Cat Engine Warranty

SERVICE
WARRANTY BULLETIN
U.S. and Canada Engine Division
Form Number Table Of Contents

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 00.01 Warranty Philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 00.02 TAB - TABLE OF CONTENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 00.03 Form Number Table Of Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 00.04 Topic Table Of Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 00.05 TAB 1 - WARRANTY STATEMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0503 1.1 - Personal Use Warranties Disclosure Requirements (U.S.A.) . . . . . . . . . . . . . . . 01.01 1.2 - Non-Current Warranty Statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.02 Engine Warranty Statements Warranty Statements can be obtained online @ https://engines.cat.com/infocast/frames/support/warranty/warstat/ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . TAB 2 - WARRANTY IDENTIFICATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0509 2.1 - Determining Type Of Warranty/Extended Service Plan . . . . . . . . . . . . . . . . . . . 02.01 2.2 - Engine Product Warranty Situations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.02 2.3 - Warranty For Governmental Sales . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.03 2.4 - Repairs On Caterpillar-Owned Product . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.04 TAB 3 - CLAIMABLE EXPENSES - PARTS AND SPECIAL WARRANTIES . . . . . . . . . . SELD0510-01 3.1 - Parts Warranty Expenses For On-Highway Vehicle Engines/Transmissions . . . 03.01 3.2 - Parts Warranty Expenses For Marine/Industrial/Petroleum/Electric Power Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.02 3.3 - Service Items Sold By Caterpillar. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.03 3.4 - Canadian Import Tax And Expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.04 3.5 - Non-Caterpillar Peripheral Components. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.05 3.6 - Defective Parts Stock Warranty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.06 3.7 - Battery Warranty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.07 3.9 - Dealer Service Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.09 3.10 - Mechanic Hand Tools And Larger Mechanic Tools Warranty . . . . . . . . . . . . . . 03.10
00.03 (03/08)
TAB 4 - CLAIMABLE EXPENSES - ON-HIGHWAY ENGINES . . . . . . . . . . . . . . . . . . . . . SELD0511 4.1 - On-Highway Truck Engine/Transmission Warranty Expenses . . . . . . . . . . . . . . 04.01 4.2 - On-Highway Truck Extended Warranty Coverage On Specified Parts . . . . . . . . 04.02 4.3 - Emission Warranty - On-Highway Vehicle Engines . . . . . . . . . . . . . . . . . . . . . . 04.03 4.4 - On-Highway Truck Electronic Engine Control System . . . . . . . . . . . . . . . . . . . . 04.04 4.5 - 3116 Engines In FMTV U.S. Military Trucks . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.05 4.6 - Warranty Administration Practices For Jacobs Vehicle Systems Products. . . . . 04.06 4.7 - Warranty Administration Practices For Electronic Dual Fuel Systems Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.07 TAB 5 - CLAIMABLE EXPENSES - IND/EPG/MARINE . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0512 5.1 - Standard-Type Warranty Expenses (For Certain Remanufactured Industrial Engines) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.01 5.2 - Industrial/Petroleum/Electric Power/Marine Warranty Expenses . . . . . . . . . . . . 05.02 5.3 - Non-Revenue Producing Marine Propulsion Engine Extended Warranty Coverage On Specified Parts . . . . . . . . . . . . . . . . . . . . . . . 05.03 5.4 - Delivery Inspection (Services and Claims) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.04 5.5 - Battery Chargers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.05 5.6 - Engines and Caterpillar Packaged Products Sold For Use In Petroleum Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.06 5.7 - Electric Power CAT Switchgear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.07 5.9 - Caterpillar Assembled Power Systems Packaged Products . . . . . . . . . . . . . . 05.09 5.10 - Emission Warranty - Industrial/Petroleum/EP/Marine Engines. . . . . . . . . . . . . 05.10 5.11 - Warranty Practices For Product Built By Caterpillar Motoren. . . . . . . . . . . . . . 05.11 5.12 - Warranty Administration Practices For Olympian Power Systems Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.12 5.13 - Warranty Administration Practices For U.P.S. Systems . . . . . . . . . . . . . . . . . . 05.13 5.14 - All Parts Air Conditioning and Assembled Hydraulic Product Components Used for Other Than Cat Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.14 5.15 - Warranty Administration Practices For Caterpillar Electric Power . . . . . . . . . . Automatic Transfer Switches (ATS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.15 5.16 - Final Delivery Sea Trial for Electronic Marine Engines Only (Service and Claims) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.16 5.17 - Other Manufacturer Fuel Systems on CAT 3044C, 3054 and 3056 . . . . . . . . Engine Warranty. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.17 5.18 - Warranty Administration Practices For Cat Compact Power Systems . . . . . . Products (Less than 200kw Diesel Only) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.18 5.19 - PM Inspections for C175 Package Generator Sets Sold into . . . . . . . . . . . . . Electric Power Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.19
00.03 (03/08)
TAB 6 - REPAIR GUIDELINES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0513 6.1 - Repair Vs Replacement Of Parts, Components, Or Engines/On-Highway Transmissions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06.01 6.2 - Use Of Caterpillar Remanufactured Engines /On-Highway . . . . . . . . . . . . . . . . Transmission And Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06.02 6.3 - Use Of Caterpillar Dealer-Rebuilt Exchange Components . . . . . . . . . . . . . . . . 06.03 6.4 - Engine Performance Complaints (Low Horsepower/High Fuel Consumption) . . 06.04 6.5 - Excessive Engine Oil Consumption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06.05 6.6 - Cold Weather Operating Complaints For On-Highway Engines . . . . . . . . . . . . . 06.06 TAB 7 - PARTS/CORE HANDLING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0514 7.1 - Removed Warranty Claim Parts Disposition And Parts Return Requests (Send It Back Program) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 07.01 7.2 - Removed Warranty Claim Cores Disposition/Shipment For Remanufacture . . . 07.02 7.5 - Shipping Damage And Discrepancies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 07.05 7.6 - Shortage in Engine Shipment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 07.06 TAB 8 - DOCUMENTATION REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0515 8.1 - Documentation For Warranty Claims And Audit . . . . . . . . . . . . . . . . . . . . . . . . . 08.01 8.2 - Engine/On-Highway Transmission Identification . . . . . . . . . . . . . . . . . . . . . . . . . 08.02 8.3 - Establishing Product Delivery Date For Engines and. . . . . . . . . . . . . . . . . . . . . Transmissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08.03 8.4 - Processing Of The Engine/Product Delivery Service Record . . . . . . . . . . . . . . 08.04 8.5 - Approved Warranty Rate Submission (Engine Division Only) . . . . . . . . . . . . . . 08.05 8.6 - Establishing Warranty On Aged Engine Inventory . . . . . . . . . . . . . . . . . . . . . . . 08.06 8.7 Establishing Warranty On Aged Industrial Engine Inventory . . . . . . . . . . . . . . . 08.07 TAB 9 - CLAIM PREPARATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0516 9.1 - Time Limits For Submitting Warranty Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . 09.01 9.3 - Instructions For Completing Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 09.03 9.4 - Claim Filing Instructions For Unique Claims. . . . . . . . . . . . . . . . . . . . . . . . . . . . 09.04 TAB 10 - CLAIM CODES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0517 10.1 - Claim Action/Reason Codes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.01 10.2 - Description Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.02 10.3 - Service Management Control System (SMCS) Codes. . . . . . . . . . . . . . . . . . . Engine Division Products - SMCS Codes Booklet . . . . . . . . . . . . . . . . . . . .
00.03(03/08)
TAB 11 - CLAIMS ADMINISTRATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0518 11.1 - Claim Submission Paths For Caterpillar Engines/On-Highway Transmissions. In OEM Product . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.01 11.2 - Service Claim Settlement Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.02 11.3 - Caterpillar Dealer Responsibilities For Handling TEPS/AMDS Warranty Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.03 11.4 - Returned Claims Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.04 TAB 12 - PIP/PSP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0519 12.1 - Product Improvement Program (PIP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.01 12.2 - Product Support Program (PSP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.02 Index Of Truck Engine PIP/PSP Service Letters . . . . . . . . . . . . . . . . . . . . . 12.03 TAB 14 - MEMOS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SELD0521
Ordering Information: Binder Only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . LELQ4171
00.03 (03/08)
SERVICE
WARRANTY BULLETIN
Introduction
This Engine Division Service Warranty Guide, Form SELD0500, provides Caterpillar Power System Distributors and Engine Dealers in the United States and Canada with a single source of reference for warranty practices currently in effect, and for correct procedures to follow when preparing standard Warranty Claims. The information contained in this Warranty Guide will be updated and reissued when necessary to assure current accuracy.
Warranty Bulletin Numbering System

The bulletin number of each bulletin in this guide contains both the tab number under which the bulletin is filed, and the number of the bulletin within the specified tab. For Example: Bulletin No. 12.2 In this example, the number before the dot indicates this bulletin is filed under Tab Number 12. The number after the dot indicates that it is the second bulletin under Tab 12.
NOTICE
The pink Automatic Mailing List Request Sheet (Form SELD0522) which is the first sheet in this guide, must be filled-in and sent to Caterpillar for holders of this Warranty Guide to receive future Warranty Bulletin updates.
00.01(10/99)
00.01 (10/99)
S E RVICE
W ARRANTY B ULLET IN
Philosophy
The rationale and reasoning for many of Caterpillars basic warranty practices are explained in this bulletin. This bulletin addresses who the participants are in warranty situations, and clearly indicates that a dealers warranty department is not the only area responsible for handling warranty. Dealer personnel need a clear understanding of Warranty Philosophy for the foundation required to correctly and efficiently handle warranty.
(U.S. and Canada) Engine Division
What Is A Warranty Repair?

A warranty repair restores the product to its operating condition just prior to the failure, by repairing and/or replacing the defective part, and the resultant damaged Caterpillar parts, gaskets, seals, etc. needed to correct the defect. A warranty repair is not intended to restore the product to a like-new condition. Defective Part is the Caterpillar part that caused the failure. Resultant Damaged Caterpillar Parts are the Caterpillar parts that were damaged as a result of the failure of the defective part. Caterpillar parts include Caterpillar-approved parts.
What Is Warranty?
The Caterpillar Warranty is Caterpillars legal commitment to provide, through its dealers, customer protection for product/part defects in material and workmanship during a specified period of time or product usage. Warranty also protects Caterpillar and its dealers from unreasonable customer claims. Caterpillar Warranty has legally binding commitments and limitations that cannot be altered. These are outlined on a legal document called a Warranty Statement, that is given to the customer.
Warranty Statement Disclaimer

All warranty statements have what is called a Disclaimer, which is printed in bold print either at the bottom or on the back side of the statement. From a legal standpoint, the Disclaimer is the most important element of a warranty statement. There are two key points that the Disclaimer contains: Nothing else is Implied, except what is stated. Which means what is stated on the warranty statement is Caterpillars legal obligation, nothing more. Incidental and consequential damages are excluded. Caterpillar is not responsible for incidental and consequential damages.
Can A Warranty Be Voided?

A manufacturer cannot void or cancel their product warranty to a customer, but they can elect to not participate in a failure that was caused by customer misuse or modification (i.e. altered, added to, misadjusted). This is because there would be no defect in factory material or workmanship. The customer would still have warranty coverage on any subsequent failures that are not caused by misuse or modifications.
00.01 (10/99)
Incidental damages are best described as damages to property. Consequential damages are best described as other damages notably loss of profit or use. As a matter of practice, however, Caterpillar will repair or replace resultant damaged Caterpillar parts. For example: A Caterpillar fan blade broke off and damaged the radiator. Caterpillars Warranty will provide for replacement of the defective blade. As a matter of practice, Caterpillar will also replace the resultant damaged Caterpillar parts. The warranty does not cover the damage to the non-Caterpillar radiator (incidental damage), or the loss of profit due to downtime (consequential damage).
Dealers administer warranty because: They have all the relevant facts about the failure including: - All the parts involved in the failure. - The failure analysis data. - The repair documentation. - Any previous failure information. - Who the customer is and their application. - The product operating conditions. - The customer/operator practices. And, it allows customers to view the dealer as the one who makes all decisions associated with the repair.
Three-Party Responsibility
The merchandising of Caterpillar products involves three parties: the manufacturer, the dealer, and the customer. Each of these parties has specific individual responsibilities that impact warranty. Understanding these responsibilities is essential for dealers to determine which party or parties are liable for payment of a repair, and in some cases, the amount of the payment. Caterpillar, the manufacturer, is responsible for Building products that are free of defects. Standing behind the Warranty obligation. Initiating product improvements. The dealer is responsible for: Selling products within limits of their intended capacity and application. Delivering products in good initial adjustment. Instructing customers on proper operation and maintenance. Administering Caterpillar Warranty.
Administering Warranty
The dealer is responsible for administrating Caterpillar Warranty. Administration of warranty includes the following dealer responsibilities: Performing failure analysis to determine the cause of failure. Determining if the failure is covered by warranty, and if so, what expenses are covered. Determining the most economical method of repair. Making the repair settlement with the customer at the close of the repair. Submitting a claim to Caterpillar after the customer settlement is made, for monetary dealer reimbursement from Caterpillar Convincing Caterpillar that the failure was the result of a defect in factory material or workmanship. As can be seen above, the majority of the responsibilities for administering warranty are performed by the service department.
The customer is responsible for: Operating the product properly and within the application it was designed for. Properly maintaining the product. Notifying the dealer promptly if a problem exists.
00.01 (10/99)
Bulletin No. 1.1
SERVICE
WARRANTY BULLETIN
Personal Use Warranties Disclosure Requirements

(Applies To The U.S.A., Its Territories, And Possessions)
The Federal Trade Commission Improvement Act (Magnuson-Moss Warranty Act) sets requirements for warranties on those products which are normally used for personal, family, or household purposes. The following Warranty Statements include items sold for personal, family, or household use, and are available for distribution: Caterpillar Battery Limited Warranty. Caterpillar Service Tool Limited Warranty. Caterpillar Warranty - 3126 Engines And C-16, C-15, C-12 And C-10 Engines Powering On-Highway Vehicles. Caterpillar Warranty - Marine Products.
DispIaying the text of the written warranty in close proximity to each warranted product, or Furnishing the text of the warranty upon request prior to sale and posting signs in prominent locations advising prospective buyers of the availability of warranties upon request. If you sell any Caterpillar consumer products by means of a catalog or mail order solicitation (which does not require that the customer personally visit your establishment), then you (in conjunction with Caterpillar, if appropriate) must disclose the warranty in the catalog or solicitation, or include a statement that the warranty can be obtained free upon written request. This regulation also requires that, in situations in which you solicit the sale of a warranted consumer product and the buyers offer to purchase is not made at your place of business, you inform the buyer that copies of the warranties can be inspected any time during the sales presentation. This disclosure shall be made both orally and in all written materials shown to the buyer. These requirements, along with additional duties of dealers, are set forth in detail in 16 Code of Federal Regulations, Parts 700-703.
Caterpillar Warranty - On-Highway Transmission Caterpillar Warranty - Parts And Assembled Components.
NOTICE
Form Numbers of these Warranty Statements are listed on the Form Number Table of Contents of this Warranty Guide, under the tab heading Warranty Statements.
These same regulations also require that sellers of these products (Caterpillar dealers and their TEPS dealers/AMDs) must make readily available for a prospective buyers review, prior to sale, the text of the applicable warranties by either:
01.1 (10/06)
Indicates change.
Bulletin No. 1.1
01.1(10/06)
Bulletin No. 1.2
SERVICE
WARRANTY BULLETIN
Non-Current Warranty Statements C
The following Non-Current Warranty Statements have expired and can be found at the website below:
https://engines.cat.com/infocast/frames/support/warranty/warstat/oldstat/
Filing Non-Current Warranty Statements

Non-current warranty statements exist for warranties which have more than one warranty statement based on the sales date of the product. In such cases, the various current and non-current warranty statements are filed in order of the effective sales date. Thus, the current (latest) warranty statement should be filed first, followed by the non-current statements in order of the effective sales date.
01.02 (10/06)
Indicates change.
Bulletin No. 1.2
SELD0527-09 (10/06)
Bulletin No. 2.1
SERVICE
WARRANTY BULLETIN
Determining Type Of Warranty/Extended Service Plan

Caterpillar offers four primary types of warranty coverage for new and Remanufactured Engine Division products. Included are:
On-Highway Truck Engine Warranty On-HighwayTransmission Warranty Marine Engine Warranty Industrial/Petroleum Engines/Electric Power Warranty Parts Warranty In addition, an Emission Warranty is provided for new engines, and a Standard-Type Warranty is provided for Caterpillar dealer-sold Remanufactured industrial engines. Caterpillar also offers customer purchased Extended Service Plans which include: Truck Engine Extended Service Coverage (ESC) On-HighwayTransmission Extended Service Coverage (ESC) Commercial Engine Extended Service Coverage (ESC) Overhaul Protection For Trucks (OPT) Overhaul Protection For Commercial Engines (OPC) Remanufactured Extended Coverage Advantage Used Truck Engine Extended Service Coverage
The Caterpillar Warranty System uses engine customer sales information to determine the appropriate warranty and type of claim reimbursement. It is important for the System that this information be correct and promptly reported. If a claim is received before the sales information has been entered, reimbursement may follow Standard-Type Warranty procedures rather than the appropriate Warranty procedures. The sales information for any dealer retail-sold engine product is reported by the dealer Sales Department through the DELTA System and is retrievable on the Service Information Management System (SIMS). The sales information for engine products sold directly by Caterpillar to an OEM is entered by Caterpillar and is retrievable on the SIMS System. Major changes to the existing principal work code/sales application code structure were put into effect October 1, 2000. These changes were made to allow for more accurate sales reporting information of Caterpillar Engine Products. The following sales record codes identify what the dealer Sales Department should enter in the sales record. The specific codes used for warranty purposes are Distribution Channel, Principal Work, and Sales Application Codes. The following lists the updated codes which went into effect October 1, 2000. Accuracy of this information is essential to determine the type of warranty that applies.
02.01(10/06)
Indicates change.
Bulletin No. 2.1
Distribution Channel Codes

The Distribution Channel Code indicates the method of sale. The following is a list of the Distribution Channel Codes: A - Retail B - Dealer To OEM C - Second Level Dealer D - Governmental (Dealer to city, county, state) E - Factory OEM F - Defense Products G - Dealer Through Defense Products X - Centralized Account (Specific Customer Assigned To Specific Cat Dealer)
Sales Application Codes

The Sales Application Codes are used to determine the length of the warranty period and other warranty related factors. Following is a chart which lists the codes and a brief definition of both:
Sales Application Codes Application Code A Description Primary Drive Definition An application in any business wherein the engine is providing the primary power to move the vehicle, boat, or ship (mechanical or electric drive). Marine electric drive propulsion units should be listed here. An application in any business where the engine powers a pump. An application in any business where the engine powers a compressor (gas, air, fen ec) ro, t.. A general category in any business where the engine is powering any machines excluding pumps, compressors, and vehicular drives. Other than load management or quality power, any application within any business where the engine powers an electric generator.The term prime denotes engines i r g l r, planned, and everyday use as a main power source and output n eua available with varying load. Other than load management or quality power, any application within any business where the engine powers an electric generator.The engine usage is sporadic and unplanned. Generally, s tandby application denotes emergency power with varying load during electrical power failures or similar crisis. T i a p i a i n w l not have hs plcto il any form of Uninterrupted Power Supply (UPS) product or system insta l d le. Used when engine-generator system s coolant and/or exhaust is used to increase overall system eff c e c i i n y. Engine driven cooling system using CFC, HCFC, or HFC based refrigerants , ammonia or similar refrigerant for the purpose of space or comfort cooling in buildings; industrial or manufacturing process cooling; or super cooling materials or products, including cryogenics (less than 25 F). An application where the generator sets are utilized to control the amount of electrical power purchased from a utility.This can be accomplished by switching specific loads from utility power to generator power, or operating generator(s) in pa a l l w t t e u i i y.This category would include the former code of G peak shaving. rle ih h tlt Other than load management or quality power, any application within EPG where the engine powers an electric generator, the term continuous denotes engines in regular, planned, and everyday use as a main power source and output available without varying load.
B C D E
Pump Compressor Other Mechanical Drives Prime Power
St andby Power
H J
Cogeneration (CHP) Cooling
M1
Load Management
N1
Continuous (Base Load)
Quality Power An application where there is a requirement for an Uninterrupted Power Supply and a reliable protection against the full range of power failures, disturbances or similar events This application will typically have some form of Uninterrupted Power . Supply (UPS) product or system insta l d le.
1
P1
Codes M, N, and P are new codes.

2 02.01 (10/06)
Indicates change.
Bulletin No. 2.1
Principal Work Codes

The following chart lists the Principal Work Codes for engine sales information and identifies the various Sales Application Codes which may be used with each Principal Work Code. When the dealer Sales Department enters the Sales Record Information on-line, the Principal Work Code and Sales Application Code are entered as one complete 4-digit code with the first three digits being the Principal Work Code and the 4th digit being the Sales Application Code. When viewing the sales record codes on the Service Information Management System (SIMS), only the Principal Work Code appears. However, if viewing the (JSZ120) screen, it will show the complete 4 digit code.
Things To Keep In Mind

The Principle Work Code is determined at the time of sale and application to the first user. Pictures are sometimes needed for specialty vehicles, RV, Fire Truck & School Buses. Specialty vehicles are not considered RVs. The PWC for on-highway transmission in a refuse application will be D17. The body builders bill of sale will be requested.
Marine: Includes all engines utilized on boats and ships for main propulsion as well as auxiliary applications such as cargo winches, electrical power, pumps, bow thrusters, etc.
Marine Principal Work Codes Description Fish Boat Definition Boats used for any kind of commercial fishing to include f s f c o y s i . Also includes sport fish/charter boats i h a t r h ps used in revenue producing sport fishing. Non-revenue producing, recreation fishing craft should be reported in pleasure craft (A90 code). Includes tugs, tows, crew boats, supply boats f r b a , e c , i e o ts t . Boats o s i used in carrying goods (cargo) in r h ps international waters. Includes container ships b l , d y , uk r cargo, and tankers. Same as oceangoing except travel is generally confined to inland waterways such as rivers, canals, etc. Boats used by government bodies like national navies, coast guards, police, and revenue departments a a l l v l t l ees of the government. This category includes all blue-water navy, mlta y, and pa r l b a . ii r t o o ts Used to remove material from channels in rivers, canals, etc. Boats used for recreational use. All non-revenue producing recreational fishing craft belong in this category. Boats used to transport people or people/automobiles. High-speed, fast ferries, together with conventional ferries, gaming, dinner cruise, and sightseeing boats belong in this category. Principa l W ork Code A11 Va i Application ld Codes A, B, C, D, E
W ork Boat Oceangoing
A12 A13
A, B, C, D, E A, B, C, D, E
Inland Waterways Government
A14 A30
A, B, C, D, E A, B, C, D, E
Dredge Pleasure Craft Passenger Vessel
A40 A90 A95
A, B, C, D, E A, B, C, D, E A, B, C, D, E
02.01(10/06)
Indicates change.
Bulletin No. 2.1
Petroleum: Includes all engines used in drilling for petroleum products and the recovery of these products as well as engines used in gathering and transmission via pipelines, pumps, and gas compressors. Includes both prime mechanical or electrical power plus such auxiliary requirements as lighting, air-conditioning, etc. in the production field. Also included are engines mounted on truck platforms which are moved to and from the site and used for well servicing.
Petroleum Principal Work Codes Description W orkover Diln rlig Axlay uiir Definition Main and auxiliary engines associated with rigs used to repair or recomplete existing wells. Main and auxiliary engines associated with rigs used to dilolo gswls rl i r a el. Engines used in petroleum applications such as fire pumps , camp power, cranes, seismic, logging, refinery pumps e c , , t. that do not fit the other categories. Main and auxiliary engines used in completing or stimulating a well, such as for cementing, fracturing, acidizing, nitrogen pumping, etc. Main and auxiliary engines used in primary or secondary recovery systems, such as surface or down hole pumps , f e d e e t i i a i n w t r f o d o d s o a , g s l ft ec i l l c r f c t o , a e l o r i p s l a i , t. Main and auxiliary engines used in gathering, reinjection, transmission, gas plant, storage, liquidification, etc. Main and auxiliary engines used for pumping crude oil or refined products through pipelines or for tanker loading fclte. aiiis Principa l W ork Code B11 B12 B13 Va i Application ld Codes B, C, D, E, F B, C, D, E, F B, C, D, E, F
Completion/ Stimulation Crude Production
B20
A, B, D, E
B30
B, C, D, E, F
Gas Compression Crude Oil Transmission
B40 B50
C, E B, E, F
Electric Power: All engines used for the primary purpose of generating electrical power except those used as marine auxiliary engines and those used in a petroleum application. Only valid EP application codes can be used in the reporting of sales in this category.
Electric Power Principal Work Codes Description Energy Utilities Communications Commercial Businesses Residential Buildings Agriculture Construction Manufacturing Pbi o Cvl ulc r ii Services Definition E e t i u i i y, g s u i i y, energy services lcrc tlt a tlt Telecom, ISP s, radio/TV and cellular systems Financial services, hotels/resorts r tail stores, warehousing , e or wholesale operations, commercial off c b i d n s ie ulig. Apartment building, homes. Crop/plant production, animal production, fisheries Generation of electrical power for construction sites. Chemicals, apparel/textiles, lumber/paper/pulp, machinery, electronics, cement, steel, glass/plastics, food/feed. Emergency or disaster response, health care, public transport (airports), government buildings (federal, s tate, or municipal), water supply, waste management, mlta y, schools. ii r Event services, entertainment facilities, recreation or sports f c l t e . aiiis Forestry. Electrical power packages given temporary possession and usage in return for the payment of rent or a fee. Generation of electrical power for mines or quarries. 4 Principa l W ork Code C70 C71 C72 C73 C74 C75 C76 C77 Va i Application ld Codes E, F, H, M, N, P E, F, H, M, N, P E, F, H, M, N, P E, F, H, M, N, P E, F, H, M, N, P E, F, H, M, N, P E, F, H, M, N, P E, F, H, M, N, P
Leisure Forestry Renta l Mining Indicates change.
C78 C79 C80 C81
E, F, H, M, N, P E, F, H, M, N, P E, F, H, M, N, P E, F, H, M, N, P 02.01 (10/06)
Bulletin No. 2.1
Trucks: Includes all on-highway vehicles (normally licensed) such as intra- and inter-city trucks and buses, military vehicles, dump trucks, garbage trucks, and city delivery trucks. Does not include off-highway trucks (type of vehicle is important, not its end use; a normal highway truck used off-road is considered a highway truck). Includes school buses of all types.
Truck Principal Work Codes Description Trucks Definition Covers all intra- and inter-city trucks including dump trucks, garbage trucks, delivery, etc. Does not include off-highway tuk. rcs All school bus applications. Does not include engines sold to factory OEM s that produce trucks and school buses. Mltary vehicles having on/off-highway capa i i y. ii blt Motor homes. Special vehicles - pumpers, ladders, crash, and all types of emergency vehicles. Vehicles used for transporta i n w t i p r , t r i a s t o i h n o ts e m n l , and factories. All buses except school buses. Does not include engines sold to factory OEM s that produce trucks and school buses. Principa l W ork Code D10 Va i Application ld Codes A
School Buses Ta t c l Vehicles cia Recreation Vehicles Fire/Rescue Trucks Yard Jockeys Non-School Buses
D20 D30 D40 D50 D60 D70
A A A A A A
Truck Transmissions: Includes all transmissions attached to Caterpillar engines in on-highway vehicles (normally licensed) such as intra- and inter-city trucks buses and school buses, military vehicles, dump trucks, garbage trucks, and city delivery trucks. Does not include transmission attached to engines in off-highway trucks (type of vehicle is important, not its end use; a normal highway truck used off-road is considered a highway truck).
Co d e Des c r i p t i o n Pr i n c i p l e Wo r k Co d e D15 D17 Def i n i t i o n
TRUCK TRANSMISSION
COVERS ALL TRANSMISSIONS ATTACHED TO ENGINES IN INTRA- AND INTER-CITY TRUCKS INCLUDING DUMP TRUCKS, DELIVERY, ETC. DOES NOT INCLUDE REFUSE TRUCKS OR OFF-HIGHWAY TRUCKS. COVERS ALL TRANSMISSIONS ATTACHED TO ENGINES IN REFUSE TRUCKS.
SCHOOL BUS TRANSMISSION TACTICAL VEHICLE TRANSMISSION
D25
ALL TRANSMISSIONS ATTACHED TO ENGINES IN SCHOOL BUS APPLICATIONS. DOES NOT INCLUDE TRANSMISSIONS SOLD TO FACTORY OEMs THAT PRODUCE TRUCKS AND BUSES.
D35
TRANSMISSIONS ATTACHED TO ENGINES IN MILITARY VEHICLES HAVING ON/OFF HIGHWAY CAPABILITY
RECREATION VEHICLE TRANSMISSIONS FIRE/RESCUE TRUCKS TRANSMISSIONS YARD JOCKEY TRANSMISSIONS
D45
TRANSMISSIONS ATTACHED TO ENGINES IN MOTOR HOMES.
D55
TRANSMISSIONS ATTACHED TO ENGINES IN SPECIAL VEHICLES PUMPERS, LADDERS, RESCUE, ALL TYPES OF EMERGENCY VEHICLES.
D65
TRANSMISSIONS ATTACHED TO ENGINES IN VEHICLES USED FOR TRANSPORTATION WITHIN PORTS, TERMINALS AND FACTORIES.
NON-SCHOOL BUS TRANSMISSIONS
D75
TRANSMISSIONS ATTACHED TO ENGINES IN ALL BUSES EXCEPT SCHOOL BUSES. DOES NOT INCLUDE TRANSMISSIONS SOLD TO FACTORY OEMs THAT PRODUCE TRUCKS AND BUSES.
02.01(10/06)
Indicates change.
Bulletin No. 2.1
Industrial/OEM: This category includes engines used in ground preparation, planting, cultivating, harvesting plants, raising of animals, or whose primary function is to move materials off-road, and/or to process those materials. All electric power generation engines in these categories should be reported under EP.
Construction Principal Work Codes Description Asphalt and Concrete Paving Equipment Bore/Drill Rigs (Non-Mining) Compactors/ Rollers Other Mobile Earthmoving Machines Trenchers Other Construction Definition Includes pavers, vibrators, mixers, planners, profilers, etc. Principa l W ork Code K11 Va i Application ld Codes A, D
Bore/Drill rigs used in all types of construction (excludes mining and quarry applications). Includes air compressor powered drills. All compactors including soil compa t r , l n f l , s c o s a d i l tatic and vibratory. R l e s o a l t p s i c u i g s o l r f l y e n l d n tatic and vibratory. Construction mobile equipment (non mining or quarry) including crawlers, excavators, graders, off-highway trucks or tractors, loaders, scrapers, backhoes, dozers, etc. The key is that the equipment is used in a construction application. Tr n h r o a l t p s eces f l ye. All other construction machinery and equipment. Agriculture Principal Work Codes
K12
A, C, D
K13 K14
A, D A, D
K15 K16
A, D A, B, C, D
Description Ag Tractors Combines and Harvesters Irgto riain Equipment Sprayers Other Ag
Definition Ag tractors including 2WD, 4WD, track type and belt type. Combines and harvesters of all types. Irrigation equipment of all types. Sprayers of all types. Other agriculture including balers, cultivators, windrowers, and other self propelled or stationary equipment.
Principa l W ork Code K21 K22 K23 K24 K25 A
Va i Application ld Codes
A, D A, B, D A, B, D A, B, C, D
Material Handling Principal Work Codes Description A r a L ft eil i s Chippers/Grinders (Non-Forestry) Compressors Cranes Crushers Dredge F r l ft oki s Pumps Definition Articulated boom, boom and scissor lift. s Chippers and grinders used in non-forestry applications such as waste grinders, tire shreaders, etc. Including screw and reciprocal air compressors and gas compressors (non oil field). All types of self propelled and stationary cranes. Crushers includes car crushers, rock crushers, and si pleies ol uvrzr. Land based dredges used in the recovery of material from channels in rivers, canals, etc. Rough terrain and sta d r i d s r a f r l ft including sea n a d n u t i l o k i s, container handlers. Includes concrete pumps, pressure washers, raw water waste pumps, and general industrial pumps. Should not include irrigation, fire and petroleum/oil field pumps . Other material handling equipment in covered in above definitions. Includes snow groomers, other snow handling equipment, conveyors, non aircraft towing, yard spotters and yard jockeys. Principa l W ork Code K31 K32 K33 K34 K35 K36 K37 K38 Va i Application ld Codes A, D A, D A, C, D A, D A, D A, B, C, D A, D B
Other Material Handling
K39
A, B, C, D
Indicates change.
02.01 (10/06)
Bulletin No. 2.1
Mining Principal Work Codes Description Bore/Drill Rigs (Mining Only) Shovels/Draglines Surface Hauling Ui n ts Underground Mining Equipment Other Mining Definition Machines used for mine drilling, surface mining, etc. Hydraulic, cable and diesel electric shovels, excavators and draglines for mining applications (non construction). Off-highway trucks, scrapers, and other hauling units used in surface mining. All equipment for use in underground mining including hauling, loading, drilling, pumping, and ventilation equipment. Other mining machinery/equipment such as screeners, crushers, tractors, loaders, dozers and pumps (not underground). Principa l W ork Code K41 K42 K43 K44 K45 Va i Application ld Codes A, C, D A, D A, D A, B, C, D A, B, C, D
Forestry Principal Work Codes Description Chippers/Grinders Feller/Bunchers Harvesters Loaders/ Forwarders Skidders Other Forestry Definition Chippers and grinders used in the production of wood products . Feller/bunchers of all types. Harvesters of all types. Loaders and forwarders of all types. Skidders of all types. Alohrfrsr l t e o e t y. Principa l W ork Code K51 K52 K53 K54 K55 K56 Va i Application ld Codes A, D A, D A, D A, D A, D A, B, C, D
General Industrial Principal Work Codes Description A r r ft Support ica Definition Tugs, loading equipment, baggage handling, deicing equipment, ground power units, heat and sta t u i and r n ts utility service equipment. All fire pumps except petroleum applications. U i not originally manufactured as part of a complete n ts machine. Intended for universal hydraulic applications. Commercial turf equipment, mowers, aerators, seeders, dethatchers, sod cutters and utility vehicles. A l t p s o l g t p a ts/towers except EP applications. l ye f ih ln All types of refrigeration/AC. Municipal or commercial scrubbers or sweepers. W edr o altps les f l ye. All other general industrial (not found in construction, ag, material handling, mining or forestry) includes speciality vhce,idsra pronlcrir,idsra uiiyvhce, eils nutil esne ares nutil tlt eils ice maintenance equipment, abrasive blasting equipment, blowers, vacuums, water sprayers, paint sprayers, stripers, to crir,idsra sraesadalohrgnrlidsra. ol ares nutil pedr n l te eea nutil Principa l W ork Code K61 Va i Application ld Codes A, D
Fire Pump Hydraulic Power Units Lawn and Garden Light Plants / Towers Refrigeration/AC Scrubbers/ Sweepers W elders Other General Idsra nutil
K62 K63 K64 K65 K66 K67 K68 K69
B A, B, C, D A, B, C, D D J A, D A, D A, B, C, D
02.01(08/06)
Indicates change.
Bulletin No. 2.1
Locomotive Principal Work Codes Description Locomotive Definition Engines used to provide traction power for locomotives. Engines drive electric generators, mechanical gearboxes or hydraulic pumps for transmission of traction power. Applications include freight, switcher/shunter, i d s r a , nutil and passenger locomotives. Generator set engines or engine generator sets i s l e n ta l d either in locomotive or in a separate railcar/powercar and used to provide on-board electrical power for passenger train heating, ventilation, air conditioning and lighting loads. Applications include inter-city passenger, commuter passenger and excursion trains. Engines, generator set engines or generator sets i s l e n ta l d in railway track maintenance equipment. Applications include r i w y t e tampers, ballast cleaners/regulators, rail grinders, ala i track mounted cranes/swing booms and railcar movers. Engines used primarily for passenger railcars which can be operated independantly, haul a non-powered trailer or be formed into a semipermanent train set with all or a portion of the cars powered. Powered cars typically have a low profile diesel engine fitted under the floor that provides traction power through a mechanical gearbox (hydraulic) or drive an electric generator.Application is primarily passenger service although some are used for utility and freight applications. Principa l W ork Code L11 A Va i Application ld Codes
Rail Way Head End Power
L12
A, E
Rail Maintenance Equipment
L13
A, E
Diesel Multiple Ui n ts/Railcars
L14
The new Hertz field will be required when the Application Code is E (Prime Power), F (Standby Power), H (Cogeneration) or M (Load Management). The possible values for the Hertz field include 50 or 60.
The new Fuel Type fields will be required on ALL sales transmissions. The possible values for the Fuel Type field include the following: DD DG HF LG NG PR Distillate Diesel Fuel Digester Gas Heavy Fuel Oil Landfill Gas Natural Gas Propane
Indicates change.
02.01 (10/06)
Bulletin No. 2.1
Warranty/Extended Service Verification

Verification of the type of warranty/extended service coverage may be accessed through the Caterpillar Network using the AIMS connection and selecting Application No. JSZ107 (Dealer Service System) then Task No. 05 (S/N Serv/Warr Desc. Inq.), or Application No. JSZ120 (S/N Service Data Inquiry). For verification of Extended Service Plan coverage only, dealers can also use Application No. SWN4C1 (Special Warranty Inquiry). The appropriate User Identification and Password for access are provided by the dealer's User Security Coordinator.
Warranty Status For Remanufactured Engines

Remanufactured engines can have either Engine Product Warranty or Standard-Type Warranty, depending on the type of engine application or how the Remanufactured engine was sold. Remanufactured engines in either of the following circumstances, are covered under Engine Product Warranty: sold into on-highway vehicle or marine applications. sold through TEPS/AMDs or other authorized second level dealers. In all other applications, Remanufactured engines are covered under Standard-Type Warranty. For on-highway vehicle engine applications, warranty on Remanufactured engines differs from warranty on new engines only in the following two areas: the length of the warranty period, and the coverage for extended warranty on specified parts of heavy duty engines.
Warranty Period Limitations

The warranty period is limited by time, and in some instances, service (service meter hours or miles) according to the appropriate warranty statement. Therefore, claims beyond these limits, require specific authorization prior to submission to Caterpillar. Caterpillar dealers may contact their Caterpillar Engine Area Office for assistance or call Dealer Marketing, Engine Division. TEPS Dealers/AMDs should contact their administrating Caterpillar dealer for guidance.
Warranty Status For Replacement Engines
Engine Product Warranty

