutoff control group which
forces the engine governor rack to shut
off if a malfunction occurs.
Hydra-Mechanical Shutoff

Solenoid Shutoff
The shutoff solenoid is mounted on the
governor shutoff housing and can be
activated either by an instrument panelmounted switch or by switches which
sense critical engine or driven-equipment
functions. Shutoff solenoids are available
in either energized-to-shutoff or energizedto-run versions.
Manual Shutoff
The manual shutoff shaft extends from
the engine governor shutoff housing. To
utilize this shaft, a separate linkage system (usually a push-pull cable) must be
provided. The shaft must be held in shutoff position until the engine stops. Consult the Industrial Engine Drawing Book
for manual shutoff shaft rotation range.

124

This system includes provisions to shut

down an engine when either oil pressure, coolant temperature, or speed are
outside normal limits. If engine oil pressure or coolant temperature exceeds safe
limits, the protective system will move
the fuel rack to the shutoff position. If the
engine speed exceeds a predetermined
limit, the air supply will be shut off, in
addition to moving the fuel rack to the
shutoff position. In an emergency situation, the system can be manually operated to close off the air supply and move
the rack to the shutoff position.
Caution: Sensing devices must not trigger
engine shutdown in applications where
engine provides equipment mobility.

APPLICATION AND INSTALLATION AUDIT FORMS

Page
General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
Serviceability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
Application Approval Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
Installation Audit Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
Power Transmission System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Mounting System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Air Intake System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Exhaust System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Cooling System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Lube System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Fuel System, Governing, and Engine Control. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Starting and Charging System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Monitoring System and Gauges. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Serviceability Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Photos Required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

129
129
129
130
130
130
131
131
131
131
132

125

APPLICATION AND INSTALLATION AUDIT FORMS

GENERAL
The goal of all engine sales should be to
provide an application which is within the
capabilities of the engine and to assure
that the engine is installed in a manner
which will permit proper operation and
maintenance. To assist in attaining that
goal, the application approval form and the
installation audit form, reproduced on the
following pages, were created.
The application approval form is designed
to be used where a new application is
expected to generate repeat business. The
form should be completely filled out and
returned to the factory where an application engineer will approve or disapprove
the engine for installation in a pilot model.
Upon completion of the pilot model installation, the installation audit form should be
filled out in its entirety, as the engine package is reviewed system by system. Any
deficiencies should be corrected at that
time, assuring the integrity of the installation. Once the form is completed, it can be
returned to the factory where, if acceptable; final approval for multiple production
of identical units will be given.
It is felt that the information gained by completing and retaining these forms is very
useful in enabling both the factory and the
engine installer to provide the customer
with knowledgeable assistance when
questions or problems arise.

126

It is considered good practice to use the

installation audit form as a guide when
reviewing any engine installation. It provides
a logical approach to spotting potential problems or areas that can be improved to
achieve a more reliable engine installation.
SERVICEABILITY
Good maintenance is a key factor affecting
the life of an engine. Adherence to a good
scheduled maintenance program depends,
in part, on the ease with which that maintenance can be performed. Included in the
installation audit form is a serviceability
checklist. The items on this list should be
reviewed to determine if the maintenance
or repairs can be performed easily or if
they are difficult to the point where they will
not receive the required attention.
Experienced machine builders have learned
that it is economically advantageous to
make any design changes that may be necessary as early as possible in a machines
life in order to alleviate difficulty in performance of routine maintenance and repairs.
It is equally important to correct any installation deficiencies as soon as they are
detected in order to avoid more costly
problems at a later date.

Caterpillar OEM Pilot Model Application Approval

Truck-Industrial Engines
Factory Use Only
Pilot Model Application Approval
General Information

Reference Number ______________________________________

1. Data submitted by ______________________________________

Address ______________________________________________
______________________________________________________
2. OEM customer name ____________________________________
Address ______________________________________________
______________________________________________________

4. Engine model _____________

5. Engine rating __________ HP at ______________________ RPM
*6. Provide specification sheet, drawing or photograph of equipment if
possible.
7. Potential annual sales ______________________________ units.

3. OEM equipment model or designation ______________________

______________________________________________________

Date ________________________

______________________________________________________
Use additional paper to provide more complete data where required.
Application Approval Information

8. Describe application as completely as possible:________________

______________________________________________________

Industrial Data

24. HP required at flywheel end of engine ______________________

*25. Describe, or provide sketch of rear driven equipment

__________

______________________________________________________

______________________________________________________

______________________________________________________

______________________________________________________

______________________________________________________
9. Transmission make _____________________ Model __________

______________________________________________________
26. Distance from centerline of PTO drive to front face of crankshaft

10. Clutch make _____________Model__________ Size __________

pulley (in/cm) ________________ _____________(overhung load)

11. Torque converter make ______________ Model ______________

Diameter of driver pulley

__________________________ (in/cm)

12. PTO equipment make ____________ Model __________________

Diameter of driven pulley

__________________________ (in/cm)

13. Front power takeoff HP required____________________________

How driven: in-line ________________ side load ______________

27. Maximum angle of engine operation ________________________

28. Accessories not furnished by CTCo. driven by engine. How and

*Describe, or provide sketch of front driven equipment __________

where driven, HP required ________________________________

______________________________________________________

______________________________________________________

______________________________________________________

______________________________________________________

______________________________________________________

29. Operating hours per day _______________ per year __________

14. Air compressor make ________________ Model ______________

______________________________________________________

HP required _________________
15. Alternator make ____________________ Model ______________

______________________________________________________
30. Anticipated number hours to major overhaul __________________

Volts ________________ Amps ____________

16. Muffler make _______________________ Model ______________
17. Radiator make ______________________ Model ______________

Automotive Data
24. Vehicle or body frontal area ______________________________

*If radiator to be used is not a Caterpillar furnished radiator, supply a

25. Type of trailer or body ____________________________________

radiator blueprint with this application.

26. Rear axle ratio(s)________________________________________

How are torque converter or auxiliary heat loads cooled? ________

27. Overall gear reduction____________________________________

______________________________________________________

28. Single or tandem drive axle

______________________________________________________

29. Tire size ______________________________________________

______________________________

18. Radiator sized to _____________ btu full load cooling requirements.

30. Maximum GCW or GVW __________________________________

19. Angle of engine installation ________________________________

31. Average GCW or GVW __________________________________

20. Percentage of time engine is operating at full load: ____________

32. Top geared speed ______________________________ (mph/kph)

21. Percentage of time engine is idling to total daily operating time

33. Normal top speed when fully loaded ________________ (mph/kph)

______________________________________________________
22. Expected maximum altitude of operation ____________________
feet (meters)
23. Expected maximum ambient air temperature for this application
______________ F (C)

empty ________________ (mph/kph)

34. Anticipated miles (km) per day ____________________________
Per year ______________________________________________
35. Air conditioning make ____________________________________
Model ____________ HP required __________________________
36. Power steering make _________________ Model

____________

HP required ________________

Printed in U.S.A.
FORM NO. 40-083187-02 (05.00)

127

If this application is currently being performed by another make gasoline or diesel engine, provide the following information, if possible. Engine make ____________
model _______________ gas _______________ diesel _______________ hp _______________ rpm ____________________________________fuel consumption
rate _______________ mpg (Km/Liter) or gallons (liters) per hour _______________. Typical top engine overhaul miles/Km/hours __________________________.
Other appropriate operation information ____________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________

Preliminary approval for a Pilot Model installation engine is requested for the application described. Final approval for multiple production of identical units will be based on
an acceptable Pilot Model Installation Audit (Form 40-681-83188).

This information is correct to the best of my knowledge.

Caterpillar approves/disapproves this application as described.

Remarks: __________________________________________________

__________________________________________________________
Company Name

__________________________________________________________
__________________________________________________________
__________________________________________________________

__________________________________________________________
Individuals Name

__________________________________________________________
__________________________________________________________
__________________________________________________________

__________________________________________________________

__________________________________________________________

Title
__________________________________________________________
__________________________________________________________

Telephone

Signed

________________________________________________
___________________________________________
Title

____________
Date

Caterpillar Tractor Co.

Marketing Department
Engine Division

Copy returned to ____________________________________________

Company on __________________________________________(date).

*Blueprint, sketch, drawing, specifications, or photo required.

128

CATERPILLAR ENGINE INSTALLATION INFORMATION INDUSTRIAL AND TRUCK ENGINES

Installation
Audit No. ____________
Equipment Mfgr.

________________________________________ Address ________________________________________________________________

Cat Dealer ______________________________________________ Location ________________________________________________________________

Cat Dealer Contact ____________________________________________ Position _____________________________________ Phone ________________
Equipment Model/Type ____________________________________________________________________________________________________________
Application ______________________________________________________________________________________________________________________
Engine Model ________________________ SN ____________________ Arrangement Number _________________________ Issue __________________
DI

PC

_______________ Aspiration

Rating: ____________________ HP, ____________________ RPM, ____________________ Hi Idle, ____________________ Low Idle
Estimated annual sales __________ units

Audit Test Data and Installation Information

1

Date of Audit __________________________________

Power Transmission System

1. Flywheel Driven Equipment:
Clutch,

Type ____________________________________ Make ______________ Model __________________

Coupling

Size/Type ____________________________________ Make ______________ Model __________________

Dry,

2. Flywheel Housing is SAE # ______________________,

Wet,

SAE# ____________ to ____________ Adapter Reqd.

3. Auxiliary Equipment Driven from Engine:

__________________ HP____________________ Driven By ____________________________ At ________________ Times Engine speed
__________________ HP____________________ Driven By ____________________________ At ________________ Times Engine speed
__________________ HP____________________ Driven By ____________________________ At ________________ Times Engine speed
4. Yes

No

Torsional Analysis Performed?

Yes

No

Flywheel Thrust Load Within Limits?

Yes

No

Flywheel Side Load Within Limits?