Caterpillar's warranty reimbursement practices allow repairing dealers a profit for performing warranty repairs. The practice applies to specific products according to sale method or application. Caterpillars Engine Product Warranty applies to all new and remanufactured engines, marine transmissions, power packages, electric sets, and electric set components. Engines used in a Caterpillar machine are subject to the Earthmoving Warranty and must be filed accordingly against the machine serial number.
Replacement engines or on-highway transmissions can have either new engine/transmission warranty or the remaining warranty of the engine/on-highway transmission it replaces. To verify which type of warranty the replacement engine/on-highway transmission receives, use the On-Line Product Information System (PIS) via the "S/N Detail" option, or the Dealer Service System (DSS) via the "S/N Serv/Warr Desc Inq" option.
On-Highway Transmission Product Warranty

Caterpillar's warranty reimbursement practices allow repairing dealers a profit for performing warranty repairs. The practice applies to specific products according to sale method or application. Caterpillars On-Highway Transmission Product Warranty applies to all new transmission components.
Standard-Type Warranty
Standard-Type Warranty pertains to the arrangement whereby Caterpillar and its dealers share warranty costs as provided by the Sales and Service Agreements. For Engine Division product, Standard-Type Warranty applies only to Caterpillar dealer sold Remanufactured industrial engines.
02.01(10/06)
Indicates change.
Bulletin No. 2.1
Non-Highway Use Of Truck Engines

Truck engines used in applications not meeting on-highway use criteria (whether licensed or not) are subject to the Industrial Engine Products and Electric Power Generation Products Warranty Statement and the applicable policies. It is Caterpillars requirement that truck engines operating in off-highway application, such as logging, road building, or mining applications be covered under this warranty statement. Engines used in these applications and incorrectly identified as on-highway vehicles are subject to have warranty voided or down graded to the appropriate warranty statement. It is important that special care be used in determining which warranty applies. The customer should be given the correct warranty at the time of sale to avoid any misunderstanding of coverage. For example, the length of time is different. Also, there is a difference in coverage such as travel expenses. Reasonable travel is included in the Industrial Engine warranty, but excluded in the On-Highway warranty, unless it is less expensive than towing. Truck engines (as identified by truck engine serial number prefix) qualify as Engines Used to Power On-Highway Vehicles when they power on-highway vehicles or other vehicles capable of being licensed for on-highway use (such as railway and truck terminal yards), whether or not the vehicles are actually used on-highway. Vehicles not capable of being licensed for on-highway use are subject to the Industrial Engine and Electric Power Generation Products Warranty Statement. Industrial Engines (as identified by Industrial Engine serial number prefix) that are used in vehicles capable of being licensed for on-highway use, are covered only by the Industrial Engine and Electric Power Generation Product Warranty Statement and the New and Remanufactured Parts and Assembled Components and Remanufactued Replacement Engines Warranty Statement.
Engine/On-Highway Transmission/Parts Replaced Under Product Warranty

The warranty period is a single total period and the warranty commitment is fulfilled by making repairs or replacements within that period. Parts replaced under the terms of this warranty are covered for the remainder of the warranty period applicable to the product, as if such parts were original components of that product. The warranty on these items ceases when the product warranty expires, regardless of how may times, or when the parts were replaced during such period.
Parts Purchased By Customer

New and Remanufactured parts/assembled components that are purchased by the customer are covered under Parts Warranty.
The warranty period for parts and assembled components in on-highway vehicle engines, onhighway transmissions and 3500/3600 Locomotive Engines is 12 months, starting from date of purchase by the first user. The warranty period for all other parts and assembled components is 6 months, starting from date of purchase by the first user.
Engine Emission Warranty

Emission Warranty applies to new engines that are operating in the United States or Canada. Remanufactured engines are not covered under Emission Warranty, unless the Remanufactured engine is installed under New Engine Warranty. For complete Emission Warranty information, refer to Bulletins No. 4.3 and 5.10 of this Warranty Guide.
Indicates change.
10
02.01 (10/06)
Bulletin No. 2.2
SERVICE
WARRANTY BULLETIN
Engine Product Warranty Situations
Cause Of Failure Determination

Dealers must use special care to establish that warranty is involved before submitting a Warranty Claim. Failed iron should be disassembled enough to determine the cause of the failure, except for water pumps which do not require disassembly. Dealers who fail to establish the cause of the failure for a warranty claim repair risk having their Warranty Claim denied by Caterpillar. Labor for inspection/diagnosis will be reimbursed if the failure is determined to be a warrantable repair and if claimed as separate labor segment. The Warranty Claim must have sufficient comments to indicate the cause of the failure and the extent of damage.
Whenever there is any indication from user comments or other sources that a previous dealer repair is felt to be the cause of a current problem, the following, as applicable, should be considered: Determine the extent of the previous repair, including major new parts installed, engine settings, etc. When possible, before proceeding with the repair, contact should be made with the original repairing dealer to advise him of the users contention that the current problem is a result of the previous repair. If diagnosis shows the cause of the current problem not to be the previous repair or any parts that are still under warranty, advise the user and obtain authorization to proceed with the repair for his account. Determine dealer warranty coverage that would apply if previous repairing dealer workmanship problems are found to be the cause of current problems. If the cause of the current problem is not apparent, ask the user for a Purchase Order to cover only disassembly to the point of being able to determine the cause and extent of the problem, in the event that the previous repairing dealer warranty or Caterpillar Parts Warranty is not involved.
Dealer Redo/Repeat Failures

When problems occur after a dealer repair and the user is at another dealers service location, a reasonable amount of special handling will usually result in the most satisfactory resolution of the situation for all concerned. Early contact with the original repairing dealer can frequently provide information that will eliminate later misunderstandings with the user and also allow the original repairing dealer more than one repair option, if they have responsibility in the current problem. Significant information that would have a bearing on the current repair should be communicated to the user so there are no surprises after completion of the job.
02-02 (10/99)
Bulletin No. 2.2
If diagnosis shows the cause of the current problem to be related to workmanship of the previous repair, Caterpillar is not responsible and a Warranty Claim should not be submitted for this repair. Contact the original repairing dealer to provide them with a cost estimate and obtain from them an authorization to invoice them for repair costs covered by their labor warranty. The original repairing dealer should give directions as to how they want to discharge their responsibility. If warranty work is to be done for a previous repairing dealers account, be certain that the user understands what portion of the repair is covered by the dealers warranty and that charges other than those considered warrantable will be billed to them. To avoid later misunderstandings, some dealers use two work orders to account for warrantable and non-warrantable parts and labor. If diagnosis shows the cause to be a defective part which is still under warranty, the repairing dealer should then proceed with the warranty repair and make direct settlement with the user. The repairing dealer should then submit the warranty claim as in the case of any other type of warranty repair performed.
Repairs For Incorrect Parts Consist At Dealers Shop

For repairs at the dealers shop to correct an incorrect parts consist situation (errors or shortages), refer to Bulletin No. 7.3 of this Warranty Guide for information concerning handling of part errors or shortages in shipment.
Preventive Repairs Initiated By Dealer

Occasionally, a dealer will change parts on an engine to prevent a failure in the future. Such a decision is based on field experience, knowledge, or availability of improved parts. These preventive repairs are not reimbursed under warranty, because no failure occurred. Dealers are informed of authorized replacements by Service Letter (PIP/PSP), Claim Authorization, or by individual correspondence with their administering Caterpillar Service Department. Other publications (such as Technical Information Bulletins, Engine News, and Service Magazines) are not an authorization for a dealer to replace or update parts at Caterpillar expense.
Repairs Made At OEM Factories

Claims for services provided at OEM factories should be handled under the following guidelines: For a repair to correct a defect in material or workmanship, the dealer should complete a standard Service Claim. Normal warranty procedures for completing the claim, parts retention, etc., still apply. For a repair to correct an incorrect parts consist situation (errors or shortages), refer to Bulletin No. 7.3 of this Warranty Guide for information concerning handling of errors or shortages in shipment. For on-highway vehicle applications in which the repair can not be made at the OEM factory, towing expense will be reimbursed to move the vehicle to the nearest authorized Caterpillar repair facility. Dealers can claim reasonable travel time, labor, and mileage to/from the OEM factory at the dealers approved warranty rate.
Indicates change.
02-02 (10/99)
Bulletin No. 2.3
SERVICE
WARRANTY BULLETIN
Warranty For Governmental Sales

This bulletin addresses warranty administration for governmental sales by Caterpillar Defense Products Department. It is broken down into two sections: 1. Sales made directly by Defense Products Department to a governmental body. 2. Sales by Defense Products Department to a Caterpillar dealership for sale to a governmental agency. If the coverage verification screens indicate Defense and Federal Products authorization is required, dealers must obtain claim authorization before performing any repairs. Claim authorization is obtained by calling Caterpillar Defense and Federal Products at (309) 578-3295 or (309) 578-4562.
Warranty Claims
Submit Warranty Claims in the usual manner. Credit will only be allowed for performing those services listed on the Notice of Shipment form. Unless stated otherwise on the Notice of Shipment form, parts on Warranty Claims for governmental contract units are paid at suggested U.S. consumer list (C/L) prices. Labor, if applicable, is at the dealers approved warranty rate. The customer should be contacted by telephone to schedule the service and make final arrangements for access to the product. Any unreasonable delays caused by the customer after a serviceman is on the job should be billed to the customer.
Direct Sales By Defense Products Department To A Governmental Body

Contracts by governmental agencies for the purchase of Engine Division Products directly from Caterpillar specify the type of initial services, warranty parts, warranty labor, etc. The services vary between agencies and occasionally within the same agency. Some contracts cover assembly and initial servicing of products and attachments, whereas others do not.
Warranty Practices For Governmental Sales Sold Directly By Caterpillar

With individual engine warranty coverage available on-line, the Notice of Shipment will no longer be provided for machines sold to Governmental Civilian Agencies by Defense and Federal Products. Before performing any initial service/warranty work on engines, Caterpillar Defense and Federal Products sold directly to a military or governmental civilian agencies, dealers should verify the contract provisions listed in Caterpillars on-line coverage verification system (AIMS - JSZ120/JSZ107-05).
02-03 (10/99)
Indicates change.
Bulletin No. 2.3
Defense Products Sales By Dealers To A Governmental Body

Dealer orders for Engine Division Products to the U.S. Government or to governments for military use are processed by the Caterpillar Defense Products Department, regardless of who accepts and processes an order. Caterpillars warranty procedures and responsibilities are the same. Dealer-sold products are covered by Caterpillar commercial warranties and Caterpillars standard warranty practices and procedures apply. Caterpillar will only consider Warranty Claims from the servicing dealer for the Caterpillar portion of the warranty as outlined in this Warranty Guide under the Claimable Expenses tab, as per the type of warranty. The warranty terms between the selling dealer and the government (contractual warranty) are negotiated and decided upon by the selling dealer. If they go beyond the applicable Caterpillar commercial warranty, these costs are for the selling dealers account.
Sending his own serviceman and parts to the product, and submitting a Warranty Claim for the Caterpillar portion of the warranty expenses. As a courtesy to the local servicing dealer and to eliminate unnecessary confusion or uncertainty, the selling dealer must notify the local servicing dealer of governmental product shipments into the local dealers service territory and the applicable contractual warranty terms. The selling dealer must also inform the local dealer whether he does or does not want the local dealer to provide the dealer portion of the warranty or other services, and if so, charge them to the selling dealer. The general parameters for servicing the product warranty, warranty start dates, start-up, etc. should be established in this communication.
Servicing Dealer Responsibilities

If a servicing dealer is requested by the selling dealer to provide support to government-sold product, the following points would apply: No interterritorial service fee is due on products sold to the U.S./Canadian Government or on products sold to any government for military use. If authorized to provide warranty service by the selling dealer, the servicing dealer should submit a Warranty Claim for the Caterpillar portion of any expenses involved in providing warranty service, and invoice the selling dealer for all other expenses associated with services requested by the selling dealer.
Selling Dealer Support Responsibilities

The selling dealers first obligation is to provide or arrange for the provisions of the total services required in their contract with the government. In addition, the following points would apply: 1. No interterritorial service fee is due on products sold to and used by the U.S./Canadian Government or on products sold to any government for military use.
2. Caterpillar Engine Division Products, sold for use in the United States and Canada, will qualify for Marine or IND/EPG Warranty reimbursement, except for negotiated terms that go beyond the Caterpillar commercial warranty. If the terms go beyond the Caterpillar commercial warranty, these costs are for the selling dealers account. 3. For Caterpillar Engine Division Products which will be operated outside of United States and Canada, the selling dealer is required to provide warranty service on the product either by: Hiring a local servicing dealer to correct warranty problems, and accepting an invoice from the servicing dealer for the dealer portion of the contractual warranty or other services authorized by the selling dealer. Or,
Indicates change.
02-03 (10/99)
Bulletin No. 2.4
SERVICE
WARRANTY BULLETIN
Repairs On Caterpillar-Owned Product

Caterpillar-owned products that are loaned to customers for test, evaluation, demonstration, or promotional purposes are not covered under any Caterpillar Warranty. These products are assigned to an individual Caterpillar warehouse account. Approval must be obtained prior to any repairs, from the Caterpillar department that has responsibility for that product. Typically, a sticker is attached to the product indicating the Caterpillar department to notify for authorization to make needed repairs. Dealer reimbursement for repair expenses will be handled by either a revenue invoice or a claims authorization, depending on instructions from the administrating Caterpillar Department. Dealers must maintain on file the name and phone number of the Caterpillar person who authorized the repair, and the purpose of the repair.
02-04 (1/91)
Bulletin No. 2.4
02-04 (1/91)
Bulletin No. 3.1
SERVICE
WARRANTY BULLETIN
Parts Warranty Expenses For On-Highway Vehicle H Engines/Transmissions
Parts Warranty applies to new or Remanufactured Caterpillar engine/transmission parts or assembled components if any of the following situations exist: When the customer purchased the part. When the part was installed under the terms of an extended service plan or truck owner protection plan. When under a goodwill settlement, the customer paid at least 30% of the total repair. When under a prorated Product Support Program (PSP) settlement, the customer paid at least 30% of the claimable expenses.
Warranty Period
New and Remanufactured engine/transmission parts or assembled components for on-highway vehicles operating in the United States and Canada are warranted for a period of 12 months from the date the part or component was purchased by the first user. If a part or component covered by Parts Warranty fails within its warranty period, the warranty on its replacement is limited to the remainder of the original Parts Warranty period. For example, if a replacement part fails after ten months, the warranty period for the new replacement part will be limited to the remaining two months.
NOTICE
Parts replaced under the Prime Product Warranty are not covered by Parts Warranty. They would receive remaining Prime Product Warranty. Refer to Bulletin No. 4.1 of this Warranty Guide for additional information.
Parts Warranty Expenses

The following are expenses that can be associated with a Parts Warranty repair. Included under each of these expenses are what Caterpillar will or will not reimburse dealers under Parts Warranty for on-highway vehicle engines.
Once the part or component is installed on the engine/transmission and the engine/transmission has been operated, even for a few minutes, the part or component is covered under Parts Warranty. However, if the part or component is discovered defective at the time of purchase or during installation, the part or component must be treated as Defective Parts Stock For information on Defective Parts Stock procedures, refer to Bulletin No. 3.6 of this Warranty Guide.
Parts
Caterpillar will reimburse the dealer for the failed replacement part and all Caterpillar engine/transmission parts damaged as a result of the failure.
03.01 (04/08)
Indicates change.
Bulletin No. 3.1
NOTICE
Non-Caterpillar parts that are damaged are not covered under this Parts Warranty. Requests for Caterpillar participation of damaged non-Caterpillar parts should be directed to the dealers Caterpillar Engine Region Office for goodwill consideration. Parts reimbursement includes only those Caterpillar parts needed to restore the product to its operating condition just prior to the warranty repair. (It does not include reimbursement for parts to restore the product to a like-new condition.) Caterpillar parts will be reimbursed at current suggested consumer list (C/L) prices. Complete engines/transmission (new or remanufactured) and complete serial numbered attachments will be reimbursed at the current dealer net (D/N) price. Materials and consumables not sold by Caterpillar will be reimbursed at the repairing dealers acquisition cost. No dealer mark-up is claimable by Caterpillar dealers or TEPS dealers in the above situations.
NOTICE
Caterpillar recommends that the parts sales invoice includes the customer name, the cab-type when applicable, the engine/transmission serial number/vehicle number, and the vehicle make/model.
Parts Salvage
If a part can be satisfactorily repaired for less cost than a new or Remanufactured part, then the labor associated with salvage of this part is reimbursable, including disassembly and assembly of the part.
Repair Labor Hours

Caterpillar will reimburse the dealer the labor needed to correct the defect. This includes labor associated with removal and installation of the engine/transmission if required, and removal and installation of any resultant damaged Caterpillar engine/transmission parts.
If a complete new engine is supplied by Caterpillar, to fulfill a parts warranty obligation, the Caterpillar Dealer that receives the Nero engine from Caterpillar may claim a flat $200.00 handling charge. The repairing dealer, if other than the receiving dealer, may also claim a flat $200.00 handling charge as well. If a dealer supplies a warranty replacement engine to another dealer at the request of Caterpillar, at their acquisition cost, the suppling dealer is entitled to a $200.00 handling fee.
Labor hours will be reimbursed according to the applicable Time Requirement Guide (TRG). In cases where no Time Requirement Guide times or other published times exist, segmented actual reasonable times should be claimed using applicable SMCS codes. Labor hours in excess of standard TRG times must be explained in the claim story. When a difficult installation adversely affects the labor hours, photographs of the engine installation should be kept on file in case further justification for the additional labor is requested by Caterpillar.
To receive a $200.00 handling fee for supplying a warranty replacement: A warranty claim must be filed against the engine that failed. The failed engine serial number can be given by the repairing dealer. The claim story must have: The name of the repairing dealer. The shipped to address. The failed engine serial number and The supplied engine serial number.
NOTICE
The labor is reimbursable regardless of who installed the original part or assembled component, provided the current repair is performed by an authorized dealer. Labor associated with installing parts that were removed to tow the vehicle is not covered under Parts Warranty. Labor needed to salvage or replace Non-Caterpillar parts is not covered under parts warranty.
Indicates change.
03.01 (04/08)
Bulletin No. 3.1
NOTICE
Steam cleaning engine, test engine after repair, and diagnostic/troubleshooting labor operation segments are not always required for a repair, and if required, the repair time may be minimal. These labor segments should only be listed on warranty claim labor breakdowns when they were justified/needed and actually performed. In such cases, the Service Report must indicate that these labor operations were performed.
Caterpillar Emergency Service Charges

Caterpillar emergency service charges are a processing fee that the Caterpillar Parts Department charges for handling emergency parts orders that are shipped within one day following receipt of order (excluding weekends and holidays). Caterpillar emergency service charges for parts obtained on emergency parts order to expedite a warranty repair are reimbursable. The corresponding parts invoice number must be listed in the Claim Story and the amount of the charge must be listed as a miscellaneous expenses on the Warranty Claim. The description for this expense line should be SERCHG. The amount of the service charge varies based on whether the part is identified as a Fast, Medium, or Slow mover, as per the following: 0% Service Charge for Slow moving parts. 5% Service Charge for Medium moving parts. 8% Service Charge for Fast moving parts. This fee system promotes dealer stocking of faster moving parts to provide customers with same-day parts availability.
Labor Rate
Allowable labor will be reimbursed at the repairing dealers approved warranty labor rates. Field labor rates are not applicable under Parts Warranty.
Overtime Labor
Warranty service performed outside normal working hours will generally be reimbursed at the dealers labor rate for normal working hours. Overtime labor rate will only be paid in the following repair situations: When warranty service to carriers en route is essential to prevent loss of a perishable load. When overtime is authorized by factory personnel. In such cases, factory personnel will request the overtime and a separate goodwill claim should be submitted for the overtime premium portion of the labor. For the above repair situation, the reason for claiming the overtime labor rate must be included in the claim story.
Freight Charges
Premium freight (air or surface) expenses from a Caterpillar parts distribution center to the dealer for parts needed to expedite warranty repairs are reimbursable, if the parts were not available from the dealer or the Caterpillar dealers primary servicing parts distribution center. In such cases, the claim story should include the reason for expediting the parts delivery, the date of the order, and the location of the parts distribution center from which the part was shipped. Premium freight expenses from the Caterpillar dealers primary servicing parts distribution center to the dealer are not reimbursable.
Product Improvement Programs

Parts replaced under Product Improvement Programs (PIP) are not covered by Parts Warranty.
Product Support Programs

Parts replaced under Product Support Programs (PSP) are not covered by Parts Warranty, unless under a prorated PSP settlement in which the customer paid at least 30% of the claimable expenses. The customer does not have the option to increase his participation to 30% if it is not specified in the service letter.
03.1(04/08)
Indicates change.
Bulletin No. 3.1
Environmental Fees
NOTICE
For TEPS dealers, the same criteria for premium freight reimbursement applies. Since it is difficult for TEPS dealers to know all the shipping information for a freight expense, Caterpillar dealers should only invoice TEPS dealers for premium freight expenses when the parts needed to expedite a warranty repair were not available from either the Caterpillar dealer or the Caterpillar dealers primary servicing parts distribution center. TEPS dealers should not be invoiced for premium freight if the warranty repair parts were shipped from the Caterpillar dealer or the Caterpillar dealers primary servicing parts distribution center. Common carrier surface freight expenses from a Caterpillar parts distribution center to the dealer for non-emergency parts orders needed in a warranty repair are not reimbursable. Dealer Shuttle service expenses between the Caterpillar parts distribution center and the Caterpillar dealer or between the Caterpillar dealer and dealer branch stores/TEPS dealers are not reimbursable. The cost to dispose of hazardous waste is not allowed as an itemized expense on Warranty Claims. The disposal of hazardous waste materials includes, but is not limited to, lubricants, coolants, solvents, cleaners, and steam bay water. Allowance for these types of expenses can be included in the dealers approved engine warranty labor rates, if the dealer can demonstrate that these expenses are typically itemized on revenue service shop invoices as a separate charge to revenue customers. Refer to Bulletin No. 8.5 of this Warranty Guide for information on including the cost of hazardous waste disposal in the dealers approved engine warranty labor rates.
Service Items
Oil, filters, antifreeze, coolant conditioner, and other service items made unusable by the warranty failure due to contamination are claimable. Service items not contaminated by the failure and those replaced in the normal course of a repair are not claimable. Non-Caterpillar service items are claimable at the dealers acquisition cost, when there is not a Caterpillar equivalent sourced from the Caterpillar Parts Distribution System. Even though oil and antifreeze can be sourced through Caterpillar, dealers can claim for non-Caterpillar oil and antifreeze at the dealers acquisition cost. When the engine coolant is contaminated by the warranty failure only Caterpillar Coolant Conditioner is reimbursable. Non-Caterpillar coolant conditioner, such as Nalcool, is not reimbursable. When the engine oil is contaminated by the warranty failure in engines equipped with an auxiliary oil filtration system, such as Luberfiner, the auxiliary oil filter is reimbursable at the dealers acquisition cost. In such cases, the dealer must indicate in the Claim Story that the engine is equipped with the auxiliary system.
Travel Expenses
Travel expenses such as travel time, mileage, meals, lodging, and tolls are not reimbursable under Parts Warranty.
Towing Disabled On-Highway Vehicles

Towing is not reimbursable under Parts Warranty.
Equipment Use Fees

Special fees or additional charges (such as chassis dyno use fee, boroscope use fee, vibration analysis equipment fee, crane rental) associated with the use of equipment for testing and/or repairing Caterpillar products are not reimbursable.
Shop Supplies
Shop supplies fall into the following two categories: 1. Non-bulk Caterpillar part number supply items include, but not limited to the following: Hardware (bolts, nuts, washers, clamps, fittings, etc.) Wire ties
03.01 (04/08)
Bulletin No. 3.1
Paint (in reasonable quantity) Gasket maker (1.69 oz. tube) These shop supplies will be reimbursed when claimed as an itemized expense. 2. Bulk Caterpillar part number items and NonCaterpillar part number items. Bulk items are items that can generally be used for more than one engine. These items include, but not limited to the following: Non-Caterpillar hardware (bolts, nuts, washers, clamps, fittings, etc.) Non-Caterpillar gaskets and seals Anti-seize compounds (Molykote, etc.) Sealants and adhesives/cements Primers Caterpillar gasket maker (10.5 oz. tube) Solvents (paint thinner, lacquer thinner, etc.) Brake cleaner Radiator/block flushing cleaners (Cascade, Butyl Cellosolve, Butyl Oxitol, etc.) Distilled water Penetrating oils (WD40, Liquid Wrench, etc.) Assembly lubricants (Lubriplate, grease, vaseline, etc.) Thread lock (Lock-Tite, etc.) Dye Welding rod Buffing discs and pads Wire brushes/grinding cones and discs Emery cloth and sandpaper Shop towels These shop supplies are not allowed as an itemized expense. However, allowance for these supply items can be included in the dealers approved engine warranty labor rate, if the dealer can demonstrate that these supply items are typically itemized on revenue service shop invoices. Refer to Bulletin No. 8.5 of this Warranty Guide for information on including the cost of these shop supplies in the dealers approved engine warranty labor rate.
Sublet Repairs
Expenses for Caterpillar component repairs performed by an outside repair shop are allowable, if the expense is justified and reasonable. Such expenses will be reimbursed at the dealers acquisition cost. Examples of these repairs are crankshaft polishing, connecting rod reconditioning, cylinder head milling, cylinder block sleeving, or counterboring. It is the dealers responsibility to insure that invoice charges from outside repair shops are fair and reasonable to guarantee full Caterpillar reimbursement. Travel time and mileage expenses cannot be included or associated with sublet repair costs. When a Caterpillar dealer performs a sublet warranty repair for a TEPS dealer, the repair labor hours on the TEPS dealers invoice must be according to the Time Requirement Guide (TRG), when applicable. In such cases, the labor rate charge should be the Caterpillar dealers engine warranty labor rate. It is the Caterpillar dealers responsibility to insure that invoice charges they submit to TEPS dealers for sublet warranty repairs are fair and reasonable to guarantee full Caterpillar reimbursement. TEPS dealer mark-up is not permitted on sublet repairs. Invoice charges should not be for more than Caterpillar consumer list price for parts and labor repair time should not be more than any applicable time requirement guide time. Labor rates should also be in line with the local dealers labor rates.
Claim Filing Instructions

Truck Engine Parts Warranty Claim. Note: The parts Start Date must be the date the customer purchased the part. The Parts Mi/Km must be the miles/kilometers on the part which caused the failure. This number will be less than the Product Mi/Km. If the part number causing failure is a reman part, which does not have serviceable parts or is a complete assembly that may be replaced, as listed in Warranty Bulletin 6.1, use the reman part number as the part number causing failure and the appropriate SMCS code as the group number causing failure. If the reman part number causing failure has serviceable parts, such as a cylinder head or cylinder pack, use the actual part number, i.e., valve or piston, as the part causing failure. Enter the reman group number as the group number causing failure.
03.1 (04/08)
Indicates change.
Bulletin No. 3.1
03.01 (04/08)
Bulletin No. 3.2
SERVICE
WARRANTY BULLETIN
Parts Warranty Expenses For Marine/Industrial/Petroleum/ Electric Power Products

Parts Warranty applies to new or Remanufactured Caterpillar engine products used in marine/industrial/petroleum/electric power applications if any of the following situations exist: When the customer purchased the part. When the part was installed under the terms of an Extended Service Plan or Protection Plan. When under a goodwill settlement, the customer paid at least 25% of the total repair. When under a prorated Product Support Program (PSP) settlement, the customer paid at least 25% of the claimable expenses.
Warranty Period
New and Remanufactured parts or assembled components for marine/industrial/petroleum/electric power products operating in the United States and Canada are warranted for a period of six months from the date the part or component was purchased by the first user. New and remanufactured parts and assembled components for engines used in gas compression applications are warranted for 12 months from the date the part or component was purchased by the customer.
NOTICE
New and remanufactured parts or assembled components for 3500/3600 Locomotive Engines/Generators are warranted for either twelve months from the In-Service Date, or fifteen months from the Purchase Date. If a part or component covered by Parts Warranty fails within its warranty period, the warranty on its replacement is limited to the remainder of the original Parts Warranty period. For example, if a replacement part fails after four months, the warranty period for the new replacement part will be limited to the remaining two months.
NOTICE
Parts replaced under the Prime Product Warranty are not covered by Parts Warranty. They would receive remaining prime product warranty. Refer to Bulletin No. 5.1 or 5.2 of this Warranty Guide for additional information. Once the part or component is installed on the engine and the engine has been operated, even for a few minutes, the part or component is covered under Parts Warranty. However, if the part or component is discovered defective at the time of purchase or during installation, the part or component must be treated as Defective Parts Stock. For information on Defective Parts Stock procedures, refer to Bulletin No. 3.6 of this Warranty Guide.
Parts Warranty Expenses

The following are expenses that can be associated with a Parts Warranty repair. Included under each of these expenses are what Caterpillar will or will not reimburse dealers under Parts Warranty for marine/industrial/petroleum/electric power applications.
03.02 (04/08)
Indicates change.
Bulletin No. 3.2
Parts Reimbursement - Marine Products

(Excludes 3600 Marine Products) Caterpillar will reimburse the dealer 100%, at consumer list prices, for the failed replacement part and all Caterpillar parts damaged as a result of the failure.
If a complete new engine is supplied by Caterpillar, to fulfill a parts warranty obligation, the Caterpillar Dealer that receives the Nero engine from Caterpillar may claim a flat $200.00 handling charge. The repairing dealer, if other than the receiving dealer, may also claim a flat $200.00 handling charge as well. If a dealer supplies a warranty replacement engine to another dealer at the request of Caterpillar, at their acquisition cost, the suppling dealer is entitled to a $200.00 handling fee. To receive a $200.00 handling fee for supplying a warranty replacement: A warranty claim must be filed against the engine that failed. The failed engine serial number can be given by the repairing dealer. The claim story must have: The name of the repairing dealer. The shipped to address. The failed engine serial number and The supplied engine serial number.
Parts Reimbursement Industrial/Petroleum/Electric Power Products

(Includes 3600 Marine Products) Caterpillar will reimburse the dealer 100% for the failed replacement part at current dealer net (D/N) price for Caterpillar dealers and suggested consumer list (C/L) price for TEPS dealers/AMDs authorized for these type repairs. In addition, all resultant damaged engine/generator parts (damaged as a result of the failed replacement part) are either partially or fully warranted depending on the age of the damaged parts as per the following: Resultant damaged parts that are six months old or less are fully warranted at 100% of current dealer net (D/N) price for Caterpillar dealers, or 100% of current suggested consumer list (C/L) price for TEPS dealers/AMDs. Resultant damaged parts older than six months are partially allowed at 33 1/3% of current dealer net (D/N) price for Caterpillar dealers, or 50% of current suggested consumer list (C/L) price for TEPS dealers/AMDs. Parts reimbursement includes only those Caterpillar parts needed to restore the product to its operating condition just prior to the warranty repair. It does not include reimbursement for parts to restore the product to a like-new condition. Complete engines (new or remanufactured) and complete serial numbered attachments will be reimbursed at the dealer net (D/N) price. Materials and consumables not sold by Caterpillar will be reimbursed at the dealers acquisition cost. No dealer mark-up is claimable by Caterpillar dealers or TEPS dealers/AMDs in the above situations.
NOTICE
Caterpillar recommends that the parts sales invoice includes the customer name, the Engine Division Product serial number, and if applicable the make/model of the OEM product. Non-Caterpillar parts that are damaged are not covered under this Parts Warranty. Requests for Caterpillar participation of damaged non-Caterpillar parts should be directed to the dealers Caterpillar Engine Area Office for goodwill consideration.
Parts Salvage - Marine Products

(Excluding 3600 Marine Products) If a part can be satisfactorily repaired for less cost than a new or Remanufactured part, then the labor associated with salvage of this part is reimbursable, including disassembly and assembly of the part.
Indicates change.
03.02 (04/08)
Bulletin No. 3.2
Parts Salvage - Industrial/Petroleum/ Electric Power Products

(Including 3600 Marine Products) If a part can be satisfactorily repaired for less cost than a new or Remanufactured part, then the labor associated with the salvage of this part is reimbursable. Salvage labor includes the time to machine, cut, burn, trim, bend, heat, or weld. Salvage labor does not include the time to disassemble and assemble the part or component. The labor to disassemble and assemble the part or component for salvage should be the responsibility of the repairing dealer. Labor hours for salvage should be claimed using the applicable SMCS code(s) and actual reasonable time(s).
Labor hours in excess of standard TRG times must be explained in the claim story. When a difficult installation adversely affects the labor hours, photographs of the installation should be kept on file in case further justification for the additional labor is requested by Caterpillar.
NOTICE
Cleaning the engine/marine transmission/generator, test after repair, and diagnostic/troubleshooting labor operation segments are not always required for a repair, and if required, the repair time may be minimal. These labor segments should only be listed on warranty claim labor breakdowns when they were justified/needed and actually performed. In such cases, the Service Report must indicate these labor operations were performed.
Repair Labor Hours - Marine Products

(Except 3600 Marine Products) Caterpillar will reimburse the dealer the labor needed to correct the defect, including the labor associated with the removal and installation of any resultant damage engine/transmission/SR4 Generator parts. In addition, the Parts Warranty includes the labor needed to disconnect and reconnect the product from/to its attached equipment, mounting and support systems, if required. Any labor beyond this, that is required to remove and install the product from/to its installation is the customers responsibility.
Labor Rate - Marine Products

(Except 3600 Marine Products) Allowable labor will be reimbursed at the repairing dealers approved warranty labor rates.
Repair Labor Hours Industrial/Petroleum/Electric Power Products

(Including 3600 Marine Products) Labor is not reimbursable, except for salvage labor. All other labor including removal, installation, disassembly, and assembly of parts is the responsibility of the repairing dealer or customer.
NOTICE
The labor is reimbursable regardless of who installed the original part or assembled component, provided the current repair is performed by an authorized dealer. Labor hours will be reimbursed according to the applicable Time Requirement Guide (TRG). In cases where no Time Requirement Guide times or other published times exist, segmented actual reasonable times should be claimed using applicable SMCS codes.
Labor Rate - Industrial/Petroleum/ Electric Power Products

(Including 3600 Marine Product) Allowable salvage labor will be reimbursed at the repairing dealers approved warranty cost labor rate.
Overtime Labor
Under Parts Warranty, Caterpillar will not reimburse any labor at the dealers overtime labor rate. Any warranty service performed outside normal working hours will be reimbursed at the dealers labor rate for normal working hours.
03.02 (04/08)
Indicates change.
Bulletin No. 3.2

Parts replaced under Product Improvement Programs (PIP) are not covered by Parts Warranty.
Common carrier surface freight expenses from a Caterpillar parts distribution center to a dealer for non-emergency parts orders needed in a warranty repair are not reimbursable. Dealer Shuttle service expenses between the Caterpillar parts distribution center and the Caterpillar dealer or between the Caterpillar dealer and dealer branch stores/TEPS dealers/AMDs are not reimbursable.

Parts replaced under Product Support Programs (PSP) are not covered by Parts Warranty, unless under a prorated PSP settlement in which the customer paid at least 25% of the claimable expenses. (The customer does not have the option to increase his participation to 25% if it is not specified in the service letter.)
Travel Expenses
Travel expenses such as travel time, mileage, meals, lodging, and tolls are not reimbursable under Parts Warranty.

Caterpillar emergency service charges are a processing fee that the Caterpillar Parts Department charges for handling emergency parts orders that are shipped within one day following receipt of order (excluding weekends and holidays). Caterpillar emergency service charges for parts obtained on an emergency parts order to expedite a warranty repair are reimbursable. The corresponding parts invoice number must be listed in the Claim Story and the amount of the charge must be listed as a miscellaneous expense on the Warranty Claim. The description for this expense line should be SERCHG. The amount of the service charge varies based on whether the part is identified as a Fast, Medium, or Slow mover, as per the following: 0% Service Charge for Slow moving parts. 5% Service Charge for Medium moving parts. 8% Service Charge for Fast moving parts. This fee system promotes dealer stocking of faster moving parts to provide customers with same-day parts availability.
Towing
Towing is not reimbursable under Parts Warranty.
Equipment Use Fees

Special fees or additional charges (such as dyno use fee, boroscope use fee, vibration analysis equipment fee, crane rental) associated with the use of equipment for testing and/or repairing Caterpillar products are not reimbursable.
Service Items
Oils, filters, antifreeze, coolant conditioner, and other service items made usable by the warranty failure due to contamination are claimable. Service items not contaminated by the failure and those replaced in the normal course of a repair are not claimable. Non-Caterpillar service items are claimable at the dealers acquisition cost, when there is not a Caterpillar equivalent sourced from the Caterpillar Parts Distribution System. Even though oil and antifreeze can be sourced through Caterpillar, dealers can claim for non-caterpillar oil and antifreeze at the dealers acquisition cost. When the engine coolant is contaminated by the warranty failure only Caterpillar Coolant Conditioner is reimbursable. Non-Caterpillar coolant conditioner, such as Nalcool, is not reimbursable.
Freight Charges
Premium freight (air or surface) expenses from a Caterpillar parts distribution center to the dealer for parts needed to expedite warranty repairs are not reimbursable.
Indicates change.
03.02 (04/08)
Bulletin No. 3.2
When the engine oil is contaminated by the warranty failure in engines equipped with an auxiliary oil filtration system, such as Luberfiner, the auxiliary oil filter is reimbursable at the dealers acquisition cost. In such cases, the dealer must indicate in the Claim Story that the engine is equipped with the auxiliary system.
Claim Filing Instructions - Marine Parts Warranty

The Parts Start Date must be the date the customer purchased the part. The Parts Hr/Mi/Km must be the hours on the part which caused the failure. This number will be less than the Product Hr/Mi/Km. Travel Time and Mileage are not reimbursable for Marine Parts Warranty. The related Equipment information is required when the failed replacement part is a Caterpillar Marine Gear or Marine Generator part. In such cases, the Product Id/Serial No. must be the engine Serial Number. If the part number causing failure is a reman part, which does not have serviceable parts or is a complete assembly that may be replaced, as listed in Warranty Bulletin 6.1, use the reman part number as the part number causing failure and the appropriate SMCS code as the group number causing failure. If the reman part number causing failure has serviceable parts, such as a cylinder pack, use the actual part number, i.e., valve or piston, as the part causing failure. Enter the reman group number as the group number causing failure.
Sublet Repairs
Expenses for Caterpillar component repairs performed by an outside repair shop are allowable, if the expense is justified and reasonable. Such expenses will be reimbursed at the dealers acquisition cost. Examples of these repairs are radiator repairs, generator rewinding, crankshaft polishing, connecting rod reconditioning, cylinder head milling, cylinder block sleeving, or counterboring. It is the dealers responsibility to insure that invoice charges from outside repair shops are fair and reasonable to guarantee full Caterpillar reimbursement. Travel time and mileage expenses cannot be included or associated with sublet repair costs. When a Caterpillar dealer performs a sublet warranty repair for an AMD, the repair labor hours on the AMDs invoice must be according to the Time Requirement Guide (TRG), when applicable. In such cases, the labor rate charge should be the Caterpillar dealers engine warranty labor rate. It is the Caterpillar dealers responsibility to insure that the invoice charges they submit to AMDs for sublet warranty repairs are fair and reasonable to guarantee full Caterpillar reimbursement. AMD mark-up is not permitted on sublet repairs. For AMD Warranty Claims involving a sublet repair performed by a Caterpillar dealer, a complete breakdown of the parts and labor involved with the sublet repair must be included in either the Reimbursable Expenses Detail as itemized expenses, or listed in the Claim Story if the sublet repair cost is entered on a miscellaneous expense line. Invoice charges should not be for more than Caterpillar consumer list price for parts and labor repair time should not be more than any applicable time requirement guide time. Labor rates should also be in line with the local dealers labor rates.
Claim Filing Instructions Industrial/Petroleum/ Electrical Power Parts Warranty

The Parts Start Date must be the date the customer purchased the part. The Parts Hr/Mi/Km must be hours on the part which caused the failure. This number will be less than the Product Hr/Mi/Km. The Related Equipment information is only required for generator sets, when the failed replacement part is a generator part. In such cases, the Product Id/Serial No. must be the engine Serial Number. The Customer Credit % must be 100 for parts and 0 for labor. Resultant damaged Caterpillar parts that are older than 6 months are prorated. These prorated parts must be identified by placing an RD in the comp field of the parts line.
03.02 (04/08)
Indicates change.
Bulletin No. 3.2
If the part number causing failure is a reman part, which does not have serviceable parts or is a complete assembly that may be replaced, as listed in Warranty Bulletin 6.1, use the reman part number as the part number causing failure and the appropriate SMCS code as the group number causing failure. If the reman part number causing failure has serviceable parts, such as a cylinder pack, use the actual part number, i.e., valve or piston, as the part causing failure. Enter the reman group number as the group number causing failure.
03.02 (04/08)
Bulletin No. 3.3
SERVICE
WARRANTY BULLETIN
Service Items Sold By Caterpillar

Coolants, lubricants, additives and other such service items bearing the name Caterpillar or Cat and sold by Caterpillar are not covered by new Parts Warranty. They are guaranteed to be free from defects in material and workmanship at the time of the sale. Caterpillar will replace, without charge to the user, any of these items which do not meet Caterpillars specifications at the time of sale to the user. Service items are intended to be replaced periodically. Replacement of these products should be in accordance with applicable Operation and Maintenance Management Guides and/or adjusted to meet specific operational needs. For example, such as air filters must be changed more often than recommended if the equipment is used in an extremely dusty environment
The user of such service items must make their own assessment to determine that the product is suitable for a particular purpose. Before accepting any claim against these Caterpillar products, the dealer should ask the customer to provide pertinent, documented information about maintenance records, purchase invoices, Scheduled Oil Sampling SOS Services Oil Sampling & Analysis Results, infra-red scan, and an iron inspection, as needed, to verify proper usage. Caterpillar service items may be used in other products. These service items will meet Caterpillar requirements and industry standards, but the customer must make their own assessment of the suitability for a particular purpose. When Caterpillarsold service items are used in other than Caterpillar products, warranty reimbursement is limited to replacement of the service item in those instances where the service item is not manufactured to Caterpillar requirements and industry standards.
03.03(09/07)
Indicates change.
Bulletin No.3.3
03.03 (09/07)
Bulletin No. 3.4
SERVICE
WARRANTY BULLETIN
Canadian Import and Tax Expenses

Canadian Import Charges
Generally, Canadian dealers can obtain duty reimbursement from the government for parts replaced under warranty on product they import into Canada. However, duty is not recoverable from the Canadian government in the following situations: For repairs by the Canadian dealer on Caterpillar product that the dealer did not import. For a failed part that was imported on an engine more than two years prior to the date of the claim. For a failed part or component that is a replacement rather than an original part. For a part that was replaced under an authorized field modification program as per a Service Letter or an Engine Division correspondence, and was not damaged or failed. For generator set engines that are attached to other than Caterpillar Generators by the Canadian dealer. In the above situations, Caterpillar will reimburse dealers for import duty if the percentage figure is shown in the Import Percent field of the applicable Warranty Claim.
Truck Engine Canadian Import Charges

Most truck engine parts are duty free in Canada; therefore, Caterpillar has established an average duty rate of 1.5% which may be requested on all Canadian truck engine claims requesting parts reimbursement. The 1.5% duty rate should be entered in the Import Percent field of the Warranty Claim.
Canadian Goods and Services Tax

Canadian dealers should NOT add the 7% Goods and Services Tax (GST) to individual claims. Caterpillar will issue a supplemental credit monthly for GST applicable to claims processed during the preceding month. Back-up detail, including impacted claim numbers, will be provided to each dealer by Caterpillar. Processing of duties levied will remain unchanged.
03.04 (10/99)
Bulletin No. 3.4
03.04 (10/99)
Bulletin No. 3.5
SERVICE
WARRANTY BULLETIN
Non-Caterpillar Peripheral Components C

Original Equipment Manufacturers (OEM) install peripheral components (attachments to or around the engine) when installing Caterpillar engines in the product they build. These components are not covered by Caterpillar Engine Warranty. After entering the TMI system, first select the application entitled General Engine Data. Next select the program entitled Engine History Information. On the inquiry screen enter 01 for the information code and the engine serial number to view the engine arrangement consist. The consist of an engine arrangement shows all parts/components used to build the engine prior to shipment from Caterpillar. If other parts for which Caterpillar is not the source are added by the OEM, the replacement and warranty service must be administered by the OEM. If review of the consist of an engine arrangement does not indicate Caterpillar responsibility, but the component that failed does bear a Caterpillar part number or other Caterpillar markings, further investigation should be made to determine who has warranty responsibility.
Warranty Responsibility
The dealer must determine who has the warranty responsibility for the component which caused the failure, whether Caterpillar or the OEM. The information that follows is intended to help determine the supplier of the component that failed and who has responsibility. If the engine is a standard arrangement, the Parts Book will show the part/component number, quantity and illustration of the location of all the parts used. But if the engine is a special arrangement, the only complete reference for information about its consists is the Consist Of Engine Arrangements/Component Groups (Bill Of Material). A consist of engine arrangement lists all the parts/components Caterpillar used to assemble a specific engine. The consist of an engine arrangement for every Caterpillar engine is available in the Technical Marketing Information (TMI) computer system. This system is accessed through the Caterpillar Network using the appropriate User Identification and Password provided by the dealers User Security Coordinator.
OEM Caused Failure

When it is determined that the engine failure was caused by an OEM supplied component or workmanship, the local OEMS dealer must be contacted on how to proceed with the repair. Claims for such repairs cannot be submitted to Caterpillar.
Caterpillar Installed Engine Brakes

Engine brakes that were factory installed by Caterpillar are treated as non-Caterpillar peripheral component.
03.05-03(09/04)
Bulletin No. 3.5
Caterpillar Warranty will reimburse labor to remove and reinstall the engine brakes: For accessibility to perform a Caterpillar warranted repair. When the engine brake has been contingent damaged as a result of a Caterpillar component failure.(See Note) To repair a non-Caterpillar engine brake failure due to factory installation workmanship.
OEM-Supplied Air-To-Air Aftercooler Core And Related Piping

Emission-related service claims for repairs made on OEM-supplied air-to-air aftercooler cores and related piping should be submitted as per the guidelines outlined in Bulletin No. 4.3 of this Warranty Guide.
Aftermarket Products Used On Caterpillar Engines

When auxiliary devices, accessories, and consumables (filters, oil, additives, catalysts, etc.) made by other manufacturers are used on Caterpillar equipment, the Caterpillar Warranty is not affected simply because of such use. The Caterpillar warranty continues to cover defects caused by Caterpillars material or workmanship. Failures resulting from the installation or usage of auxiliary devices, accessories, or consumables are not Caterpillar factory defects and therefore are not covered by Caterpillars Warranty. Caterpillar is not in a position to evaluate the many auxiliary devices, accessories, and consumables promoted by other manufacturers and their effect on Caterpillar products. Installation or use of such items is at the discretion of the customer who assumes all risks for the effects resulting from their usage. This position should be made clear to customers/owners of Caterpillar equipment whenever a proposal or inquiry concerning the use of non-Caterpillar manufactured auxiliary devices, accessories, or consumables is received from them.
NOTE:Refer to Section 4.1 of the Service Warranty Guide for instruction on the handling of the reimbursement of non-Caterpillar parts that have been damaged by a Caterpillar component failure.
NOTICE
Warranty failures on Jake Brakes may be filed direct to Caterpillar. Refer to Warranty Bulletin 4.6 for claiming instructions. Verification that the engine brake was installed by Caterpillar, can be accomplished using one of the following methods: Engineering Data System (EDS) - This on-line computer system can be accessed through the Caterpillar Network using the appropriate User Identification and Password provided by the dealers User Security Coordinator. After entering the engine arrangement number in EDS, the Note section will indicate if the arrangement has a Jake Brake. Technical Marketing Information (TMI) - This on-line computer system can be accessed through Caterpillar Network to view the engine arrangement consist (Bill Of Material). The consist will list an engine brake, if the Caterpillar engine arrangement has an engine brake installed by Caterpillar. For details on how to access this system, refer to information provided at the beginning of this bulletin under Warranty Responsibility. Parts Book - By looking up the engine arrangement number in the Engine Arrangement Charts located in the front of the Parts Book. These charts will indicate under Description of Engine, if the Caterpillar engine arrangement has an engine brake installed by Caterpillar.
Indicates change.
03.05-03 (09/04)
Bulletin No. 3.5
03.05-03(09/04)
Bulletin No. 3.6
SERVICE
WARRANTY BULLETIN
Defective Parts Stock Warranty

If a new or Remanufactured part or component is discovered defective at the time of purchase or during installation, the part or component must be treated as Parts Stock Warranty.
Defective Parts Stock Claims Can Not Be Submitted For:

A part or component that was installed on the product and the product was operated, even for a few minutes. In such cases, the part or component is covered under Parts Warranty. New and Remanufactured parts or components that are covered by a Parts Stock Product Improvement Program (PIP) or a Product Support Program (PSP) having parts stock action. In such cases, a PIP or PSP Warranty Claim must be submitted. A Caterpillar part or component that was installed on other than a Caterpillar product and the product was operated for a few minutes. In such cases, see Page 2. Parts not sold nor warranted by Caterpillar. Batteries - In such cases, defective parts stock batteries are covered under Battery Warranty. Service tools/shop products - In such cases, defective parts stock tools/shop products are covered under Service Tools/Shop Products Warranty.
Defective Parts Stock Claims May Be Submitted:

When new and Remanufactured parts or components are found defective due to manufacturing workmanship and materials. When new and Remanufactured parts or components have shipping damage due to Caterpillars incorrect packaging. When reasonable labor is performed for repairing a defective parts stock part or assembly to a like-new condition, and the repair is more economical than replacement. This labor includes salvage labor, labor to disassemble and assemble the part, or assembly. Salvage labor includes the time to machine, cut, burn, trim, bend, heat, or weld. When parts are used to repair a parts stock assembly or component, if the repair is more economical than replacement.
Receipt of incorrect parts, incorrect packaged parts need to be filed through the ANTARES claim system.
03.6(11/07)
Bulletin No. 3.6
Defective Parts Stock Reimbursement

Defective parts or components will be reimbursed at the dealer net (D/N) price. When applicable, salvage labor and disassemble/assemble labor to repair defective parts stock will be reimbursed at the repairing dealers approved warranty rate. For engine applications in which labor is reimbursable under warranty guidelines, labor for removal and installation of an installed defective part or component, in which the engine has not been started, will be reimbursed at the dealers approved warranty rate. In such cases, the Claim Story of the Defective Parts Stock Claim should indicate the engine/on-highway transmission serial number, application, and whether the part was being installed under Engine/On-Highway Transmission Warranty or Parts Warranty. The following costs are not reimbursable for defective parts stock: Caterpillar emergency service charges. Labor due to repeat repair. Customer costs incurred due to down time.
Parts Hr/Mi/Km must be the Hours/Miles/Kilometers on the part. An appropriate numeric Description Code should be entered in the first two positions of the COMP field, after each part name listed in the Reimbursable Expense Detail of the claim. Refer to Bulletin No. 10.2 of this Warranty Guide for a list of appropriate Description Codes for Parts Stock Claims. Select the Description Code that best describes the defective part being claimed. In addition, if the defective part has a dealer net value greater than $250.00, a one line description of what the defect is and where the defect is located should be included in the Claim Story.
NOTICE
TEPS dealers/AMDs cannot submit Defective Parts Stock Claims. TEPS dealers/AMDs are reimbursed for defective parts stock by returning the defective parts stock to their administering Caterpillar dealer for replacement. The Caterpillar dealer will be reimbursed for the exchanged parts by submitting a Defective Parts Stock Warranty Claim.
Defective Parts Stock Claim Practices

Claim Filing Instructions for Parts Stock: Product Identification Number must be 99Z00007. Repair date must be date claim was submitted to Caterpillar. Group Number must be 7752. No part causing failure required. Appropriate two character Description Code for each part must be entered in the COMP field. Claim Filing Instructions for Parts used on Non-Caterpillar Products: Product Identification Number must be 99Z00014 for Truck Engine Part, 99Z00011 for Industrial/Marine Part. Claim Story must indicate if Marine Engine part. Parts start date must be the date customer purchased the part.
03.6 (11/07)
Bulletin No. 3.7
SERVICE
WARRANTY BULLETIN
Battery Warranty
The Battery Warranty statement covers all Caterpillar Brand batteries that are: Defective battery stock, or Customer purchased replacements, or Original equipment batteries, which are part of either a Caterpillar product or another manufacturers product. All batteries, wet or dry charged, are warranted against factory defects in material and workmanship, in accordance with the Battery Application. Batteries can have a total warranty period of either 3, 18, 24, 30, 36, or 72 months, depending on the battery-type and application. The total battery warranty period is divided into a replacement-free warranty period, followed by a prorated warranty period, for customer reimbursement of failed batteries. The replacement-free warranty period - If a defect (not merely discharge) occurs within the first months, depending on the type of battery and application, the battery will be replaced with a new battery free-of-charge to the customer. The replacement free warranty period applies to both premium high output . and general service batteries (see statement for applicable battery warranty period)
The proration warranty period - Once the replacement free warranty period expires, the proration warranty period begins. If a customer participates in any portion of the cost of a replacement battery, the replacement battery has its own replacement-free and proration warranty periods. The warranty periods begin on either the sale date or the documented in-service date.
Warranty For Batteries Replaced Under Battery Warranty

New replacement batteries that are used to replace failed batteries under warranty, are covered by Battery Warranty for the remainder of the original total battery warranty period. The warranty on such batteries ceases when the original total battery warranty period expires. When a battery under warranty fails during its replacement-free warranty period, the new free replacement battery will be limited to the remainder of the replacement-free warranty period plus all the proration warranty period of the original failed battery. For example: If an original customer purchased replacement battery with a 12 month replacementfree warranty period fails after 7 months, the new free replacement battery will be warranted first by the replacement-free warranty period for only the remaining 5 months. After which, the new free replacement battery will then be warranted by the entire proration warranty period for the failed original replacement battery.
03.07 (05/07)
Bulletin No. 3.7
Non-Warrantable Defects
Normally, batteries that have exploded are not considered to be defective in material or workmanship, because a spark or fire is required to explode a battery. In such cases, ignition is frequently caused by a loose connection between a post and a cable. Therefore, unless unusual circumstances exist, a failure of this type is not warrantable. A crack in a battery is usually detected within 30 days after initial use, if the crack is due to a defect in material or workmanship. Unless unusual circumstances exist, a failure of this type after 30 days of use is not warrantable.
Notice
TEPS/AMDS dealers are reimbursed for a defective/failed battery by returning the defective/failed bat tery to their administering Caterpillar dealer for exchange or reimbursement.
Disposition Of Failed and Defective Batteries

Caterpillar dealers are not to return failed or defective batteries to Caterpillar for inspection. Instead, dealers are encouraged to sell all spent and defective batteries, to ensure recovery of their lead content.
Testing Batteries
Potentially defective batteries should be tested according to the Battery Test Procedure (SEHS7633 javascript:onSelect('i01199606','IETIT0','i0',0,'E');). It is not necessary for dealers to test batteries that have obvious defects, such as a cracked
Customer Battery Allowance For Proration Warranty Period

During the proration warranty period, dealers are to replace failed batteries with a new replacement battery and charge the customer a prorated dollar amount. The customers prorated cost, is based on the months of battery service since the total battery warranty period began. Dealers can obtain the customers proration cost by using one of the following two methods: The Warranty Allowance Charts, or
Dealer Reimbursement (Failed or Defective Stock)

Dealers do not submit service claims to Caterpillar for Battery Warranty reimbursement of: Failed in-use batteries, or Defective battery stock Instead, Caterpillar automatically reimburses dealers quarterly for battery warranty expenses, by issuing a warranty credit equal to 3% of the total dealer net (D/N) value of all batteries ordered by the dealer during the previous quarter. If a dealer can adequately substantiate that their battery warranty costs for a given year have exceeded the 3% allowance, dealers can submit a service goodwill claim for the years exceeded cost dollar amount. Since a dealers Quarterly Battery Settlement Notice from Caterpillar is generated without any dealer action, the Dealer Claim Number on the Quarterly Battery Settlement Notice will be the letters BATT.
The Warranty Allowance Formula
Battery Warranty Allowance Charts - The 36 and 72 month Battery Warranty Allowance Charts on page 3, list the replacement price percentage for the months in-service. Using the replacement price percentage, the customers cost is calculated as per the following formula:
Customer Cost = Current C/L Battery Price x Replacement Price Percentage 100
Battery Warranty Allowance Formula - The Battery Warranty Allowance Formula can be used for batteries having a total battery warranty period which does not have a Warranty Allowance Chart.
Customer Cost = Current C/L Battery Price x Mos. of Service Mos. in Warranty Period Note: C/L = Consumer List
Indicates change.
03.07 (05/07)
Bulletin No. 3.7
Caterpillar Battery Warranty Allowances (For 36 Month To al Warranty Period) tal Warranty Tot Months of Service Replacement Price % 0-12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 0 36.11 38.89 41.67 44.44 47.22 50.00 52.78 55.56 58.33 61.11 63.89 66.67 69.44 72.22 75.00 77.78 80.56 83.33 86.11 88.89 91.67 94.44 97.22 100.00
Caterpillar Battery Warranty Allowances (For 72 Month To al Warranty Period) tal Warranty Tot Mos. of Replacement Mos. of Replacement Service Price % Service Price % 0-12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 0 18.06 19.44 20.83 22.22 23.61 25.00 26.39 27.78 29.17 30.56 31.94 33.33 34.72 36.11 37.50 38.89 40.28 41.67 43.06 44.44 45.83 47.22 48.61 50.00 51.39 52.78 54.17 55.56 56.94 58.33 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 59.72 61.11 62.50 63.89 65.28 66.67 68.06 69.44 70.83 72.22 73.61 75.00 76.39 77.78 79.17 80.56 81.94 83.33 84.72 86.11 87.50 88.89 90.28 91.67 93.06 94.44 95.83 97.22 98.61 100.00
03.07 (05/07)
Bulletin No. 3.7
03.07 (05/07)
Bulletin No. 3.9
SERVICE
WARRANTY BULLETIN
Dealer Service Tools

Note: This bulletin covers Dealer Service Tools found listed in NENG2500-08 and above. For Mechanic Hand Tools and Larger Mechanic Tools listed in PECJ0003, refer to Bulletin 3.10.
Overview
Caterpillar merchandises various service tools and shop equipment, which are available through the parts distribution system. Some examples of these products include: Cat Specific Product Tools, Diagnostic, Capital and Shop. Lifting / blocking equipment Cleaning / reconditioning / salvage equipment The warranty for tools and shop products varies depending on the warranty category assigned to the tool or product. There are five warranty categories identified as follows: 6 Month Warranty 12 Month Warranty Lifetime Warranty Manufacturers' Warranty Date of Purchase by 1st User Warranty To find the assigned warranty code for each tool or shop product please reference one of the following: NPR NENG2500-08 & up The following is the applicable warranties for various tools and shop products based on their assigned warranty categories:
Items with a warranty code of 6 Months, 12 Months and Lifetime - are covered by the Shop Supplies, Tools, Contractor Products and Caterpillar Service Tools Warranty statement, with varying warranty periods based on the warranty category code. This warranty covers defects in material or workmanship for products that have not been altered or abused. Manufacturers' Warranty - are not warranted by Caterpillar, but by the Original Product Manufacturer. Date of Purchase by 1st User Warranty - are guaranteed to be free from defect in material and workmanship at the time of sale.
Repair / Replacement Guidelines

Failed or defective service tools and shop products should be repaired when the cost of repair is less than replacement. For example, the use of a repair kit for repairing a failed ratchet wrench is less costly than the complete replacement of the wrench. Before deciding to repair, dealers must determine if: tool is beyond repair. repairing the tool will provide equal value to the customer. Many products can be repaired by the dealer or by the product manufacturer. For names and addresses of product manufacturers, refer to the Dealer Service Tool Catalogue NENG2500-08 or call the MPSD Tools and Supplies Hotline. For failed or defective products covered by the Shop Supplies, Tools, Contractor Products and Caterpillar Service Tools Warranty that have a dealer net (D/N) price $200 (U.S.) or more, dealers must contact the MPSD Tools and Supplies Hotline. In such cases, MPSD Tools and Supplies Hotline will instruct the
03.09 (11/07)
Indicates change.
Bulletin No. 3.9
dealer whether to repair, replace, or send the product to Caterpillar for repair. Dealers can contact MPSD Tools and Supplies Hotline via: Fax: 309-494-1355, or Phone: In Illinois - Phone: 800-541-8665 In U. S. - Phone: 800-542-8665 n In Canada - Phone: 800-523-8665
Claim Field Information For Dealer Service Tool Warranty Claims

The following outlines the unique claim field information that is required when submitting a Dealer Service Tool Warranty claim: Product ID / Serial No. - enter the special product identification number 99Z00024, which indicates service tools for equipment product. Product Hr/Mi/Km - leave blank. Group No. - enter the special component code of 7753. Claim Story - For failed or defective tool and shop products that have a dealer net (D/N) price $200 (U.S.) or more, indicate the person contacted at MPSD Tools and Supplies Hotline and their instructions.
Original Manufacturers Warranty

For certain products, the warranty is the product manufacturers warranty. Such warranties are published on a manufacturers warranty card that is shipped with the product. Dealers can also obtain such warranties by contacting the Dealer Service Tool Group, at the phone numbers listed above.
Tool and Shop Product Returns

If Caterpillar requests the return of a tool or shop product, a copy of the parts return request must be shipped with the product to one of the following addresses: For UPS Shipments: Dealer Service Tool Group Product Support Center 501 S.W. Jefferson Avenue Peoria, IL 61630-2184 For Truck Shipments: Dealer Service Tool Group 8900 N. Pioneer Road Peoria, IL 61615
Dealer Reimbursement For Defective Dealer Service Tool Stock

The following outlines the reimbursement practices to dealers for expenses associated with Defective Dealer Service Tool claims:
Parts - repair parts or replaced service tools or shop products, will be reimbursed at the dealer net (D/N) price in effect for the date entered in the Repair Date field.
The following expenses are not reimbursable for Defective Dealer Service Tool Stock claims: Part Service Charges (for parts and products obtained on an emergency parts order). Freight Charges. Shop Supplies (as an itemized expense).
Dealer Reimbursement For Dealer Service Tool Product Warranty

The following outlines the reimbursement practices to dealers for expenses associated with Shop Supplies, Tools, Contractor Products and Caterpillar Service Tools Warranty claims:
Claim Field Information For Defective Dealer Service Tool Stock

The following outlines the unique claim field information that is required when submitting Defective Dealer Service Tool claims: Repair Date - enter the date that the claim is submitted to Caterpillar. Product ID / Serial Number - enter the special product identification number 99Z00024, which indicates service tools for equipment product. Desc. Code - leave blank. Group No. - enter 7753, the special component code for service tool stock.
Parts - repair parts or replaced service tools or shop products, will be reimbursed at the dealer net (D/N) price in effect for the date entered in the Repair Date field. Parts Service Charges - Caterpillar Service
Department service charges for parts and replacement tools / shop products obtained on an emergency order are dealer reimbursable.
Other Repair Expenses - All other repair expenses are not reimbursable.
Indicates change.
03.09 (11/07)
Bulletin No. 3.9
Findings / Comments - enter the words Dlr Srvc Tool Stock. Parts Expense Lines - for each defective part number being claimed: COMP - enter in the first 2 digits, the appropriate 2-digit service tool stock description code from the available codes listed in Warranty Bulletin 10.2. Claim Story - For failed or defective tool and shop products that have a dealer net (D/N) price $200 (U.S.) or more, indicate the person contacted at the MPSD Tools and Supplies Hotline and their instructions.
03.09 (11/07)
Indicates change.
Bulletin No. 3.10
SERVICE
WARRANTY BULLETIN
Mechanic Hand Tools and Larger Mechanic Tools Warranty

Note: This bulletin covers Caterpillar Mechanic Hand Tools and Larger Mechanic Tools. Mechanic Hand Tools and Larger Mechanic Tools are listed in PECJ0003. For Dealer Service Tools listed in NENG2500-08 and above, refer to Bulletin 3.9.
Overview
Caterpillar merchandises and warrants various Mechanic Hand Tools and Larger Mechanic Tools, which are available through the parts distribution system. Some examples of these products include: ..Mechanics Hand Tools Lifetime .Wrenches .Pliers .Ratchets Screwdrivers All Chrome Sockets All Impact Sockets 1 Year Manual Torque Wrenches . Pneumatic Impact Wrenches Pneumatics Tools Manual Grease Guns Tool Bags
For Larger Mechanic Tools (3/4 and larger), the warranty is the product manufacturers warranty. Such warranties are published on a manufacturers warranty card that is shipped with the product. Dealers can also obtain such warranties by searching on DVD PERJ0054, Warranty Information Guide, or by contacting the MPSD Tools and Supplies Hotline, at the phone numbers listed at documents end. Larger Mechanics Tools Large Pneumatic Impact Wrenches (3/4 and 1) Hydraulic Torque Tools (All Drive Sizes) Pneumatic Torque Tools (All Drive Sizes) Electrical Tools Electric Grease Guns Torque Multipliers Slide Sledge Shovels Tool Storage Units Manual Impact Wrench
Warranty Claiming For Mechanic Hand Tools

Dealers are not required to submit service claims to Caterpillar for Mechanic Hand Tools Warranty reimbursement. Caterpillar automatically reimburses dealers quarterly for Mechanic Hand Tools Warranty expenses, by issuing an upfront warranty credit equal to 0.5% of the total dealer net value of all Mechanic Hand Tools ordered by the dealer during the previous quarter.
Warranty Claiming For Larger Mechanic Tools

For Larger Mechanic Tools, the warranty varies because the Manufacturers individual warranties apply. Larger Mechanic Tools are covered with an original Manufacturers Warranty - the Larger Mechanic Tools are not warranted by Caterpillar.
03.10 (11/07)
Indicates change.
Bulletin No. 3.10
To find the assigned warranty terms for each Mechanic Hand Tool and Larger Mechanic Tool, please reference one of the following: NPR (Numerical Parts Record) CD - Literature #PERJ0054 Shop Supplies, Tools & Contractor Products Groups website at: https://mpsd.cat.com/cda/layout?m=47300&x=7 NPR is the most current and definitive source for Caterpillar Mechanic Hand Tool and Larger Mechanic Tool Warranty.
Repair / Replacement Guidelines

Failed or defective Mechanic Hand Tools and Larger Mechanic Tools could be repaired. For example, the use of a repair kit for repairing a failed ratchet is less costly than the complete replacement of the ratchet. Before deciding to repair, dealers can determine if: Tool is beyond repair. Labor and parts repair costs exceed the cost of replacement. Repairing the tool will provide equal value to the customer. Many products can be repaired by the dealer or by the product manufacturer. For names and addresses of product manufacturers, refer to the CD - Literature # PERJ0054 or call the MPSD Tools and Supplies Hotline. Dealers can contact MPSD Tools and Supplies Hotline via: In Illinois - phone: 800-541-8665 option 4 In U.S. - phone: 800-542-8665 option 4 In Canada - phone: 800-523-8665 option 4 Geneva phone: ++41 (22) 849 40 48 / 4428 Geneva fax: ++41 (22) 849 49 29
Dealer Reimbursement (Failed or Defective Stock)

Dealers do not submit service claims to Caterpillar for Mechanic Hand Tool reimbursement of: Failed in-use tools Defective tool stock Instead, Caterpillar automatically reimburses dealers quarterly for Mechanic Hand Tools warranty expenses, by issuing a warranty credit equal to 0.5% allowance of the total dealers net (D/N) value of all Mechanic Hand Tools ordered by the dealer during the previous quarter. If a dealer can adequately substantiate that their Mechanic Hand Tools warranty costs for a given year have exceeded the 0.5% allowance, dealers can submit a service goodwill claim for the years exceeded cost dollar amount. Caterpillar generates a Quarterly Mechanic Hand Tools Sales Report to issue warranty credit. The Dealer Claim Number on the Quarterly Mechanic Hand Tools Warranty Settlement Notice will be the letters TOOL.
Disposition of Failed and Defective Mechanic Hand Tools

Dealers are not to return failed or defective Mechanic Hand Tools to Caterpillar for inspection unless Caterpillar requests. Instead, dealers must destroy or dispose of all defective Mechanic Hand Tools so the Mechanic Hand Tools do not reappear.
Mechanic Hand Tools and Larger Mechanic Tools Returns

If at times, Caterpillar requests the return of a Mechanic Hand Tool or Larger Mechanic Tool, a copy of the Parts Return Request must be shipped with the product.
Indicates change.
03.10 (11/07)
Bulletin No. 3.10
03.10 (11/07)
Indicates change.
Bulletin No. 4.1
SERVICE
WARRANTY BULLETIN
On-Highway Truck Engine/Transmission H Warranty Expenses

Caterpillars On-Highway Truck Engine/Transmission Warranty reimbursement practices allow repairing dealers a profit for performing warranty repairs. The practice applies to new and remanufactured engines/transmission used in on-highway applications. The following are expenses that can be associated with a warranty repair. Included under each of these expenses are what Caterpillar will or will not reimburse dealers under On-Highway Truck Engine/Transmission Warranty.
Caterpillar parts will be reimbursed at current suggested consumer list (C/L) prices. Complete engines (new or remanufactured) and complete serial numbered attachments will be reimbursed at the current dealer net (D/N) price. Materials and consumables not sold by Caterpillar will be reimbursed at the repairing dealers acquisition cost. No dealer mark-up is claimable by Caterpillar dealers or TEPS dealers in the above situations. If a complete new engine is supplied by Caterpillar, to fulfill a warranty obligation, the Caterpillar Dealer that receives the Nero engine from Caterpillar may claim a flat $200.00 handling charge. The repairing dealer, if other than the receiving dealer, may also claim a flat $200.00 handling charge as well. If a dealer supplies a warranty replacement engine to another dealer at the request of Caterpillar, at their acquisition cost, the suppling dealer is entitled to a $200.00 handling fee.
Parts
Caterpillar parts damaged as a result of a warranty failure can be claimed for reimbursement by Caterpillar.
NOTICE
Non-Caterpillar parts that are damaged are not covered under On-Highway Truck Engine Warranty. Requests for Caterpillar participation of damaged non-Caterpillar parts should be directed to the dealers Caterpillar Truck Engine/Transmission Region Office for goodwill consideration. Parts reimbursement includes only those Caterpillar parts needed to restore the product to its operating condition just prior to the warranty repair. It does not include reimbursement for parts to restore the product to a like-new condition.
04.1 (04/08)
Indicates change.
Bulletin No. 4.1
NOTICE
Parts replaced under On-Highway Truck Engine/Transmission Warranty are warranted ONLY for the remainder of the On-Highway Truck Engine/Transmission Warranty period of the prime product. The warranty on any such replacement parts ceases when the On-Highway Truck Engine/Transmission Warranty expires, regardless of how many times or when the parts were replaced during the product warranty period. Parts Warranty does not apply in such cases.
NOTICE
Steam cleaning the engine/transmission, test after repair, and diagnostic/troubleshooting labor operation segments are not always required for a repair, and if required, the repair time may be minimal. These labor segments should only be listed on warranty claim labor breakdowns when they were justified/needed and actually performed. In such cases, the Service Report must indicate these labor operations were performed.
Parts Salvage
Labor Rate
Allowable labor will be reimbursed at the repairing dealers appropriate approved warranty labor rates. When field labor rates apply, it should be so indicated in the claim story.
Repair Labor Hours

Caterpillar will reimburse the dealer the labor needed to correct the defect. Labor hours will be reimbursed according to the applicable Time Requirement Guide (TRG). In cases where no Time Requirement Guide times or other published times exist, segmented actual reasonable times should be claimed using applicable SMCS codes. Labor hours in excess of standard TRG times must be explained in the claim story. When a difficult installation adversely affects the labor hours, photographs of the engine installation should be kept on file in case further justification for the additional labor is requested by Caterpillar. Labor needed to salvage or replace non-Caterpillar parts is not covered under On-Highway Truck Engine/Transmission Warranty.
Overtime Labor
Warranty service performed outside normal working hours will generally be reimbursed at the dealers labor rate for normal working hours. Overtime labor rate will only be paid in the following repair situations: When a field service repair is less expensive to continue working after regular working hours than to have the serviceman return the following day. When warranty service to carriers en route is essential to prevent loss of a perishable load. When overtime is authorized by factory personnel. In such cases, factory personnel will request the overtime and a separate goodwill claim should be submitted for the overtime premium portion of the labor. For the above repair situations, the reason for claiming the overtime labor rate must be included in the Claim Story.