Clutch pulley diameter __________ in (__________ mm)

Distance from CL of side load to clutch output

Yes

No

Auxiliary Drives Within Torque Limits?

shaft shoulder __________ in (__________ mm)

Clutch Side Load:

5. If This is a Self Propelled Machine, or Automotive:

Transmission Make ____________________________________________________________________Model__________________________________
___________________ Speeds with Following Ratios:

__________________________________________________________: Engine

Axle Make ____________________________________ Model ____________________________________ Ratio(s) ____________________________

Remarks:

6. If Electric Power Generator is Involved:

Y

Rating: __________ kW, __________ Volts, __________ Hz, __________ Phase,

Wired:

Generator Manufacturer ______________________________________________

Single Bearing

Voltage Regulator Manufacturer ________________________________________

Volts/Hz

Series Boost:

Yes

Two Bearing
Constant Voltage

No

Remarks:

Mounting System
1. Front:

Solid

Semi-Soft

Soft, Isolation

Describe

____________________________________________

2. Rear:

Solid

Semi-Soft

Soft, Isolation

Describe

____________________________________________

3. Bending Moment at Rear Face of Flywheel Housing _______________ lb-in (_______________ kg-m) caused
by Overhung Transmission or Other Equipment.
Remarks:

Air Intake System

1. Air Cleaner Make _______________________________________ Model ________________________ Size/Type________________________________
2. Inlet Pipe Size ___________________________ Length ____________________ Matl ____________________ Beaded Connections? ______________
3. Restriction Gauge Used: Yes
4. Combustion Air is Taken from

No, Setting ________________________________ Location __________________________________________

Outside

Inside Engine Compartment.

5. ____________in-H2O (_____________ mm-H2O) Inlet Restriction At Full Load.

Remarks:

129

Exhaust System
1. Exhaust Backpressure __________ in-H2O (_________ mm-H2O)

At Rated Load.
Solid

2. Exhaust Pipe I.D. __________ in (__________ mm), Connection at Engine Is:

Single

3. Muffler Mfgr. ____________________ Model ____________________

4. Exhaust System Total Length __________ Ft (__________ M)

Flex

Dual

Number of Elbows? ______________________________________________________

5. Yes

No

Is Exhaust System Adequately Supported and Free to Expand When Hot?

6. Yes

No

Is Rain Protection Provided? If So, How? ____________________________________________________________________

7. Location of Exhaust Outlet Relative to Air Inlet?

____________________________________________________________________________________

Remarks:

Cooling System
Refer to Engine Data Sheets 50.5 for test instructions. Engine failure may result from inadequate cooling system design or installation. The CAT specified cooling
system test should be run on a pilot model machine to find and correct deficiencies before production. Cooling Test Results Must Be Attached to this report,
Unless System is Supplied By CAT.
Part 1:
1. System Type is: Radiator,
2. Shutters: Yes

Heat Exch.,

No

Cooling Tower,

Other______________________________________

Mfgr. _______________ Model _______________ Open at _______________ F (_______________ C)

3. JW Coolant Out Temp Stabilizes at _______________ F (_______________ C) After 20 minutes of most severe expected load cycle
Operation (full load in most cases) with _______________ F (_______________ C) ambient air.
Yes

4. Is JW Heater Used?

Where connected to Engine?

No

________________________________________________

From Engine? ____________________________________

5. Are Auxiliary Cooler Cores, or Devices Which Restrict Air Flow Used in Front or Behind Radiator?

____________________________________________

____________________________________________________________________________________________________________________________
6. List cooling system components supplied by CAT with group numbers ____________________________________________________________________
____________________________________________________________________________________________________________________________
Part II (not Required with Cat Supplied Cooling Package)
Yes

7. Is this a Shunt-Type System?

No.

Yes

Is Auxiliary Expansion Tank Used?

No.

8. Capacity __________ Qt. (__________ Liter). Shunt Line I.D.? __________ in (__________ mm).
Yes

9. Does Shunt Line slope continuously downward from radiator to engine?

No.

10. Radiator Supplied* _____________________________ Part Number _____________________________ Model ________________________________

11. Vertical Flow

Cross Flow

Fins per inch __________

Tube Rows __________

12. Fan Dia. __________ in (__________ mm) Number of Blades __________,

Suction

Core Size _____________ 2 ______________

Blower

13. Fan Mfgr. _____________________________ Part No. _____________________________ Fan Drive Ratio _______________ 2 1.0 Engine
Fan CL to Crank CL __________ in (__________ mm)

14. Fan Speed at engine rated speed __________ rpm

15. Drive Pulley Diameter? __________ in;

Driven Pulley Diameter?__________ in.

Yes

16. Is Fan nearly centered in Radiator Core?

No.

Position? __________________________________________________________

17. Fan to Core, clearance is __________ in (__________ mm). Fan to Shroud distance is __________ in (__________ mm).
18. Fan position within Shroud: (Recommend 2/3 of Fan Projection Upstream).
19. Describe position. ____________________________________________________________________________________________________________
Yes

20. Pressure Cap used?

21. Yes

No

No

Setting __________ PSI (__________kPa)

System Meets Filling Requirements?

22. Yes

No

System Meets Cavitation Requirement, As Tested.

23. Yes

No

System Meets Drawdown Requirement, As Tested.

24. Yes

No

System Meets Venting Requirement, As Tested.

25. Yes

No

Cooling System Test Results are Attached (Not Required for Cat Supplied System).

*Radiator Drawing Must be Submitted for Review, Unless Sent Earlier with Application Approval.
Remarks:

Lube System
1. Oil Pan Sump:

Front

3. Tilt Requirement:

Front Up __________;

4. Is Auxiliary Filter Used?

Remarks:

130

Center

Rear.

Engine Mounted

2. Engine Oil Filter is:

Yes

Dipstick Shows Full at ____________________________________________ Quarts.

Remote Mounted.
Front Down __________;

No

Mfgr. __________

Tilt Right __________;

Model __________.

Tilt Left __________.

Fuel System, Governing, Engine Control

1. Fuel Tank Capacity __________ gal

(__________ liter)

2. Fuel Supply Line I.D. _________ in

(__________ mm)

Number of Tanks? __________

3. Fuel Return Line I.D. _________ in

Yes

(__________ mm)
No
Manufacturer ____________________ Model ____________________
Yes
No
Yes
No
5. Does Tank Have Drain?
Vent?
Cable,
Linkage, or
Actuator,
6. Governor Type? ________________________________________ Control Device:
4. Is Water Separator Used?

Powered by

__________________________________________.
Yes
No
If Not, Why Not?________________________________________________________

7. Does Machine Operate As Intended?

____________________________________________________________________________________________________________________________
Yes
No

8. Are Controls Adjustable for Field Maintenance?

Remarks:

Starting, Charging Systems

1. Starter Manufacturer ___________________ Model ____________________ Volts ____________________ Solenoid

Up

Down

2. Alternator Manufacturer ___________________ Model ____________________ Volts __________ Amps __________ Speed __________ X Engine RPM
3. Battery Volts ___________________ Total CCA Rating ___________________ Amps (0F) Number of Batteries? ___________________
4. Battery Cable Size? ___________________ Total Length? __________ in (_________ mm)
Yes
No,
5. Starting Aids:
Glow Plugs
__________ Volts
Yes
No,
Ether Aid
Sprays __________ cc per Injection.
Yes
No,
JW Heater
__________ Watts.
Air Heater

Yes

No,

Mfgr. _________________________

6. What Portion of Load, if Any, Cannot be Disconnected from Engine During Starting? ________________________________________________________
____________________________________________________________________________________________________________________________
Yes
No

7. Does Equipment Manufacturer Provide Own Wiring on Engine?

8. What Devices Consume Electrical Power from Alternator/Battery? ______________________________________________________________________

Yes
No
__________________________________________________________________ Is Alternator Adequately Sized?
Remarks:

Monitoring System, Gauges

High JW Temp:
Low Oil Pressure:
______________
______________
______________

Gauge
Gauge
Gauge
Gauge
Gauge

Warning Light
Warning Light
Warning Light
Warning Light
Warning Light

Alarm
Alarm
Alarm

Shutdown
Shutdown
Shutdown

Alarm
Alarm

Shutdown
Shutdown

at __________F

(__________)

at __________PSI

(__________)

at __________

(__________)

at __________

(__________)

at __________

(__________)

Remarks:

10

Serviceability Checklist
1.

Too
Daily Maintenance

3. Remove, Repair
Replace

Too

Check Oil Level

OK

Difficult

Add Oil

Replace Thermostat

Check Coolant Level

Repair Water Pump

Replace Belts

OK

Difficult

Fill Radiator

Remove Oil Pan

Check Water Separator

Remove Rocker Arms

Remove Cylinder Head

Remove Starter

2. Periodic Maintenance

Remove Alternator

Service Air Cleaners

Replace Radiator

Change Oil Filters

Adjust Rack

Drain Oil Pan

In-Frame Overhaul

Replace Engine

Service Coolant Treatment

Drain Cooling System

Adjust All Belts

Adjust Fuel System

Describe Any Other Serviceability Points That Need Improvement.______________

Service Meter Visibility

____________________________________________________________________

Adjust Clutch

____________________________________________________________________

Adjust Valve Lash

____________________________________________________________________
Remarks:

131

11

Photos Required
Photos Attached?

Photos Required Showing:

Yes

No

1.

Main and Auxiliary Driven Equipment.

Yes

No

2.

Front and Rear Supports for Engine and Driven Equipment.

Yes

No

3.

Air Intake Ducting, Support, and Connection to Engine.

Yes

No

4.

Exhaust System, Support, and Connection to Engine.

Yes

No

5.

Radiator, Fan, Shroud & Coolant Lines (Not Required On Caterpillar Supplied System).

Yes

No

6.

Remote Oil Filter Mounting & Lines, If Applicable.

Yes

No

7.