Product Improvement Programs (PIP), of before-failure repairs, are limited to the amounts specified in the announcing service letter. For additional PIP information, refer to Bulletin No. 12.1 of this Warranty Guide.
04.1 (04/08)
Bulletin No. 4.1

Claims for Product Support Programs (PSPs) of before-failure repairs, are limited to the amounts specified in the announcing service letter. Claims for after-failure repairs associated with a Product Support Program (PSP) are not limited to the amount specified in the announcing service letter. Resultant damaged engine/transmission parts and associated labor will be considered if justified in the claim story. For additional PSP information, refer to Bulletin No. 12.2 of this Warranty Guide.
Freight Charges

Caterpillar emergency service charges are a processing fee that the Caterpillar Parts Department charges for handling emergency parts orders that are shipped within one day following receipt of order (excluding weekends and holidays). Caterpillar emergency service charges for parts obtained on an emergency parts order to expedite a warranty repair are reimbursable. The corresponding parts invoice number must be listed in the Claim Story and the amount of the charge must be listed as a miscellaneous expense on the Warranty Claim. The description for this expense line should be SERCHG. The amount of the service charge varies based on whether the part is identified as a Fast, Medium, or Slow mover, as per the following: 0% Service Charge for Slow moving parts. 5% Service Charge for Medium moving parts. 8% Service Charge for Fast moving parts. This fee system promotes dealer stocking of faster moving parts to provide customers with same-day parts availability.
NOTICE
For TEPS dealers, the same criteria for premium freight reimbursement applies. Since it is difficult for TEPS dealers to know all the shipping information for a freight expense, Caterpillar dealers should only invoice TEPS dealers for premium freight expenses when the parts needed to expedite a warranty repair are not available from either the Caterpillar dealer or the Caterpillar dealers primary servicing parts distribution center. TEPS dealers should not be invoiced for premium freight if the warranty repair parts were shipped from the Caterpillar dealer or the Caterpillar dealers primary servicing parts distribution center. For Product Support Programs (PSP), premium freight expenses are only reimbursable on after failure repairs, during the standard warranty period.
Common carrier surface freight expenses from a Caterpillar parts distribution center to the dealer for non-emergency parts orders needed in a warranty repair are not reimbursable. Dealer Shuttle service expenses between the Caterpillar parts distribution center and the Caterpillar dealer or between the Caterpillar dealer and dealer branch stores/TEPS dealers are not reimbursable.
04.1 (04/08)
Indicates change.
Bulletin No. 4.1
Travel Expenses
When the product cannot reasonably be transported to a Caterpillar dealer or authorized TEPS dealer for the warranty repair, the reimbursement practices for travel expenses varies based on the product application and, in some cases, the engine /transmission model as per the following: For Caterpillar engines/transmission sold in on-highway vehicles but not intended, nor licensed for on-highway use (such as yard spotters, street sweepers, mobile workover rigs, crane carriers, mobile-ag fertilizer spreaders, and mobile sludge injectors), travel expenses are reimbursable when it is more economical and/or practical to repair in the field than to tow to the nearest authorized dealer. Reasonable travel time and mileage from the nearest authorized full service dealer are reimbursable at the dealers approved warranty rate. Meals, lodging, tolls, etc. are reimbursable at actual cost. For Caterpillar engines/transmission sold in on-highway vehicles that are intended and licensed for on-highway use, travel expenses are reimbursable, if the travel time and mileage are less expense than towing to an authorized Caterpillar repair facility, or if necessary to perform repairs at an OEM factory. Reasonable travel time and mileage from the nearest authorized full service dealer are reimbursable at the dealers approved warranty rate. Tolls are reimbursable at actual cost. Meals and lodging are not reimbursable.
If the failure has disabled the engine/transmission, or further operation would cause more serious damage, and If the towing charges are customary for the distance from disablement to the nearest authorized Caterpillar repair source.
NOTICE
Towing is not reimbursable under Parts Warranty, Emission Warranty, Extended Service Plans, and Product Support Programs that are performed beyond the normal engine/transmission warranty period. Refer to applicable warranty bulletins.
Equipment Use Fees

Environmental Fees
The cost to dispose of hazardous waste is not allowed as an itemized expense on Warranty Claims. The disposal of hazardous waste materials includes, but is not limited to, lubricants, coolants, solvents, cleaners, and steam bay water. Allowance for these types of expenses can be included in the dealers approved engine warranty labor rates, if the dealer can demonstrate that these expenses are typically itemized on revenue service shop invoices as a separate charge to revenue customers. Refer to Bulletin No. 8.5 of this Warranty Guide for information on including the cost of hazardous waste disposal in the dealers approved engine warranty labor rates.
NOTICE
For on-highway vehicle engine/transmission repairs that require travel, the dealer should be certain that travel to make repair is the most economical and that the vehicle can be made operational without towing, as warranty will not pay for both towing and travel expenses.
Service Items
Oil, filters, antifreeze, coolant conditioner, and other service items made unusable by the warranty failure due to contamination are claimable. Service items not contaminated by the failure and those replaced in the normal course of a repair are not claimable.
Towing Disabled On-Highway Vehicles

Towing charges are reimbursable at invoice cost during the standard warranty period, if both of the following conditions are met:
04.1 (04/08)
Bulletin No. 4.1
Non-Caterpillar service items are claimable at the dealers acquisition cost, when there is not a Caterpillar equivalent sourced from the Caterpillar Parts Distribution System. Even though oil and antifreeze can be sourced through Caterpillar, dealers can claim for non-Caterpillar oil and antifreeze at the dealers acquisition cost. When the engine coolant is contaminated by the warranty failure only Caterpillar Coolant Conditioner is reimbursable. Non-Caterpillar coolant conditioner, such as Nalcool, is not reimbursable. When the engine/transmission oil is contaminated by the warranty failure in engines equipped with an auxiliary oil filtration system, such as Luberfiner, the auxiliary oil filter is reimbursable at the dealers acquisition cost. In such cases, the dealer must indicate in the Claim Story that the engine is equipped with the auxiliary system.
Radiator/block flushing cleaners (Cascade, Butyl Cellosolve, Butyl Oxitol, etc.) Distilled water Penetrating oils (WD40, Liquid Wrench, etc.) Assembly lubricants (Lubriplate, grease, vaseline, etc.) Thread lock (Lock-Tite, etc.) Dye Welding rod Buffing discs and pads Wire brushes/grinding cones and discs Emery cloth and sandpaper Shop towels These shop supplies are not allowed as an itemized expense. However, allowance for these supply items can be included in the dealers approved engine warranty labor rate, if the dealer can demonstrate that these supply items are typically itemized on revenue service shop invoices. Refer to Bulletin No. 8.5 of this Warranty Guide for information on including the cost of these shop supplies in the dealers approved engine warranty labor rate.
Shop Supplies
Shop supplies fall into the following two categories: 1. Non-bulk Caterpillar part number supply items include, but not limited to the following: Hardware (bolts, nuts, washers, clamps, fittings, etc.) Wire ties Paint (in reasonable quantity) Gasket maker (1.69 oz. tube) These shop supplies will be reimbursed when claimed as an itemized expense. 2. Bulk Caterpillar part number items and NonCaterpillar part number items. Bulk items are items that can generally be used for more than one engine. These items include, but not limited to the following: Non-Caterpillar hardware (bolts, nuts, washers, clamps, fittings, etc.) Non-Caterpillar gaskets and seals Anti-seize compounds (Molykote, etc.) Sealants and adhesives/cements Primers Caterpillar gasket maker (10.5 oz. tube) Solvents (paint thinner, lacquer thinner, etc.) Brake cleaner
Sublet Repairs
Expenses for Caterpillar component repairs performed by an outside repair shop are allowable, if the expense is justified and reasonable. Such expenses will be reimbursed at the dealers acquisition cost. Examples of these repairs are radiator repairs, crankshaft polishing, connecting rod reconditioning, cylinder head milling, cylinder block sleeving, or counterboring. It is the dealers responsibility to insure that invoice charges from outside repair shops are fair and reasonable to guarantee Caterpillar reimbursement. Invoice charges should not be for more than Caterpillar consumer list price for parts and labor repair time should not be more than any applicable time requirement guide time. Labor rates should also be in line with the local dealers labor rates. Travel time and mileage expenses cannot be included or associated with sublet repair costs.
04.1 (04/08)
Indicates change.
Bulletin No. 4.1
When a Caterpillar dealer performs a sublet warranty repair for a TEPS dealer, the repair labor hours on TEPS dealers invoice must be according to the Time Requirement Guide (TRG), when applicable. In such cases, the labor rate charge should be the Caterpillar dealers engine warranty labor rate. It is the Caterpillar dealers responsibility to ensure that the invoice charges they submit to TEPS dealers for sublet warranty repairs are fair and reasonable to guarantee full Caterpillar reimbursement. TEPS dealer mark-up is not permitted on sublet repairs.
04.1 (04/08)
Bulletin No. 4.2
SERVICE
WARRANTY BULLETIN
On-Highway Truck Extended Warranty Coverage On Specified Parts
New 3176, C-10, C-12, C-15, C-16, 3306, and 3406 On-Highway Vehicle Engines and C-10, C-12, 3176 and 3406 Remanufactured On-Highway Vehicle Engines have an extended warranty period for parts only on specified engine parts/components. The extended warranty is part of the New and Remanufactured Standard Engine Warranty for onhighway vehicle engines. The coverage under extended warranty varies, depending on the delivery date and whether the engine is new or Remanufactured. Details of each extended warranty coverage follows:
Electronic Control Module Personality Module Any resultant damaged Caterpillar parts or components associated with a failure of the above listed parts are covered under the extended warranty. Labor and miscellaneous expenses are not claimable under extended warranty. Extended warranty for the cylinder block casting does not cover block wear that requires counterboring cylinders for inserts. The extended warranty coverage may be voided, if during the extended warranty period a failure of one of the above specified parts/components is caused by lack of required user maintenance or use of improper fuel, oil, lubricant, or coolant.
For New 3176/C-10/C-12/C-15, C-16/ 3306/3406 Engines

New 3176, C-10, C-12, C-15, C-16, 3306, and 3406 On-Highway Vehicle Engines have an extended warranty period of 5 years or 500,000 miles (810,000 km), whichever occurs first, that applies to failures of the following parts/components: Cylinder Block Casting Crankshaft Connecting Rod Assemblies (includes rod bolts/rod cap/pin bore bushing) Cylinder Head Casting Camshaft Main Bearing Bolts Flywheel Housing Oil Cooler Housing Water Pump Housing Air Intake Housing
For Remanufactured C-10/C-12/ 3176/3406 Engines

Remanufactured C-10, C-12, 3176 and 3406 On-Highway Vehicle Engines have an extended warranty period of 3 years or 300,000 miles (486,000 km), whichever occurs first, on the cylinder block, crankshaft, and connecting rods. Only these three parts are claimable when a failure of one of these three specified parts occurs during the extended warranty period, and is determined to be the part causing failure.
04.02 (10/01)
Indicates change.
Bulletin No. 4.2
Extended warranty for the cylinder block does not cover block wear that requires counterboring cylinders for inserts. Extended warranty for the crankshaft does not cover rod or main bearings, since bearings are not considered part of a crankshaft. Extended warranty for connecting rods covers only a failure of the rod forging and does not cover failures of a rod bolt, pin bore bushing, or a rod bearing. Any warrantable replacement of a damaged or failed connecting rod under extended warranty will be with a connecting rod assembly, excluding the rod bearing. Labor, miscellaneous expenses, and other resultant damaged parts beyond the block/crank/rod are not claimable. For example, if a 3406 Truck Engine crankshaft fails during the extended warranty period, only the crankshaft and any damaged connecting rods and/or cylinder block will be allowed. No labor, additional parts, or other expense items would be allowed.
Salvage Labor
Salvage labor, such as cutting, welding, polishing, boring, and milling, associated with the salvage of the warranted parts under extended warranty is reimbursable, when the salvage cost is less than the replacement cost of the part.
Cylinder Block Damaged Beyond Repair

When the cylinder block is damaged beyond repair under extended warranty, a Remanufactured short block may be used to satisfy extended warranty. In such cases, prior approval by Caterpillar is required by contacting your Cat distributor.
Must Determine Cause Of Failure

Reasonable determination of the cause of failure is a critical requirement in administering extended warranty coverage. To determine the cause of failure, the part which caused the failure must be identified. Since the extended warranty terms depend upon which part caused the failure, dealers must use special care in their failure analysis. For example, if a 3406 Remanufactured Truck Engine crankshaft, connecting rod, or cylinder block fails, only those three components are covered, if it can be reasonably shown that one of these components was the root cause of failure. In this example, failures caused by a bearing, bushing, bolt, or plug are not covered for 3406 Remanufactured Truck Engines, even though they are part of the warranted group or assembly covered under extended warranty.
04.02 (10/01)
Bulletin No. 4.3
SERVICE
WARRANTY BULLETIN
Emission Warranty - On-Highway Vehicle Engines

Both the United States Environmental Protection Agency (EPA) and the California Air Resources Board (CARB) have regulations to keep highway vehicles within prescribed exhaust emission limits for the useful life of the engine. The useful life period for purposes of Emission Defect Warranty and Emission Performance Warranty is 100,000 miles, 5 years, or 3,000 hours of operation, whichever occurs first. Caterpillar Emission Warranty Information is provided to the end user in the applicable Operation and Maintenance Guide under the Warranty Section. This guide is part of the literature package shipped with each engine. These two Emission Warranties are identical in coverage and responsibility. The only difference is the California Air Resources Board (CARB) requires more written detail as to what the Emission Warranty includes. Even though the Emission Warranty Statement for the Environmental Protection Agency (EPA) has different wording and less detail than the Emission Warranty Statement for CARB, Caterpillar administers both Emission Warranty Statements the same. At present, Canada does not have its own emission warranty regulations, but expects manufactures of on-highway vehicle engines sold in Canada to provide the same emission warranty coverage as required by the United States Environmental Protection Agency. Thus, Caterpillar Emission Warranty also applies to on-highway vehicle engines registered in Canada.
The Emission Warranty Applies If:

The engine powers an on-highway vehicle which operates in the United States or Canada, and The engine is less than 5 years old, 100,000 miles, or 3,000 hours of operation, whichever occurs first, and The failure is due to a defect in material or workmanship of a Caterpillar part or a Caterpillar-approved part of an emissionrelated component. The failed unit must be disassembled enough to determine the cause of the failure, in the same manner as is required under On-Highway Truck Engine Warranty. A new truck engine fails while still under Emission Warranty and is replaced by a Remanufactured engine, the Remanufactured engine is covered by the remainder of the Emission Warranty on the original engine. Under any other circumstances, Emission Warranty does not apply to Remanufactured engines. Emission-related parts or components that are replaced under New Engine Warranty or Emission Warranty are covered by the Emission Warranty for the remaining warranty period of the original part or component.
04.03 (10/01)
Bulletin No. 4.3
Emission-Related Caterpillar Components Covered Under Emission Warranty

Emission Warranty covers the following: Fuel Injection System Fuel System Electronic Controls (If Equipped) Turbocharger System Intake Manifold Air/Fuel Ratio Control System Positive Crankcase Ventilation (PCV) Valve If equipped)
PCV Valve (3208 N/A only) Diaphragm Spring
Exhaust Smoke
When an exhaust smoke problem is caused by an emission-related component that is covered by Emission Warranty, the smoke problem repair will be covered under Emission Warranty. Emission-related component failures do not have to have a smoke related symptom to qualify for coverage under Emission Warranty.
Catalytic Converter The following are examples of parts under these systems/controls that could qualify: Fuel Injection System Injectors/Nozzles Fuel Pump Camshaft Engine Camshaft (Unit Injector Engines) Fuel Cam Followers/Lifters Timing Advance Fuel Injection Lines Fuel System Electronic Controls Electronic Control Module Electronic Unit Injectors Throttle Position Sensor Rack Solenoid Transducer Module Engine Speed Sensor Timing Position Sensor Timing Solenoid Caterpillar Supplied Wiring Harness Turbocharger System Turbine Wheels Turbo Housings Air-to-Air Aftercooler Core Hoses Clamps Piping Intake Manifold Gasket Air/Fuel Ratio Control System Valve Assembly/Valves Diaphragm
Fuel Leaks
When a fuel leak is caused by an emission-related component that is covered by Emission Warranty, the fuel leak repair will be covered under Emission Warranty.
Truck/Bus/RV Manufacturer Supplied Air-To-Air Aftercooler Core And Related Piping

Emission Related Service Claims for repairs made on truck/bus/RV manufacturers supplied air-to-air aftercooler cores and related piping should be submitted as per the following guidelines: 1. For a Caterpillar dealer, the following applies: Claims for repairs occurring within the truck/bus/RV manufacturers warranty should be submitted to the truck/bus/RV manufacturer. Claims for repairs outside the truck/bus/RV manufacturers warranty, but occurring within Caterpillars Emission Warranty, should be submitted to Caterpillar. 2. For TEPS dealer affiliated with a truck/bus/RV manufacturer, the following applies: Claims for repairs occurring within the truck/bus/RV manufacturers warranty should be submitted directly to the truck/bus/RV manufacturer. If the TEPS dealer uses Cat PC, claims for repairs outside the truck/bus/RV manufacturers warranty, but occurring within Caterpillars Emission Warranty, should be submitted to Caterpillar.
Indicates change.
04.03 (10/01)
Bulletin No. 4.3
If the TEPS dealer does not use Cat PC, claims for repairs outside the truck/bus/RV manufacturers warranty, but occurring within Caterpillars Emission Warranty, should be submitted to their administering Caterpillar dealer. 3. For an independent TEPS dealer (not affiliated with a truck/bus/RV manufacturer), claims for repairs should be submitted to: Caterpillar for TEPS dealers who use Cat PC. The administering Caterpillar dealer for TEPS dealers who do not use Cat PC. 4. Claims for emergency repairs made by an unauthorized repair source (customer or repair shop), should be submitted to: The truck/bus/RV manufacturer, if the failure occurred within the truck/bus/RV manufacturers warranty. A Caterpillar dealer or TEPS dealer, if the failure occurred outside the truck/bus/RV manufacturers warranty, but within Caterpillars Emission Warranty.
Engines Exceeding Emission Standards

Proof that an engine is exceeding emission standards does not automatically mean a defect exists. It must be shown that the failed Caterpillar emission related component was the result of a defect in material or workmanship, and not the result of an accident, incorrect maintenance, or misuse.
Additional Emission Warranty Factors:

The vehicle owner may obtain routine maintenance, repairs, and other non-warranty work at any repair facility or may perform the work himself. Such non-warranty work need not be performed by an authorized Caterpillar source in order for the Emission Warranty to remain in force. Non-genuine Caterpillar emission related components may be used for maintenance or repairs. The owner should ensure that such parts are equivalent in design and durability to genuine Caterpillar parts. Use of non-genuine Caterpillar parts does not invalidate the Caterpillar Emission Warranty. However, Caterpillar is not liable for a subsequent failure caused by a defect in a non-genuine Caterpillar part. The user may ask, in writing, for the reasons for a claim denial and may appeal the decision. The dealer is encouraged to obtain assistance from Caterpillar in such cases. The anti-tampering provision of the Clean Air Act continues to apply. It is illegal for a dealer or commercial mechanic to disconnect or tamper with any emission control component or to put the engine into an uncertified configuration. Caterpillar warrants to the initial user and each subsequent user of diesel truck engines (powering on-highway vehicles) that such engines sold by Caterpillar conform at the time of sale with the applicable emission regulations at the time of manufacture and are subject to the terms and conditions of the Caterpillar Warranty for Emission Control, as stated in the applicable Operation and Maintenance Guide.
Expenses Associated With Emission-Related Components

All expenses associated with failed emission-related components will be reimbursed according to OnHighway Truck Engine Warranty guidelines. This includes labor during normal working hours required to make the warranty repair, including labor to diagnose and labor to remove and install the engine, if necessary. Towing is not reimbursable under the terms of Emission Warranty.
Does Failure To Exchange Components Affect Coverage?

A claim cannot be denied because the user had not exchanged the fuel nozzle/injector and/or turbocharger at the recommended intervals, as the EPA does not consider this necessary to assure compliance with emissions standards.
04.03 (10/01)
Bulletin No. 4.3
During the term of Emission Warranty, Caterpillar, through an authorized dealer, will provide new, Remanufactured, or repaired parts and/or components, at Caterpillars option, including all other engine components damaged as a result of the failure of a defective engine emission part, at no charge to the truck engine owner. The user is encouraged to keep adequate maintenance records, but the absence of such, will not invalidate this warranty. A claim cannot be denied because an emergency emission warranty repair was made by an unauthorized Caterpillar source. If an authorized Caterpillar service facility is not available in the event of an emergency, warranty service may be performed by an individual or automotive repair establishment (parts must be certified pursuant to EPA regulations). A part not being available within 30 days or a repair not being completed within 30 days constitutes an emergency. Caterpillar will reimburse the user for the cost of the parts used as is covered under the Emission Warranty up to an amount equal to Caterpillars suggested consumer list (C/L) price, and labor charged based on Caterpillars recommended time allowance for the warranty repair at the customary hourly rate in that geographic area. As a condition of reimbursement, replaced parts and receipted invoices must be presented at a place of business of a Caterpillar dealer or other establishment authorized by Caterpillar.
04.03 (10/01)
Bulletin No. 4.4
SERVICE
WARRANTY BULLETIN
On-Highway Truck Electronic Engine Control System

Electronic Engine Control Components Supplied By Caterpillar
Caterpillar Warranty for on-highway vehicle engines covers only those Electronic Engine Control components that Caterpillar supplies for the Electronic Engine Control System (currently 3406B/340C Electronic, 3406E, 3176/3176B, and C10/C-12 Engines). The Electronic Engine Control System schematics shown on the attached pages illustrate the components, including wiring and connectors, which are supplied by Caterpillar and by the truck/bus manufacturer. Dealers should follow the truck/bus manufacturers guidelines for guidance prior to making any repairs to truck/bus manufacturer-supplied components.
Reprogramming
Reprogramming refers to any Electronic Engine Control programming that is performed after vehicle delivery to the customer. Normally this is done at the customers request and is not warranty. Reprogramming of the Electronic Engine Control system that is needed as a result of a warrantable repair is a warrantable expense.
Histograms/Logged Diagnostic And Event Codes

Warranty Administration requires that a complete histogram (which includes truck configuration, critical events, logged diagnostic codes, current totals, trip segments, total time versus engine speed, vehicle speed, etc.) be printed at the time of failure and kept on file as part of the documentation to justify the following repairs: 1. Major internal engine repairs where driver abuse could be a factor, such as overspeed, overheating, etc. 2. Driveability concerns - smoking, bucking, engine light on, low power, etc. 3. All electronic failures. The date on the histogram must coincide with the repair date in order to justify the claim. The information in a histogram is valuable data to use during diagnostic procedures to determine root cause of failure and applicable warranty responsibility. If this information is not on file or accessible to Warranty Administration, claims may be denied.
Initial Programming
Initial programming refers to Electronic Engine Control programming that is required at the time of vehicle purchase to meet the customers requested parameters. Caterpillars responsibility is to correct defects in material or workmanship during the warranty period. Thus, initial parameter programming of the Electronic Engine Control System by a Caterpillar dealer, TEPS dealer, or a truck/bus manufacturer is not a warrantable expense.
04.04 (10/01)
Indicates change.
Bulletin No. 4.4
Schematic 1. 3176 Electronic Engine Control System.
04.04 (10/01)
Bulletin No. 4.4
Schematic 2. C-10, C-12, C-15, C-16, 3176B, and 3406E Electronic Engine Control System.
04.04 (10/01)
Indicates change.
Bulletin No. 4.4
Schematic 3. 3406B/3406C Electronic Engine Control System.
04.04 (10/01)
Bulletin No. 4.4
04.04 (10/01)
Bulletin No. 4.5
SERVICE
WARRANTY BULLETIN
3116 Engines In FMTV U.S. Military Trucks

The warranty statement entitled 3116 Engines Used To Power U.S. Military Family Of Medium Tactical Vehicles (FMTV), applies to 3116 Engines used in the Stewart and Stevenson Services, Inc. FMTV U.S. Military Trucks. This warranty statement only applies to 3116 Engines with serial number prefixes of 3RJ and 7AG. Warranty service for these engines is to be provided by Caterpillar dealers.

Reimbursement for warranty expenses will be similar to Warranty reimbursement outlined in Bulletin No. 4.1 of this Warranty Guide. Dealers will be reimbursed at approved warranty rates and claims will be submitted in the usual manner. However, the following practices and procedures apply: According to the Stewart and Stevenson Services, Inc. (truck manufacturer) and U.S. Army procedures, when a warranty repair is needed the U.S. Military must contact Stewart and Stevenson, who will then contact Caterpillars Defense and Federal Products Service Group. Caterpillars Defense and Federal Products Service Group will then notify the dealer that a vehicle is coming in for engine warranty repairs.
If the dealer has not been notified prior to the engine arriving, they must check the Service Application Description Data JSZ120 data base prior to beginning repairs. If the Application Code is 5D Caterpillar dealers must have authorization from Caterpillars Defense and Federal Products Service Group (telephone 309-578-3295 or 4562) before initiating diagnostic and/or repair work. Authorization will usually be by phone, followed by a claims authorization, which must be maintained on-file. If the Application Code is 5H, dealers should proceed with diagnostic and/or repair work, followed by submittal of a standard Warranty Claim in the normal manner. The U.S. Military is responsible for delivering the truck to the dealers facility for warranty repairs. Claims for field labor, travel expenses, towing charges, etc. will not be honored unless specifically authorized by Caterpillars Defense and Federal Products Service Group. Caterpillar supplies the engines without accessories (i.e. air compressor, batteries, starter, alternator, etc). Caterpillar is not responsible for these accessory items. The 3116 Caterpillar Parts Manual, Form SEBP2194, illustrates only the parts that are covered by Caterpillar Engine Warranty. In addition, there are items covered by Caterpillar Emission Warranty which are not supplied by Caterpillar, such as the Air-To-Air Aftercooler and charge air piping.
04.05 (10/99)
Indicates change.
Bulletin No. 4.5
Only new parts can be used for warranty repairs on these engines. NO REMANUFACTURED PARTS ARE AUTHORIZED FOR WARRANTY REPAIRS.
Warranty start dates can be obtained from the truck warranty data plate, located just below the instrument panel by the steering column, or the Service Application Description Data JSZ120 data base. Dealers will be reimbursed for labor according to the Time Requirement Guide, when applicable. Any unusual labor or parts requirements must be explained. The U.S. Military has requested that dealers provide the militarys using unit with a listing of the parts required for the warranty repair. The military will use this information to establish demand data in their supply systems.
Indicates change.
04.05 (10/99)
Bulletin No. 4.6
SERVICE
WARRANTY BULLETIN
Warranty Administration Practices For Jacobs Vehicle Systems Products

Jacobs Vehicle Systems is an authorized supplier of engine brake products used on Caterpillar on-highway truck engines. Previously, service warranty claims for failures caused by material defects or assembly of the Jacobs Vehicle Systems products were submitted manually to Jacobs using paper copies of the Jacobs claim form. Beginning October 1, 1997 service claims for Jacobs product can be submitted through the Caterpillar service claims system. This bulletin discusses the warranty and the practices applicable to service claims on Jacobs Vehicle Systems product. Refer to Service Warranty Guide Bulletin 4.1 for additional reimbursement practices.
Claim Instructions
Claims for warranty repairs on Jacobs product are to be submitted through the Caterpillar service claims systems. The instructions for completing the claim forms are the same as for any Caterpillar engine product, except for the following items:
Product Identification/ Serial Number

The Caterpillar Engine serial number should be entered in this field.
Jacobs Vehicle Systems Warranty

Refer to the appropriate Jacobs Vehicle Systems Warranty Statements for terms of warranty.
Related Serial Number

The Jacobs Vehicle Systems product serial number must be entered in this field. (See Illustration 1). If more than one Jacobs Housing Assembly fails, enter the additional serial numbers in the Claim Story.
RELATED EQUIPMENT
MAKE CAB SERIAL NO
Reimbursement Practices
Reimbursement for performing warranty repairs are handled through the Caterpillar warranty system. Reimbursement practices will be as follows: PARTS: Repairing dealers will be reimbursed at Consumer List (C/L) price for the parts needed to complete the repair. Repairing dealers must refer to the appropriate Caterpillar parts manual or the Jacobs/Caterpillar part number cross reference list to obtain the Caterpillar part number needed for the Caterpillar service claim system. LABOR: Reasonable labor or the appropriate Time Requirement Guide (TRG) labor, whichever is applicable, will be reimbursed at the repairing dealers warranty rate.
KENW
K6
12345678
Illustration 1. Jacobs Serial Number.
04.06 (10/99)
Bulletin No. 4.6
Part Causing Failure

The Caterpillar part number obtained from the Jacobs/Caterpillar part number cross reference list must be used in this field. The actual Jacob Vehicle Systems part number must be noted in the 20-space Failure Description field of the claim. (See Illustration 2).
PART CAUSING FAILURE DESC. CODE PART NO. PART NAME GROUP CONTAINING FAILED PART GROUP NO. GROUP NAME
Parts
Caterpillar Part Numbers obtained from the appropriate Caterpillar parts manual or the Jacobs/Caterpillar part number cross reference list, Form No. REHS0245, can be listed on claim under claimed parts. In addition, any Caterpillar parts damaged as a result of a Jacobs part failure can also be listed under claimed parts.
Story
The claim story portion should be used to detail the failure and justify any parts replaced. The Claim Story should list the serial numbers of any additional Jacobs Housing Assemblies that have failed.
1Q9552
PISTON
1119
JAKE
FINDINGS/COMMENTS
FOR DEALER USE
10830 Illustration 2. Part causing failure, group containing failed part, and Jacobs part number.
Group Number Containing Failed Part

The Substitute Group Number of 1119 must be entered in this field for all Jacobs Vehicle System service warranty claims. (See Illustration 2). Failure to comply with this requirement could result in a complete non-allowance or debit of the claim. NOTE: The 1997 SMCS Codes Listing in Section 10 of your Service Warranty Guide lists 1129 as the Jake Brake Code. This will be corrected on the next revision.
Indicates change.
04.06 (10/99)
Bulletin No. 4.7
SERVICE
WARRANTY BULLETIN
U.S. and Canada Truck Engine
Warranty Administration Practices For Electronic Dual Fuel Systems Products

Caterpillar truck engines equipped with an electronic Dual Fuel system operate primarily on compressed natural gas or liquid natural gas with diesel fuel acting as the ignition source. Electronic Dual Fuel engines feature an independent, electronically controlled, multi-point, sequential port injected natural gas fuel system that integrates with the standard electronic diesel fuel injection system to provide Dual Fuel capability. Warranty for this product is being administered through the Caterpillar Dealer network utilizing the Caterpillar Service Claims System. This product carries a two (2) year, unlimited miles warranty on Heavy-Duty, and a three (3) year, 150,000 miles, 3600 hours warranty on Mid Range. If you need additional information regarding warranty, parts information, or service assistance you may call Clean Air Partners at 1-858-581-5600.

For claim submission, the only unique rules for Dual Fuel System component failures are as follows: 1. If the failure is caused by a Dual Fuel System part, use a substitute part number for the part causing failure. This is required since the Dual Fuel System parts do not have Caterpillar part numbers. For a listing of appropriate substitute part numbers, please refer to form #SEBD0850. Failures of Caterpillar componentry on the engine such as water pump or piston may be claimed in the conventional manner. 2. For failures caused by Dual Fuel System parts, the claim must be filed using group number 7980. If a failure occurs on the engine unrelated to the Dual Fuel System, use the appropriate group number containing the failed part. 3. If Dual Fuel System parts are used in the repair, they may be claimed as a miscellaneous expense using the descriptor DFSPTS. These parts must then be detailed in the claim story by part number, description, and price. Again, this methodology is required since many of the parts are not recognized by the Caterpillar systems.
04.07 (10/01)
Bulletin No. 4.7
4. Labor Expense should be claimed using the standard SMCS job operations. Claim by using the appropriate component, job, modifier, and quantity codes. Labor should be claimed with as much labor breakdown as possible, i.e., clean, diagnostic, remove and install, repair, test, etc. Special component codes have been set up for Dual Fuel System components and should be used when claiming for labor related to the specific component. Existing component codes may also be used for some labor operations by using the modifier code DF. A sample listing of component codes that are related to the Dual Fuel system can be found below.
Freight charges related to the return of failed parts may be claimed, at dealer cost, on the service warranty claim. The expense must be justified in the story.
Component Codes
Component Code 1058* 1261* 1270* 1329* 1408* 1909* 1914* 1917* 1921* 1740 1741 1742 1743 1948 Description Air Inlet Manifold Fuel Filter Gas Pressure Regulator Shut-off Valve Wiring Harness Actuator Speed Buffer Boost Pressure Sensor Inlet Air Temp. Sensor Fuel Management Module Gas Fuel Ratio Control Gas Injector Block Gas Spray Nozzle Electronic Control Unit
* Codes must be used with the "DF" listed as the modifier code. Additional component codes may be used when making repairs to the Dual Fuel system as necessary. When using standard SMCS codes you must claim using the DF modifier code. 5. All parts replaced during the warranty become the property of Power Systems Associates and must be returned, Pre-Paid, to the following address: Clean Air Partners Attn: Claims Administrator 5066 Santa Fe Street San Diego, CA 92109
04.07 (10/01))
Bulletin No. 5.1
SERVICE
WARRANTY BULLETIN
Standard-Type Warranty Expenses T (For Certain Remanufactured Industrial Engines)

For the purpose of this Guide, Standard-Type Warranty pertains to that arrangement whereby Caterpillar and its dealers share warranty costs as provided by the Sales and Service Agreements. For Engine Division product, Standard-Type Warranty applies only to Caterpillar dealer sold Remanufactured industrial engines. The following are expenses that can be associated with a warranty repair. Included under each of these expenses are what Caterpillar will or will not reimburse dealers under Standard-Type Warranty.
Complete engines (new or remanufactured) and complete serial numbered attachments will be reimbursed at the current dealer net (D/N) price. Materials and consumables not sold by Caterpillar will be reimbursed at the repairing dealers acquisition cost. No dealer mark-up is claimable in the above situations. If a complete new engine is supplied by Caterpillar, to fulfill a warranty obligation, the Caterpillar Dealer that receives the Nero engine from Caterpillar may claim a flat $200.00 handling charge. The repairing dealer, if other than the receiving dealer, may also claim a flat $200.00 handling charge as well. If a dealer supplies a warranty replacement engine to another dealer at the request of Caterpillar, at their acquisition cost, the suppling dealer is entitled to a $200.00 handling fee.
Parts
Caterpillar parts damaged as a result of warranty failure can be claimed for reimbursement by Caterpillar.
NOTICE
Non-Caterpillar parts that are damaged are not covered under Standard-Type Warranty. Requests for Caterpillar participation of damaged non-Caterpillar parts should be directed to the dealers Caterpillar Engine Area/Region Office for goodwill consideration. Parts reimbursement includes only those Caterpillar parts needed to restore the product to its operating condition just prior to the warranty repair. It does not include reimbursement for parts to restore the product to a like-new condition. Caterpillar parts will be reimbursed at current dealer net (D/N) prices.
05.01 (04/08)
Indicates change.
Bulletin No. 5.1
Part numbers and group numbers with a 5Z, 9Z, or a 4Q prefix are dealer special engineering request items. These part/group numbers are not serviced or warranted by Caterpillar. However, if those part/group numbers contain any Caterpillar parts that are serviced and warranted, the Caterpillar serviced and warranted parts only are covered under Standard-Type Warranty.
In cases where no Time Requirement Guide times or other published times exist, segmented actual reasonable times should be claimed using applicable SMCS codes. Labor hours in excess of standard TRG times must be explained in the claim story. When a difficult installation adversely affects the labor hours, photographs of the engine installation should be kept on file in case further justification for the additional labor is requested by Caterpillar.
NOTICE
Parts replaced under Standard-Type Warranty are warranted ONLY for the remainder of the Standard-Type Warranty period of the prime product. The warranty on any such replacement parts ceases when the Standard-Type Warranty expires, regardless of how many times or when the parts were replaced during such period. Parts Warranty does not apply in such cases.
NOTICE
Cleaning the engine/generator, test after repair, and diagnostic/troubleshooting labor operation segments are not always required for a repair, and if required, the repair time may be minimal. These labor segments should only be listed on warranty claim labor breakdowns when they were justified/needed and actually performed. In such cases, the Service Report must indicate these labor operations were performed.
Labor For Dealer Sold Industrial Engines Used In Other Than Caterpillar Products
Each warranty statement specifies whether labor is to be provided without charge to the user. Under Standard-Type Warranty, reimbursement by Caterpillar to the dealer will not include that labor. By the terms of the dealership agreement, such labor is the responsibility of the selling/servicing dealer. The dealer must provide, at no charge to the user, the labor to disconnect and reconnect the product from/to its attached equipment, mounting, and support systems (if required). Any labor beyond this, that is required to remove and install the product from/to its installation is the customers responsibility.
Overtime Labor
Warranty service performed outside normal working hours will generally be reimbursed at the dealers labor rate for normal working hours. Overtime labor rate will only be paid in the following repair situations: When a field service repair is less expensive to continue working after regular working hours than to have the serviceman return the following day. When overtime is authorized by factory personnel. In such cases, factory personnel will request the overtime and a separate goodwill claim should be submitted for the overtime premium portion of the labor. For the above repair situations, the reason for claiming the overtime labor rate must be included in the Claim Story.
Labor For Electric Power Products

For dealer sold electric power units (units covered under Standard-Type Warranty) labor expenses are partially reimbursable at one-half of the dealers approved warranty cost labor rates. This includes all reasonable labor required for the warranty repair, but excludes travel time labor. Salvage labor is fully reimbursable, if justified.
Repair Labor Hours

Labor hours will be reimbursed according to the applicable Time Requirement Guide (TRG).
05.01 (04/08)
Bulletin No. 5.1
Predelivery Engine Warranty Repairs

Defects in material or workmanship, found during the predelivery inspection, should be corrected before the product is delivered to the user. When such costs are significant, a claim may be submitted for the parts required and for a reasonable amount of labor at the servicing dealers appropriate cost rate. Only one failure may be included on each claim. Costs associated with normal predelivery inspection, adjustments, or minor repairs are not reimbursable.

Caterpillar emergency service charges are a processing fee that the Caterpillar Parts Department charges for handling emergency parts orders that are shipped within one day following receipt of order (excluding weekends and holidays). Caterpillar emergency service charges for parts obtained on an emergency parts order to expedite a warranty repair are reimbursable. The corresponding parts invoice number must be listed in the Claim Story and the amount of the charge must be listed as a miscellaneous expenses on the Warranty Claim. The description for this expense line should be SERCHG. The amount of the service charge varies based on whether the part is identified as a Fast, Medium, or Slow mover, as per the following: 0% Service Charge for Slow moving parts. 5% Service Charge for Medium moving parts. 8% Service Charge for Fast moving parts. This fee system promotes dealer stocking of faster moving parts to provide customers with same-day parts availability.
Predelivery Costs For Packaged Generator Sets

When the engine sales invoice indicates a Caterpillar-packaged generator set, minimum predelivery attention is required. This should include a visual inspection of the unit for obvious shipping damage or other defects. For predelivery repairs at the installation site, Caterpillar will reimburse the dealer for reasonable travel time and mileage within the servicing dealers territory. Parts reimbursement will be at dealer net (D/N) price. Labor, travel time, and mileage will be reimbursed at the servicing dealers appropriate cost rate.

Product Improvement Programs (PIP) of beforefailure repairs, are limited to the amounts specified in the announcing service letter. For additional PIP information, refer to Bulletin No. 12.1 of this Warranty Guide.
Freight Charges
Premium freight (air or surface) expenses from a Caterpillar parts distribution center to a dealer for parts needed to expedite warranty repairs are not reimbursable under Standard-Type Warranty. Common carrier surface freight expenses from a Caterpillar parts distribution center to a dealer for non-emergency parts orders needed in a warranty repair are not reimbursable. Dealer shuttle service expenses between the Caterpillar parts distribution center and the Caterpillar dealer or between the Caterpillar dealer and dealer branch stores are not reimbursable.

Claims for Product Support Programs (PSP) of before-failure repairs, are limited to the amounts specified in the announcing service letter. Claims for after-failure repairs associated with a Product Support Program (PSP) are not limited to the amounts specified in the announcing service letter. Resultant damaged engine parts and associated labor will be considered if justified in the claim story. For additional PSP information, refer to Bulletin No. 12.2 of this Warranty Guide.
05.01 (04/08)
Bulletin No. 5.1
Travel Expenses
Travel expenses are only reimbursable for Caterpillar-packaged Generator Sets that are repaired within the Caterpillar dealers territory before the delivery service is completed. In such cases, reasonable travel time and mileage are reimbursable at the dealers approved cost rate. Meals, lodging, tolls, etc., are reimbursable at the dealers actual cost.
When the engine coolant is contaminated by the warranty failure only Caterpillar Coolant Conditioner is reimbursable. Non-Caterpillar coolant conditioner, such as Nalcool, is not reimbursable. When the engine oil is contaminated by the warranty failure in engines equipped with an auxiliary oil filtration system, such as Luberfiner, the auxiliary oil filter is reimbursable at the dealers acquisition cost. In such cases, the dealer must indicate in the Claim Story that the engine is equipped with the auxiliary system.
Towing
Towing is not reimbursable under Standard-Type Warranty.
Shop Supplies
Shop supplies fall into the following two categories: 1. Non-bulk Caterpillar part number supply items include, but not limited to the following: Hardware (bolts, nuts, washers, clamps, fittings, etc.) Wire ties Paint (in reasonable quantity) Gasket maker (1.69 oz. tube) These shop supplies will be reimbursed when claimed as an itemized expense. 2. Bulk Caterpillar part number items and NonCaterpillar part number items. Bulk items are items that can generally be used for more than one engine. These items include, but not limited to the following: Non-Caterpillar hardware (bolts, nuts, washers, clamps, fittings, etc.) Non-Caterpillar gaskets and seals Anti-seize compounds (Molykote, etc.) Sealants & adhesives/cements Primers Caterpillar gasket maker (10.5 oz. tube) Solvents (paint thinner, lacquer thinner, etc.) Brake cleaner Radiator/block flushing cleaners (Cascade, Butyl Cellosolve, Butyl Oxitol, etc.) Distilled water Penetrating oils (WD40, Liquid Wrench, etc.) Assembly lubricants (Lubriplate, grease, vaseline, etc.) Thread lock (Lock-Tite, etc.) Dye Welding rod Buffing discs & pads Wire brushes/grinding cones & discs
Equipment Use Fees

Environmental Fees
Service Items
Oil, filters, antifreeze, coolant conditioner, and other service items made unusable by the warranty failure due to contamination are claimable. Service items not contaminated by the failure and those replaced in the normal course of a repair are not claimable. Non-Caterpillar service items are claimable at the dealers acquisition cost, when there is not a Caterpillar equivalent sourced from the Caterpillar Parts Distribution System. Even though oil and antifreeze can be sourced through Caterpillar, dealers can claim for non-Caterpillar oil and antifreeze at the dealers acquisition cost.
Indicates change.
05.01 (04/08)
Bulletin No. 5.1
Emery cloth & sandpaper Shop towels These shop supplies are not allowed as an itemized expense. However, allowance for these supply items can be included in the dealers approved engine warranty labor rate, if the dealer can demonstrate that these supply items are typically itemized on revenue service shop invoices. Refer to Bulletin No. 8.5 of this Warranty Guide for information on including the cost of these shop supplies in the dealers approved engine warranty labor rate.
Sublet Repairs
Expenses for Caterpillar component repairs performed by an outside repair shop are allowable, if the expense is justified and reasonable. Such expenses will be reimbursed at the dealers acquisition cost. Examples of these repairs are radiator repairs, generator rewinding, crankshaft polishing, connecting rod reconditioning, cylinder head milling, cylinder block sleeving or counterboring. It is the dealers responsibility to insure that invoice charges from outside repair shops are fair and reasonable to guarantee full Caterpillar reimbursement. Invoice charges should not be for more than Caterpillar consumer list price for parts and labor repair time should not be more than any applicable time requirement guide time. Labor rates should also be in line with the local dealers labor rates. Travel time and mileage expenses cannot be included or associated with sublet repair costs.
05.01(04/08)
Bulletin No. 5.2
SERVICE
WARRANTY BULLETIN
Industrial/Petroleum/Electric Power/Marine Warranty Expenses

Industrial/Petroleum/EP/Marine Warranty pertains to Caterpillars warranty reimbursement practices which allow repairing dealers a profit for performing warranty repairs. The practice applies to a specific product according to its application or method of sale. The following are expenses that can be associated with a warranty repair. Included under each of these expenses are what Caterpillar will or will not reimburse dealers under Industrial/Petroleum/EP/ Marine Warranty. Caterpillar parts will be reimbursed at current suggested consumer list (C/L) prices, except 3600 Engine parts which will be reimbursed at 90% of suggested consumer list (C/L) prices. Caterpillar engine parts reimbursement for the AGCO MT700 and MT800 products which are sold and serviced by the Caterpillar dealer will be paid at current Dealer Net (D/N) prices. Complete engines (new or remanufactured) and complete serial numbered attachments will be reimbursed at the current dealer net (D/N) price. Materials and consumables not sold by Caterpillar will be reimbursed at the repairing dealers acquisition cost. No dealer mark-up is claimable by Caterpillar dealers, TEPS dealers or AMDs in the above situations.
Parts
Caterpillar parts damaged as a result of a warranty failure can be claimed for reimbursement by Caterpillar.
NOTICE
Non-Caterpillar parts that are damaged are not covered under Industrial/Petroleum/EP/Marine Warranty. Requests for Caterpillar participation of damaged non-Caterpillar parts should be directed to the dealers Caterpillar Engine Area Office for goodwill consideration. Parts reimbursement includes only those Caterpillar parts needed to restore the product to its operating condition just prior to the warranty repair. It does not include reimbursement for parts to restore the product to a like-new condition.
If a complete new engine is supplied by Caterpillar, to fulfill a warranty obligation, the Caterpillar Dealer that receives the Nero engine from Caterpillar may claim a flat $200.00 handling charge. The repairing dealer, if other than the receiving dealer, may also claim a flat $200.00 handling charge as well. If a dealer supplies a warranty replacement engine to another dealer at the request of Caterpillar, at their acquisition cost, the suppling dealer is entitled to a $200.00 handling fee. To receive a $200.00 handling fee for supplying a warranty replacement: A warranty claim must be filed against the engine that failed. The failed engine serial number can be given by the repairing dealer.
05.02 (04/08)
Indicates change.
Bulletin No. 5.2
The claim story must have: The name of the repairing dealer. The shipped to address. The failed engine serial number and The supplied engine serial number. For 3600 Product Improvement Programs (PIP) and Product Support Programs (PSP) that specify specific replacement parts to be ordered free of charge through Caterpillars 3600 Customer Services (Lafayette Plant), Caterpillar will pay the dealer a parts handling fee equal to 5% of the suggested consumer list (C/L) price for the parts shipped free of charge. To receive the 5% parts handling fee, dealers must claim for the handling fee on the PIP/PSP Claim as a miscellaneous expense. The description for this expense line should be HANDLI. When complete 3600 Replacement Engines, special 3600 Short Blocks, and certain selected 3600 Components are shipped to the dealer free of charge, there will be no parts handling fee reimbursement. This is the same policy used on all other engine models. Part numbers and group numbers with a 5Z, 9Z, or a 4Q prefix are dealer special engineering request items. These part/group numbers are not serviced or warranted by Caterpillar. However, if those part/group numbers contain any Caterpillar parts that are serviced or warranted, the Caterpillar serviced and warranted parts only are covered under Industrial/Petroleum/EP/Marine Warranty.
Repair Labor Hours

Caterpillar will reimburse the dealer the labor needed to correct the defect. Labor hours will be reimbursed according to the applicable Time Requirement Guide (TRG). In cases where no Time Requirement Guide times or other published times exist, segmented actual reasonable times should be claimed using applicable SMCS codes. Labor hours in excess of standard TRG times must be explained in the claim story. When a difficult installation adversely affects the labor hours, photographs of the engine installation should be kept on file in case further justification for the additional labor is requested by Caterpillar. Labor needed to salvage or replace non-Caterpillar parts or to remove and install hatches, decking, sheet metal, grates, enclosures, ladders, etc., on boats or OEM equipment, is not covered under Industrial/Petroleum/EP/Marine Warranty.
NOTICE
Steam cleaning the engine/marine transmission/ generator, test after repair, and diagnostic/ troubleshooting labor operation segments are not always required for a repair, and if required, the repair time may be minimal. These labor segments should only be listed on warranty claim labor breakdowns when they were justified/needed and actually performed. In such cases, the Service Report must indicate these labor operations were performed.
NOTICE
Parts replaced under Industrial/Petroleum/EP/ Marine Warranty are warranted ONLY for the remainder of the Industrial/Petroleum/EP/Marine Warranty period of the prime product. The warranty on any such replacement parts ceases when the Industrial/Petroleum/EP/Marine Warranty expires, regardless of how many times or when the parts were replaced during the product warranty period. Parts Warranty does not apply in such cases.
Labor Rate
Allowable labor will be reimbursed at the repairing dealers appropriate approved warranty labor rates. When field labor rates apply, it should be so indicated in the claim story.
Overtime Labor
Warranty service performed outside normal working hours will generally be reimbursed at the dealers labor rate for normal working hours. Overtime labor rate will only be paid in the following repair situations:
Parts Salvage
Indicates change.
05.02(04-08)
Bulletin No. 5.2
When a field service repair is less expensive to continue working after regular working hours than to have the serviceman return the following day. When warranty service to carriers en route is essential to prevent loss of a perishable load. When overtime is authorized by factory personnel. In such cases, factory personnel will request the overtime and a separate goodwill claim should be submitted for the overtime premium portion of the labor. For the above repair situations, the reason for claiming the overtime labor rate must be included in the Claim Story.
Caterpillar emergency service charges for parts obtained on an emergency parts order to expedite a warranty repair are reimbursable. The corresponding parts invoice number must be listed in the Claim Story and the amount of the charge must be listed as a miscellaneous expense on the Warranty Claim. The description for this expense line should be SERCHG. The amount of the service charge varies based on whether the part is identified as a Fast, Medium, or Slow mover, as per the following:
0% Service Charge for Slow moving parts. 5% Service Charge for Medium moving parts. 8% Service Charge for Fast moving parts. This fee system promotes dealer stocking of faster moving parts to provide customers with same-day parts availability.

Product Improvement Programs (PIP), of before-failure repairs, are limited to the amounts specified in the announcing service letter. For additional PIP information, refer to Bulletin No. 12.1 of this Warranty Guide.
Freight Charges

Claims for Product Support Programs (PSPs) of before-failure repairs, are limited to the amounts specified in the announcing service letter. Claims for after-failure repairs associated with a Product Support Program (PSP) are not limited to the amount specified in the announcing service letter. Resultant damaged engine parts and associated labor will be considered if justified in the claim story. For additional PSP information, refer to Bulletin No. 12.2 of this Warranty Guide.

Caterpillar emergency service charges are a processing fee that the Caterpillar Parts Department charges for handling emergency parts orders that are shipped within one day following receipt of order (excluding weekends and holidays).
05.02 (04/08)
Bulletin No. 5.2
NOTICE
For TEPS dealers/AMDs, the same criteria for premium freight reimbursement applies. Since it is difficult for TEPS dealers/AMDs to know all the shipping information for a freight expense, Caterpillar dealers should only invoice TEPS dealers/AMDs for premium freight expenses when the parts needed to expedite a warranty repair are not available from either the Caterpillar dealer or the Caterpillar dealers primary servicing parts distribution center. TEPS dealers/AMDs should not be invoiced for premium freight if the warranty repair parts were shipped from the Caterpillar dealer or the Caterpillar dealers primary servicing parts distribution center. For Product Support Programs (PSP), premium freight expenses are only reimbursable on after failure repairs, during the standard warranty period. Common carrier surface freight expenses from a Caterpillar parts distribution center to the dealer for non-emergency parts orders needed in a warranty repair are not reimbursable. Dealer Shuttle service expenses between the Caterpillar parts distribution center and the Caterpillar dealer or between the Caterpillar dealer and dealer branch stores/TEPS dealers/AMDs are not reimbursable.
For Caterpillar products sold in industrial, agricultural, and electric power generation applications (except 3003/j3013/3024/3034/ 3054/3056 and 3114/3116/3126), travel expenses are reimbursable. Reasonable travel time and mileage are reimbursable at the dealers approved warranty rate. Meals, lodging, tolls, etc. are reimbursable at the dealers actual cost. Air travel time and fares, ferry travel time and fares, and waiting times are not claimable expenses. For 3003/3013/3024/3034/3054/3056 and 3114/3116/3126 Engines and related product sold in industrial, agricultural, and electric power generation applications, travel time is reimbursable up to four hours maximum per work order. Mileage, tolls, meals, and lodging are not reimbursable. For Caterpillar products sold in marine application (except for 3034/3054/3056, 3114/3116/3126 and 3208) travel expenses are reimbursable. Reasonable travel time and mileage are reimbursable at the dealers approved warranty rate. Meals, lodging, tolls, etc., are reimbursable at the dealers actual cost. For 3034/3054/3056, 3114/3116/3126 and 3208 Engines and related products sold in Marine applications travel is reimbursable up to six hours maximum per work order. Reasonable mileage is also claimable. Tolls, meals, and lodging are not reimbursable. Note: Travel mileage expenses will be reimbursed for the distance from the nearest dealer branch store to the job site.
Travel Expenses
When the product cannot reasonably be transported to a Caterpillar dealer or authorized TEPS dealers/AMDs for the warranty repair, the reimbursement practices for travel expenses varies based on the product application and, in some cases, the engine model as per the following: For AGCO MT700 and MT800 products towing, mileage, and travel related expenses are not claimable
Towing/Hauling Charges
Towing/hauling charges are normally not for Caterpillar warranty, however if it would be more economical to tow or haul by dealer vehicle than travel to and from repair site these charges would be considered when travel is allowed on the covered repair.
Equipment Use Fees

Special fees or additional charges (such as dyno use fee, boroscope use fee, vibration analysis equipment fee, crane rental) associated with the use of equipment for testing and/or repairing Caterpillar products are not reimbursable.
Indicates change.
05.02(04-08)
Bulletin No. 5.2
Environmental Fees
Paint (in reasonable quantity) Gasket maker (1.69 oz. tube) These shop supplies will be reimbursed when claimed as an itemized expense. 2. Bulk Caterpillar part number items and Non-Caterpillar part number items. Bulk items are items that can generally be used for more than one engine. These items include, but are not limited to the following: Non-Caterpillar hardware (bolts, nuts, washers, clamps, fittings, etc.) Non-Caterpillar gaskets and seals Anti-seize compounds (Molykote, etc.)
Service Items
Oil, filters, antifreeze, coolant conditioner, and other service items made unusable by the warranty failure due to contamination are claimable. Service items not contaminated by the failure and those replaced in the normal course of a repair are not claimable. Non-Caterpillar service items are claimable at the dealers acquisition cost, when there is not a Caterpillar equivalent sourced from the Caterpillar Parts Distribution System. Even though oil and antifreeze can be sourced through Caterpillar, dealers can claim for non-Caterpillar oil and antifreeze at the dealers acquisition cost. When the engine coolant is contaminated by the warranty failure only Caterpillar Coolant Conditioner is reimbursable. Non-Caterpillar coolant conditioner, such as Nalcool, is not reimbursable. When the engine oil is contaminated by the warranty failure in engines equipped with an auxiliary oil filtration system, such as Luberfiner, the auxiliary oil filter is reimbursable at the dealers acquisition cost. In such cases, the dealer must indicate in the Claim Story that the engine is equipped with the auxiliary system.
Sealants and adhesives/cements Primers Caterpillar gasket maker (10.5 oz. tube) Solvents (paint thinner, lacquer thinner, etc.) Brake cleaner Radiator/block flushing cleaners (Cascade, Butyl Cellosolve, Butyl Oxitol, etc.) Distilled water Penetrating oils (WD40, Liquid Wrench, etc.) Assembly lubricants (Lubriplate, grease, vaseline, etc.) Thread lock (Lock-Tite, etc.) Dye Welding rod Buffing discs and pads Wire brushes/grinding cones and discs Emery cloth and sandpaper Shop towels These shop supplies are not allowed as an itemized expense. However, allowance for these supply items can be included in the dealers approved engine warranty labor rate, if the dealer can demonstrate that these supply items are typically itemized on revenue service shop invoices. Refer to Bulletin No. 8.5 of this Warranty Guide for information on including the cost of these shop supplies in the dealers approved engine warranty labor rate.
Shop Supplies
Shop supplies fall into the following two categories: 1. Non-bulk Caterpillar part number supply items include, but not limited to the following: Hardware (bolts, nuts, washers, clamps, fittings, etc.) Wire ties
05.02 (04/08)
Indicates change.
Bulletin No. 5.2
Sublet Repairs
Expenses for Caterpillar component repairs performed by an outside repair shop are allowable, if the expense is justified and reasonable. Such expenses will be reimbursed at the dealers acquisition cost. Examples of these repairs are radiator repairs, generator rewinding, crankshaft polishing, connecting rod reconditioning, cylinder head milling, cylinder block sleeving, or counterboring. It is the dealers responsibility to ensure that invoice charges from outside repair shops are fair and reasonable to guarantee Caterpillar reimbursement. Invoice charges should not be for more than Caterpillar consumer list price for parts and labor repair time should not be more than any applicable time requirement guide time. Labor rates should also be in line with the local dealers labor rates. Travel time and mileage expenses cannot be included or associated with sublet repair costs. When a Caterpillar dealer performs a sublet warranty repair for a TEPS dealer/AMD, the repair labor hours on TEPS dealers/AMDs invoice must be according to the Time Requirement Guide (TRG), when applicable. In such cases, the labor rate charge should be the Caterpillar dealers engine warranty labor rate. It is the Caterpillar dealers responsibility to ensure that the invoice charges they submit to TEPS dealers/AMDs for sublet warranty repairs are fair and reasonable to guarantee full Caterpillar reimbursement. TEPS dealer/AMD mark-up is not permitted on sublet repairs.
05.02(04-08)
Bulletin No. 5.3
SERVICE
WARRANTY BULLETIN
Non-Revenue Producing Marine Propulsion Engine Extended Warranty Coverage On Specified Parts
New Marine Propulsion Engines used in non-revenue producing pleasure craft applications have an extended warranty period on specified engine parts and components. The extended warranty is part of the new standard warranty for marine products. Details of the extended warranty follows: Crankshaft Gears Camshaft Gear Accessory Drive Gears Jacket Water Pump Housing Oil Pan Exhaust Manifold Intake Manifold Engine Oil Cooler Housing Any resultant damaged Caterpillar parts or components associated with a failure of the above listed parts are covered under the extended warranty. Labor, travel, and other miscellaneous expenses are claimable under extended coverage. Extended warranty for the cylinder block casting does not cover block wear that requires counterboring cylinders for inserts. The extended warranty coverage may be voided, if during the extended warranty period a failure of one of the above specified parts/components is caused by lack of required user maintenance or use of improper fuel, oil, lubricant, or coolant.
Parts Coverage
New 3034/3054/3056, 3116/3126, and 3208 Marine Engines used in non-revenue producing applications have an extended warranty period of 5 years or 2000 hours. All other marine engines used in non-revenue producing application have an extended warranty period of 5 years, no hour limitation, that applies to failures of the following parts/components: Cylinder Block Casting Crankshaft Connecting Rod Assemblies (includes rod bolts/rod cap/pin bore bushing) Cylinder Head Casting Camshaft Flywheel Housing Flywheel Timing Gear Cover/Housing Timing Gears
05.03 (10/01)
Indicates change.
Bulletin No. 5.3
Must Determine Cause Of Failure

Reasonable determination of the cause of failure is a critical requirement in administering extended warranty coverage. To determine the cause of failure, the part which caused the failure must be identified. Since the extended warranty terms depend upon which part caused the failure, dealers must use special care in their failure analysis. If it can be reasonably shown that one of the covered components was the root cause of the failure then the extended coverage would apply. Failures caused by gaskets, bolts, valves, plugs, etc. would not be covered.
Salvage Labor
Salvage labor, such as cutting, welding, polishing, boring, and milling, associated with the salvage of the warranted parts under extended warranty is reimbursable, when the salvage cost is less than the replacement cost of the part.
Cylinder Block Damaged Beyond Repair

When the cylinder block is damaged beyond repair under extended warranty, a Remanufactured short block may be used to satisfy the extended warranty. In such cases, prior approval by Caterpillar is required by contacting your Cat distributor.
05.03 (10/01)
Bulletin No. 5.4
SERVICE
WARRANTY BULLETIN
Delivery Inspection (Services and Claims)
Delivery Inspection Service
Caterpillar engines that meet all of the following conditions are entitled to one free inspection: 1. The Principle Work Code is not a K.
Check for damage, leaks and loose bolts. Review Parts Book. Review Operation and Maintenance Manual: Review specifications for correct fuel, oil, and engine coolant. Review procedure for correct fuel handling during filter changes. Review fuel filter requirements (high efficiency). Review oil filter requirements. Review procedure for testing and maintaining proper Supplemental Coolant Additive levels. Ensure all decals and plates are visible and readable. Inspect entire engine air intake system for adequate sealing, mounting and servicing air cleaner, charge air cooler and lines if applicable. Inspect all on-engine wiring for adequate sealing, mounting, and grounding. Review engine features to the initial user: Engine starting. Engine shutdown (normal and emergency). Safety alarms and shutdowns. Controls. Review availability of Extended Service Coverage (ESC) for the engine.
2. The engine is a C-9, C-10, C-12, C-15, C-16, C7, C9, C11, C12, C13, C15, C18, C27, C32, 3196, 3300, 3400, or 3500 Family Engine sold through an approved OEM. 3. The engine is a not an electronic Marine engine (See Bulletin 5.16 for electronic Marine engine). 4. The distribution channel code (dc) is not an A. This can be located on the top line of the engine serial number SIMS history. Dealer retail sold engines are entitled to a delivery inspection, but the expenses, in this instance, are for the selling dealers account. 3600 Engines do not qualify for a delivery inspection. This inspection service should be performed within 30 days following delivery to the initial user, or as soon as the engine is operational. Inspection Services are provided free of charge, with certain limitations, by the Caterpillar authorized dealer. Any unusual costs, such as travel to a remote location, overtime, waiting time, etc., are subject to charge. Such unusual costs are not reimbursed by Caterpillar. Inspection Services cover items related to operation and maintenance of the engine. Inspections on engines entitled to inspection will include, but not be limited to, the following: Check that all fluid compartments are filled to safe levels and service points are lubricated.
05.04 (05/07)
Indicates change.
Bulletin No. 5.4
For Electronic Engines Download engine parameters from ECM, provide copy to customer, and retain copy in dealer files. Review the electronic engine configuration and implications. To assure warranty registration, the delivering dealer must enter the customer name, address, and the delivery date into the On-Line Product Information System (PIS) prior to claim submission. This assures registration at the factory for warranty coverage and expedites processing of any claims for warranty. A Delivery Inspection Checklist for Caterpillar approved factory and dealer OEM Engines (Form LEEH0044-02) may be used as a reference.

Reasonable travel time and mileage will be considered. Limit each claim to a single engine. Where two or more new engines at one location are to be given inspection services, the work should be arranged to minimize labor, travel, and mileage expenses. Prepare separate claims for any warranty repairs performed at the time of delivery inspection. Dealers will be reimbursed for labor and mileage at their approved warranty rates. Other related expenses will be reimbursed at the dealers acquisition cost. The Product Hr/Mi/Km must be at least 1. The Description Code must be 56. The Group Number must be 7590 for all deliveries claimed. The Customer Credit % must be 0 for parts and 100 for labor. A Claim Story is not required. For drill rig engines there is a maximum amount of labor hours allowed per drill rig, regardless of the number of engines on the drill rig. For drill rig engine delivery inspection details, refer to Bulletin No. 5.6 of this Warranty Guide.
Reimbursement For Delivery Inspections

List actual labor hours to perform the delivery inspection up to the following limits:
2 hours - For C-9, C-10, C-12, C-15, C-16, C7, C9, C11, C13, C15, C18, C27, C32, 3196, 3300, 3400, or 3500 Family Engine sold through an approved OEM.
Indicates change.
05.04 (05/07)
Bulletin No. 5.4
05.04 (05/07)
Indicates change.
Bulletin No. 5.4
05.04 (05/07)
Bulletin No. 5.5
SERVICE
WARRANTY BULLETIN
Battery Chargers
Stored Energy Systems 1840 Industrial Circle
Caterpillar offers as an attachment, Master Control Systems, SENS or Computronics Controls Ltd. battery chargers. The battery chargers are built to Caterpillar specifications in order to optimize battery life. These chargers are offered as a convenience for dealers as they put together a package for the customer sale requirement. As indicated in the Caterpillar Price List and Engine Technical Data Sheet 151.6, the battery chargers are not warranted or serviced by Caterpillar. Caterpillar dealers should contact Master Control Systems, Inc., or SENS directly, with the serial number of the charger in question, for all warranty, parts and service considerations. Only the complete charger is available through Caterpillar. Computronics Controls Ltd. battery chargers are supported by Caterpillar warranty and product support.
Longmont, Colorado USA 80501 Telephone: 1-303-678 7500 Fax: 1-303-678 7504 Internet: http://www.sens-usa.com E-mail: service@sens-usa.com
Master Control Systems Inc. 910 North Shore Drive Lake Bluff, Illinois 60044 Telephone: 1-847- 295 1010 Fax: 1-847- 295 0704 Internet: http://www.mastercontrols.com Email: villa@mastercontrols.com
05.05-01 (07/08)
Indicates change.
Bulletin No. 5.5
05.05-01 (07/08)
Bulletin No. 5.6
SERVICE
WARRANTY BULLETIN
Engines And Caterpillar Packaged Products Sold For Use In Petroleum Applications
Work Application Code B12 and B13 - The warranty start date for non-propulsion engines or Caterpillar Packaged Products used on a Drill Rig or Drill Ship begins when whichever of the following occurs: 1. The engines or Packaged Product on which the engines are installed are moved and set up at their first revenue hole. 2. The engines or Packaged Product have Delivery Service Inspections completed on them by a Caterpillar Dealer. Note: If a dealer is contacted to work on a non-propulsion engine or Packaged Product on a drill rig site and it has not been reported as being delivered, the dealer is to determine when the rig was moved to the site, complete the Delivery Service Inspection, and use this date as the delivery date of the product. See the topics which follow, entitled Inspections and Claim Allowance and Claiming Instructions for Delivery Service Inspection, for additional information. The warranty start date for engines and Caterpillar Packaged Products used in other Petroleum applications (Principal Work Codes B11, B20, B30, B40, B50, and B13 Auxiliary Engines used on other than a Drill Rig application) starts when whichever of the following occurs: 1. The engines or Packaged Product on which the engines are installed are delivered to the first user and are moved and set up at their first revenue-producing site. 2. The engines or Packaged Product have Delivery Service Inspections completed on them by a Caterpillar Dealer.
This bulletin covers warranty practices for applicable to Dealer Retail, Dealer OEM and Factory OEM new engines, and Caterpillar Packaged Products sold and used in petroleum applications. It includes the following Principal Work (Business) Codes as are defined in Warranty Bulletin 2.1 of this guide and the Caterpillar Engine Sales Reporting System: B11 - Workover Rig B12 - Drill Rig B13 - Auxiliary B20 - Completion/Stimulation (Well Servicing) B30 - Crude Production B40 - Gas Compression B50 - Crude Oil Transmission
Warranty Start Date

Work Application Code B12 - The warranty start date for engines or Caterpillar Packaged Products that are used to propel a Drill Rig or Drill Ship begins when the propulsion engines are started for the purpose of moving the rig or ship from the drill rig yard. Note: If a dealer is contacted to work on an engine or packaged product that is used to propel a Drill Rig or Drill Ship, it will be necessary to determine when the propulsion engines were started in the drill rig yard, complete the Delivery Service Inspection, and use this date as the delivery date for the product.
05.06 (12/00)
Indicates change.
Bulletin No. 5.6
3. An engine on the product obtains 200 or more hours of operation after it is delivered to the first user. Note: In cases where a dealer is contacted to work on a product with an engine that has in excess of 200 hours on it and the product has not been reported as delivered in the Caterpillar ACF2M data system, the dealer is to estimate when the engine received 200 hours and complete the Delivery Service Inspection. See the topics which follow, entitled Packaged Product Identification, Inspections, and Claim Allowance and Claiming Instructions for Delivery Service Inspection for additional information.
MFG. NAME MFG. W.O. MFG. SERIAL # MFG. PART # MONTH / YEAR BUILT GROSS WEIGHT EQUIP. ASSET # CERTIFICATION(S) CHASSIS VIN # PURCHASE ORDER # DOWELL MODEL / W.O.
570199000 AA
Packaged Product Identification

In most cases, the engine serial number is to be used for determining warranty, submitting claims, inputting SIMs data, and identifying product consists for Caterpillar Petroleum Applications and the information noted in Warranty Bulletin 5.9 would apply. There is, however, an exception. For Completion/Stimulation Packaged Product (Principal Work Code B20) built by Caterpillar for a customer, depending upon manufacturing date, the engine(s) installed on the product may not be used to identify the product. Completion/Stimulation Product may carry a Packaged Product Serial Number. This serial number is the serial number used in the Caterpillar ACF2M data system to identify the product. 1. If a Completion/Stimulation product was manufactured by Caterpillar as a Packaged Product or was manufactured by another source, a metal Identification Plate will be located somewhere on the unit. The Identification Plate will be located, depending upon configuration, as follows: a. For on-highway straight truck packaged product, the plate will be located inside the drivers door of the truck cab. b. On packages that are trailer mounted, the plate will be located on the Goose Neck of the trailer. c. On skid mounted packages the plate will located on the skid rails of the unit. See Figure 1 for an illustration of an Identification Plate. Figure 1.
0546-01
2. After locating the Identification Plate, look at the line entitled MFG. NAME and MFG. SERIAL #. If Caterpillar is stamped on MFG. NAME line, the product is a Caterpillar Packaged Product. Next, look at the MFG. SERIAL # line. If there is a serial number starting with a prefix of 6RZ, 1WZ, 8ZZ, 5XZ, 2LZ, 3CZ, 9KZ, or 4TZ, this is the Packaged Product Serial Number for the product. 3. If the Identification Plate line entitled MFG. NAME is stamped Caterpillar but the MFG. SERIAL # is blank, or does not start with one of the prefixes noted above, or is stamped NONE, the engine serial number is used as the identifier for the product in the Caterpillar ACF2M data system. 4. If an Identification Plate cannot be found or the line MFG. NAME is stamped with a name other than Caterpillar or is blank, the package was not manufactured by Caterpillar. In these cases the Engine serial number is to be used as the identifier in the Caterpillar ACF2M data system. Once the appropriate serial number is identified on a completion/stimulation product, the delivery date, warranty coverage, reported history, and product consists can be obtained in the Caterpillar ACF2M data system.
05.06 (12/00)
Bulletin No. 5.6
For SIMS repair history, SIMS extended coverage verification (delivery date and warranty coverage), OPC/ESC information (extended service coverage information), and TMI Serial Number Cross Reference (as shipped consists) see Application Code JSZ120, Serial Number Service Data Inquiry, enter the Packaged Product Serial Number or Engine serial number as identified in Step 1, 2, 3, and 4 above. Place an X next to the information that is desired and press the enter key. In cases where more than one X is entered, use the PF10 key to obtain all of the information requested. Note: If a product has not been reported as delivered, see topics Inspections and Claim Allowance and Claiming Instructions for Delivery Service Inspection which follows for instructions. In cases where as shipped consists information cannot be found in Application Code JSZ120, Serial Number Service Data Inquiry, it may be found by accessing Application Code JIZ111 (Product Information System) Program Selection 06 and utilizing Application Code GKN401, Program Selection 02 to breakdown as shipped groups. When reviewing product consist it is important to remember that not all of the components included in a package are warranted by Caterpillar. As per the Caterpillar Warranty Statements on Industrial Engine Products, Caterpillar covers all of the components on the product, except those sold by Caterpillar that are warranted directly to the user by their respective manufacturer. In most cases, if a component can be identified (broken down) in the Caterpillar TMI System it is covered by Caterpillar Warranty. If a component cannot be identified (broken down) in the TMI System, the item is not warranted by Caterpillar and is the customer or component suppliers responsibility. To help you identify what is covered and not covered by Caterpillar, see topic Completion/Stimulation Packaged Product Warranty Exclusions found at the end of this bulletin.
Warranty Reimbursement
Reimbursement for Audits, Delivery Inspections, or Warranty Repairs completed on engines and Packaged Products sold for use in all petroleum applications will be paid in accordance to the warranty bulletin on industrial, electric power generation, and marine engines. See Warranty Bulletin 5.2 for additional information.
Repairs Completed Prior To Delivery

Warranty practices for repairs of engines and Caterpillar Packaged Products prior to delivery are to be handled in accordance to Warranty Bulletin 2.2, see topic Repairs Made at OEM Factories and Repairs for Incorrect Parts Consist at Dealers Shop. Also see Warranty Bulletin 5.2 for reimbursement information and Warranty Bulletin 9.3 for claim filing instructions.
Inspections
On-Highway Trucks Engines powering on-highway trucks that are used in petroleum applications are not eligible for Caterpillar supported inspections. Inspection services are the responsibility of the truck manufacturer. Drill Rig Applications (B12 and B13) New Dealer OEM and Factory OEM 3176, 3196, 3300, 3400, and 3500 Engines and Caterpillar Packaged Products powered by such engines sold into petroleum drill rig applications (Principal Work Codes B12 and B13) qualify for Caterpillar supported Start-Up and Performance Inspection Audits and Delivery Service Inspections. Start-Up and Performance Inspection Audits and Delivery Service Inspections on New Dealer Retail Sold 3176, 3196, 3300, 3400, and 3500 Engines and packages that are sold into petroleum drill rig applications (Principal Work Codes B12 and B13) are the selling Caterpillar dealers responsibility. New Dealer OEM and Factory OEM 3600 Engines sold into drill rig applications qualify for Caterpillar Supported Start-Up and Performance Inspection Audits only. Start-Up and Performance Inspection Audits on New Dealer retail sold 3600 Engines and packages sold into drill rig applications are the selling Caterpillar dealers responsibility.
05.06 (12/00)
Bulletin No. 5.6
Certified Fire Pumps, regardless of engine model and type of sale, sold into drill rig applications qualify for Caterpillar supported Delivery Service Inspections only. 3000, 3114, 3116, 3126, and 3200 Engines that are sold into drill rig applications do not qualify for Start-Up and Performance Inspection Audits or Delivery Service Inspections. Other Petroleum Applications (B11, B20, B30, B40, B50, and B13 Auxiliary Engines Used on Other Than a Drill Rig) New Dealer OEM and Factory OEM 3176, 3196, 3300, 3400, and 3500 Engines and Caterpillar Packaged Products that are powered by such engines sold into other petroleum applications (Principal Work Codes B11, B20, B30, B40, B50, and B13 Auxiliary Engines used on other than a drill rig) qualify for Caterpillar supported Delivery Service Inspections only. Delivery Service Inspections on New Dealer Retail Sold 3176, 3196, 3300, 3400, and 3500 Engines and packages sold into other petroleum applications (Principal Work Codes B11, B20, B30, B40, B50, and B13) are the selling Caterpillar dealers responsibility. Certified Fire Pumps, regardless of engine model and type of sale, that are sold into other Petroleum applications qualify for Caterpillar supported Delivery Service Inspections only. 3000, 3114, 3116, 3126, 3200, and 3600 Engines sold for use in other petroleum applications are not eligible for Caterpillar supported inspections.
5. Inspect engine installations for integrity of mountings and serviceability. Inspect air induction and exhaust systems, fuel supply systems, and cooling systems. 6. Measure cold engine alignments to driven equipment and realign. Realignment, if necessary, is covered by Caterpillar warranty only on Caterpillar factory assembled units. On other units, realignment costs are the responsibility of the rig manufacturer. 7. Measure cold crankshaft deflection on certain V12 and V16 engines. 8. Start and operate engines. 9. Where possible, verify that all safety warning and shutdown systems function correctly at specified settings. 10. Perform a load test with the maximum available, usable load. This should not be interpreted as a load test for an extended duration. Load tests of one hour or less will be considered adequate for most installations. 11. Check parallel operation of engines when it is possible. 12. Other items deemed necessary by the dealer that is completing the audits. Note: The measurements taken and the inspections performed are to verify that the engines are operating within accepted parameters. If they are not within these parameters, the corrective measures are to be completed at the expense of the responsible party. After completion of the start-up audits on engines which have metal Product Information Plates (engines produced by Lafayette) the dealer code, followed by the letter S, is to be stamped in the Date Delivered portion of the plate. After completion of the start-up audit on engines which have Ultraplate Film (decals) as the Product Information Plate (engines produced by Mossville), stamp the letter S and Dealer Code beside the Engine Serial Number Plate that is located on the right rear side of the engine. Dealers must submit a separate claim for each of the engine/packages on the drill rig.
Drill Rig Start-Up and Performance Inspection Audits

This inspection is to ensure that the engines and driven equipment installed on a drill rig are in good operating condition. The inspection audits are to be completed at the drill rig yard when the engines are installed and their installation on the rig is complete. The audits are to include the following: 1. Check engine fluid compartments for correct fluids and proper levels. 2. Lubricate all service points. 3. Inspect and if necessary, adjust all engine drive belts. 4. Inspect and if necessary, adjust governor controls and linkages.
05.06 (12/00)
Bulletin No. 5.6
Claim Allowance and Claiming Instructions for Drill Rig Start-Up Audits
Actual travel time (up to a maximum of 8 hours) and mileage for the round trip from the dealership to the rig-up yard can be claimed. However, if engines or engine packages are located on off-shore rigs, travel will be limited to the trip from the dealership to and from the dock where other transportation must be taken to get to the site. Other Transportation costs, including servicemans travel time, are for the customer or dealers account. For engines or Caterpillar Packaged Products (Principal Work Code B12), the dealer can claim reasonable actual servicemans labor up to the following limits: 3 hours for 3300 Family Engines/Packages. 4 hours for 3176, 3196, and 3400 Family Engines/Packages. 8 hours for 3500 and 3600 Family Engines/Packages. For auxiliary power engines (Principal Work Code B13), the dealer can claim reasonable actual servicemans labor up to the following limits: 3 hours for 3300 Family Engines/Packages. 4 hours for 3176, 3196, and 3400 Family Engines/Packages. 5 hours for 3500 and 3600 Family Engines/Packages. Start-Up and Performance Inspection Audit claim instructions are the same as other warranty claims except as noted below. See Warranty Bulletin 9.3, Instructions for Completing Claims for additional information. Remember that one claim for each engine or package on the drill rig is required. 1. For the Delivery Date enter 00NIS00 to indicate that the engine is Not In Service. 2. The Product HR/MI/KM must be at least 1. 3. The Part Causing Failure field should be left blank. 4. The Desc Code must be 56. 5. The Group Number/Substitute Group must be 7589.
6. The Customer Credit % must be 0 for parts and 100% for labor. 7. A Claim Story is not required.
Delivery Service Inspection

This inspection is to ensure that engines and Caterpillar manufactured Packaged Products are in good operating condition at the time they are moved and set up at their first revenue producing sight. See the preceding topic entitled Inspections for delivery service eligibility. The Delivery Inspection is to include, but is not limited to, the following: 1. If the engines are part of a Well Servicing Product (Principal Work Code B20) - Determine the serial number that is to be used for submitting claims and reporting delivery. See preceding topic entitled Packaged Product Identification for information on serial number identification. 2. Review of the Warranty Statement content and coverage applicable to the engines or Packaged Product with the site operations manager. See preceding topics for additional information on Packaged Product. 3. Complete warranty information cards for each engine on the product in order to register them for warranty coverage. For some Caterpillar Packaged Product complete one card. Use the Packaged Product Serial Number as the identifying serial number. 4. Check all of fluid compartments to ensure that they are filled to safe levels. 5. Check service points to ensure that they are properly lubricated. 6. Give instructions to operating personnel on proper starting of the engines. 7. A review of safe operating practices including engine shutdown (normal and emergency), plus safety alarms and shutdown controls. 8. Visual inspection of engines and Caterpillar Packaged Product prior to, after starting and after shutdown for leaks, loose bolts, unusual noises, and vibrations. 9. On engines and packages with compound drives, ensure that the engines are adjusted to proportionately share loads.
05.06 (12/00)
Bulletin No. 5.6
10. Ensure that operating personnel receive an Operation and Maintenance Guide for each engine model installed on the product and review the following items with them. a. Specifications for correct fuel, oil, and engine coolant. b. The procedure for correct fuel handling during fuel filter changes. c. Fuel filter requirements (high-efficiency). d. Oil filter requirements. e. Procedure for testing and maintaining proper Supplemental Coolant Additive levels. 11. Visually inspect each engine or Caterpillar Packaged Product to ensure that all decals and plates are visible and readable. 12. Inspect engine air intake systems for adequate sealing, mounting, and air cleaner serviceability. Also check charge air cooler and lines if applicable. 13. Inspect all on-engine and Packaged Product wiring and connections for adequate sealing, mounting, and grounding. 14. For electronic engines, download engine parameters from the ECM, provide a copy to customer, and retain a copy for dealer files. Additionally, review the electronic configuration and implications with the user. 15. Other items deemed necessary by the dealer that is needed in completing the inspection. After the delivery service is completed, the delivering dealer must enter the customer name, address, and delivery date information into the On Line Product Information System (Application Code JIZ111 and Program Selection 05). Additionally, the delivery date information must be added to the Caterpillar TMI system (Application Code JSZ107 and Program Selection 05) prior to claim submission. This ensures registration at the factory for warranty coverage and expedites warranty claim processing.
Claim Allowance and Claiming Instructions for Delivery Service Inspection