Governor Control Device Including Actuator, If Any.

Yes

No

8.

Overall Views (LH and RH) of Engine Installation.

Miscellaneous Remarks, Recommendations, Observations, Etc.

Note: 1. Attach Cooling System Test Results (Not Required with Cat Cooling System).
2. Attach Radiator Drawing (Not Required with Cat Cooling System).
3. Attach Photos.
4. Use Additional Sheets, If Necessary.
Approvals

Manufacturer Witness

Supplier Witness

Caterpillar

_____________________________________
Signature

_____________________________________
Signature

_____________________________________
Signature

_____________________________________
Title

_____________________________________
Title

_____________________________________
Title

Upon Factory Acceptance of This Pilot Model Engine Installation Audit, Supplier Will Receive a Copy of This Form with Installation Approval Reference Number.

40-682-83188-02

132

START-UP CHECKLIST
Page
General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
Power Transmission System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
Mounting System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
Air Intake System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
Exhaust System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
Cooling System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
Lube System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
Fuel System, Governing, and Engine Control. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Starting and Charging Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Monitoring Systems and Gauges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Miscellaneous . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Disassembly and Assembly . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Bolt, Nut, and Taperlock Stud Torque Chart. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
Electrical Audit Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Power Transmission System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Mounting System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Air Intake System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Exhaust System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Jacket Water Cooling System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Lube System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Fuel, Governing, & Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Starting & Charging Systems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Monitoring System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Electrical For Electronic Engine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Serviceability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Photographs Required. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

140
140
141
141
141
142
142
142
143
143
143
144

133

START-UP CHECKLIST
GENERAL

MOUNTING SYSTEM

The purpose of this section is to provide a

quick reference checklist of items to be
reviewed before engine start-up. This list is
not necessarily complete for all types of
installations but should be considered a
minimum list of the most basic items for
most installations.

Are engine mounts tightly fastened?

Each engine is fully tested at the factory, prior

to painting. But damage during shipping and
storage, incomplete installation, or deficiencies in the installation can prevent the engine
from starting or running right. A thorough
start-up checkout is recommended.
The following checklist is arranged by system in the same sequence as on the
Installation Audit form and throughout this
Application and Installation Guide.
POWER TRANSMISSION SYSTEM
Are driveline elements all assembled,
tightened, and ready to run?
Are driveline devices filled with oil, if required?
Are hydraulic circuits connected?
Can load be disengaged for start-up?
Are rotating parts safely guarded?
If electrical power generation is involved, is
engine-generator frame properly grounded? (WARNING: IF UNIT IS ELECTRICALLY INSULATED FROM GROUND, AS
COULD HAPPEN ON SOFT RUBBER
MOUNTS, AN INTERNAL SHORT-CIRCUIT TO GROUND COULD IMPOSE A
DANGEROUS HIGH VOLTAGE ON ENTIRE
MACHINE, CREATING A SERIOUS HAZARD FOR THE OPERATOR.)

AIR INTAKE SYSTEM

Are air cleaner and air piping in place and
tightly connected?
Is shipping covering removed from air
cleaner element?
Are shipping caps and tape removed so air
inlet is unrestricted?
EXHAUST SYSTEM
Check fastening of exhaust piping and
muffler.
Are hoses or wires touching exhaust system?
Reroute and clip in place, if necessary.
Will exhaust gas be discharged to a safe
place?
Are exhaust parts safely away from contact with operator?
COOLING SYSTEM
Are hoses and pipes properly fastened?
If unit has a shunt system, does shunt line
slope continuously downward, without
loops or traps?
Is system filled with coolant?
Check fan belts for correct tension.
Will fan clear the shroud and guards safely?
Are fan and drive safely guarded as
installed in the final installation?

Are generator leads connected?

LUBE SYSTEM
Are phases correctly connected?
Check engine oil level, using marking for
stopped engine.
134

FUEL SYSTEM, GOVERNING,

AND ENGINE CONTROL

MISCELLANEOUS

Is fuel in tank?

Remove shipping covers and tape. Remove

loose tools used during setup.

Are supply and return lines connected and

routed safely? (They must not come in contact with moving or hot parts.)

Immediately after engine has been started,

several other operating checks should be
made.

Is fuel system bled of air? (Use priming pump

to allow air to escape by slightly loosening
each injection line while fuel is pressurized.)

Check oil pressure and dipstick, if calibrated for checking while engine is running. Oil
should be at running full mark.

Is there a reliable way to shut the engine

down, when necessary?

Note any unusual vibrations or noise when

accelerating slowly to high idle.

Manual shutoff should operate freely and

operation of electric shutoff should be
checked.

Check function of gauges.

Are governor controls connected and operating freely?

Simulate shutdowns.

If the governor has its own oil reservoir

(UG8), is it full?
Set speed for low idle at start-up, in most
cases other than electric sets.
STARTING AND CHARGING SYSTEMS
Check belt tension on alternator.
Charging circuit should be connected.
Is battery securely fastened down?
Check battery water level.

Check operation of governor controls.

Recheck coolant level shortly after start-up

and again after 10 minutes of warm-up
(after releasing cooling system pressure
carefully) at no load. Systems should not
have false fill characteristics, but sometimes additional coolant has to be added
after initial cold fill and running.
Make needed adjustments and run the
required acceptance tests.
If dynamometer testing is required, thoroughly warm up engine by running at part
load and speed for about 15 minutes
before testing at full load. Observe coolant
temperature under load. It should never
exceed 210F (99C)

Are electrical connections tight?

DISASSEMBLY AND ASSEMBLY
If equipped with air starter, air tanks must
be up to pressure before starting.
MONITORING SYSTEMS AND GAUGES
Check connections.

During the course of an installation checkout, some bolts or parts will probably be
adjusted, loosened, or removed. The question then is how tightly should the bolts be
torqued? On Caterpillar Engines this problem is simplified because only Grade 8 bolts

135

are used. Tighten Caterpillar-supplied

bolts to the values given in the table of bolt,
nut, and stud torques Figure 54. If other

bolts are used, chart shows how to identify their grade. (See Figure 55.)

BOLT, NUT AND TAPERLOCK STUD TORQUE

The torque values in the following tables apply to SAE
Grade 5 and higher grade bolts, nuts and taperlock studs
unless otherwise indicated in the Specifications.
GENERAL TIGHTENING TORQUE

Figure 54
General tightening torque. Caterpillar supplied bolts, nuts, and studs.

Figure 55
136

Caterpillar Electronic Engine Electrical Audit Checklist

Application/Engines: Industrial S/N Prefixes:

2AW1 UP .....3176C
1DW1 UP .....3196
6BR1 UP ......3406E
3LW1 UP ......3456
By J3/P3 Pin: (Not All Pins May Be Used by Application)
1

(+) Bat. (unswitched)

14

15A

Torq. limit sw. input

16

N/O

Not connected

To inlet air shutoff relay

16

Battery voltage

Air shutoff relay common

16

Inlet air shutoff system

Cat data link ()

16

Unshielded twisted pair (1/25 mm) with pin 7 wire

Cat data link (+)

16

Unshielded twisted pair (1/25 mm) with pin 6 wire

Dig. sensor power + 8v

16

Voltage supply

Dig. sensor return

16

10

TPS input

16

OPT

Could be sw. with multiple TPSs; lockouts reqd

11

Aux. temp sensor input

16

131-0427 allowable sensor; (0 -> + 120 c range)

12

Maint. clear sw.

16

N/O

13

Maint. over due lamp

16

1A

14

Anlg sensor power + 5v

16

15

Anlg sensor return

16

16

J1939 data link shield

16

133-0967; 133-0969 extended wire endpin/socket

17

J1939 data link (+)

16

Shielded twisted pair (1/25 mm) with pin 18 wire

18

J1939 data link ()

16

Shielded twisted pair (1/25 mm) with pin 17 wire

19

PTO interrupt sw.

16

N/C

Sw. to () bat.; PTO mode set/resume selected

20

Not connected

Not used

21

Not connected

Not used

22

Bat. volts to ether relay

16

23

Not connected

Not used

24

Eng. diagnostic lamp

16

1A

(+) Bat. voltage supplied to lamp optional

25

Eng. warning lamp

16

1A

(+) Bat. voltage supplied to lamp required

26

(+) Bat. (switched)

14

15A

N/O

27

Remote shutdown sw.

16

N/O

28

Intermediate speed sw.

16

N/O

Sw. to () bat. can only lower eng. spd.

29

PTO enable sw.

16

N/O

Sw. to () bat.; controls eng. spd. pgm li -> hi

30

PTO ramp up sw.

16

N/O

Sw. to () bat. raise/set eng. spd.; rate pgm via ET

31

J1587 data link

16

Unshielded twisted pair (1/25 mm) with pin 32 wire

32

J1587 data link ()

16

Unshielded twisted pair (1/25 mm) with pin 31 wire

33

Aux. press. sensor input

16

3e-6114 allowable sensor (0 -> 2894 kPa range)

34

Not connected

Not used

35

Not connected

Not used

36

Coolsnt Ivl. sensor input

16

111-3794 allowable sensor; located off engine

37

Not connected

Not used

38

Starting aid override sw.

16

N/O

39

PTO ramp down sw.

16

N/O

Sw. to () bat. lower/res. eng. spd.; rate pgm via ET

40

Overspeed verify sw.

16

N/O

Sw. to () bat. to activate at 75% OS limit; eng. S/D &

inlet air shutdown relay activated

Sw. to () bat. to limit torq.