Actual travel time (up to a maximum of 8 hours) and mileage for the round trip from the dealership to the customer site can be claimed. However, if engines or Packaged Products are located on off-shore rigs, travel will be limited to the trip from the dealership to and from the dock where other transportation must be taken to get to the site. Other Transportation costs, including servicemans travel time, are for the customer or dealers account. Dealers can claim reasonable actual servicemans labor for delivery service up to the following limits: 3 hours for 3300, 3176, 3196, and 3406 Engines/Packages and Certified Fire Pump Engines, regardless of engine model. 4 hours for 3400 V-Engines and 3500 Family Engines/Packages. Additionally, if the engines or Caterpillar manufactured Packaged Products being delivered or installed on a Drill Rig application (Principal Work Code B12 or B13) the total allowances for delivery services, regardless of the number of engines on the rig, cannot exceed a total of 16 hours. Delivery Inspection claim instructions are the same as other warranty claims except as noted below. See Warranty Bulletin 9.3, Instructions for Completing Claims for additional information. One claim per engine/package is required except if the engines are installed in Caterpillar Packaged Products used in Well Servicing Applications (principal work code B20). 1. Product Identification/Serial Number - If Delivery Service Inspections are completed on Well Service Packaged Products (work application work code B20) the hours claimed for each engine/package must be combined and claimed against the Packaged Product Serial Number. 2. The Product HR/MI/KM must be at least 1. 3. The Part Causing Failure field should be left blank. 4. The DESC Code must be 56. 5. The Group Number/Substitute Group must be 7590.
05.06 (12/00)
Bulletin No. 5.6
6. The Customer Credit % must be 0 for parts and 100% for labor. 7. A Claim Story for individual serial numbers is not required in most cases. However, if delivery is being claimed on a Caterpillar Packaged Product that has a Packaged Product Serial Number, the claim story should list the related engine serial numbers that are included in the package.
In cases where a dealer is requested to provide warranty service on an engine that has been sold by a dealer outside of the USA or Canada, the dealer should contact Caterpillar and request information on Service Fee Transfers. Contact: Service Fee Coordinator, NACD Business Operations at (309) 578-5150 for instructions.
Service Fees
Following is a summary of the Service Fee Transfer Guidelines applicable to engines and Caterpillar Packaged Products sold for use in petroleum applications. Note: Service Fee Transfer Guidelines apply only when a qualified engine is moved outside of the USA or Canada during the warranty period applicable to the engine. 1. Approved Dealer OEM or Factory OEM sold engines and Caterpillar Packaged Products Service Fee Transfer does not apply. Repairing dealer is allowed to claim parts and labor for repairs. 2. Dealer Retail Sold 3000, 3114, 3116, 3126, and 3600 Engines or 3600 Caterpillar Packaged Products Service Fee Transfer does not apply. Repairing Dealer is allowed to claim parts and labor for repairs. 3. Dealer Retail Sold 3176, 3196, 3208, 3300, 3400, 3500 Engines and Caterpillar Packaged Products When a dealer sells such product directly to a customer and the product is shipped outside of the USA or Canada, the selling dealer is to remit a Service Fee to Caterpillar. The Service Fee is equal to 5% of the Caterpillar invoice list price (before discounts) of the product. If the selling dealer is aware that an engine will be moved outside of the USA or Canada, at time of delivery or after delivery, the dealer is to contact Caterpillar, phone number (309) 675-5150 in regards to payment of a Service Fee. Service Fees are to be remitted to: Service Fee Coordinator NACD Business Operations Caterpillar Inc. 100 N E Adams Street Peoria IL 61529-1295
05.06 (12/00)
Bulletin No. 5.6
Completion/Stimulation Packaged Product Warranty Exclusions

This list is not inclusive and is for reference only. It is intended to help define components of Caterpillar Completion/Stimulation Packaged Products that are not normally covered by Caterpillar Warranty. If components do not appear on the list, it does not necessarily mean that they are covered under the Caterpillar Warranty Statement. Caterpillar reserves the right to add, change, or delete components on the list at any time. Due to the ongoing changes and the wide variety of components that can make up a packaged product, this list of exclusions will change constantly. If there is a question about a component, or it is not shown on the list, contact Griffin Product Support (770) 233-5787 or (770) 233-5702 for assistance. Caterpillar Packaged Product Sales Model and Reference Package Product S/N CPT372** S/N 1WZ*
Product Description and Reference Engine Truck Mounted Cementing Pump. 3176 Engine. Two engines (chassis engine and one deck engine), the cab engine drives a Gardner-Denver Triplex Pump through an Allison transmission mounted on a Peterbilt truck chassis. The deck engine drives a second Gardner-Denver Triplex Pump through a second Allison transmission. Unit is used for pumping cement into a well for completion.
Warranty Exclusions 1. Gardner-Denver Pumps. 2. Allison Transmissions. 3. Straight Truck Chassis including tires, axles, wheels, brakes, and lights. 4. Azonix Density Control System. [Software and Electronic Hardware (PC Boards), supplied and/or manufactured by Azonix, used to control the density of the cement mixture being pumped]. 1. Gardner-Denver Pump(s). 2. Allison Transmission(s). 3. AmDec Monitoring System. [Software and Electronic Hardware (PC Boards), supplied and or manufactured by Azonix, used to control the density of the cement mixture that is being pumped.] 1. Gardner-Denver Pump. 2. Allison Transmission. 3. Straight Truck Chassis including tires, axles, wheels, brakes, and lights. 4. Drive Line Gear Box. (The gear box that is connected to both the wheel drive line and the blender drive line. The drive line gear box is part of the chassis and treated as such.)
CPS361 9KZ*
Skid Mounted Cementing Pumps. 3176 Engine. Two engines, each engine drives a Gardner-Denver Triplex Pump through an Allison transmission, mounted on a skid to be located on a barge, platform, etc. Unit is used for pumping cement into a well for completion.
SCT673** S/N 4TZ*
Truck Mounted Stimulating Combination Pumper. 3412 Engine. One deck mounted engine driving a Gardner-Denver Pump through an Allison transmission. This unit is used for both well fracturing and blending of sand slurry.
05.06 (12/00)
Bulletin No. 5.6
Caterpillar Packaged Product Sales Model and Reference Package Product S/N SPS342 S/N 2LZ*
Product Description and Reference Engine Skid Mounted Stimulating Pumper (Well Fracturing Unit). 3412 Engine. One engine driving a GardnerDenver Pump through an Allison transmission mounted to a skid to be located on a barge, platform, etc. This unit is used for fracturing a well by pumping high-pressure sand slurry followed by a gas, usually CO2, into a well.
Warranty Exclusions 1. Gardner-Denver Pump. 2. Allison Transmission. 3. Pump Discharge Bridle and Suction Header. (The pump discharge bridle includes the discharge piping assemblies from the two pump discharge connections up to and including the wye fitting that connects both discharge piping assemblies. The suction header is that pipe assembly that is connected to the pump suction connections up to the first horizontal connections on each side of the header.) 1. Gardner-Denver Pump. 2. Allison Transmission. 3. Straight Truck Chassis including the chassis, tires, axles, wheels, brakes, and lights. 4. Pump Discharge Bridle and Suction Header. 1. Gardner-Denver Pump. 2. Allison Transmission. 3. Straight Truck Chassis including chassis, tires, axles, wheels, brakes, and lights. 4. Pump Discharge Bridle and Suction Header. 5. Drive Line Gear Box. 1. Gardner-Denver Pump. 2. Allison Transmission. 3. Liddel Trailer and trailer components, including but not limited to chassis, tires, axles, wheels, brakes, and lights. 4. Pump Discharge Bridle and Suction Header.
SPT342** S/N 3CZ*
Truck Mounted Stimulating Pumper (Well Fracturing Unit). 3412 Engine. One engine driving a GardnerDenver Pump through an Allison transmission mounted to a skid to be located on a barge, platform, etc. This unit is used for fracturing a well by pumping high-pressure sand slurry followed by a gas, usually CO2, into a well. Truck Mounted Stimulating Pumper (Well Fracturing Unit). 3512 Engine. One engine driving a GardnerDenver Pump through an Allison transmission mounted to a truck chassis. This unit is used for fracturing a well by pumping high-pressure sand slurry followed by a gas, usually CO2, into a well.
SPT343** S/N 5XZ*
SPF343 S/N 6RZ*
Trailer Mounted Stimulating Pumper (Well Fracturing Unit). 3512 Engine. One engine driving a GardnerDenver Pump through an Allison transmission mounted to a skid to be located on a barge, platform, etc. This unit is used for fracturing a well by pumping high-pressure sand slurry followed by a gas, usually CO2, into a well.
05.06 (12/00)
Bulletin No. 5.6
Caterpillar Packaged Product Sales Model and Reference Package Product S/N SPS343 S/N 8ZZ*
Product Description and Reference Engine Skid Mounted Stimulating Pumper (Well Fracturing Unit). 3512 Engine. One engine driving a GardnerDenver Pump through an Allison transmission mounted to a skid to be located on a barge, platform, etc. This unit is used for fracturing a well by pumping high-pressure sand slurry followed by a gas, usually CO2, into a well.
Warranty Exclusions 1. Gardner-Denver Pump. 2. Allison Transmission. 3. Pump Discharge Bridle and Suction Header.
* Packaged Product Serial Number prefix for current production packages. Older packages may use engine serial number for identification purposes. See Topic Packaged Product Identification for additional information. ** The trucks driving engine is not included in the Package Consist and therefore needs to be warranted using the engine serial number and using applicable Truck engine warranty guidelines.
10
05.06 (12/00)
Bulletin No. 5.7
SERVICE
WARRANTY BULLETIN

Electric Power CAT Switchgear

b. Project Number (indicated on the front of the switchgear, i.e. 34004) c. Site Name & Address d. Warranty Service Issue 2. Call the CAT Switchgear Product Support Center (866-883-3879). This is not the CAT Dealer Solution Network, it is a support center with CAT Switchgear expertise. 3. The Product Support Center will verify the warranty status of the site, and issue the method by which to proceed with the repair. The Product Support Center will communicate: a. Approved labor time b. Parts needed c. Total estimated PO for this claim
There are three processes for submitting warranty claims, for CAT switchgear. A. Non-serialized free-standing switchgear. B. Serialized free-standing switchgear. C. Power Module switchgear.
A. Non-Serialized Free-Standing Switchgear Below is the current process for submitting warranty claims on CAT Switchgear. Warranty claims for this product are administered by Intelligent Switchgear Organization (ISO).
Warranty Terms The warranty terms are covered by the "ISO STANDARD MANUFACTURER'S ONE-YEAR WARRANTY FULL PARTS AND LABOR COVERAGE". CAT Switchgear is not covered by the Caterpillar Warranty Statement for Industrial Engine Products and Electric Power Generation Products. Warranty Verification and Service Assistance The following process should be used, in obtaining guidance for a warranty repair, and also filing for reimbursement. 1. Obtain the following information about the site: a. Dealer Name Parts A limited number of switchgear parts are available in the CAT parts system. These parts should be included in the claim, in the same manner as genset parts. Other parts can be obtained by calling the Product Support Center (866-883-3879). Any non-CAT parts costs should be entered on the claim as a Sublet. Please retain all defective parts for a minimum of 30 days after the Invoice is sent to ISO. You will be notified by the Product Support Center if the parts are to be returned.
05.07 (09/06)
Indicates entire bulletin change
Bulletin No. 5.7
Parts Return Freight Costs Typically, switchgear parts will be requested to be returned, in order to be reprogrammed, not for failure analysis. For example, if a controller needs to be replaced, it must be programmed for that site. Level 2 Qualified dealers can download a program provided by ISO. For dealers that are not Level 2 Qualified, it will typically be faster for ISO to program a controller in stock, and send it to the dealer. The dealer will be requested to return the old one. These freight costs are not reimbursable.
Please note: In the US, expenses that are part of standard factory warranty are not subject to sales tax in any state. The invoice should not include sales tax. B. Serialized Free-Standing Switchgear Below is the process for submitting warranty claims on CAT switchgear, that is identified with a CAT serial number (prefix SWG). Warranty Terms The warranty terms are covered by the "ISO STANDARD MANUFACTURER'S ONE-YEAR WARRANTY FULL PARTS AND LABOR COVERAGE". CAT Switchgear is not covered by the Caterpillar Warranty Statement for Industrial Engine Products and Electric Power Generation Products. Reimbursement Practices Claims should be processed, and will be reimbursed, in accordance with the Warranty Bulletins listed below, except where noted in this bulletin. Industrial/Petroleum/Electric Power/Marine Warranty Expenses Time Limits for Submitting Warranty Claims Instructions for Completing Claims Service Claims Settlement Notice Returned Claims Processing Product Improvement Program (PIP) Bulletin 5.2
Labor Rate Labor hours will be reimbursed according to the Switchgear Time Requirement Guide (TRG). The dealer should use their current approved Caterpillar labor rates, for warranty claims. Claim Filing Instructions After service repair, the following process should be used: 1. Prepare an advance (pro-forma) invoice, with the following detail: a. Labor hours and rate. b. Travel hours and rate. c. Mileage and rate, and number of trips. d. Breakdown of any parts or miscellaneous expenses. 2. Prepare the Service Report with a detailed story of the repair. 3. Fax or EMAIL all documentation to: Fax: 770-442-3869 Attn: Product Support Center EMAIL: helpdesk@isopowerlynx.com 4. An ISO purchase order will be faxed (with verbal confirmation) to the dealer, and should be referenced on the dealer invoice.
Bulletin 9.1
Bulletin 9.3
Bulletin 11.2
Bulletin 11.4 Bulletin 12.1
05.07 (09/06)
Bulletin No. 5.7
Product Support Program (PSP) Parts
Bulletin 12.2
In the claim detail and story, please explain the breakdown of the labor work, so we can accurately understand the total hours claimed. Claim Filing Instructions Claims for warranty repairs on switchgear are to be submitted through the Caterpillar Service Claims System. The instructions for completing the claim are the same as for any Caterpillar engine product. Please assure that the switchgear is properly registered with a delivery date, for any repair that occurs after startup. The serial number of the switchgear should be used, not the serial number of the associated genset. If the CAT Dealer Solution Network was contacted, please include the service request number in the story. If the ISO technical support staff were contacted, please include their names in the story.
A limited number of switchgear parts are available in the CAT parts system. These parts should be included in the claim, in the same manner as genset parts. Other parts can be obtained by calling the Product Support Center (866-883-3879). Any non-CAT parts costs should be entered on the claim as a Sublet. Please retain all defective parts for a minimum of 30 days after the Claim Register Date. You will be notified by the Product Support Center if the parts are to be returned. Parts Return Freight Costs Typically, switchgear parts will be requested to be returned, in order to be reprogrammed, not for failure analysis. For example, if a controller needs to be replaced, it must be programmed for that site. Level 2 Qualified dealers can download a program provided by ISO. For dealers that are not Level 2 Qualified, it will typically be faster for ISO to program a controller in stock, and send it to the dealer. The dealer will be requested to return the old one. These freight costs are not reimbursable. Repair Labor Hours Labor hours will be reimbursed according to the Switchgear Time Requirement Guide (TRG). The dealer should use their current approved Caterpillar labor rates, for warranty claims.
C. Power Module Switchgear Below is the process for submitting warranty claims on CAT switchgear within a CAT power module. Warranty Terms Power modules and power module switchgear are covered by the Caterpillar Limited Warranty for Industrial Engine Products and Electric Power Generation Products.
05.07 (09/06)
Bulletin No. 5.7
Reimbursement Practices Claims should be processed, and will be reimbursed, in accordance with the Warranty Bulletins listed below, except where noted in this bulletin. Industrial/Petroleum/Electric Power/Marine Warranty Expenses Time Limits for Submitting Warranty Claims Instructions for Completing Claims Service Claims Settlement Notice Returned Claims Processing Product Improvement Program (PIP) Product Support Program (PSP) Parts A limited number of switchgear parts are available in the CAT parts system. These parts should be included in the claim, in the same manner as genset parts. Other parts can be obtained by calling the Product Support Center (866-883-3879). Any non-CAT parts costs should be entered on the claim as a Sublet. Bulletin 5.2
Please retain all defective parts for a minimum of 30 days after the Claim Register Date. You will be notified by the Product Support Center if the parts are to be returned. Repair Labor Hours Labor hours will be reimbursed according to the Switchgear Time Requirement Guide (TRG). The dealer should use their current approved Caterpillar labor rates, for warranty claims. In the claim detail and story, please explain the breakdown of the labor work, so we can accurately understand the total hours claimed. Claim Filing Instructions Claims must be filed on the top level power module serial number.
Bulletin 9.1
Bulletin 9.3
Bulletin 11.2
Bulletin 11.4 Bulletin 12.1 Within the claim, list the CAT switchgear serial number (prefix SGR) in the "related serial number" field. This is shown on the CAT serial number sticker on the switchgear, within the Power Module. It cannot be found in the CAT systems. Also list the Switchgear Arrangement Part number (found in as-built consist in TMI) as the Part Causing Failure.
Bulletin 12.2
05.07 (09/06)
Bulletin No. 5.9
SERVICE
WARRANTY BULLETIN
Caterpillar Assembled Power Systems Packaged Products
Packaged Products is the terminology used to describe products produced, packaged and marketed by the Electric Power Division in accordance with a customer order. These "Packaged Products" may include products of other manufacturers as well as Caterpillar products. These products include well fracturing units, power modules, generator sets, pump packages and any other associated components required to complete a customer request. The packaged product is normally a Caterpillar prime product such as a generator set or a power module, but may also include switchgear, ATS, and UPS products. In these instances Packaged Products such as switchgear, ATS, and UPS are identified by either a Caterpillar serial number or an Original Equipment Manufacturer (OEM) specific designation. These Packaged Products will be comprised of either Caterpillar part numbers, OEM part numbers or both. This Warranty Bulletin is considered the primary directive governing the warranty processing for Caterpillar Assembled Power System "Packaged Products". Refer to the applicable Warranty Bulletin for each of these products regarding specific warranty expenses which Caterpillar will and will not reimburse dealers in conjunction with the applicable Caterpillar Limited Warranty Statement for Industrial Engine Products and Electric Power Generation products Worldwide. WARRANTY BULLETIN REFERENCE Warranty Claim Filing Warranty Claim Returns Warranty Claim Settlement Parts Return & Disposition Product Improvement Programs Product Support Programs Industrial/Petroleum/EP/Marine Warranty Expenses Automatic Transfer Switches OEM Switchgear and Panels Uninterruptible Power Supply System Warranty Warranty Warranty Warranty Warranty Warranty Warranty Warranty Warranty Warranty Bulletin Bulletin Bulletin Bulletin Bulletin Bulletin Bulletin Bulletin Bulletin Bulletin 9.3 11.4 11.2 7.1 and 7.3 12.1 12.2 5.2 5.15 5.7 5.13
05.09(02/06)
Indicates Entire Bulletin Changed.
Bulletin No. 5.9
CATERPILLAR SERIALIZED PRIME PRODUCT The prime product is identified by a specific Caterpillar serial number and any failures of parts or components within the prime product should be claimed against the primary serial number. A prime product may include attachments with their own serial numbers: Reference Table 1 regarding product warranty exceptions. CATERPILLAR SERIALIZED EXCEPTION CAT PRODUCT DETAIL BRANDED WARRANTY ADMINISTRATOR SWITCHGEAR & CONTROL PANELS POWER MODULE YES CATERPILLAR ATS YES CATERPILLAR UPS YES CATERPILLAR GENERATOR YES CATERPILLAR XQ ENCLOSURE PACKAGES 20Kw to 500Kw YES CATERPILLAR WELL FRAC PUMP PACKAGES SCHLUMBERGER NO CATERPILLAR TABLE 1 CATERPILLAR BRANDED NON-SERIALIZED PRIME PRODUCT The Caterpillar branded Prime Product without a specific Caterpillar serial number will be identified by a OEM specific designation and any failures of parts or components within this prime product should be claimed against the OEM. Reference Table 2 regarding product warranty breakdown. CATERPILLAR NON-SERIALIZED EXCEPTION PRODUCT SWITCHGEAR GENERATOR GENERATOR DETAIL STAND ALONE KATO BAYLOR CAT BRANDED YES NO NO TABLE 2 OEM BRANDED NO YES YES WARRANTY ADMINISTRATOR ISO KATO BAYLOR
05.09(02/06)
Bulletin No. 5.9
WARRANTY EXCEPTION REPORTING PROCESS- OEM Provide the following minimum information on the product to the OEM warranty administrator: 1. Sales Model 2. Product Serial Number 3. Delivery Date (DDMMMYY) 4. Repair Date 5. Actual Total Man-Hours of Repair 6. OEM Part Causing Failure Part Number 7. OEM Part Causing Failure - Part Name 8. Failure Description 9. Quantity 10. Caterpillar Part Number 11. Root Cause Analysis The warranty administrator for selected OEM's can be reached at: For warranty claims processing for ISO related product please contact the following OEM warranty administrator: 770-442-9442 For warranty claims processing for KATO related product please contact the following OEM warranty administrator: 507-625-4011 For warranty claims processing for BAYLOR related product please contact the following OEM warranty administrator: 281-274-0420 CATERPILLAR SERIALIZED PACKAGED PRODUCT PARTS INFORMATION A Caterpillar Serialized Packaged Product consist is defined by the Engine Shipping Order (ESO) and a packaging arrangement. As part of the packaged serialized product the customer and dealer will have access to a parts manual and/or technical manual through the Caterpillar SIS web. In general, parts and attachments defined in the Engine Shipping Order (ESO) are divided into four types of product support. TYPE 1: STANDARD PRODUCTION: Caterpillar serialized packaged product parts will be warranted as defined on the related warranty statement and as further defined in the specific Caterpillar Service Warranty Bulletin. If the repairing dealer cannot order these parts through the Morton Parts System they must directly contact CATERPILLAR LOGISTICS DIVISION - CUSTOMER SERVICES DIVISION OF CATERPILLAR DISTRIBUTION SERVICES, Parts Technical Department at telephone (800) 566-7782 or by fax number (800) 799-9228 and provide the model, serial number and top level group number (if available). Morton Technical will arrange with the appropriate Product Support Group to have the Caterpillar part number set up in the Morton Part System pending approval of the appropriate Caterpillar engineering group. If the Caterpillar engineering group determines the part is not to be serviced through Morton Parts System, the engineering group will determine the procedure the repairing dealer will have to follow in order to obtain the required parts. NOTE: Some Caterpillar serialized packaged product may contain non-serialized components; refer to Table 2 for warranty process procedure.
05.09(02/06) 3 Indicates Entire Bulletin Changed.
Bulletin No. 5.9
TYPE 2: DTO CUSTOM PARTS: If the DTO Custom part has been Caterpillar part numbered but, is not established as serviceable through the Morton Parts System the dealer must directly contact CATERPILLAR LOGISTICS DIVISION - CUSTOMER SERVICES DIVISION OF CATERPILLAR DISTRIBUTION SERVICES, Parts Technical Department at telephone (800) 566-7782 or by fax number (800) 799-9228 and provide the model, serial number and top level group number (if available). Morton Technical will arrange with the appropriate Product Support Group to have the Caterpillar part number set up in the Morton Part System pending approval of the appropriate Caterpillar engineering group. If the Caterpillar engineering group determines the part is not to be serviced through Morton Parts System, the engineering group will determine the procedure the repairing dealer will have to follow in order to obtain the required parts. NOTE: These parts will be warranted the same as the Type 1 parts. TYPE 3: NON-SPECIALIZED PARTS: Type 3 parts are components which, are readily obtainable from a local supply source as "off-the-shelf" items and will not be Caterpillar part numbered. Type 3 parts will not have a Caterpillar part number, (i.e. wire terminal endings, wiring, piping, conduit, common fasteners, common fuses, etc.) and will not be considered for Caterpillar Warranty. TYPE 4: OEM SPECIFIC: Type 4 parts are Caterpillar part numbered components, which are warranted directly by the component OEM. Type 4 parts will not be considered for Caterpillar Warranty. NOTE: For verification of OEM warranty, contact your appropriate warranty administrator. Refer to Table's 1 and 2. LABOR Caterpillar will reimburse the dealer the labor needed to correct the defect. Labor hours will be reimbursed according to the applicable product Time Requirement Guide (TRG). The allowable labor will be reimbursed at the repairing dealer's appropriate approved warranty labor rate. Labor and travel expenses will be considered for repairs required, as defined in the related warranty statements and as further defined in the Service Warranty Guide.
WARRANTY CLAIM SUBMITTAL

05.09(02/06) 4 Indicates Entire Bulletin Changed.
Bulletin No. 5.9
The Caterpillar Packaged Product is identified by a specific Caterpillar serial number and any eligible warranty failures of parts or components within the Caterpillar Packaged Product must be claimed against the actual specific Caterpillar serial number. The dealer must provide a correctly registered Delivery Date for the specific Caterpillar serial number when submitting a warranty claim. The dealer must provide the Caterpillar Dealer Solution Network Service Request Number (DSN SR Number) if the Caterpillar DSN was contacted for assistance regarding the warranty claim repair. The DSN SR Number is to be referenced in the warranty claim storyboard. PARTS RETURN REQUEST INFORMATION Caterpillar Parts Return Request (PRR) is generated to assist with the failure analysis process in order to determine root cause. Without the failed part, root cause cannot be determined and corrective action cannot be implemented. The dealer must hold in storage, all non-PIP/PSP warranty claim parts for a minimum period of 30 days after the Warranty Claim Paid Date. This date is provided on the Claim Settlement Notice. Non-compliance with the PRR and the following instructions will result in the warranty claim being denied. Parts Return Request Instructions If a Parts Return Request has been issued, the dealer is required to return parts as follows: 1. 2. 3. 4. Parts are required to be returned within 30 days of receipt of the PRR. Parts are to be returned in accordance with instructions of PRR. Parts are required to be properly packaged to prevent handling and /or shipping damage. Include copy of service report.
05.09(02/06)
05.09(02/06)
Bulletin No. 5.10
SERVICE
WARRANTY BULLETIN
Emission Warranty - Industrial/Petroleum/ Electric Power/Marine Engines

Both the United States Environmental Protection Agency (EPA) and the California Air Resources Board (CARB) have regulations to keep highway vehicles within prescribed exhaust emission limits for the useful life of the engine. The useful life period for purposes of Emission Defect Warranty and Emission Performance Warranty is 5 years or 3,000 hours of operation, whichever occurs first. Caterpillar Emission Warranty information is provided in two separate supplements, which are: California and Federal Emissions Control Warranty Information, Form SEBU 6981-02. Federal Emissions Control Warranty Information, Form SEBU 7066-01. These two Emission Warranty Supplements are identical in coverage and responsibility. The only difference is the California Air Resources Board (CARB) requires more written detail as to what the Emission Warranty includes. Even though the Emission Warranty Supplement for the Environmental Protection Agency (EPA) has different wording and less detail than the Emission Warranty Supplement for CARB, Caterpillar administers both Emission Warranty Supplements the same.
The Emission Warranty Applies If:

The engine is operating in the United States or Canada, and The engine is less than 5 years old or 3,000 hours of operation, whichever occurs first, and
The failure is due to a defect in material or workmanship of a Caterpillar part or a Caterpillar-approved part of an emission-related component. The failed unit must be disassembled enough to determine the cause of the failure, in the same manner as is required under Industrial/Petroleum/EP/ Marine Engine Warranty. A new engine fails while still under Emission Warranty and is replaced by a Remanufactured engine, the Remanufactured engine is covered by the remainder of the Emission Warranty on the original engine. Under any other circumstances, Emission Warranty does not apply to Remanufactured engines. Emission-related parts or components that are replaced under New Engine Warranty or Emission Warranty are covered by the Emission Warranty for the remaining warranty period of the original part or component.
At present, Canada does not have its own emission warranty regulations, but expects manufacturers of on-highway vehicle engines sold in Canada to provide the same emission warranty coverage as required by the United States Environmental Protection Agency. Thus, Caterpillar Emission Warranty also applies to Industrial/Petroleum/EP/ Marine engines registered in Canada.
05.10 (10/01)
Indicates change.
Bulletin No. 5.10
Emission-Related Caterpillar Components Covered Under Emission Warranty
Exhaust Smoke
When an exhaust smoke problem is caused by an emission-related component that is covered by Emission Warranty, the smoke problem repair will be covered under Emission Warranty. Emission-related component failures do not have to have a smoke related symptom to qualify for coverage under Emission Warranty.
Emission Warranty covers the following: Fuel Injection System Fuel System Electronic Controls (If Equipped) Turbocharger System Intake Manifold Air/Fuel Ratio Control System Positive Crankcase Ventilation (PCV) Valve (If equipped) Catalytic Converter The following are examples of parts under these systems/controls that could qualify: Fuel Injection System Injectors/Nozzles Fuel Pump Camshaft Engine Camshaft (Unit Injector Engines) Fuel Cam Followers/Lifters Timing Advance Fuel Injection Lines Fuel System Electronic Controls Electronic Control Module Electronic Unit Injectors Throttle Position Sensor Rack Solenoid Transducer Module Engine Speed Sensor Timing Position Sensor Timing Solenoid Caterpillar Supplied Wiring Harness Turbocharger System Turbine Wheels Turbo Housings Hoses Clamps Piping Intake Manifold Gasket Air/Fuel Ratio Control System Valve Assembly/Valves Diaphragm PCV Valve (3208 N/A only) Diaphragm Spring
Fuel Leaks
When a fuel leak is caused by an emission-related component that is covered by Emission Warranty, the fuel leak repair will be covered under Emission Warranty.
Expenses Associated With Emission-Related Components

All expenses associated with failed emission-related components will be reimbursed according to Industrial/Petroleum/EP/Marine Engine Warranty guidelines. This includes labor during normal working hours required to make the warranty repair, including labor to diagnose and labor to remove and install the engine, if necessary. Towing/hauling is not reimbursable under the terms of Emission Warranty.
Does Failure To Exchange Components Affect Coverage?

A claim cannot be denied because the user had not exchanged the fuel nozzle/injector and/or turbocharger at the recommended intervals, as the EPA does not consider this necessary to assure compliance with emissions standards.
Engines Exceeding Emission Standards

Proof that an engine is exceeding emission standards does not automatically mean a defect exists. It must be shown that the failed Caterpillar emission related component was the result of a defect in material or workmanship, and not the result of an accident, incorrect maintenance, or misuse.
Indicates change.
0510 (10/01)
Bulletin No. 5.10
Additional Emission Warranty Factors:

The vehicle owner may obtain routine maintenance, repairs, and other non-warranty work at any repair facility or may perform the work himself. Such non-warranty work need not be performed by an authorized Caterpillar source in order for the Emission Warranty to remain in force. Non-genuine Caterpillar emission related components may be used for maintenance or repairs. The owner should ensure that such parts are equivalent in design and durability to genuine Caterpillar parts. Use of non-genuine Caterpillar parts does not invalidate the Caterpillar Emission Warranty. However, Caterpillar is not liable for a subsequent failure caused by a defect in a non-genuine Caterpillar part. The user may ask, in writing, for the reasons for a claim denial and may appeal the decision. The dealer is encouraged to obtain assistance from Caterpillar in such cases. The anti-tampering provision of the Clean Air Act continues to apply. It is illegal for a dealer or commercial mechanic to disconnect or tamper with any emission control component or to put the engine into an uncertified configuration. Caterpillar warrants to the initial user and each subsequent user that such engines sold by Caterpillar conform at the time of sale with the applicable emission regulations at the time of manufacture and are subject to the terms and conditions of the Emission Warranty as stated in Supplements, Form SEBU6981-02 and SEBU7066-01.
During the term of Emission Warranty, Caterpillar, through an authorized dealer, will provide new, Remanufactured, or repaired parts and/or components, at Caterpillars option, including all other engine components damaged as a result of the failure of a defective engine emission part, at no charge to the engine owner. The user is encouraged to keep adequate maintenance records, but the absence of such, will not invalidate this warranty. A claim cannot be denied because an emergency emission warranty repair was made by an unauthorized Caterpillar source. If an authorized Caterpillar service facility is not available in the event of an emergency, warranty service may be performed by an individual or automotive repair establishment (parts must be certified pursuant to EPA regulations). A part not being available within 30 days or a repair not being completed within 30 days constitutes an emergency. Caterpillar will reimburse the user for the cost of the parts used as is covered under the Emission Warranty up to an amount equal to Caterpillars suggested consumer list (C/L) price, and labor charged based on Caterpillars recommended time allowance for the warranty repair at the customary hourly rate in that geographic area. As a condition of reimbursement, replaced parts and receipted invoices must be presented at a place of business of a Caterpillar dealer or other establishment authorized by Caterpillar.
LELGQ8287-01 (10/01)
Bulletin No. 5.10
0510 (10/01)
Bulletin No. 5.11
SERVICE
WARRANTY BULLETIN
Warranty Practices Guideline for Caterpillar Product Built by Caterpillar Motoren Known as CM Product
1- Introduction
Caterpillar Motoren GmbH & Co. KG ("Caterpillar Motoren), a manufacturer of medium speed engines, is part of the Caterpillar Inc. family. Caterpillar Motoren currently produces engine product, known as CM Product for use in petroleum and electric power generation applications. Caterpillar Motoren also produces engines branded as MaK for marine applications that are not covered by this guideline. This Guideline does not cover CM Products applied in petroleum applications, either. Caterpillar Power Generation Systems (CPGS) (which shall either mean the respective business division of Cat Motoren or CPGS LLC., as applicable) designs and provides balance of plant equipment for power plants. CPGS will administer warranty for these CM Products and CPGS supplied Balance of Plant Equipment (BOP). This guideline addresses the uniqueness of warranty administration for the CM Product, providing the necessary information for CPGS Dealers to submit warranty claims to CPGS Kiel when necessary. Dealer in the sense of this Guideline is an entity appointed by CPGS to carry out service and repairs pursuant to the terms of an independent services and parts representative agreement during the validity thereof. Dealers are recommended to work with the customer to provide the service and tooling needed for the execution of all maintenance and warranty repairs as required.
2-Warranty Identification
Cause Of Failure Determination
Dealers must use special care to establish that warranty is involved before submitting a warranty notification. Failed iron should be disassembled enough to determine the cause of the failure. When handling balance of plant equipment, it is important to confirm if it was supplied by CPGS. Dealers who fail to establish the cause of the failure for a warranty claim repair risk having their warranty claim denied by CPGS.
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Labor for inspection / diagnosis will be reimbursed if the failure is determined to be a warrantable repair and if claimed as a separate labor segment. The warranty claim must have sufficient comments to indicate the cause of the failure and the extent of damage.
use of non-Caterpillar manufactured auxiliary devices, accessories, or consumables is received from them.
Preventive Repairs Initiated By Dealer

Occasionally, a Dealer will change parts on an engine to prevent a failure in the future. Such a decision is based on field experience, knowledge, or availability of improved parts. These preventive repairs are not reimbursed under warranty, because no failure occurred. Dealers will be informed of authorized replacements by service letter, claim authorization, or by individual correspondence with their administering CPGS service department.
Balance of Plant not supplied by CPGS

Other original equipment manufacturers, (OEM) may supply balance of plant equipment directly to the customer, to be used in the same installation, or directly connected to the CM engines. CPGS Warranty does not cover these components. The Dealer must determine who has the warranty responsibility for the component which caused the failure, whether CPGS or the OEM who supplied the balance of plant. If it is determined that the engine failure was caused by an OEM supplied component or workmanship, the local OEMs Dealer must be contacted on how to proceed with the repair. Claims for such repairs cannot be submitted to CPGS.
3- Claimable Expenses New CM Engines and CPGS Supplied Balance of Plant

The following are expenses that can be associated with a warranty repair. Included under each of these expenses are what CPGS will or will not reimburse Dealers under CPGS Warranty.
Aftermarket Products Used On Caterpillar Motoren Engines.

CPGS warranty is not affected simply because auxiliary devices, accessories, and consumables (filters, oil, additives, catalysts, etc.) made, furnished or supplied by other manufacturers are used on Caterpillar Motoren CM engines. The CPGS warranty continues to cover defects caused by Caterpillar Motorens material quality or workmanship. Failures resulting from the installation or usage of auxiliary devices, accessories, or consumables are not Caterpillar Motoren factory defects and therefore are not covered by CPGS Warranty. CPGS is not in a position to evaluate the many auxiliary devices, accessories and consumables promoted by other manufacturers and their effect on CPGS products. Installation or use of such items is at the discretion of the customer who assumes all risks for the effects resulting from their usage. This position should be made clear to customers/owners of CPGS equipment whenever a proposal or inquiry concerning the
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CPGS Supplied Balance Of Plant Equipment

CPGS BOP equipment is the terminology used to describe products of other manufacturers purchased and packaged by CPGS in accordance with a customer order. These products include couplings, generators, gears and pumps arrangements, exhaust gas components, heat exchangers, fuel treatment systems, lube oil treatment systems, cooling water components, switchboard and any other associated components required to complete a customer request.
Parts
CM parts and CPGS supplied BOP parts damaged as a result of a warranty failure can be claimed at dealer net for reimbursement from CPGS using the format as in Exhibits A & B.
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NOTICE Non-CPGS supplied equipment parts that are damaged, are not covered under CPGS Warranty. Requests for CPGS participation of damaged non-CPGS supplied equipment parts should be directed to CPGS for further technical and legal evaluation. Parts reimbursement includes only those CPGS parts needed to restore the product to its operating condition just prior to the warranty repair. It does not include reimbursement for parts to restore the product to a like-new condition. Materials and consumables not sold by CPGS will be reimbursed at the repairing Dealers acquisition cost. No dealer mark-up is claimable by Dealers in the above situations.
Labor Rate
Allowable labor will be reimbursed at the repairing Dealers appropriate approved warranty labor rates. When field labor rates apply, it should be so indicated in the claim story.
Overtime Labor
Warranty service performed outside normal working hours will generally be reimbursed at the Dealers labor rate for normal working hours. Overtime labor rate will only be paid in the following repair situations: When a field service repair is less expensive to continue working after regular working hours than to have the serviceman return the following day. When overtime is authorized in advance by CPGS. For the above repair situations, the reason for claiming the overtime labor rate should be included in the claim story.
NOTICE Parts replaced under CPGS Warranty are warranted only for the remainder of the warranty period of the prime product. The warranty on any such replacement parts ceases when the original warranty expires, regardless of how many times or when the parts were replaced during the product warranty period. Parts warranty does not apply in such cases. Deviations from this general rule as consequence of provisions in the relevant contract must be previously confirmed by CPGS.
Freight Charges
Premium freight (air or surface) expenses from CPGS to the Dealer for parts needed to expedite warranty repairs are reimbursable, if the parts were not available from the Dealers stock. In such cases, the claim story should include the reason for expediting the parts delivery and the date of the order.
Repair Labor Hours

CPGS will reimburse the Dealer the labor needed to correct the defect. Labor hours will be reimbursed according to actual reasonable times at the labor rate shown below. Labor hours in excess of reasonable times must be explained in the claim story. When a difficult installation adversely affects the labor hours, photographs of the engine installation should be kept on file in case CPGS requests further justification for the additional labor. Labor needed to salvage or replace non-CPGS supplied equipment parts or to remove and install hatches, sheet metal, grates, enclosures, ladders, is reimbursable only if such labor was performed with the prior permission from CPGS. 3
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Travel Expenses
Reasonable travel time and mileage are reimbursable at the Dealers approved warranty rate. Meals, lodging, tolls, etc. are reimbursable at the Dealers actual cost. Air travel time and fares, ferry travel time and fares, and waiting times are not claimable expenses. Expected excessive travel expenses must be agreed with CPGS in advance. Note: Travel mileage expenses will be reimbursed for the distance from the nearest Dealer branch store to the job site.
Equipment Use Fees Special fees or additional charges, such as boroscope use fee, vibration analysis equipment fee, crane rental as well as
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communication expenses associated with the use of equipment for testing and/or repairing CM products are not reimbursable, unless specifically agreed with CPGS. Environmental Fees
The cost to dispose of hazardous waste is allowed as an itemized expense on warranty claims after acceptance from CPGS.
the related warranty statement and as further defined in this guideline. Type 2: Balance of Plant parts will be supported by CPGS. Dealers should submit their orders through the CPGS After Services e-mail, cpgs_customer_service@cat.com or any other communication path outlined by CPGS. In emergency situations, original parts can be purchased locally if this will substantially reduce the delivery time. Warranty claims should be filled as further defined in this guideline, with attention to the inclusion of the replacement component invoice reference. In case parts were acquired locally, the warranty claim must include justification for the decision. Type 3: Parts that have no part number, such as brackets, wiring, piping, etc. that have to be obtained on a local level or fabricated, are, the customers responsibility and will not be considered for CPGS warranty. There are also instances where components, which are part of the balance of plant, are warranted directly by their respective manufacturers. Refer to specific instruction on how to handle warranty on such components.
Service Items
Oil, filters, antifreeze, coolant conditioner, and other service items made unusable by the warranty failure due to contamination are claimable at the Dealers acquisition cost. Service items not contaminated by the failure and those replaced in the normal course of a repair are not claimable.
Shop Supplies
Consumable parts items will be reimbursed when claimed as an itemized expense at the Dealers acquisition cost.
Sublet Repairs
Expenses for CPGS component repairs performed by an outside repair shop are allowable, if the expense is justified and reasonable. Such expenses will be reimbursed at the Dealers acquisition cost. Examples of these repairs are radiator repairs, generator rewinding, crankshaft polishing, connecting rod reconditioning, cylinder head milling or cylinder block sleeving. It is the Dealers responsibility to ensure that invoice charges from outside repair shops are fair and reasonable to guarantee CPGS reimbursement. Sublet repair shall be specifically agreed with CPGS in advance.
4- Claimable Expenses New and Remanufactured (REMAN) CM Parts

(Prime Product Outside Warranty Period) Warranty Period
New and remanufactured parts (REMAN) for Electric Power products are warranted by CPGS for a period of twelve months from delivery to customer, however, not in excess of fifteen months from delivery to the Dealer, according to the general sale and delivery conditions. If a part or component covered by warranty fails within its warranty period, the warranty on its replacement is limited to the remainder of the original period. For example, if a replacement part fails after four months, the warranty period for the new replacement part will be limited to the remaining eight months. All exceptions shall be agreed with CPGS before expiration of the parts warranty. 4
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CPGS BOP Parts Information

As part of the CPGS supplied balance of plant, the customer and Dealer will be provided with a technical manual covering the consists of the equipment. In general, parts and attachments defined in the packaging arrangement are divided into three types of product support. Type 1: Parts with CM part numbers will be supported through the Caterpillar Motoren parts system. Parts will be warranted as defined on
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New CM Parts Reimbursement

CPGS will reimburse the Dealer 100% for the failed replacement part at current dealer net price for Dealers authorized for this type of repair. Parts reimbursement includes only those CPGS parts needed to restore the product to its operating condition just prior to the warranty repair. It does not include reimbursement for parts to restore the product to a like-new condition. Complete serial numbered attachments will be reimbursed at the dealer net price. Materials and consumables not sold by CPGS will be reimbursed at the Dealers acquisition cost. No dealer mark-up is claimable by Dealers in the above situations. NOTICE CPGS recommends that the parts sales invoice include the customer name and the engine serial number. Parts not supplied by CPGS that are damaged, are not covered under this Parts Warranty. Requests for Caterpillar Motoren or CPGS participation of damaged non-CPGS parts should be directed to the dealers CPGS District Office for further technical and legal evaluation.
Freight Charges
Freight (premium, common carrier or dealer shuttle) expenses from a CPGS parts distribution center to the Dealer for parts needed to expedite warranty repairs are not reimbursable.
Travel Expenses
Travel expenses such as travel time, mileage, meals, lodging, and tolls are not reimbursable under parts warranty.
5 Claim Filing Instructions

Warranty claims for CM product should be submitted to: Caterpillar Power Generation Systems, (A Division of Caterpillar Motoren GmbH & Co. KG) Falckensteiner Strasse 2, D-24159 Kiel, Germany. Att: Dept CA 42. The following process should be followed when submitting a warranty claim. 1. Determine if it is a warrantable problem and what parts will be required to complete the repair. 2. If it is warrantable, then notify CPGS of the problem using the warranty notification form, Exhibit A. 3. Ensure all of the relevant information on the form is filled in correctly as any incorrect information may result in the claim being rejected. 4. Along with the warranty notification, please send a purchase order, under warranty reservation, Exhibit B, for the parts to be used in the repair. 5. The form and order can be emailed to CPGS_customer_service@cat.com or faxed to +49 431 3995 4900. 6. A return email will confirm or reject the claim. 7. If confirmed, proceed with the repair. 8. Once the repair is completed send a commercial invoice to CPGS Kiel for payment. 9. If the claim is rejected, or is determined at the outset not to be warrantable, explain to the customer that the required 5
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Repair Labor Hours

Labor is not reimbursable, except for salvage labor. All other labor including removal, installation, disassembly, and assembly of parts is the responsibility of the repairing Dealer or customer.
Overtime Labor
Under Parts Warranty, CPGS will not reimburse any labor at the Dealers overtime-labor rate. Any warranty service performed outside normal working hours will be reimbursed at the Dealers labor rate for normal working hours.
Service Letters
Parts replaced under published service letters, PIP's or PSP's are not covered by parts warranty, unless under a prorated settlement in which the customer paid at least 25% of the claimable expenses.
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repair will be chargeable and request a purchase order.
6 - Repair Guidelines
CPGS warranties provide for new, remanufactured, or repaired parts and/or assembled components, whichever CPGS elects, in place of the defective part. This election is based on which is the most economical method for repair consistent with contractual commitments as well as equal value to the customer. The following are guidelines for repair or replace.
Use Of CM Remanufactured Exchange Components

When CM remanufactured components exist, they are the preferred source for exchange components, provided the contract with the customer permits application or the customer consents thereto. The use of rebuilt exchange components from sources other than officially authorized by CPGS is not permitted NOTICE. CPGS will assume normal warranty responsibility only for CPGS supplied parts used during the Dealer repair.
Repair
Individual parts should be repaired, if this is in accordance with the relevant contract and the repair can be expected to restore the product to its operating condition just prior to the warranty repair and if the repair cost is less than a new or remanufactured part. It does not include restoring the product to a like-new condition.
Engine Performance Complaints. Low Performance

CPGS and / or Dealer participation for investigating engine low performance complaints is subject to the terms of the warranty. For CPGS to approve repairs, it must be established and documented that a CPGS warrantable defect caused improper performance or a malfunction. The customer must be informed, prior to the start of any diagnostic work that he will be charged for the service work if no warrantable defect can be found. Where applicable, the customer must be made aware that normal maintenance and operation, as noted in the operation and maintenance guide, are his responsibility.
Replace
When replacement of a part or component is less costly than repairing, or any of the other conditions required for repair is not met, the Dealer must replace it. NOTICE. If an engine, large part or assembly group requires replacement, prior CPGS approval is required. Dealers must contact their CPGS District Office for approval. The claim story should then include the name of the CPGS person who authorized the replacement. If the Customer / Dealer elects to replace a complete assembly rather than repair, the warranty claim must list the parts and labor which would have been required to repair the failed assembly. The reason for replacing the complete assembly must be documented and explained in the claim story.
Excessive Engine Oil Consumption

Verification of oil use is required before any warranty repair for excessive oil consumption is performed. When a user contacts a Dealer and registers a complaint about excessive oil use, the Dealer must request that the user substantiate the oil consumption. The Dealer or user must complete an oil consumption test report, required to substantiate warranty claims. Prior to completing an oil consumption test report, the Dealer should: Inspect the engine to determine if the complaint is the result of some external problem (like purifiers, automatic filter, etc.). Question the user to determine that there is nothing unusual about his particular application that could cause high oil consumption.
Parts Salvage
If a part can be satisfactorily repaired for less cost than a new or remanufactured part, then the labor associated with the salvage of this part is reimbursable. Dealers must contact CPGS for approval prior to starting the salvage work.
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7 - Removed Warranty Claim Parts Disposition and Parts Return Requests

CPGS may require parts removed during warranty repairs, as well as defective parts from stock to be returned for inspection.
Use protective caps and plugs on fuel injection nozzles and injectors.
Storage of Held Warranty Claim Parts

In some cases, CPGS may request additional information, photographs, or the return of held warranty claim parts. Removed warranty claim parts that must be retained, should be systematically stored in a secured and limited access area. Good control of held warranty claim parts will allow Dealers to promptly respond to requests, or to promptly dispose of parts not requested for return, thereby, minimizing the Dealers cost.
Retention Schedule For Removed Warranty Claim Parts

The following is the time schedule for CPGS product that Dealers must retain removed warranty claim parts, for possible shipment to Caterpillar Motoren For all warranty claim parts, the Dealer must hold them in storage for a minimum of 90 days after the claim submission, for possible parts return authorization by CPGS. If no parts return authorization is received in the 90-day hold period, the removed warranty claim parts should be rendered useless and scrapped by the Dealer.
Parts Return Request Notification

CPGS will scan warranty claims promptly after receipt for compliance with basic and special requirements, and to determine if CPGS will require parts to be returned on its expense. When removed warranty claim parts and cores are requested for return, the Dealer will be notified by the current part return authorization method in use for all other CPGS products.
Mark Defects and Identify Held Warranty Claim Parts and Cores
On the parts, highlight defects such as cracks, sand holes, porous castings, defective welds, brazes, etc. Felt marking pens, metal dye, or fluorescent paint from a spray can are excellent ways to mark the material. The identifying mark should encircle the defect rather than cover or fill it. Failure to comply with this request, may result in returned parts being scrapped and / or claim credit being denied.
Disposition Of Returned Parts

Dealers can request that the parts be returned to them, only if the requested parts were either: Not involved in a service claim at all, or Involved in a service claim that was nonallowed. If a Dealer wants the parts returned to them in either of these two situations, the Dealer must notify CPGS at the time of issuing the warranty claim.
Protect Held Warranty Claim Parts Against Damage

All removed parts that are being held must be protected against damage. Until the claim is paid, the Dealer owns these parts. Parts shall not be cleaned, but protected from the elements by means not destroying evidence of the failure (e.g. oil paper). Engine crankshaft main and connecting rod bearings must be marked according to cylinder number and taped together in sequential order. Note: Please consider sequence, cylinder No 1 is at the flywheel end. All components that are disassembled for determining cause of failure must be reassembled for storage. Bolts and nuts only need to be finger tight. 7
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Non-Allowed / Debited Claims Resulting From Parts Not Returned

If the requested parts are not returned to CPGS within 90 days after issuance of a parts return authorization, any associated service claims will be either partially or totally non-allowed depending on the specifics of the service claim. In such cases, any parts received by CPGS after this action, will not be considered for warranty. Such parts will be returned automatically to the Dealer via collect freight. Any subsequent claims for partially or totally non-allowed claims due to requested parts not being returned, will not be considered for warranty. Whenever possible, warranty claims will continue to be processed and credited, even though warranty parts returns have been
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requested. However, CPGS retains the option of debiting Dealers for warranty claim credit previously paid. The following are examples of when debits may be issued as a result of warranty parts returns: Parts not returned per CPGS request within 90 days after issuance of the parts return authorization. Assemblies that should have been rebuilt. Parts inspection indicates failure not CPGS responsibility. Parts replacement not justified. Parts not returned to the designated location identified on the parts return authorization. Incomplete information on the parts return authorization.
Opening Work Order Documentation

The work order must be opened prior to the expiration of the warranty period and must indicate date failure occurred, the customer complaint(s), product serial number, and the delivery date or parts start date.
Previous Repair Invoice

A previous customer invoice or a previous revenue work order must document warranty for parts. The Dealer should verify the part causing failure was the part installed during the previous repair. The documentation must show the date of previous repair or customer purchase, and the parts installed in the previous repair. CPGS recommends that the parts sales invoice include the customer name, and the engine serial number.
Contesting Debited Claims Of Parts Not Received As Requested

When a Dealer receives debit for parts not returned to CPGS and the Dealer maintains that the parts were properly shipped, the Dealer may file a supplemental claim verifying the actual shipment. A copy of the signed freight bill and packing list showing the claim number, along with the requested part number that has been returned must be faxed to the appropriate analyst who was responsible for the debit.
Outside Purchase Invoices

When claiming for outside work, material, or services purchased for a warranty repair, the suppliers invoice must be retained on file. The invoice must show actual cost to the Dealer, and be reasonably detailed.
Customer Credit Documentation

An invoice or job summary charging the repair to a warranty account, or an invoice to the customer showing a credit, is required for all warranty repairs prior to claiming.
8 - Documentation For Warranty Claims And Audit

Documentation for warranty claim information must be readily available in the Dealers file for auditing purposes. CPGS may periodically request any of the following documentation for up to one year from the settlement date.
9 - Time Limits For Submitting Warranty Claims

CPGS must receive warranty claims for repairs performed by Dealers within 90 days of the repair date shown on the warranty claim. The repair date shown on the warranty claim is to be the last day worked on the repair. Any claims submitted later than 90 days but before 180 days from the date of repair will be reduced by an amount equal to 10% of what otherwise would have been eligible. Any claims over 180 days from the date of repair will not be processed.
Repair Documentation
All claimed items must be documented by work orders, service reports, parts requisitions, job cards, outside purchase invoices, and / or a job summary. Dates of the repair labor performed must be available. When applicable, all cylinder liner and cylinder block wear measurements must be recorded and retained on file. For engine performance repairs, the engine fuel system setting information must be recorded and retained on file.
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10 - Claim Filing Instructions for Unique Claims

Service Goodwill Claim
Authorized service Goodwill claims are for reimbursement of repair expenses that go beyond the stated warranty period, or are not included in standard warranty practices. Goodwill authorization must be obtained from CPGS , which will also supply the details on the codes to be used in the claim. No indication of a possible Goodwill solution shall be made before the customer pending receipt of authorization from CPGS. The reimbursable expenses detail must include, when possible, a breakdown of expenses CPGS is paying for, rather than a combined total euro amount. The customer credit field must indicate the percentage of agreed upon participation. If a numeric code is given for the claim authorization No. by CPGS, it must be entered in the claim auth. No. and the approvers name listed in the claim story. Leave the claim auth. No. field blank, if any other type of authorization number is given. The Goodwill code obtained from CPGS must be entered in the Goodwill code field. The claim story must indicate what CPGS / Customer / Dealer are each paying for, the CPGS approvers name and authorization code, and why CPGS is participating.
PSPs are programs established by CPGS to provide consistent technical and financial support for certain problems that occur in the life of a product. Product Support Programs (PSP's) are usually announced in Service Letters like Product Improvement Programs (PIP's). PIP/PSP/Service letter claim parts that are replaced under a Product Improvement Program (PIP) or Product Support Program (PSP) or other Service letter shall be returned to Caterpillar Motoren, unless the specific Service Letter indicates that they are to be rendered useless and scrapped at the completion of the repair. NOTICE Service Letters, PIP and/or PSP documents should not be copied or provided to customers. These documents are for dealer internal use only. There are three types of Product Improvement Programs (PIP's), which are: 1. A Safety PIP, is a program established to eliminate a suspected safety hazard. Safety PIP's must be given immediate attention and be completed as soon as possible. A safety PIP has no termination date. 2. A Priority PIP, is a program established to eliminate potentially costly failures. Such programs require immediate attention and must be completed as soon as possible. A Priority PIP will have a completion date and a termination date. If a Priority PIP is completed by the completion date, CPGS will participate in the repair of the resultant damage. This means CPGS will: Reimburse the Dealer for parts and labor as specified in the Service Letter announcing the PIP, plus Reimburse the Dealer for additional CPGS parts and components discovered damaged as a result of the PIP problem at the time of intervention. If a Priority PIP is completed after the completion date but before the termination date, CPGSs participation will be limited to the cost of the PIP as outlined in the Service Letter. 3. A Parts Stock or Dealer Tool PIP, is a program established to remove suspect parts 9
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11- Service Letters; Product Improvement Program (PIP); Product Support Program (PSP)
Service letters can be issued by CPGS in connection with Product Improvement Programs (PIP's), Product Support Programs (PSP's) or otherwise. PIP's are programs established by CPGS, to repair or replace parts or assembled components. Dealers are informed of a Product Improvement Program (PIP) by a CPGS issued Service Letter or by individual correspondence from their CPGS Product Support organization. PIP's are not necessarily explicitly named as such; thus the following terms apply wherever the purpose of a service letter is in accordance with the below mentioned definitions.
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from Dealers part stock. The termination date is three months after the date of the Service Letter.
Dealer PIP Completion Responsibility

For Safety and Priority PIP's, it is the responsibility of each Dealer to schedule and rework all products involved in the PIP as soon as possible. For Parts Stock it is the responsibility of each Dealer to remove suspect parts from stock. Removal or rework of parts stock may also be part of a Safety or Priority PIP.
A detailed description of the rework is not required in the Claim Story to substantiate the PIP claim. The PIP Reference Number and the so-called CPGS respectively KEC claim number will provide CPGS with enough detail to substantiate a PIP Service Claim. Only the following items, when involved in a Safety or Priority PIP, require a detailed explanation of each in the Claim Story: Resultant Damaged CPGS Parts all resultant damaged CPGS parts that are damaged as a result of the PIP problem at the time of intervention must be identified in the Claim Story along with a brief explanation of the damage. Overtime Labor - is only reimbursable when a field service repair is less expensive to continue working after regular working hours than to have the serviceman return the following day. The reason for the overtime labor rate should be included in the Claim Story. Meals and Lodging - will be reimbursed if these expenses are less costly than travel to and from the repair site. An invoice or receipt of those charges must be retained on file. The reason for meals and lodging must be included in the Claim Story. Premium Freight Charges - for air or surface freight are reimbursable only if the parts are not available from the Dealer or the CPGS Dealers primary servicing parts distribution center. In such cases, the Claim Story should include the reason for expediting the parts delivery, the date of the order, and the location of the parts distribution center from which the part was shipped. An invoice for the freight charge must be retained on file. CPGS Emergency Service Charges for handling emergency parts orders are reimbursable only if necessary. In such cases, an explanation must be included in the Claim Story as to why the service charge was needed. An invoice for the service charge must be retained on file. Service Items - such as lubricants, filters, antifreeze, etc. that are made unusable due to the PIP repair, must be explained in the Claim Story as to why the item is being claimed. Outside Expenses - are reimbursable at invoice cost when reasonable and justified. In such cases, an explanation must be included in the Claim Story as to why the outside expense was needed. An invoice for the outside expense must be retained on file. Whenever possible, 10
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Dealer Inability To Complete A PIP Rework

If a Dealer finds that a product either has already had a PIP performed or does not need the PIP, the Dealer must inform CPGS accordingly. In such cases, the Dealer must send an appropriate explanation that clearly shows: PIP Not Needed. If a product has been scrapped or is permanently out-of-service, Dealers should notify their CPGS Office have the product declared permanently out-of-service. If a customer refuses to allow the Dealer to perform a PIP on a product, the Dealer should send the customer a registered letter outlining the PIP repair. After 30 days, the Dealer must call the customer and offer to perform the PIP. If the Dealers offer is refused, the Dealer must note the individuals name, the date, and response comments on the Dealers copy of the registered letter. The Dealer must send a copy of the registered letter to either their CPGS Office Marketing requesting that the product serial number involved be put on the Customer Refusal List.
Owner Notification Of Safety/Priority PIP's

For Safety and Priority PIP's, CPGS will notify customers by mail. The notice will provide the following information to customers: A clear description of the product problem. A clear description of the possible malfunction. The consequences of the malfunction. The corrective action to be taken. The estimated labor time for the correction.
PIP Claiming Procedure

Unless the Service Letter gives instructions to the contrary, a separate PIP Service Claim must be completed for each repair accomplished.
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Service Claim Allowances will be explained with a chart in the Service Letter.
12 - Product Support Programs (PSP's)

Since customers have received part of the intended value of the product, a PSP may provide for partial participation by CPGS and suggest a sharing of the remainder of the PSP cost between Dealers and customers. When a Dealer feels that the identified product problem may be detrimental to the reputation of the product, the Dealer may administer the PSP. NOTICE Some PSP's include instructions for parts stock action. Prompt action on the parts stock, according to the instructions in the Service Letter, is mandatory. There are three types of Product Support Programs (PSP), which are: A Before or After Failure PSP - provides technical and financial support for repairs performed either before or after a failure. Dealers must decide when or if to apply the program, based on each customers application, product population, and value received. An After-Failure Only PSP - can provide a similar type of support as a Before or AfterFailure PSP, except it may be administered only after a failure. Containment PSPs - are an After-Failure Only PSP that have no known correction for an identified product problem, but do provide financial support to the Dealer and/or customer. Such PSPs allow Dealers to only perform the PSP repair at the time a failure occurs, which was caused by the identified PSP problem. For these PSPs CPGS will not have any updated parts or components in the parts system for replacement. For a PSP that was performed after a failure, CPGS will reimburse Dealers for any resultant damaged CPGS parts according to the age and hour allowance of the Service Letter, unless the Service Letter states otherwise.
If no specific repairs hours are given in the Service Letter, then the needed repair hours shown in the Engine Service Manual for the same respective repair will be those reimbursed. If the repair time exceeds the times given, then a detailed repair report will have to be submitted to justify the claim for extra repair hours.
PSP Claiming Procedures

Unless the Service Letter gives instructions to the contrary, a separate PSP Service Claim must be completed for each repair accomplished. For before-failure PSP's, a detailed description of the rework is not required in the Claim Story to substantiate the PSP claim. The PSP Reference Number, the so called CPGS respectively KEC claim number and the Product Hours will provide CPGS with enough detail to substantiate a before-failure PSP Service Claim. The Product Hours must be entered on after/ld/failure PSP claims, because the PSP may be prorated based on engine hours. For PSP's that are performed after a failure, the following items, when applicable, require a detailed explanation of each in the Claim Story. Resultant Damaged CPGS Parts needed to complete the PSP repair, must be identified in the Claim Story along with a brief explanation of the failure. Premium Freight Charges - Air or surface freight will be reimbursed only if necessary on after-failure repairs within the normal warranty period if the parts are not available from the Dealer or the CPGS Dealers primary servicing parts distribution center. In such cases, the Claim Story should include the reason for expediting the parts delivery, the date of the order, and the location of the parts distribution center from which the part was shipped. An invoice for the freight charge must be retained on file. Meals/Lodging - will be reimbursed at invoice cost without mark up only on after failure repairs within the standard warranty period or if agreed in the PSP Service Letter.
11
Bulletin No. 5.11
EXIHIBIT A
WARRANTY NOTIFICATION (DAMAGE REPORT)
FOR CM ENGINES
TO:
FROM:
Phone: Fax: E-Mail:
Person in charge:
CPGS
Kiel /Germany
Work Order
POWER STATION
Engine No.
Delivery of spare parts Yes / No
Engine type
Service required Yes / No
Engine start of operation

Failure corrected by the team of PS. Yes / No
End of warranty
Further action required Yes / No
Claim No.
Required action
Failure already advised by phone Yes / No
Failure or damage description (If possible/helpful with sketch from catalogue or photo) Defective part
Qty
Hours engine
S/P No.
Type and serial no.
Date of failure
Hours part
Manufacturer if known:
Possible cause of failure or damage / Remarks for further action
Additional necessary parts
Qty
Catalogue No.
Additional necessary parts
Qty
Catalogue No.
Consignee of required spare parts

Phone: Fax: E-mail Contact Person : Port of destination : Transport: Latest arrival : Additional details: Spare parts will be supplied by: Service will be done by: Internal Remarks KEC Dept. Date Name
Details
Company:
Approx. costs
Signature
Action released by Everything printed in bold is absolutely necessary

05.11 (09/07)
12
Indicates Change
Bulletin No. 5.11
Exhibit B PURCHASE ORDER (UNDER WARRANTY RESERVATION)

We hereby order, subject to your General Sale and Delivery Conditions the following items for Engine Type XXXXXXXX< Serial No 012345.
Please note, we have claimed these defective parts under the warranty notification mentioned below. In case our warranty claim is accepted, this order shall automatically be void. In which case, no respective invoice should be issued. However, if the parts have already being invoiced, a credit note should be issued.
FROM :
Another Company Anytown Anywhere
TO
Caterpillar Power Generation Systems (a division of Caterpillar Motoren GmbH & Co. KG) Falckensteiner Strasse 2 D-24159 Kiel Germany Att: Dept CA 21
These parts and / or services are ordered as per warranty notification Engine No ______________ Claim No. ____________ dated _____________
13
Bulletin No. 5.12
SERVICE
WARRANTY BULLETIN
Warranty Administration Practices For Olympian Power Systems Products (OLY)

Warranty for Olympian Power Generation Products, manufactured and packaged by F. G. Wilson, for Caterpillar dealers, will be administered by F. G. Wilson. Caterpillar dealers qualified to perform repairs on these products may submit Warranty claims through the Caterpillar Service Claims System. This bulletin discusses the warranty and the practices applicable to service claims on Olympian Power System Products. Product Identification/Serial Number - For an engine component failure enter 99Z70004 as the eight digit serial number. For a non-engine component failure enter 99Z70005 on all claims for products ordered on or after July 23, 2001. Any product ordered on or after July 23, 2001 will have a seventeen digit serial number assigned under OLY. The last eight digits of that number will be the identifying serial number, which needs to be listed on claims submitted to Caterpillar. The serial number consists of 3 alpha and 5 numeric digits. Part Causing Failure - Must enter a substitute part number in this field. Refer to the Caterpillar Product Service Reporting Codes for SIMS and Service Claim use, form SEBD0850, for these numbers. (Example: A rotor failure should be coded as SP0714.) The Olympian part number should be listed in the claim story. Failure Description Code (20 characters) - Enter the Olympian package serial number in this field. Parts - List the total amount of the parts detailed in the claim story on a miscellaneous expense line. For example, place M in EXPID code field, OLY parts in the part name/expense description field, and the total amount of the parts listed in the claim story. Labor - Segmented labor, travel, and other expenses may be claimed as on any Other Engine Claim using the approved rates for these products. Claim Story - List the Olympian parts number, quantities, name, and appropriate price in the claim story. Include the failure cause, complaint, and repair methods used to justify repair.
Olympian Power Systems Warranty

Refer to the appropriate Olympian System Warranty Statement for the terms of Warranty.
Terms, repair times, parts reimbursement, and all other warranty policies and procedures for Olympian Power Systems Products are detailed in the warranty manual LEXF2500, located at https://engines.cat.com/cda/layout?m=151377&x=7 or upon request to the Newberry office (phone: 803-321-1100).

Claims for warranty repairs on Olympian Product are to be submitted through the Caterpillar Service Claims Systems. The instructions for completing the Claim are the same as for any Caterpillar Engine Product, except for the following items:
05.12 (10/07)
Indicates change.
Bulletin No. 5.12
05.12 (10/07)
Bulletin No. 5.13
SERVICE
WARRANTY BULLETIN
Warranty Administration Practices For Caterpillar Uninterruptible Power Supply (UPS) Systems
Warranty for UPS Systems will be administered by Caterpillar. Caterpillar dealers qualified to perform repairs on these products may submit warranty claims through the Caterpillar Service Claims System. This bulletin discusses the warranty and the practices applicable to service claims on UPS products.

Claims for warranty repairs on UPS Systems are to be submitted through the Caterpillar Service Claims System. The instructions for completing the claim are the same as for any Caterpillar engine product, except for the following items: Product Identification/Serial Number - Enter the serial number listed on the information plate (for example, BEE prefix for Model 250). Note - The parts and components for these units will have Caterpillar part numbers assigned to them. Group Causing Failure - Enter the SMCS code found on the parts book page where the failed part is listed. Also use this SMCS code when claiming labor.
UPS Warranty
Refer to the Industrial Engine Products and Electric Power Products warranty statement for the terms of warranty.
Claims will be reimbursed in accordance with the guidelines mentioned in Warranty Bulletin 5.2.
05.13 (10/01)
Bulletin No. 5.13
05.13 (10/01)
Confidential Green
Bulletin No. 5.14
SERVICE
WARRANTY BULLETIN
All Parts Air Conditioning and Assembled Hydraulic Product Components Used for Other Than Cat Equipment
Warranty For Parts Replaced Under the All Parts Air Conditioning and Hydraulic Components Warranty
Parts replaced under the terms of this Warranty are covered by this Warranty for the remainder of the All Parts Warranty period. The warranty on such parts ceases when the All Parts Air Conditioning and Hydraulic Warranty period expires, regardless of when the parts were replaced.
Overview
This bulletin addresses warranty coverage for new parts which are marketed by Caterpillar dealers under the All Parts brand name for use on other than Caterpillar products only. The purpose of this bulletin is to provide dealers with guidance for administering warranty and to discuss the reimbursement practices applicable to such items. New All Parts air conditioning components and hydraulic parts are warranted for defects in material and workmanship. The warranty period is for 12 months, starting from the date the part is purchased. Under the All Parts air conditioning and hydraulic parts warranty, the customer (end user) receives a new part for the failed item. All repair labor (including removal and installation labor) is the responsibility of the customer, unless the labor is covered by a dealer warranty. Travel and hauling expenses are not covered under All Parts Parts Warranty. Resultant damaged parts are not covered for this product.
Dealer Reimbursement
The dealer warranty reimbursement practices covered in this bulletin apply to air conditioning and hydraulic parts and components, in which Caterpillar and its dealers share in the warranty costs. The following outlines the dealer reimbursement practices for expenses with All Parts Air Conditioning and Hydraulic Parts Warranty repairs:
Parts - Parts needed to repair or replace the failed part or assembled component, including gaskets, and seals are dealer reimbursable at the dealer net (D/N) price in effect on the date of repair. Service Items - Lubricants, filters, antifreeze, and other service items made unusable due to contamination by the failure are dealer reimbursable. Such items are reimbursed at the dealer net (D/N) price in effect on the date of repair. Service items not affected by the failure, which are replaced in the normal course of the repair are not covered by All Parts Air Conditioning and Hydraulic Parts Warranty.
Defective Parts Stock

If a part or component is discovered to be defective either at the time of purchase, or prior to installation, or after installation but prior to operating the product, it is considered defective parts stock. Parts Warranty does not cover defective parts stock. See the end of this bulletin for coverage on Defective Parts Stock Warranty for the All Parts Air Conditioning and Hydraulics Parts.
05.14- (02/03) https://nacd.cat.com/infocast/frames/psfulfill/warranty/bul/
Indicates change.
Bulletin No. 5.14
Confidential Green
Parts Service Charges - Caterpillar Service

Department service charges for parts obtained on an emergency order are dealer reimbursable. The service charge is a percentage of the dealer net (D/N) price of the part, as per the following: 0 % for slow moving parts 5 % for medium moving parts 8 % for fast moving parts
Freight Charges - Inbound surface or air freight charges for parts shipped from a Caterpillar Parts Distribution Center to the dealer are not dealer reimbursable. Dealer shuttle service expenses between a Caterpillar Parts Distribution Center and the dealer, or between the dealers stores are also not reimbursable. Such costs are the responsibility of the customer. Meals & Lodging - Mechanics meals and lodging associated with field service repairs are not dealer reimbursable. Such expenses are the responsibility of the customer. Travel Time & Mileage - Travel time labor and vehicle mileage to and from field service repair sites are not dealer reimbursable. Such expenses are the responsibility of the customer.
Repair Labor - Repair labor is not dealer reimbursable. This includes labor to inspect, test, diagnose, remove, disassemble, clean, assemble, and install. Any disassembly and assembly labor for repair of an assembled component is the dealers responsibility. The customer is responsible for all other repair labor (including remove and install) on warranted parts and assembled components, unless the labor is covered by a dealer warranty. Parts Salvage Labor - Parts salvage labor is
not dealer reimbursable. Parts will be replaced with new parts only.
Summary Of Reimbursement Practices

The chart below summarizes the reimbursement practices for expenses associated with All Parts Hydraulic Parts Warranty repairs.
Overtime Labor Rate - Repair labor That

is performed after normal working hours will not be reimbursed by Caterpillar.
Summary Of Reimbursement Practices Repair Expense Parts Service Items Allowance & Rate Reimbursable at D/N. Reimbursable at D/N, if made unusable. Reimbursable Not Reimbursable Not Reimbursable Not Reimbursable
Outside Repair Expenses - Outside repair

expenses are not dealer reimbursable. Parts will be replaced with new parts only. Parts Service Charges Repair Labor Parts Salvage Labor Overtime Labor Rate
Shop Supplies - Shop supplies are not dealer

reimbursable as an itemized parts expense line or parts summary (NLOW) expense line. However, allowance for shop supplies is included in the dealers labor rate. Examples of shop supplies includes, shop towels, welding rod, wire ties, gasket maker, sealants, solvents, adhesives, primers, paint, assembly lubricants, anti-seize compounds, buffing discs & pads, emory cloth, etc.
Outside Repair Expenses Not Reimbursable Shop Supplies Hauling Costs Freight Charges Travel Time & Mileage Meals & Lodging Not Reimbursable as an itemized expense. Not Reimbursable Not Reimbursable Not Reimbursable Not Reimbursable
Towing Costs - Costs associated with

transporting or hauling a engine for repairs, are not dealer reimbursable. Such costs are the responsibility of the customer.
05.14 (02/03)
Confidential Green
Bulletin No. 5.14
Claim Field Information For Submitting the All Parts Air Conditioning and Hydraulic Parts Warranty
The following outlines the unique claim field information that is required when submitting a All Parts Air Conditioning and Hydraulic Parts Warranty claim: Parts Start Date - enter either the sale date of the failed part for over-the-counter purchases, or the last day of the original repair for service department purchases. Product ID / Serial No. - enter the special product identification number 99Z00087. Parts Hr/Mi/Km - enter the miles on the part, since it was installed. This number should be less than the number entered in the Product Hr/Mi/Km field.
When a defective parts stock part or component was replaced or salvaged, due to Caterpillar authorization via an All Parts Parts Stock PIP Service Letter. In such cases, a separate PIP service claim is required.
Dealer Reimbursement for All Parts Defective Parts Stock Claims

The following outlines the reimbursement practices to dealers for expenses associated with All Parts Defective Parts Stock claims.
Parts - Defective parts or components that are

replaced will be reimbursed at the dealer net (D/N) price in effect for the date entered in the Repair Date field.
Salvage Materials - Materials such as steel,

that are used to to perform the salvage operation are dealer reimbursable at the dealers acquisition cost.
Claim Story
In addition to usual description of the complaint, cause, and correction, the claim story must contain the following: Invoice number the part causing failure was purchased on. Percentage (%) of part customer paid on invoice. Serial number, model and manufacturer of the ' Otherthan Cat machine'.
Labor - When applicable, parts salvage labor and disassembly / assembly labor required to salvage an assembled component are dealer reimbursable at the dealers warranty labor rate. All other labor is not dealer reimbursable.
The following expenses are not reimbursable for defective parts stock claims: Part Service Charges (for parts obtained on an emergency parts order). Labor to evaluate parts. Freight Charges. Shop Supplies (as an itemized expense)
Defective Parts Stock Warranty

Claims for defective parts stock reimbursement should only be submitted to Caterpillar for the following defective parts stock situations: When a defective parts stock part or component was replaced due a manufacturing defect, prior to component or product operation. When a defective parts stock part or component was replaced due to damage from incorrect All Parts packaging. When a defective parts stock part or component was salvaged by the dealer.
Claim Field Information For Defective Part Stock Claims.

The following outlines the unique claim field information that is required when submitting Defective Parts Stock claims for equipment product parts: Repair Date - enter the date that the claim is submitted to Caterpillar. Product ID / Serial Number - enter the special product identification number 99Z00087, which indicates parts stock for All Parts parts. Desc. Code - leave blank. Group No. - enter 7752, the special component code for parts stock.
05.14 (02/03)
Bulletin No. 5.14
Confidential Green
Findings / Comments - enter the words Parts Stock. Parts Expense Lines - for each defective part number being claimed: COMP - enter in the first 2 digits, the appropriate 2-digit parts stock description code from the available codes listed in Warranty Bulletin 13.2. Claim Story - for each defective part being claimed that has a dealer net (D/N) price greater than 250 dollars (U.S.), enter a one line description of what the defect is and where the defect is located.
05.14 (02/03)
Bulletin No. 5.15
SERVICE
WARRANTY BULLETIN
Warranty Administration Practices For Caterpillar Electric Power Automatic Transfer Switches (ATS)
Warranty claims for CAT ATS can be submitted through the Caterpillar service claims system. This bulletin discusses the warranty and the practices applicable to service claims on ATS products.
Parts
As part of a Caterpillar serialized product, the dealer and customer will have access to a parts manual and/or technical manual through the Caterpillar SIS web.
ATS Warranty
Refer to the Industrial Engine Products and Electric Power Generation Products warranty statement for the terms of the warranty.
Claims should be processed, and will be reimbursed, in accordance with the Warranty Bulletins listed below, except where as noted in this bulletin. Industrial/Petroleum/Electric Power/Marine Warranty Expenses Time Limits for Submitting Warranty Claims Instructions for Completing Claims Service Claims Settlement Notice Returned Claims Processing Product Improvement Program (PIP) Product Support Program (PSP)
Part number identification can be achieved by accessing Caterpillar SIS web and utilizing the "CAT Automatic Transfer Switches" link. For part number identification assistance, contact the ATS Product Support Center at (866) 883-3879.
Bulletin 5.2 Bulletin 9.1 Bulletin 9.3 Bulletin 11.2 Bulletin 11.4 Bulletin 12.1 Bulletin 12.2
All submitted warranty claims must list a valid Caterpillar part number or the associated GE-Zenith OEM part number. When utilizing the GE-Zenith OEM part number, indicate the appropriate Caterpillar "SP Number" and list the GE-Zenith OEM part number and description within the warranty claim story board.
Warranty repair parts purchased from the CAT parts system will be reimbursed at current suggested consumer list (C/L) prices, and can be included in the warranty claim as Parts. Parts provided from GE-Zenith may be free-issued. Any non-Caterpillar parts, purchased for an ATS under warranty, can be submitted as Sublets in the Miscellaneous expense type.
05.15 (10/07)
Indicates change
Bulletin No. 5.15
Please retain all defective parts for a minimum of 30 days after the Claim Register Date. You will be notified by the ATS Product Support Center (866883-3879), if the parts are to be returned for failure analysis.
Repair Labor Hours

Caterpillar will reimburse the dealer the labor needed to correct the defect. Labor hours will be reimbursed according to the ATS Time Requirement Guide (TRG).
In the claim story, please detail the breakdown of the labor work, so we can accurately understand the total TRG hours claimed.