Not used

Sw. to () bat. to clear/reset maint. indicator

(+) Bat. voltage supplied to lamp optional
Voltage supply

Sw. to () bat. to s/d engine; leaves ECM powered

Sw. to () bat. to supply more ether

137

Application/Engines: Industrial S/N Prefixes:

7PR UP .....3408E
4CR1 UP .....3412E
By J3/P3 Pin: (Not All Pins May Be Used by Application)
1

(+) Bat. (unswitched)

14

15A

(+) Bat. (unswitched)

14

15A

24 volt only

Not connected

Not Used

To inlet air shutoff relay

16

Battery voltage

Air shutoff relay common

16

Inlet air shutoff system

Cat data link ()

16

Unshielded twisted pair (1/25 mm) with pin 7 wire

Cat data link (+)

16

Unshielded twisted pair (1/25 mm) with pin 6 wire

Dig. sensor power + 8v

16

Voltage supply

Dig. sensor return

16

10

TPS input

16

OPT

11

Aux. temp sensor input

16

12

Maint. clear sw.

16

N/O

13

Maint. over due lamp

16

1A

(+) Bat. voltage supplied to lamp optional

14

Anlg sensor power + 5v

16

Voltage supply

15

Anlg sensor return

16

16

Not connected

Not used

17

Not connected

Not used

18

Not connected

Not used

19

Inlet air temp. snsr input

16

107-8618 allowable sensor; install ATAAC ret. line

20

Fuel press. snsr input

16

111-2350 allowable sensor; install in filter base

21

Not connected

Not used

22

Bat. volts to ether relay

16

23

Not connected

Not used

24

Eng. diagnostic lamp

16

1A

(+) Bat. voltage supplied to lamp optional

25

Eng. warning lamp

16

1A

(+) Bat. voltage supplied to lamp required

26

(+) Bat. (switched)

14

15A

24 Volt only

27

Remote shutdown sw.

16

N/O

28

Not connected

29

PTO enable sw.

16

N/O

30

PTO ramp up sw.

16

N/O

31

J1587 data link (+)

16

Unshielded twisted pair (1/25 mm) with pin 32 wire

32

J1587 data link ()

16

Unshielded twisted pair (1/25 mm) with pin 31 wire

33

Aux. press. sensor input

16

3e-6114 allowable sensor (0 -> 2894 kPa range)

34

Remote tdc probe (+)

Used by dealer tech when timing calib. reqd.

35

Remote tdc probe ()

Used by dealer tech when timing calib. reqd.

36

Coolsnt Ivl. sensor input

16

111-3794 allowable sensor; located off engine

37

Not connected

Not used

38

Starting aid override sw.

16

N/O

39

PTO ramp down sw.

16

N/O

Sw. to () bat. lower eng. spd.; rate pgm via ET

40

Overspeed verify sw.

16

N/O

Sw. to () bat. to activate at 75% os limit; eng. S/D &

inlet air shutdown relay activated

138

24 volt only

Could be sw. with multiple tpss; lockouts reqd

131-0427 allowable sensor; (0 -> + 120 c range)
Sw. to bat. neg. to clear/reset maint. indicator

Sw. to () bat. to s/d engine; leaves ECM powered

Not used
Sw. to () bat.; controls eng. spd. pgm li -> hi
Sw. to () bat. raise eng. spd.; rate pgm via ET

Sw. to () bat. to supply more ether

Customer/System Parameters
OEM:________________________ Date: __________ Eng: __________ Eng S/N: __________
Application: ________________________________________________________________________

Rating number

21

F (flash file)

Spec. order

Rated power Bkw

F (rating no.)

Spec. order

Rated peak torq Nm

F (rating no.)

Top engine speed range rpm

F (rating no.)

F (rating no.)

Test spec.

F (flash file)

F (rating no.)

Engine power trim %

22

3.0 -> +3.0

Equipment id

21

None

Engine serial no.

21

None

0xx00000

F (ECM)

None

Actual ECM

Personality module P/N

21

None

Actual P/M

Personality module rel. date

None

Actual P/M

Total tattletail

F (no. of chg)

Last tool to chg. customer param.

F (prev. chg)

Last tool to chg. system param.

F (prev. chg)

21

1 -> 3

23, 43

271 -> 9999

9999

37

Ramp u/d
-> set/res.

Ramp up/dwn

ECM serial no.

Fuel to air ratio mode

Tachometer calib.
Torque limit Nm
PTO mode
Idle/PTO ramp rate rpm/sec

37, 38

5 -> 1000

50

Top engine limit speed rpm

23

1600 -> 2310

2310

Low idle engine speed rpm

23

100 -> 1400

700

High idle speed rpm

23

1600 -> 2310

2310

Intermediate engine speed rpm

39

Lo idle -> hi idle

Lo idle

Aux. temp high warning point c

35

0 -> 120

Aux. press high warning point kPa

34

0 -> 2900

Maintenance indicator mode

24, 40

m-hrs; a-hrs;
m-fuel; a-fuel; off

Off

PM1 interval hours

24, 40

m-hrs 100
-> 750
m-fuel 3785
-> 28930

250

Liters
Engine oil capacity

9463

Unavailable

Engine monitoring mode

24

off; warn; derate;

shutdown

Warn

Coolant level sensor

34

Install; not install

Not install

Ether solenoid configuration

41

Cont.; pulsed

Continuous

Throttle position sensor

33

None

None

Fuel pressure sensor

31, 35

None

Not install

Fuel correction factor

21

64 -> +63.5

Customer password #1

21

8 characters

None

Customer password #2

21

8 characters

None

Personality module code

21

FLS

21

FTS

21

F (appl./tier)

None

F (test cell)

Yes

None

F (test cell)

Yes

139

Date Of Audit: ________________________

Installation Audit No. __________________________

OEM: __________________________________________________________

Address: ____________________________________________________

Cat Dealer:______________________________________________________

Location: ____________________________________________________

Cat Dealer Contact: ______________________________________________

Position: ________________________

Phone: ____________________

Equipment/Type: ________________________________________________________________________________________________________________
Application: ____________________________________________________________________________________________________________________
Engine Model: ________________________
DI

PC

NA

Rating: ______________ Bhp/Bkw

Estimated Annual Machine Sales:

S/N: ________________________

TA-JW

TA-ATAAC

Speed: ______________ rpm

Core Arr: ________________________

EPA

EEC

PA/PL: __________________

NONCERT

Hi Idle: ______________ rpm

Lo Idle: ______________ rpm

__________________________________

1 POWER TRANSMISSION SYSTEM

1. Flywheel Driven Equipment:
Clutch

Coupling

Type: __________________________

Make: ______________________

Model: ________________________

Size/Type: ______________________

Make: ______________________

Model: ________________________

Adapter from SAE#: ____ to ____

P/N: __________________________

2. Flywheel Housing is SAE #:________

Dry

Wet

3. Auxiliary Equipment Driven from Engine:

Item: ______________________

Max. HP: ________________________

Driven By: __________________

At: ______________X Engine Speed

Item: ______________________

Max. HP: ________________________

Driven By: __________________

At: ______________X Engine Speed

Item: ______________________

Max. HP: ________________________

Driven By: __________________

At: ______________X Engine Speed

Item: ______________________

Max. HP: ________________________

Driven By: __________________

At: ______________X Engine Speed

4. Yes

No

Torsional analysis performed?

Clutch Side Load:

Yes

No

Flywheel thrust load within limits?

Clutch Pulley Diameter: ____________________________________ mm

Yes

No

Flywheel side load with limits?

Distance from Centerline of Side Load to

Auxiliary drives within torque limits?

Clutch Output Shaft Shoulder:

Yes

No

____________________________________________

______________________________ mm

5. If Equipment Mobile:
Mounting:

Skid

Wheeled

Tracked

Self-Propelled

If Self-Propelled:

Driven By:

Transmission

Hydrastat

Belts/Chains

Make: ________

Model: ________

Ratios: ________

Control: ________

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
2 MOUNTING SYSTEM
1. Front:

Wide

Narrow

2. Rear:

F/W Hsg

F/W Hsg + Transmission Cradle

Trunion

3. Static Bending Moment @ Rear Face of Flywheel Housing: __________ NM

Solid

Resilient

Transmission

Solid

Within limits?

4. Overhung transmission/other equipment externally supported other than F/W housing?

5. Installed Tilt Angle Relative to Machine: __________deg.

Front: Down

Up

Yes

No

Yes

No
Left Side: Down

Resilient

Up

6. Expected Shock/Dynamic loading: Gs

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________

140

3 AIR INTAKE SYSTEM

1. Air Cleaner:

Make: __________________________
Yes

2. Safety Element:

No

Precleaner:

3. Line Air Cleaner to Turbo/Manifold:

Dia: _______ mm

Yes

4. Restriction Gauge Used:

No

Yes

Model:

No

Ln: _______ mm

____________________

Type: ________________________

Combustion Air From: ____________________________________

Mtrl:______________________

Location: ______________

Beaded Connect?

Yes

Res. @Full Load:

______________

Setting: ______________

No

IF CHARGE AIR COOLER (ATAAC) SYSTEM USED (Ref. LEXH6521)

5. Line Turbo Comp to CAC:
200C compatible?

Dia: _______ mm

Yes

6. Line CAC to Inlet Manifold:

Ln: _______ mm

Mtrl:____________________

No

Physically Secured?

Dia: _______ mm

Ln: _______ mm

Yes

Mtrl:____________________

7. Is pressure drop between turbo comp outlet and intake manifold less than 13.5 kPa @ rated?

Yes

No

No
Beaded Connections:?

Yes

8. At Rated, Max Design Intake Manifold Temp @ 25C Ambient Temp = ____________________ C
9. Corrected Intake Manifold Air Temp @ rated = __________ C (test)

Beaded Connections:?

Yes

No

No
(spec. value)
Yes

Corrected value <= to spec. value?

No

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
4 EXHAUST SYSTEM
1. Muffler:

Make: __________________________

2. Line Turbo to Muffler:

Dia: _______ mm

Ln: _______ mm

4. Is muffler/pipe adequately supported and free to expand/contract?

Yes

No

Single

Dual

Number of Elbows: ____________________________________________

3. Est Weight/Torque @ Engine Interface: ____________________________

5. Is adequate rain protection provided?

Model: ________________________

Yes

Exh Back Pressure Measured Near Turbo @ Rated: __________________

No

Type of Rain Protection:

Cap

Bend

Drain

Shield

6. Location of Exh Outlet Relative to Air Intake: ________________________________________________________________________________________

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
5 JACKET WATER COOLING SYSTEM

Refer to EDS 50.5 for specific instructions. Cooling test results must be attached to this report.
1. Radiator

Heat Exchanger

2. Radiator/Heat Exch.

Expansion Tank

Make: ____________________________

Model: ____________________________

__________________________sq. Meters

Fin Density:__________fins/25 mm

Front Area:
Pressure Cap Setting:

______________________________kPa

3. Jacket Water Heater Used?

4. Fan:

Shunt System

Dia: _______ mm

Part No.: ____________

Yes

No________________

No. of Blades:

__________________

Blade Pitch Angle:

____________deg

Shunt Line Downward Slope:

Yes

Type: ______________________________
Sucker

Blower

Other
Winter Front:

______________
Yes

No

No
I/O Eng Location: ______________

rpm/Dr. Ratio @ Rated: ________________

Blade Tip to Shroud Clearance: __________mm

Fan Posit. Relative to Shroud (2/3 upstream recommended):________________________________________ Fan LE to Core Clearance: ________mm
Fan Clutched?

Yes

No

Clutch Operation Criteria: ______________________________________________________________________

5. Coolant Flow @ Rated: __________ L/min

System Capacity (brim full): __________ liters

Max Heat Rej to JW: __________________________kW

6. Describe and aux. Coolers stacked over the radiator and cooling air flow considerations:
7. Coolant Used for Test:

Water

8. Filling requirements met?

Drawdown Requirement met?

50/50 Mix
Yes

No

Cavitation requirement met?

Yes

No

Yes

No

Air venting requirement met?

Yes

No

Yes

No

Ambient Capability Requirement with Test Coolant is: __________ C

Ambient Capability for Test Conditions is: __________ C

Meets requirement?

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________

141

6 LUBE SYSTEM
1. Oil Pan Sump:

Front

Center

Rear

Dipstick: Full at _____________ Liters

2. Dipstick:

Left

Right

Front

Rear

3. Oil Filler:

Left

Right

Top

Front

Rear

4. Oil Filter:

Left

Right

On Engine

Remote:

If Remote, Line Ln: ____________ mm

5. Auxiliary Filter:

Yes

No

Left

Right:

Mfg: _____________

6. OEM Required Continuous Tilt Operation: _______ deg

7. Does engine and installation meet tilt requirements?

Up

Front:

Yes

Dwn

Add Oil Capacity: ________________Liters

________deg

Left Side:

Up

Dwn

No

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
7 FUEL, GOVERNING, & CONTROL
1. Fuel Tank Volume: _____ Liters

_____ No. of Fuel Tanks:

Yes

Vented Cap:

No

Yes

Drain:

No

2. Location of Eng. Supply Tank Inlet: ____________________________ Location of Eng. Return Tank Outlet: __________________________________
3. Water separator used?

Yes

No

Secondary Filter:

4. Eng. Supply Line ID: _______________ mm

Eng. Return Line ID: __________ mm

5. Stabilized Fuel Temp to Eng. at Rated = _____ C

6. Governor Type:

Hydramech

7. Eng Spd Control:

Cable

PSG

8. Control system easily field adjustable/maintainable:

Yes

Part No.: __________

Micron: __________

Yes

Fuel Cooler Installed:

Supply Line Press Rest: ________ kPa

Linkage

9. Does machine operate as intended?

Make: __________

No

Return Line Press Rest: __________kPa

Electronic
Actuator

Yes
No

TPS

Pneumatic

No

Hydraulic

Filters Serviceable?

Motor
Yes

Switch

No

If not, why not? ________________________________________________________

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
8 STARTING & CHARGING SYSTEMS
1. Starter:

Electric

Volts: ____

2. Alternator:

Make:

__________________

Volts: __________________

Amps: __________________

Drive Ratio: ______________: 1

3. Battery:

No.:______________________

Volts: __________________

CCA: __________________

Amp Hr. Cap @ 20 hrs: ______

Solenoid:

UP

Down

4. Positive Battery Cable Size: ________________

Total Length: __________ mm

5. Negative Battery Cable Size: ________________

Total Length: __________ mm

Pneumatic

Press:_____ kPa

Hydraulic

6. Starting Aids:
Glow Plugs

Yes

No

Ether Inj

Yes

No

Continuous

Pulsed

Shot size = ________ cc

JW Heater

Yes

No

Fuel Fired

Electric

Circulation

Air Heater

Yes

No

Fuel Fired

Electric

ECM Controlled

Yes

No

7. How are parasitic loads reduced during starting? ____________________________________________________________________________________

____________________________________________________________________________________________________________________________
8. OEM provide own wiring?

Yes

No

9. What consumes electrical power from alternator/battery? ______________________________________________________________________________

____________________________________________________________________________________________________________________________
Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________

142

9 MONITORING SYSTEM
Off

1. If electronic eng, monitoring is set to:

2. If attachment

Warn

Derate

Shutdown

High Coolant Temp:

Warn/Shutdown @ ____________ C

Gauge:

Yes

No

Low Oil Press:

Warn/Shutdown @ __________ kPa;

Gauge:

Yes

No

Overspeed:

Warn/Shutdown @ __________ rpm

Tach:

Yes

No

______________________

Warn/Shutdown @ ______________

Gauge:

Yes

No
No
No

______________________

Warn/Shutdown @ ______________

Gauge:

Yes

______________________

Warn/Shutdown @ ______________

Gauge:

Yes

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
10 ELECTRICAL FOR ELECTRONIC ENGINE
1. System Voltage: ____________________________________________
2. Engine Speed Controlled by: __________________________________ Part Number:______________________________________________________
3. Describe Battery Neg Patch and Wire Size from Gnd Stud on J3/P3 Mounting Bracket to Battery Negative Bus: __________________________________
____________________________________________________________________________________________________________________________
4. General wiring checklist attached?
5. Engine monitoring system used?

Yes
Yes

No
No

6. Engine Customer Interface (J3/P3)

7. Is Engine Configuration Summary List attached?

Yes

Checklist attached?

Yes

No

Checklist attached?

Yes

No

No

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
11 SERVICEABILITY
1. Daily Maintenance:

3. Remove/Repair/Replace:

Check Oil Level . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Add Oil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Check Coolant Level. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Add Coolant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Check Water Separator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2. Periodic Maintenance

Replace Belts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Replace Thermostat . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Replace Water Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Remove Oil Pan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Remove Rocker Arms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Remove Cylinder Head . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Remove Starter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Remove Alternator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Remove Radiator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Adjust Governor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Adjust Linkages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Remove Service Air Compressor . . . . . . . . . . . . . . . . . . . . . . . . . . .

Remove Turbo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Replace Breather . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Remove Engine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
In-Frame Overhaul . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Service Air Cleaner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Change Oil Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Drain Oil Pan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Fuel Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Service Coolant Conditioner . . . . . . . . . . . . . . . . . . . . . . . . . .

Drain Cooling System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Adjust All Belts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Access to Service Meter . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Adjust Valve Lash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Adjust Clutch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

On Engine Wire Harness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ATAAC System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Electronic Service Tool Connect . . . . . . . . . . . . . . . . . . . . . . .

Service Starting Aid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Replace Batteries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________

143

12 PHOTOGRAPHS REQUIRED
1.

Main and Auxiliary Driven Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

No

2.

Front and Rear Engine Supports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

No

3.

Air Intake System, Including Supports and Attachment to Engine . . . . . . . . . . . . . . . . .

Yes

No

4.

Exhaust System, Including Supports and Attachment to Engine . . . . . . . . . . . . . . . . . .

Yes

No

5.

Cooling System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

No

6.

Remote Oil Filter System, Including Lines and Mounting . . . . . . . . . . . . . . . . . . . . . . . .

Yes

No

7.

Governor Control Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

No

8.

Ground Circuit Wire Paths for Electronic Engines . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

No

9.

Control Panel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

No

10. Instrument Panel (including data link wire) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

No

11. Multiple Views of the Engine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

No

12. Multiple Views of the Machine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

No

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
GENERAL APPLICATION INFORMATION
1. Maximum Expected Altitude for Operation: __________________________M
2. Maximum Expected Ambient Air Temp for Operation: ________________C
3. Minimum Expected Ambient Air Temp for Operation: ________________C
4. Maximum Expected Engine Tilt Angle During Operation: ____________deg

What Orientation? __________________________________________

5. Expected Annual Utilization: ________________________________Hours/yr

6. OEM Desired Time to Overhaul: ______________________________Hours

Is this the first life of the machine?

Yes

No

7. If a repower/redesign, what engine was replaced? ____________________

bkW: _______________________

Rpm: ______________________

Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
NOTE:
The engine installer must assure a safe installation in which moving or hot components are guarded or warning placards in place to avoid risk of personal
injury. This must include consideration of fuel, oil, water, air and electrical line routing to avoid pinch points, sharp edges, climbing step, and grab points.
NOTE:
1. Attach Cooling System Test Results (Ref. EDS 50.5)
2. Attach ATAAC System Test Results (Ref. LEXH6521)
3. Attach Electronic Installation Evaluation Checklists
4. Attach As Shipped Engine Consist
5. Attach Engine Performance Curve Detail
6. Attach Engine Rating Spec. Detail
7. Attach any Pertinent Sketches
8. Attach set of Photographs
Remarks: __________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
ACKNOWLEDGEMENTS:
OEM

CATERPILLAR

Name ______________________________________________________

Name __________________________________________________________

Title ________________________________________________________

Title

Date

Date __________________________________________________________

______________________________________________________

144

__________________________________________________________

MAINTENANCE AND RECORDS

Page
Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
Filter Changes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Fluid Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Adjustments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Component Replacement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

146
146
146
147

Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147

145

MAINTENANCE AND RECORDS

A Caterpillar Diesel Engine is a highly
engineered, quality-manufactured, precision device. Its performance and life
depend on maintaining its precision condition. This depends, in large measure, on
the adequacy of maintenance performed
by the user.
A. MAINTENANCE
Necessary maintenance can be grouped
into the following broad categories:
Filter Changes
A diesel engine will wear out measurably faster, even dramatically faster, if
air, oil, and fuel filters are not effective.
Consult Caterpillar service literature for
correct filter change intervals. Filters
are not the place to economize, either
by prolonging a necessary change or
by buying filters of unknown quality and
flow capacity characteristics. Either situation can result in expensive, premature wear and mechanical failure.
Fluid Changes
Lube oil should be changed at recommended service intervals to prevent
accelerated wear on bearings, pistons,
rings, crankshaft journals, valves, guides,
and gears. A Scheduled Oil Sampling
program is recommended as an ongoing preventive maintenance measure
to identify abnormal levels of wear particles. But, it should not be used to try
to extend oil change intervals because
it does not assess lube oil adequacy.
Coolant must also be changed periodi-

146

cally, and inhibitor and antifreeze

strength must be renewed to maintain
effectiveness. Follow factory-recommended practices shown in Caterpillar service
literature. Failure to do so may result in
internal corrosion damage to cylinder
block, liners, and cylinder heads. Products of corrosion in the system can
plug radiator cores and cause overheating and subsequent damage.
Adjustments
Few devices on a diesel engine need
periodic adjustments. However, valve
lash should be checked and adjusted
at intervals recommended in the engine
service manual. Belt drives on equipment, such as cooling fans, alternators,
and pumps, must be periodically adjusted to prevent belt slip, overheating, and
premature belt failure. The engine
should also be looked over regularly for
leaks, loose bolts, or any other irregularities which should be corrected
before serious problems develop.
Fuel systems on Cat Diesels are essentially adjustment-free under normal circumstances. Tinkering by an unqualified service mechanic is unwise. After
any work on a fuel injection pump or its
drive, any adjustments affected should
be reset to factory specifications for
best performance and engine life.
Special tools and gauging are essential
for accurate results.

Component Replacement
In some situations owners have found
that unscheduled downtime is so
inconvenient and costly that it is better
economy to replace certain items,
which typically wear out after a somewhat predictable service period, before
they fail. Factory Service Department
recommendations aided by user experience with a particular model, application, and job environment should be the
guide to timely component replacement
on a preventive maintenance (PM) basis.
B. RECORDS
An accurate, complete log of all maintenance and repair activities, by engine
serial number and date, should be
kept. This should include complete
information on amount of coolant and
lube oil added, adjustments made, and
parts replaced.

3. Successful experience can also

be identified from these records,
to provide a basis for future business decisions.
4. Preventive maintenance practices can likely be modified to be
more economical based on
recorded experience.
In summary, there are numerous
examples to show that engine life
before major overhaul may be
increased by 200% to 400%, and
more be adhering to sound maintenance practices. Good maintenance practices will result in lower
overall cost of ownership, operation,
and increased machine availability.

Intelligent, regular review of maintenance and repair records will return

positive dividends to the equipment
user in several ways.
1. Problem causes and trends can be
identified more quickly.
2. Repair cost data will be available for
future business decisions.

147

148

CONVERSION TABLES AND RULES OF THUMB

Page
English to Metric Conversion Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Area Equivalents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Volume and Capacity Equivalents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Length Equivalents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Temperature Conversion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Units of Pressure and Head. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Units of Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Units of Power. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Miscellaneous Equivalents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Brake Mean Effective Pressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Torque . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Barometric Pressures and Boiling Points of Water at Various Altitudes. . . . . . . . . . . . . . . . . . .
Geometric Formulas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Mathematical Expressions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Heat Rejection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Fuel Consumption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Gas Compressor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Cooling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Electricity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Electric Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
On Site Power Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Refrigeration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Air Compressors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Conveyors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Pumps. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Oil Field Drilling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Sawmill . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Torque Converters. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Velocity Versus Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Pipe Dimensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Typical Friction Losses of Water in Pipe. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

150
150
151
151
151
152
152
153
153
153
153
153
154
154
154
154
154
155
155
155
155
155
155
155
155
155
155
155
156
157
158

149

CONVERSION TABLES AND RULES OF THUMB

ENGLISH TO METRIC CONVERSION FACTORS

SYMBOL

WHEN YOU KNOW

MULTIPLY BY

TO FIND

SYMBOL

Btu
Btu/hph

1055.06

0.001 42
1055.06

JOULE
MEGAJOULES/KILOWATTHOUR
JOULES/HOUR

MJ/kWh
J/h

0.017 58

KILOWATT

kW

C
cu ft
cu ft/h
cfm
cu in
cu in
F
ft/min
ft
ft H2O
gph
gpm
hp
in Hg
in
in H2O
kW

BRITISH THERMAL UNIT

BRITISH THERMAL UNIT/
HORSEPOWER-HOUR
BRITISH THERMAL UNIT/
HOUR
BRITISH THERMAL UNIT
MINUTE
CELSIUS (DEGREES)
CUBIC FEET
CUBIC FEET/HOUR
CUBIC FEET/MINUTE
CUBIC INCH
CUBIC INCH
FAHRENHEIT (DEGREES)
FEET/MINUTE
FEET
FEET OF WATER
GALLON/HOUR
GALLON/MINUTE
HORSEPOWER
INCH OF MERCURY
INCH
INCH OF WATER
KILOWATT

[(1.8 C) + 32]
0.028 32
0.028 32
0.028 32
0.016 39
0.000 02
[0.5555 (F-32)]
0.3048
0.3048
2.988 98
3.785 41
3.785 41
0.7457
3.376 38
25.4
0.249 08
56.869 03

F
m3
m3/h
m3/min
L
m3
C
m/min
m
kPa
L/h
L/min
kW
kPa
mm
kPa
Btu/min

lb
lb
lb ft (ft-lb)
lb in (in-lb)
lb/in
lb in
lb/HP-h
lb/h
m3
psi
US qt
ft2
in2
US gal

LITER
MICRON
POUND
POUND
POUND FOOT
POUND INCH
POUNDS/INCH
POUNDS/INCH
POUND/HORSEPOWER-HOUR
POUND/HOUR
CUBIC METER
POUNDS/SQUARE INCH
US QUART
SQUARE FEET
SQUARE INCH
US GALLON

61.0237
1.0
0.453 59
4.448 22
1.355 82
0.112 99
0.175 13
175.127
608.277
0.453 59
61 023.7
6.894 76
0.946 35
0.0929
6.4516
3.785 41

FAHRENHEIT (DEGREES)
CUBIC METER
CUBIC METER/HOUR
CUBIC METER/MINUTE
LITER
CUBIC METER
CELSIUS (DEGREES)
METER/MINUTE
METER
KILOPASCAL
LITER/HOUR
LITER/MINUTE
KILOWATT
KILOPASCAL
MILLIMETER
KILOPASCAL
BRITISH THERMAL
UNIT/MINUTE
CUBIC INCH
MICROMETER
KILOGRAM (MASS)
NEWTON (FORCE)
NEWTON METER
NEWTON METER
NEWTON/MILLIMETER
NEWTON/METER
GRAM/KILOWATT HOUR
KILOGRAM/HOUR
CUBIC INCH
KILOPASCAL
LITER
SQUARE METER
SQUARE CENTIMETER
LITER

Btu/h
Btu/min

AREA EQUIVALENTS

150

UNIT

SQ. CM.

SQ. IN.

1 Sq. Cm.

0.155

SQ. M.

SQ. FT.

1 Sq. In.

6.4516

.00064516

.006944

1 Sq. M.

10,000

1 Sq. Ft.

929

1550

10.764

144

0.0929

cu in
m
kg
N
NM
NM
N/mm
N/m
g/kWh
kg/h
cu in
kPa
L
m2
cm2
L

VOLUME AND CAPACITY EQUIVALENTS

UNIT

in3

ft3

yd3

cm3

m3

US gal

Imp gal

in3

0.000 58

0.000 02

16.3871

0.000 02

0.004 32

0.003 61

liter
0.016 39

ft3

1728

0.037 04

28 316.8

0.028 32

7.480 52

6.228 83

28.3169

yd3

46 656

27

764 554

0.764 55

201.974

168.178

764.555

cm3

0.061 02

0.000 04

0.000 26

0.000 22

0.001

m3

61 023.7

35.3147

1.30795

1 000 000

264.172

219.969

1000

US gal

231

0.133 68

0.004 95

3785.41

0.003 78

0.832 67

3.785 41

Imp gal

277.419

0.160 54

0.005 95

4546.09

0.004 55

1.200 95

4.546 09

liter

61.0237

0.03531

0.001 31

1000

0.001

0.264 17

0.219 97

acre ft

43 560

1613.33

1233.48

325 851

271 335

LENGTH EQUIVALENTS
UNIT

cm

in

ft

yd

km

cm

0.3937

0.032 81

0.010 94

0.01

0.000 01

mile

in

2.54

0.083 33

0.027 78

0.0254

0.000 03

ft

30.48

12

0.333 33

0.3048

0.000 30

yd

91.44

36

0.9144

0.000 91

100

39.3701

3.280 84

1.093 61

0.001

0.000 62

km

100 000

39 370.1

3280.84

1093.61

1000

0.621 37

mile

160 934

63 360

5280

1760

1609.34

1.609 34

151

UNITS OF PRESSURE AND HEAD

UNIT

mm Hg
(0 C)

in Hg
(0 C)

in H2O
(39 F)

ft H2O
(39 F)

mm Hg

0.039 37

0.535 25

0.0446

in Hg

25.4

13.5954

1.132 96

in H2O

1.868 27

0.073 55

0.083 33

ft H2O

22.4193

0.882 65

12

psi

51.7151

2.036 03

27.6807

2.306 73

kg/cm2

735.561

28.9591

393.712

32.8094

bar

750.064

29.5301

401.474

33.4562

atm

760

29.9213

406.794

33.8995

kPa

7.500 64

0.295 30

4.014 74

0.334 56

UNIT

psi

kg/cm2

bar

atmospheres

kPa

mm Hg

0.019 34

0.001 36

0.001 33

0.001 32

0.133 32

in Hg

0.491 15

0.034 53

0.033 86

0.033 42

3.386 38

in H2O

0.036 13

0.002 54

0.002 49

0.002 46

0.249 08

ft H2O

0.433 51

0.030 48

0.029 89

0.029 50

2.988 98

psi

0.070 31

0.068 95

0.068 05

6.894 76

kg/cm2

14.2233

0.980 67

0.967 84

98.0665

bar

14.5037

1.019 72

0.986 92

100

atm

14.6959

1.033 23

1.013 25

101.325

kPa

0.145 04

0.010 09

0.010 00

0.009 87

UNITS OF FLOW
Cubic foot per second, also written second-foot, is the unit of flow in the English system used to express rate of flow in large pumps,
ditches, and canals. Flow in pipe lines, from pumps and wells is commonly measured in gallons per minute.

Rates of water consumption and measurement of municipal water supply are ordinarily made in million gallons per day. The Miners
Inch is still used in some localities for irrigation and hydraulic mining, but is not suitable for general use.

UNITS
1 U.S. Gallon per
Minute (U.S. G.P.M.)

U.S.
GAL. PER
MINUTE

MILLION
U.S. GAL.
PER DAY

CUBIC
FEET PER
SECOND

CUBIC
METERS
PER HOUR

LITER
PER
SECOND

.001440

.00223

.2270

.0631

1 Million U.S. Gal.

per Day (M.G.D.)

694.5

1.547

157.73

43.8

1 Cubic Foot per Second

448.8

.646

101.9

28.32

1 Cubic Meter per Hour

4.403

.00634

.00981

.2778

1 Liter per Second

15.85

.0228

.0353

3.60

152

UNITS OF POWER
UNIT

hp

ft lb/min

kW

metric hp

Btu/min

hp

33 000

745.70

0.745 70

1.014

42.456

ft lb/min

0.0226

0.001 28

0.001 34

44.25

0.001

0.001 36

0.056 87

kW

1.341 02

44 250

1000

1.359 62

56.8690

metric hp

0.986 32

32 550

735.498

0.735 49

41.8271

Btu/min

0.023 58

778.2

17.5843

0.017 58

0.023 91

MISCELLANEOUS EQUIVALENTS
1 Btu = Heat required to raise 1 lb water 1 F = 778 ft lb =
0.000 293 kW-h = 0.252 kg-cal = 0.0039 hp-h
1 hp = 746 watts = 33 000 ft lb/min = 550 ft lb/sec =
42.45 Btu/min = 1.014 metric hp
1 kW = 1000 watts = 1.341 hp = 3412 Btu/h
1 hp-h = 2544 Btu
BRAKE MEAN EFFECTIVE PRESSURE:

TORQUE:

792,000 2 hp
BMEP psi (4-cycle) = _________________
RPM 2 Displacement

Displacement 2 BMEP
T (lb ft) = __________________
150.8

396,000 2 hp
BMEP psi (2 cycle) = _________________
RPM 2 Displacement

33000 2 hp 5252 2 hp
T (lb ft) = __________ = __________
2p 2 RPM
RPM

150.8 2 Torque
BMEP psi = _____________
Displacement

BAROMETRIC PRESSURES AND BOILING POINTS OF WATER AT VARIOUS ALTITUDES

BAROMETRIC PRESSURE
ALTITUDE
See Level
1000 Ft.
2000 Ft.
3000 Ft.
4000 Ft.
5000 Ft.
6000 Ft.
7000 Ft.
8000 Ft.
9000 Ft.
10000 Ft.
11000 Ft.
12000 Ft.
13000 Ft.
14000 Ft.
15000 Ft.

INCHES
MERCURY
29.92
28.86
27.82
26.81
25.84
24.89
23.98
23.09
22.22
21.38
20.58
19.75
19.03
18.29
17.57
16.88

In.
In.
In.
In.
In.
In.
In.
In.
In.
In.
In.
In.
In.
In.
In.
In.

LB. PER
SQUARE INCH
14.69
14.16
13.66
13.16
12.68
12.22
11.77
11.33
10.91
10.50
10.10
9.71
9.34
8.97
8.62
8.28

P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.
P.S.I.

FEET WATER
33.95
32.60
31.42
30.28
29.20
28.10
27.08
26.08
25.10
24.15
23.25
22.30
21.48
20.65
19.84
18.07

Ft.
Ft.
Ft.
Ft.
Ft.
Ft.
Ft.
Ft.
Ft.
Ft.
Ft.
Ft.
Ft.
Ft.
Ft.
Ft.

POINT WATER
BOILING
212 F
210.1 F
208.3 F
206.5 F
204.6 F
202.8 F
201 F
199.3 F
197.4 F
195.7 F
194 F
192 F
190.5 F
188.8 F
187.1 F
185.4 F

153

GEOMETRIC FORMULAS

HEAT REJECTION:
% of Fuel Energy
BHP
Jacket Water
Exhaust
Radiation

Circumference: Circle 2r
Area: Circle
Ellipse
Sphere
Cylinder
Triangle
Volume: Ellipsoid of
Sphere
Cylinder
Cone

Analytical: Circle

Ellipse

Hyperbola
Parabola
Line

r2
ab
4r2
2r (r + l)
1
/2 ab
revolution

Jacket Water
Turbocharged Engines
Btu/min = 42 2 BHP
Naturally-Aspirated, Roots Blown and Spark-lgnited
Engines
Btu/min = 45 2 BHP
Oil Cooler
Btu/min =
5 2 BHP
Watercooled Manifold
Btu/min =
7 2 BHP
Torque Converter
Btu/min = 42.4 2 BHP input 2
(100 conv. eff.)
100
4/3b2a
4/3r3
r2l
b2a
12
2
2
x__
+ y__
+
=1
r2 + r2
2
2
x__
+ y__
+
=1
2
a + b2
2
2
x__
+ y__
+
=1
a2 + b2
y2 = 2px
y = mx + b

MATHEMATICAL EXPRESSIONS
Trigonmetric Relations
y
sin O = __
r

Laws of Exponents
ax 2 ay = ax y
ax 2 ay = ax y

Laws of Logarithms

1
x
ax = a

In (y ) = 2 In y

ax
(ab)x = ax 2 bx ay = ax y
(ax)y = axy

In (ab) = In a + In b

a = 1

In

( ab ) = In a In b

FUEL CONSUMPTION BHP:

BHP = GPH fuel 2 15

Diesel

BHP = GPH fuel 2 9.5

Gasoline

BHP = cu ft/h fuel 2 1/8

Natural Gas*

kW = GPH fuel 2 10

x
cos O = __
r

*100 Btu gas.

y
tan O = __
x

GAS COMPRESSOR:

Diesel

BHP = 22 RcVS
Where: Rc = Stage Compression Ratio
V = Million cu ft/day
S = Number of Stages

Sin2 O + cos2 O = 1
Law of Cosines

a2 + b2 2ab cos O = c2

154

Consumed
30%
30%
30%
10%

1/15 gal. per

BHP-h
1/10 gal. per
BHP-h
7 to 8
cu ft/BHP-h
1/10
gal/kW-h

COOLING:
Heat Exchanger Flow Rate
Raw water to jacket water 1:1 to 2:1
Submerged Pipe Cooling
1
/2 sq. ft. surface area per HP
With 85 F flowing water
ELECTRICITY:
Generator Capacity Required
Motors:
1 kW per nameplate hp (motor running cool or warm
to touch)
11/4 kW per nameplate hp (motor running hot to touch)
Horsepower Requirements
kW
11/2 BHP per kW of load or ________________
0.746 2 Gen. Eff.

CONVEYORS: 15 to 20 Incline.
Vertical lift in feet 2 tons per hour
BHP = ____________________________
500
PUMPS:
Feet of lift per 1000 GPM
Deep Well BHP = ______________________
3
Pipe Line BHP = Barrels per hour 2 psi 2 0.00053
GPM 2 lb/gal (Liquid) 2 feet of head
Any Liquid BHP = ______________________________
33,000 2 pump efficiency*
*Efficiency: Centrigugal
Single impeller, double suction
Single impeller, side suction
Deep well turbine
Reciprocating

ELECTRIC SETS:
Motor Starting Requirements
Inrush kVA (Code F motor) = 5.5 2 BHP
Inrush Current (Code F motor) = 6.2 2 Full load rated
current
1 kVA per HP at full load
Generator full load rated current capacity
Voltage
Rated Current
120
6.01 2 kW
208
3.47 2 kW
240
3.01 2 kW
480
1.50 2 kW
2400
0.30 2 kW
4160
0.17 2 kW
Generator Cooling Requirements
Air Flow = 20 CFM per kW
Circuit Breaker Trip Selection
1.15 to 1.25 2 full load generator amp rating
Single Phase Rating of 3-Phase Generator
60% of 3-phase rating
Generator Temperature Rise
Increase 1 C for each 330 feet above 3300 feet
ON SITE POWER REQUIREMENTS:
Based on 100,000 sq. ft. of office bldg., etc., and 40 N.
latitudes
Electric Requirements:
600 kW continuous load
(Air conditioning is absorption)
Use three 300 kW units
(2 prime and 1 standby)
Air Conditioning Compressor:
400 tons prime load
Use two 200 hp engines
(No standby)
REFRIGERATION:
One ton refrigeration = 200 Btu/min = 12,000 Btu/h
One boiler HP = 33,475 Btu/h
One ton compressor rating = One Engine hp
Auxiliary air conditioning equipment requires
1
/4 hp per ton of compressor rating
Ice Plant:
Complete power requires 4-5 hp per daily ton capacity
AIR COMPRESSORS:
hp = 1/4 2 cu ft per minute at 100 psi
Increase BHP 10% for 125 psi
Decrease BHP 10% for 80 psi

65-80%
55-75%
65-80%
75%

OIL FIELD DRILLING:

Hoisting
Weight 2 FPM (assume 100 is unknown)
BHP = ____________________________________
33,000 2 0.85 (eff.)
Mud Pumps
GPM 2 lb/gal 2 (feet of head)
BHP = ____________________________________
33,000 2 pump efficiency (see pumps)
Dry Table
Depth
12000
4000
8000
12000

in Feet
- 4000
- 8000
- 12000
- 16000

BHP Required
75
100
150
200

SAWMILL:
11/2 BHP per inch of saw diameter at 500 RPM
Increase or decrease in proportion to RPM
Swing Cut-Off Saw
24-inch 3 BHP
36-inch 71/2 BHP
42-inch 10 BHP
Table Trimmer 71/2 to 10 BHP
Blower Fan, 12-foot sawdust 3 to 5 BHP
Planer Mill 2 to 4 BHP per 100 board feet per hour
24 to 30-inch planers 15 to 25 BHP
Edgers
2 saws 12 to 15 BHP
3 saws 15 to 25 BHP
Slab Saw
10 BHP
Jack Ladder
10 BHP
Approximate fuel consumption
Softwood 1 gal. per 1000 board feet
Hardwood 1 gal. per 750 board feet
TORQUE CONVERTERS:
Peak output shaft horsepower:
Normally 80% of input horsepower for either single
or three-stage converter.
Output shaft speed at peak output horsepower:
Single-stage 0.7 to 0.85 engine full load speed
Three-stage 0.5 to 0.6 engine full load speed
Torque multiplication at or near stall:
Single-stage 2.2 to 3.4 times engine torque
Three-stage 3.6 to 5.4 times engine torque

155

156

PIPE DIMENSIONS
Standard Iron Pipe
NOMINAL SIZE

ACTUAL I.D.

ACTUAL O.D.

Inches

(mm)

Inches

(mm)

Inches

(mm)

Feet Per
Gal.

M Per
Liter

Feet Per
Cu. Ft.

12-1/8
12-1/4
12-3/8
12-1/2
12-3/4

3.18
6.35
9.53
12.7
19.05

0.270
0.364
0.494
0.623
0.824

6.86
9.25
12.55
15.82
20.93

0.405
0.540
0.675
0.840
1.050

10.29
13.72
17.15
21.34
26.68

336.
185.
100.4
63.1
36.1

27
16.1
8.3
5.
2.9

2513.
1383.
751.
472.
271.

21
21-1/4
21-1/2
22
22-1/2
23
23-1/2

25.4
31.75
38.1
50.8
63.5
76.2
88.9

1.048
1.380
1.610
2.067
2.468
3.067
3.548

26.62
35.05
40.89
52.25
62.69
77.9
90.12

1.315
1.660
1.900
2.375
2.875
3.500
4.000

33.4
42.16
48.26
60.33
73.02
88.9
101.6

22.3
12.85
9.44
5.73
4.02
2.60
1.94

1.9
1.03
.76
.46
.32
.21
.16

24
24-1/2
25
26
27
28

101.6
114.3
127.
152.4
177.8
203.2

4.026
4.508
5.045
6.065
7.023
7.982

102.26
114.5
128.14
154.
178.38
202.74

4.500
5.000
5.563
6.625
7.625
8.625

114.3
127.
141.3
168.28
193.66
219.08

1.51
1.205
0.961
0.666
0.496
0.384

.12
.097
.077
.54
.04
.031

29
10
12

228.6
245.
304.8

8.937
10.019
12.000

227.
254.5
304.8

9.625
10.750
12.750

244.48
273.05
323.85

0.307
0.244
0.204

.025
.02
.016

M Per
Cu. M.
27,049
14,886
8,083
5,080
2,917

166.8
96.1
70.6
42.9
30.1
19.5
14.51

1,795
1,034
,760
,462
,324
,210
,156

11.30
9.01
7.19
4.98
3.71
2.87

,122
,097
,077
,054
,040
,031

2.30
1.825
1.526

,025
,019.6
,016.4

157

TYPICAL FRICTION LOSSES OF WATER IN PIPE

(OLD PIPE)

FLOW

HEAD LOSS IN FEET PER 100 FT.

(m per 100 m)

gpm
(l/s)
5
.34
10
.63
15
.95
20
1.26
25
1.58
30
1.9
35
2.21
40
2.52
45
2.84
50
3.15
60
3.79
70
4.42
75
4.73
80
5.05
90
5.68
100
6.31
125
7.89
150
9.46
175 11.05
200 12.62
225 14.20
250 15.77
275 17.35
300 18.93
325 20.5
350 22.08
375 23.66
400 25.24
425 26.81
450 28.39
475 29.97
500 31.55
750 47.32
1000 63.09
1250 78.86
1500 94.64
1750 110.41
2000 126.18

3/4" (19.05 mm)

10.5
38.0
80.0
136.0
4" (101.6 mm)
0.13
0.17
0.22
0.28
0.34
0.47
0.63
0.72
0.81
1.00
1.22
1.85
2.60
3.44
4.40
5.45
6.70
7.95
9.30
10.8
12.4
14.2
16.0
17.9
19.8

1" (25.4 mm)

3.25
11.7
25.0
42.0
64.0
89.0
119.0
152.0
5" (127 mm)
0.11
0.16
0.21
0.24
0.27
0.34
0.41
0.63
0.87
1.16
1.48
1.85
2.25
2.70
3.14
3.65
4.19
4.80
5.40
6.10
6.70
7.40
8.10

1-1/4" 31.75 mm)

0.84
3.05
6.50
11.1
16.6
23.0
31.2
40.0
50.0
60.0
85.0
113.0
129.0
145.0
6" (152.4 mm)
0.17
0.26
0.36
0.48
0.61
0.77
0.94
1.10
1.30
1.51
1.70
1.95
2.20
2.47
2.74
2.82
2.90
7.09
12.0

1-1/2" (38.1 mm)

0.40
1.43
3.05
5.20
7.85
11.0
14.7
18.8
23.2
28.4
39.6
53.0
60.0
68.0
84.0
102.0
7" (177.8 mm)
0.17
0.22
0.28
0.35
0.43
0.51
0.60
0.68
0.77
0.89
1.01
1.14
1.26
1.46
1.54
3.23
5.59
8.39
11.7

FLOW

2" (50.8 mm) 2-1/2" (63.5 mm)

0.16
0.05
3" (76.2 mm)
0.50
0.17
0.07
1.07
0.37
0.15
1.82
0.61
0.25
2.73
0.92
0.38
3.84
1.29
0.54
5.10
1.72
0.71
6.60
2.20
0.91
8.20
2.76
1.16
9.90
3.32
1.38
13.9
4.65
1.92
18.4
6.20
2.57
20.9
7.05
2.93
23.7
7.90
3.28
29.4
9.80
4.08
35.8
12.0
4.96
54.0
17.6
7.55
76.0
25.7
10.5
8" (203.2 mm)
34.0
14.1
0.15
43.1
17.8
0.19
54.3
22.3
0.24
65.5
27.1
0.27
9" (228.6 mm)
32.3
0.32
0.18
38.0
0.37
0.21
44.1
0.43
0.24
50.5
0.48
0.28
10" 254 mm)
0.55
0.31
0.19
0.61
0.35
0.21
0.68
0.38
0.23
0.75
0.42
0.26
0.82
0.46
0.28
1.76
0.98
0.59
2.97
1.67
1.23
4.48
2.55
1.51
6.24
3.52
2.13
7.45
4.70
2.80
10.71
6.02
3.59

gpm
5
10
15
20
25
30
35
40
45
50
60
70
75
80
90
100
125
150
175
200
225
250
275
300
325
350
375
400
425
450
475
500
750
1000
1250
1500
1750
2000

(l/s)
.34
.63
.95
1.26
1.58
1.9
2.21
2.52
2.84
3.15
3.79
4.42
4.73
5.05
5.68
6.31
7.89
9.46
11.05
12.62
14.20
15.77
17.35
18.93
20.5
22.08
23.66
25.24
26.81
28.39
29.97
31.55
47.32
63.09
78.86
94.64
110.41
126.18

Flow Restriction of Fittings Expressed as Equivalent Feet of Straight Pipe

Size of Fiting
90 Ell
46 Ell
Long Sweep Ell
Close Return Bend
Tee Straight Run
Tee Side Inlet or Outlet
Globe Valve Open
Angle Valve Open
Gate Valve Fully Open
Gate Valve Half Open
Check Valve

158

2"

2-1/2"

3"

5.5
2.5
3.5
13.
3.5
12.
55.
27.
1.2
27.
19.

6.5
3.
4.2
15.
4.2
14.
67.
33.
1.4
33.
23.

8.
3.8
5.2
18.
5.2
17.
82.
41.
1.7
41.
32.

4"
11.
5.
7.
24.
7.
22.
110.
53.
2.3
53.
43.

5"
14.
6.3
9.
31.
9.
27.
140.
70.
2.9
70.
53.

6"

8"

10"

12"

14"

16"

16.
7.5
11.
37.
11.
33.

21.
10.
14.
51.
14.
43.

26.
13.
17.
61.
17.
53.

32.
15.
20.
74.
20.
68.

37
17
24
85
24
78

42
19
27
100
27
88

3.5
100.

4.5
130.

5.8
160.

6.8
200.

8
230

9
260

LEBH0504

2000 Caterpillar Inc.

Printed in the U.S.A.