Claims for warranty repairs on ATS are to be submitted through the Caterpillar Service Claims System. The instructions for completing the claim are the same as for any Caterpillar engine product.
The Serial Number of the ATS should be used, not the serial number of the associated genset.
If the ATS Serial Number is not found in SIMS, please contact the Product Support Center (866883-3879). The staff will request the serial number and shipping information from GE-Zenith, and report it into SIMS.
If the CAT Dealer Solution Network was contacted, please include the Service Request number.
If the ATS Product Support Center or Zenith support was contacted, please include the case number and the complete names of the individuals providing assistance.
Indicates change 2 05.15 (10/07)
Bulletin No. 5.16
SERVICE
WARRANTY BULLETIN
Final Delivery Sea Trial for Electronic Marine Engines Only (Services and Claims)
Marine Service Final Delivery Sea Trial Service Review fuel filter requirements (high efficiency). Caterpillar engines that meet both of the following conditions are entitled to one final delivery sea trial: Review oil filter requirements. 1. The engine is a 3126B, C7,C9, C12, C15, C18,C30,C32, 3406E, or 3412E Family Marine Engine sold through an approved OEM. Review procedure for testing and maintaining proper Supplemental Coolant 2. The distribution channel code (dc) is not an Additive levels. A. This can be located on the top line of the engine serial number SIMS history. Dealer retail sold engines are entitled to a final Review engine features to the initial user: delivery sea trial, but the expenses, in this instance,are for the selling dealers' account. Engine starting. This final delivery sea trial should be performed prior to customer delivery or within 30 days following delivery to the initial user. A final delivery sea Engine Shutdown (normal and trial is provided free of charge by the Caterpillar emergency). authorized dealer, with certain limitations. Any unusual costs, such as travel to a remote location,overtime, waiting time, etc., are subject to Safety alarms and shutdowns. charge. Such unusual costs are not reimbursed by Caterpillar. Engine features and documentation Customer programmable parameters. The final delivery sea trial includes a review of the following engine features and documentation: Show customer all engine decal's and plate locations. Review Parts Book. Review Operation and Maintenance Manual: Review specifications for correct fuel, oil, and engine coolant. Review procedure for correct fuel handling during filter changes. Prior to the Final Delivery Sea Trial: Check that all fluid compartments are filled to safe levels and service points are lubricated. Check for damage, leaks and loose bolts. Inspect entire engine air intake system for adequate sealing, mounting and servicing.
05.16 (04/08)
Inspect entire engine air intake system for adequate sealing, mounting and servicing. Inspect all on-engine wiring for adequate sealing, mounting and grounding. Final Delivery Sea Trial: Final Delivery Sea Trial will consist of a performance sea trial as defined in the Sea Trial Guide(LEBM5081). Details to be recorded using Caterpillar Electronic Technician Sea Trial Data Logger. All data recorded from the sea trial will be analyzed with CAMPAR 4.0 or higher and must be uploaded to the Sea Trial Data Logger Database. The Sea Trial Data Logger Database located at
Claim Filing Instructions Limit each claim to a single engine. Where two or more new engines at one location are to be sea trialed, the work should be arranged to minimize labor, travel, and other related expenses. Prepare separate claims for any warranty repairs performed at the time of final delivery sea trail. Dealers will be reimbursed for labor at their approved warranty rates. Other related expenses will be reimbursed at the dealers acquisition cost. The Product Hr/Mi/Km must be at least 1 and less than 500. The Description Code must be 56. The Group Number must be 7590 for all deliveries claimed. The Customer Credit % must be 0 for part sand 100 for labor. A Claim Story is not required. Required Documentation:
https://engines.cat.com/cda/components/fullArticle?m=165983&x=7&id=622237
To ensure warranty registration, the delivering dealer must enter the customer name, address, and the delivery date into the On-Line Product Information System (PIS) prior to claim submission. This ensures registration at the factory for warranty coverage and expedites processing of any claims for warranty. Reimbursement For Delivery Inspections List actual labor hours to perform the delivery inspection up to the following limits: 2.5 hours per engine- For 3126B, C7, C9, C12, C15, C18,C30,C32, 3406E or 3412E Family Marine Engine sold through an approved OHM. If Sea Trial Data and CAMPAR data is not uploaded into the Sea Trial Data Logger Database, the claim will be denied for payment.
Sea Trial Data Logger Files (file extensions): General Information (.txt) Steady State Data Logger (.ssd) Transient Data Logger (.ssd) CAMPAR Report (file extension.epr)
05.16 (04/08)
Bulletin No. 5.17
SERVICE
WARRANTY BULLETIN
Fuel Injection Pumps installed on Caterpillar Mechanical and Electronic Engines 3044, 3054, 3056, 3054E, 3056E, C0.5 - C2.2 and C4.4 - C6.6 Engine
This warranty bulletin addresses the following nonCaterpillar Fuel Injection Pumps and the following Caterpillar Fuel Injection Pumps: Delphi Fuel Injection Pumps on 3054/3056 engines Stanadyne Fuel Injection Pumps on 3054/3056 engines Bosch VE Fuel Injection Pumps on 3054/3056 engines Bosch VP30 Fuel Injection Pumps on 3054E/3056E engines Denso Fuel Injection Pumps on 3044 engines Zexel Fuel Injection Pumps on C0.5-C2.2 engines Caterpillar CR200 Fuel Injection Pumps on C4.4 and C6.6 engines
The Fuel Injection Pump Dealer will provide new or replacement Fuel Injection Pump free of charge at the Fuel Injection Pump dealer place of business, if warrantable. The Fuel Injection Pump Dealer will not charge the Caterpillar Dealer for any repairs that it may carry out on the Fuel Injection Pump, if warrantable. The Fuel Injection Pump Dealer will not reimburse the Caterpillar Dealer for the Caterpillar Dealer's other costs, such as Labor to Remove & Install Fuel Injection components, or travel and mileage. Note: Repairs for water or dirt contamination are not warrantable and must be charged back to the customer through the Caterpillar dealer.
Delphi Fuel Injection Pump on CAT 3054/3056

An authorized Delphi distributor will handle all claims and repairs on the Delphi Fuel Injection Pumps. Caterpillar dealers will only remove the malfunctioning Delphi Fuel Injection Pumps from 3054 and 3056 Caterpillar engines. The pump and the form (use "Required Information For Fuel Injection Pump Service"), with all required information completed, need to be taken to the Delphi distributor. The Delphi distributor will require the following detail related to the suspect Fuel Injection Pump before any service action will be taken: Engine S/N Date in Service Hours of Operation Caterpillar Machine Model Description of fault
Standard Coverage - Claim Submission & Reimbursement

For the following Fuel Injection Pumps, all claims & repairs will be handled by Fuel Injection Pump dealer. Delphi Fuel Injection Pumps on 3054/3056 engines Stanadyne Fuel Injection Pumps on 3054/3056 engines Bosch VE Fuel Injection Pumps on 3054/3056 engines Denso Fuel Injection Pumps on 3044 engines
05.17-01 (07/08)
Indicates entire bulletin change
Bulletin No. 5.17
The Delphi Distributor will advise a date and time when the warranty assessment and repair will be completed. If the Delphi Distributor finds that the fault is not warrantable, a failure report must be produced to support this. The expectation is that all assessments and repairs will be completed within a maximum of 48 hours from the time the suspect Fuel Injection Pump was delivered to the Delphi Distributor. If the repair time expectation cannot be met (48hrs OR a mutually agreeable timeframe between the Dealers), the Delphi Distributor will provide a new replacement Fuel Injection Pump, free of charge. If a new replacement Fuel Injection Pump is not available via the local Delphi Distributor, the local Delphi Distributor will provide the Caterpillar Dealer with an authorization number and instruction to source a new replacement Fuel Injection Pump via the Caterpillar Parts System. Regardless of supply route for the new replacement Fuel Injection Pump, the displaced Fuel Injection Pump to be covered by warranty will remain in the possession of the Delphi Distributor. If the Delphi Distributor does not meet his commitments for time of repair, the Caterpillar Dealer can call the Delphi Diesel Aftermarket Territory Service Manager, to intervene or authorize a replacement pump, with an authorization number. This is the only time, when the Caterpillar Dealer should contact the Delphi Diesel Aftermarket Territory Service Manager. A directory of service distributors for Delphi Fuel Injection Pumps is available from the following website: http://dieselaftermarket.delphi.com/ Claim Field Information - Delphi Authorization The required claim field information for Delphi warranty claims is the same as for any Caterpillar product, except for the following fields: Claim details - should contain the following information: Original Delphi Pump S/N. S/N of Replacement Fuel Injection Pump. Delphi Authorization number. The description of the complaint, cause, and correction.
Stanadyne Fuel Injection Pumps on 3054/3056 engines

An authorized Stanadyne distributor must handle all repairs and claims on Stanadyne Fuel Injection Pumps. Caterpillar dealers will only remove malfunctioning Stanadyne Fuel Injection Pumps from 3054 & 3056 engines. The Fuel Injection Pump and the form (use "Required Information For Fuel Injection Pump Service"), with all required information, need to be taken to the Stanadyne distributor. A directory of service distributors for Stanadyne Fuel Injection Pumps is available on the Stanadyne website: www.stanadyne.com
Bosch VE Fuel Pumps on 3054/3056 engines

Authorized Bosch distributors must handle repairs and claims on Bosch Fuel Injection Pumps. Caterpillar dealers should only remove malfunctioning Bosch Fuel Injection Pumps from 3054 & 3056 engines. Return the Fuel Injection Pump along with the information required ("Required Information For Fuel Injection Pump Service") to the Bosch distributor. A directory of service distributors for Bosch Fuel Injection Pumps is available from the following website: http://www.bosch.com
Denso Fuel Injection Pumps on 3044 engines

An authorized Denso distributor will handle all claims and repairs on the Denso Fuel Injection Pumps. Caterpillar dealers will only remove the malfunctioning Denso Fuel Injection Pumps from 3044C engines. The Fuel Injection Pump and the form (use "Required Information For Fuel Injection Pump Service"), with all required information, need to be taken to the Denso distributor. A directory of service distributors for Denso Fuel Injection Pumps in North America is available from the following source: http://www.densoheavyduty.com/distributor The following Fuel Injection Pumps are not serviceable. Bosch VP30 Fuel Injection Pumps on 3054E/3056E engines Zexel Fuel Injection Pumps on C0.5-C2.2 engines Caterpillar CR200 Fuel Injection Pumps on C4.4 and C6.6 engines
05.17-01 (07/08)
Bulletin No. 5.17
Bosch VP30 Fuel Injection Pumps on CAT 3054E/3056E engines

Once the diagnostic procedure in the Troubleshooting Guide has been completed and the Fuel Injection Pump has been identified as having a fault, the VP30 Fuel Injection Pump should be replaced with a new Fuel Injection Pump and the suspect part must be returned to the Parts Return Centre in Peterborough. The VP 30 Fuel Injection Pump must be drained of all fuel, properly sealed and packaged for transport and copies of the Warranty Claim and the EST report must be included with the Fuel Injection Pump upon return.
Zexel Fuel Injection Pumps on C0.5-C2.2 engines

The Zexel Fuel Injection Pump is not serviceable. In instances where the published diagnostic processes suggest the Zexel Fuel Injection Pump is suspect, the Zexel should be replaced with a new Fuel Injection Pump and the suspect Fuel Injection Pump should be held at the Distributor as per normal warranty parts retention process.
Caterpillar CR200 Fuel Injection Pumps on C4.4 and C6.6

The Caterpillar CR200 Fuel Injection Pump is not serviceable, with the exception of the Transfer pump and the inlet connection, as detailed in the service literature. Once the diagnostic procedure in the Troubleshooting Guide has been completed and the Fuel Injection Pump has been identified as having a fault, the CR200 Fuel Injection Pump should be replaced with a new Fuel Injection Pump and the suspect part must be returned to the Parts Return Centre in Peterborough. The CR200 Fuel Injection Pump must be drained of all fuel, properly sealed and packaged for transport and copies of the Warranty Claim and the EST report must be included with the pump upon return.
05.17-01 (07/08)
Bulletin No. 5.17
Required Information For Fuel Injection Pump Service

OEM DEALER INFO:
DEALER NAME: ADDRESS:
CONTACT: PHONE NUMBER:
_____________________________________________ _____________________________________________ _____________________________________________ _____________________________________________ _____________________________________________ _____________________________________________ _______________________________________ _______________________________________ _______________________________________

DAY YEAR
ENGINE MODEL: CHASSIS TYPE AND MODEL: CHASSIS SERIAL NUMBER:
MONTH
COMMISSION DATE: _____________________________________________ FAILURE DATE: _____________________________________________ CURRENT ENGINE HOURS: __________________________________
CUSTOMER COMPLAINT:
_____________________________________________ _____________________________________________ _____________________________________________ _____________________________________________ _____________________________________________ _____________________________________________ _____________________________________________
SUPPLIER PART NUMBER: CAT PART NUMBER:
ALL OF THE ABOVE INFORMATION IS REQUIRED FOR WARRANTY REPAIRS TO BE COMPLETED.
05.17-01 (07/08)
Bulletin No. 5.18
SERVICE
WARRANTY BULLETIN
Warranty Administration Practices For Cat Compact Power Systems Products (Less than 200kw Diesel Only)
Claims for warranty repairs are to be submitted through the Caterpillar Service Claims Systems. The instructions for completing the Claim are the same as for any Caterpillar Engine Product, except for the following items:
Time Limits For Submitting Claims

Caterpillar strongly recommends dealers submit claims within 30 days from the last day of labor, (Repair Date).
Parts - Parts used to effect repairs will be reimbursed at dealer net price plus 10%.
Any Warranty, Supplemental or Policy/Goodwill Claims received by Caterpillar later than these designated times are subject to the following: If the received date is over 180 days and less than 365 days from the repair date, the parts will be system-adjusted to dealer net (D/N) price and the repair labor and travel labor will be system-adjusted to 90% of dealers approved warranty labor rates. The system will assign Reason Code LT9 to claims when these adjustments occur. Any claims over 365 days from the date of repair will not be accepted by Caterpillars On-Line Service Claim warranty system.
Labor - Standard rate for labor is 81% of approved commercial warranty rate.
Travel Labor - Standard rate for travel labor is 81% of approved travel rate.
Travel Mileage - Standard rate for travel mileage is 85% of approved rate.
05.18 (05/07)
Indicates change.
Bulletin No. 5.18
05.18 (05/07)
Bulletin No. 5.19
SERVICE
WARRANTY BULLETIN
PM Inspections for C175 Package Generator Sets Sold into Electric Power Applications
Overview
This bulletin covers reimbursement procedures on PM Inspection services performed on new C175 package generator sets sold into Electric Power applications.
Reimbursable Expenses
Reimbursement includes: 2 standard labor hours per PM Inspection performed, plus reasonable and actual travel time (up to 4 hours), and round trip (up to 160 miles) from your dealership to the customers job site. Note: No parts or fluids expenses will be reimbursable. Parts, fluids, additional required travel time and/or related expenses are the sole responsibility of the customer or dealership.
PM Inspection
The Electric Power Division is providing two (2) PM Inspections within the first twelve (12) months of delivery on each C175 package generator set sold into Electric Power applications. Caterpillar suggests the dealer perform the first PM Inspection within the first three (3) months of delivery, and the second, within the first six (6) months of delivery, however, the PM Inspections can be performed at the dealer's discretion anytime within the first twelve (12) months of delivery. The PM Inspections are intended to allow your dealership an opportunity to educate your customer on the importance of preventive maintenance, the benefits of your dealer services and expertise, and allow an opportunity to up-sell your service offerings to either a Preventive Maintenance or Total Maintenance & Repair CSA during the PM Inspection period.

The PM Inspection is only reimbursable on C175 package generator sets with serial number prefix WYB made payable through the Caterpillar warranty system. The following are unique claim field requirements when submitting a claim. Delivery Date - enter actual delivery date Product Hour Reading - enter actual SMU Part No. - must be "318-4550"
05.19 (12/07)
Indicates change.
Bulletin No. 5.19
SMCS Code - must be "775A" Part Description - must be "Inspection PM" The PM inspection form can be found at the Electric Power Product Support website via the following link:
https://engines.cat.com/cda/files/621436/7/C175_PM_Inspection_form.pdf
05.19 (12/07)
Bulletin No. 6.1
SERVICE
WARRANTY BULLETIN
Repair Vs. Replacement Of Parts, Components, Or Engines/On-Highway H Transmissions

Caterpillar warranties provide for new, Remanufactured, or repaired parts and/or assembled components, whichever Caterpillar elects, in place of the defective part. This election is based on which is the most economical method for repair consistent with equal value to the customer. The following are guidelines for repair or replace.
Replace
When replacement of a part, assembled component, complete engine, or serialized component group is less costly than repairing, dealers must replace it. The chart on page 2 can be used to calculate repair versus replacement costs. If the complete engine is replaced, the $200.00 handling charge should be included in the calculating of the repair vs. replacement decision If the customer/dealer elects to replace a complete assembly rather than repair, the Warranty Claim must list the parts and labor which would have been required to repair the failed assembly. The reason for replacing the complete assembly must be documented and explained in the Claim Story. When individual parts of an assembly are not serviced (such as fuel injection nozzles or oil cooler cores) the complete assembly should be replaced with a Remanufactured assembly/component.
Repair Vs. Replace Cost Comparison

The completed chart shown below must be used as a guide when making repair or replace decisions. It will not change Caterpillar claim allowance practices as described in other areas of the Engine Division Service Warranty Guide.
NOTICE
Refer to the Time Requirement Guide for labor times. The blank form should be printed and filled in as the completed example shows and can be used as a guide for data entry into the spread sheet that will do the calculations for you. It can be accessed at the warranty website on https://www.truck.cat.com/cda/files/120237/7/Repair %20vs%20Replace%20Worksheet.xls and downloaded onto a PC. The Repair Vs Replace Worksheet must be kept on file with other repair documentation and be made available to a Caterpillar Warranty Analyst if requested.
NOTICE
When a water pump, turbocharger cartridge, fuel transfer pump, air compressor or Caterpillar alternator/starter on 3114/3116, 3126, 3176, 3196, C-9, C-10, C-12, C-15, C-16 Engines and 3000, 3200, 3300, or 3400 Family engines requires replacement, it should be replaced with a Remanufactured unit. Not e: refer to current applicable repair procedures. When at least two of the major components of a cylinder pack need to be replaced on a new or parts warranty repair on heavy duty engines, a cylinder pack may be used in place of separate parts. The four major components are pistons, piston rings, liners and connecting rods.
Repair
Individual parts should be repaired, if the repair can be expected to restore the product to its operating condition just prior to the warranty repair and if the repair cost is less than a new or Remanufactured part. It does not include restoring the product to a like-new condition. An example would be salvaging a 3208 engine block by installing cylinder sleeves.
06.1 (05/07) 1
Indicates change.
REPAIR VS REPLACE WORKSHEET

Cat Parts Only Part Number Part Name
Engine Serial Number 8YL9XXXX

Cat Parts Only Part Number Part Name
Date 01JAN04
Cost Per Extended Item Price
$ 3,441.20 $ 198.84 $ 946.43 $ 320.85 $ 235.19 $ 23.75 $ 2.92 $ 8.37 $ 17.31 $ 8.27 $ 28.23 $ 4.52 $ 44.00 $ 16.25 $ 20.59 $ 6.00 $ 72.16 $ 256.81 $ 23.13 $ 14.44 $ 8.73 $ 7.19 $ 3,441.20 $ 198.84 $ 946.43 $ 320.85 $ 235.19 $ 23.75 $ 11.68 $ 33.48 $ 51.93 $ 8.27 $ 28.23 $ 4.52 $ 44.00 $ 16.25 $ 20.59 $ 6.00 $ 72.16 $ 256.81 $ 138.78 $ 14.44 $ 8.73 $ 7.19 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 5,889.32
REPAIR
Quantity
1 1 1 6 6 6 1 3 4 3 6 3 3 6 6 1 1 12 3 1 6 6 6 6 6 1 1 1 1 1 1 1 1 1 1 1
REPLACE
Quantity
1 1 1 1 1 1 4 4 3 1 1 1 1 1 1 1 1 1 6 1 1 1
Cost Per Extended Item Price

$ 1,506.60 $ 803.40 $ 946.43 $ 17.76 $ 16.28 $ 16.28 $ 30.76 $ 103.23 $ 17.31 $ 11.37 $ 16.35 $ 24.69 $ 72.79 $ 4.60 $ 0.76 $ 72.16 $ 256.81 $ 9.77 $ 32.75 $ 235.19 $ 3.52 $ 4.47 $ 3.49 $ 3.68 $ 3.81 $ 16.39 $ 11.84 $ 34.59 $ 0.59 $ 1.41 $ 0.55 $ 24.51 $ 44.00 $ 16.25 $ 8.73 $ 9.99 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
1 0R-8943 Block 2 0R-7569 Turbo 3 0R-8849 Head Group 4 107-7708 Bearing 5 132-5246 Push Ring 6 107-7566 Push Ring 7 212-4893 Bearing 8 150-4621 Crown 9 133-6379 Valve Pushrod 10 4Y-9652 Gasket 11 197-9277 Injector Ring 12 168-7226 Piston Pin 13 0R-2741 Rod Assembly 14 237-3800 Front Seal 15 7C-0111 Retainer Pin 16 218-2342 Kit Assembly 17 218-2963 Gasket Kit 18 7W-9415 Con Rod Bearing 19 187-1513 Skirt 20 0R-9349 Injector 21 150-4105 Backup Ring 22 148-2903 O-Ring Seal 23 149-5240 Backup Ring 24 109-3207 O-Ring Seal 25 133-3715 Backup Ring 26 135-5970 Tube Assembly 27 1U-8846 Gasket 28 222-3909 Gasket Seal 29 2M-4453 O-Ring Seal 30 7F-8267 O-Ring Seal 31 3K-0360 O-Ring Seal 32 115-4202 Gasket 33 196-6930 Gasket 34 196-6931 Gasket 35 1R-0739 Oil Filter 36 1R-0751 Fuel Filter 37 Total Parts Expense
1,506.60 1 0R-4890 Block 803.40 2 0R-2733 Oil Pump Group 946.43 3 0R-8849 Head Group 106.56 4 0R-7585 Cartridge 97.68 5 0R-9348 Injector Group 97.68 6 2W-7566 Bearing 30.76 7 3E-8017 Locknut 309.69 8 8T-7044 Threaded Stud 69.24 9 133-6379 Valve Pushrod 34.11 10 142-2220 Gasket 98.10 11 175-3236 Hose Assembly 74.07 12 196-6929 Gasket 218.37 13 196-6930 Gasket 27.60 14 196-6931 Gasket 4.56 15 202-3253 Gasket 72.16 16 208-9810 Gasket 256.81 17 218-2342 Kit Assembly 117.24 18 218-2963 Gasket Kit 98.25 19 224-5358 Gasket Kit 235.19 20 218-4878 Kit Assembly 21.12 21 1R-0739 Oil Filter 26.82 22 102-8801 Receptacle Kit 20.94 23 22.08 24 22.86 25 16.39 26 11.84 27 34.59 28 0.59 29 1.41 30 0.55 31 24.51 32 44.00 33 16.25 34 8.73 35 9.99 36 37 5,487.17 Total Parts Expense
TRG Labor Code

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 1000-010 1201-010 1100-002 1000-072 7006-552
Labor Function
Engine - Remove & Install Cylinder Block - Remove & Install Cylinder Head - Transfer Components to/from Engine - Paint Tow/Maneuver
Hours
12.10 20.40 2.30 1.50 0.60
TRG Labor Code
Labor Function
Hours
0.60 0.50 7.00 11.50 11.40 2.30 0.40 1.00 0.20 3.70 1.50 0.50 0.60
Total Hours Labor Rate
70.00
1 3253-012 Drive Shaft - Install 2 1000-074 Engine - Wash 3 1100-011 Cylinder Head - Remove 4 1000-010 Engine - Remove & Install 5 1200-002 Short Block - Transfer Components to/from 6 1100-002 Cylinder Head - Transfer Components to/from 7 1302-010 OX Engine Oil Pan - Remove & Install 8 3030-010 AU Transmission - Remove & Install 9 1000-010 AO Engine Access Cover- Remove & Install 10 1000-031 OX Engine Dynamometer Test - Out of Frame 11 1000-072 Engine Paint 12 1105-030 Inlet/Exhaust Valves - Test After Repair 13 7006-552 Tow/Maneuver 14 15 16 17 18 36.90 Total Hours Labor Rate $ 70.00
41.20
Revised Repair vs Replace_2003example.xls
Total Labor Expense
2,583.00 Total Labor Expense
$ 2,884.00
Misc Exp @ Cost

29 1 Other Oil 2 Paint 2 5 Cat Antifreeze 3 4 4 Stock order 5 6 Total Misc Expense Total Repair Expense
Item
$ $ $ $
Cost
62.93 15.38 44.15 106.63
Misc Exp @ Cost
Item
$ $
Cost
36.89 15.38
$ $
31 1 Other Oil 2 2 Paint 3 4 5 6 229.09 Total Misc Expense 8,299.26 Total Repair Expense
$ 52.27 $ 8,825.59
Revised Repair vs Replace_2003example.xls
Bulletin No. 6.1
06.1 (05/07)
Bulletin No. 6.1
06.1 (05/07)
Bulletin No. 6.2
SERVICE
WARRANTY BULLETIN
Use Of Caterpillar Remanufactured Engines/ On-Highway Transmissions H And Components

Whenever possible, Caterpillar Remanufactured products should be used to satisfy warranty. There are only two exceptions to this rule: If the warranty failure has occurred within one month of product delivery and the engine has less than 10,000 miles (16,000 kilometers) or 250 hours, new parts may be used if requested by the customer. If a Remanufactured part is not-in-stock at Caterpillar and a Caterpillar Parts Order Analyst authorizes the dealer to order the equivalent new part, the dealer must include the name of the analyst and the Parts Shipping Order (PSO) number assigned in the Claim Story. In all other cases, the decision to use Caterpillar Remanufactured products will be based upon the most economical method of repair. Caterpillar Remanufactured short blocks and Caterpillar Remanufactured engines having non-standard dimension (such as an undersized crank shaft) can be used to satisfy new product warranty only if the customer is fully aware of this condition and agrees. All other Remanufactured parts and components do not require customer approval. For crankshaft replacement under Parts Warranty, Remanufactured Engine Warranty, Product Improvement Programs, and Product Support Programs, dealers must use undersized Remanufactured crankshafts.
NOTICE
When a water pump, turbocharger cartridge, fuel transfer pump, air compressor, or Caterpillar alternator/starter on 3114/3116, 3126, 3176, 3196, C-9, C-10, C-12, C-15, C-16 and 3000, 3200, 3300, or 3400 Family Engines requires replacement, it should be replaced with a Remanufactured unit. Note: refer to current applicable repair procedures. When individual parts of an assembly are not serviced (such as fuel injection nozzles, or oil cooler cores), the complete assembly should be replaced with a Remanufactured assembly/component.
Warranty Status For Remanufactured Engines

Remanufactured engines can have either On-highway Truck Engine, Marine Engine, or Standard-Type Warranty, depending on the type of engine application or how the Remanufactured engine was sold. Remanufactured engines in either of the following circumstances, are covered under On-highway Truck or Marine Engine warranty: sold into on-highway vehicle or marine applications. sold through TEPS dealers/AMDs or other authorized second level dealers, regardless of application. In all other applications, Remanufactured engines are covered under Standard-Type Warranty.
06.2 (05/07)
Indicates change.
Bulletin No. 6.2
Warranty Status For Remanufactured On-Highway Transmissions

Remanufactured on-highway transmissions will have On-highway warranty equal to On-highway truck. Remanufactured on-highway transmissions are covered under both of the following circumstances: sold into on-highway vehicle. sold through TEPS dealers or other authorized second level dealers.
NOTICE
All Remanufactured parts/components which do not have an equivalent new part/component that is sourced from the Caterpillar Parts Distribution System are not covered by this Parts Department procedure. Some examples of these parts/components include: Complete Engines 3406 Short Blocks Cylinder Head Groups Cylinder Liner Kits Tune-up Kits Undersized Crankshafts
Claim Filing Instructions For Remanufactured Engines

The Parts Start Date must be left blank. The Product ID/Serial No. must be the Remanufactured Engines Serial Number, not the Reference Serial Number. The Product Hr/Mi/Km field for a customer-purchased Remanufactured engine must be the hours/miles/kilometers on the Remanufactured Engine, not the total vehicle hours/miles/kilometers. The Customer Credit % must be 100 for Parts, and the Labor must be either 0 for industrial engines, or 100 for marine engines and TEPS dealers/AMDs sold Remanufactured engines. If the remanufactured Engine was sold into an industrial application by a TEPS dealer, or into a marine application by either a Caterpillar dealer or an AMD, the Claim Story must so indicate, in order to receive the appropriate Warranty.
Dealers should be advised that undersized crankshafts do not have an equivalent new part number. Thus, they will be placed on back order if an undersized Remanufactured crankshaft is not available. When this occurs, dealers will have to change their parts order to an Upgrade To New (UTN) crankshaft, which does have an equivalent new part number. For warranty repairs involving an emergency parts order of a Remanufactured part/component that was upgraded to new, the Reimbursable Expense Detail on the Warranty Claim should list the part number of the Remanufactured part/component that was ordered. Do not list the part number of the upgraded new part that was shipped and installed.
Emergency Orders For Remanufactured Parts Not-In-Stock

For an emergency Class 1 Caterpillar parts order (warranty with engine-down) of a Remanufactured part/component that is not-in-stock and its equivalent new part/component is in-stock, the dealer will be shipped the new part/component and invoiced at the Remanufactured price (plus the standard core charge). All Remanufactured parts/components which have an equivalent new part/component that is sourced from the Caterpillar Parts Distribution System are covered by this Parts Department procedure.
Indicates change.
06.2 (05/07)
Bulletin No. 6.2
06.2 (05/07)
Bulletin No. 6.3
SERVICE
WARRANTY BULLETIN
Use Of Caterpillar Dealer-Rebuilt Exchange Components

A dealer-rebuilt exchange component is a component that has been rebuilt by a Caterpillar dealer. Such components should only be used in a warranty repair to avoid excessive downtime or travel expense. When Caterpillar Remanufactured components exist, they are the preferred source for exchange components. Caterpillar Warranty will not allow dealer-rebuilt exchange component prices that exceed their equivalent Caterpillar Remanufactured component prices. All parts used in dealer-rebuilt exchange components must be genuine Caterpillar parts. Dealer-rebuilt exchange components must be clearly identified as such on the component (such as stamping the Caterpillar Dealer Code above the part number). The use of dealer-rebuilt exchange components will not affect the value or warranty practices to the customer. Dealers should not use the following types of dealer-rebuilt exchange parts or components for warranty repairs, unless the customer is fully aware and agrees: Cylinder heads with repaired castings. Reground crankshafts. Connecting rods with oversize bearing bores. Complete engines or short blocks.
Claim Preparation
Prepare the Warranty Claim in the usual manner. In the claim story explain why a dealer-rebuilt exchange component was used. The dealer-rebuilt exchange component should be listed as a Miscellaneous Expense (Expense ID Code M) on the Warranty Claim, with the price not exceeding its equivalent Caterpillar Remanufactured component price. Do not list your dealers Remanufactured Part Number in the Reimbursable Expense Detail.
NOTICE
Caterpillar will assume normal warranty responsibility for only Caterpillar-supplied parts used during the dealer repair. Failures due to dealer workmanship are the responsibility of the Caterpillar dealer that rebuilt the exchange component.
06.03 (01/91)
Bulletin No. 6.3
06.03 (01/91)
Bulletin No. 6.4
SERVICE
WARRANTY BULLETIN
Engine Performance Complaints (Low Horsepower/High Fuel Consumption)

Caterpillar and/or dealer participation in costs for investigating engine low horsepower and/or high fuel consumption complaints is subject to the terms of the warranty. For Caterpillar to approve repairs, it must be established and documented that a Caterpillar warrantable defect caused improper performance or a malfunction. For performance diagnostic information on 3300/3400 on-highway engines, dealers should refer to the Truck Performance Diagnostic Guide, Form SEBD0808. In addition, diagnostic information involving either electronic or mechanical engine control systems is included in many of the Service Manuals for on-highway vehicle engines. Caterpillar will not approve unnecessary or unsupported fuel system adjustments. Guidelines for performance repairs are as follows: Making non-factory-approved settings on certified engines is a violation of U.S. Federal law and carries a maximum civil penalty of $2500, and are not claimable. Caterpillar will not be responsible for fuel/governor settings which do not have an original factory tampering seal. Incorrect fuel/governor settings with a dealer tampering seal are that dealers responsibility to correct. Incorrect fuel/governor settings with no tampering seal are the responsibility of the party who last adjusted the fuel system. The customer must be informed, prior to the start of any diagnostic work, that he will be charged for the service work if no warrantable defect can be found, if fuel/governor tampering seals are missing or broken, and/or if engine performance is within specifications. Where applicable, the customer must be made aware that normal maintenance and tune-up costs, as noted in the Operation and Maintenance Guide, are his responsibility. Such expenses would include nozzle/injector testing, fuel ratio control adjustments, valve adjustments, etc. if the product is at or approaching its appropriate service interval. The factory fuel/governor tampering seal(s) should never be tampered with or opened until the product has accumulated enough miles/kilometers/hours to insure proper engine break-in. Changing fuel settings found to be within 0.25 mm of the nominal specification stamped or recorded on the Engine Information Plate/ Ultraplate Film is not a warrantable repair. Any fuel setting out of the 0.25 mm tolerance must be reset to the nominal value stamped or recorded on the Engine Information Plate/ Ultraplate Film. Changing high idle without verifying that governor set point is out of a tolerance of 25 rpm is not a warrantable repair. If set point is found beyond 25 rpm, it must be reset to the correct rpm 10 rpm.
NOTICE
The governor set point is 20 rpm above full load speed.
06.04 (10/01)
Bulletin No. 6.4
Use of the 6V-3100 Engine Timing Indicator Group or the 8T-5300 Engine Timing Indicator with the 8T-5301 Diesel Adapter are the only acceptable ways to measure both initial timing and timing advance operation on mechanically governed engines. The initial timing must be outside the dynamic timing tolerances for the engines Performance Specification Number before a Service Claim is allowable.
NOTICE
The Performance Specification Number for an engine is found on the Engine Information Plate/Ultraplate Film. Information such as dynamic timing tolerances are found in the fuel setting and related information microfiche for each Performance Specification Number. The Performance Specification Number was formerly referred to as the OT number.
On all product where it was necessary to check fuel/governor settings, the following table must be included in the Warranty Claim Story to prevent overlooking any settings which could affect performance. Failure to provide this information will lead to delay in processing and may cause nonallowance of associated Warranty Claims. Refer to the Engine Information Plate/Ultraplate Film and record the correct specifications in the table. The Engine Information Plate/Ultraplate Film is the most accurate source of this data and must be used as long as the engine is in its original factory configuration.
Before After Specifications Adjustment Adjustment
Fuel Load Fuel Setting (mm) Full Torque Fuel Setting (mm) 1 Fuel Ratio Setting (mm) Set Point (rpm) High Idle (rpm) Fuel API @60F 2 Total HP. Correction Factor Boost (Hg)
For on-highway vehicle applications, modifying correct factory settings to reposition or reshape a wheel horsepower curve within the Performance Analysis Report (PAR) tolerance is not a warrantable repair. For on-highway vehicle applications, wheel horsepower should not be used as the sole criteria to evaluate engine performance. Fuel rate, boost data and horsepower correction factors are required to properly evaluate engine performance. All data from the current Performance Analysis Report (PAR), Form PEEP0224, should be kept on record to support claims.
1 Fuel ratio control settings for 3300 and 3400 Engines are dynamic. 2 Total HP correction factor (CF) = Inlet Air Temperature CF x Air Pressure CF x Fuel API CF x Fuel Temperature CF.
For engines equipped with Electronic Engine Control (currently 3126, 3406B/3406C Electronic, 3406E, C-10, C-12, C-15, C-16, and 3176 Engines), any reprogramming that is not associated with a warrantable repair is not a Caterpillar expense. Reprogramming refers to any programming that is performed after vehicle delivery to the customer.
NOTICE
After a governor adjustment is completed, always install a tampering seal to prevent unauthorized adjusting. The type of fuel/governor tampering seal (factory, dealer, or none) should be included in the mechanics Service Report and must be retained in dealers file for auditing purposes.
Indicates change.
06.04 (10/01)
Bulletin No. 6.5
SERVICE
WARRANTY BULLETIN
Excessive Engine Oil Consumption

Verification of oil use is required before any warranty repair for excessive oil consumption is performed. When a user contacts a dealer and registers a complaint about excessive oil use, the dealer must request that the user substantiate the oil consumption or participate in an oil consumption test. The dealer or user must complete an Oil Consumption Test Report, Form 01-081227 (see Illustrations 1 and 2). Such reports are required to substantiate Warranty Claims. Prior to completing an Oil Consumption Test Report, the dealer should: Inspect the vehicle to determine if the complaint is the result of some external problem. Question the user to determine that there is nothing unusual about his particular application which could cause high oil consumption. After an Oil Consumption Test Report is completed, the fuel to oil ratio must be compared to the oil consumption graphs (see Illustrations 3, 4, 5, and 6). These graphs are for use only by dealer personnel and are not intended for owners or operators. The graphs clearly have three distinct ranges. The top area shows the typical operating range for the engines. The lower area (shaded portion) shows the engine break-in range and the investigative range. Each graph illustrates the fuel to oil ratio in both English Units (left side) and Metric Units (right side). Across the bottom of each graph are the engine mile/hour units, including the formula to convert engine miles to kilometers in the lower left corner. A plotted graph and the following points will determine if an engine has an oil consumption problem that requires repair. 1. Due to engine break-in, no repairs should be made prior to the miles, kilometers, or hours listed below: For mid-range engines (3034/3054/3056, 3114/3116, 3126, 3208): 5,000 miles, 8,000 kilometers, or 150 hours. If the engine is used in an agricultural application, the break-in period is one season. For heavy duty engines (3176, 3196, C-9, C-10, C-12, C-15, C-16, and 3300, 3400 Families): 25,000 miles, 40,000 kilometers, or 500 hours. 2. With the graph, it is Caterpillars intention that a defect investigation and repair should be made when a unit falls within the investigative range. Most oil control complaints fall within the investigative range.
06.05 (10/07)
Indicates change.
Bulletin No. 6.5
3. There are conditions when an engine with oil consumption in the investigative range could have acceptable oil consumption and thus would not warrant a defect investigation or repair. Such as: For example: If a fleet of engines all have a low but consistent value, the problem could be the result of application, driving habits, preventive maintenance, load factors, etc. Neither an investigation nor a repair would necessarily produce significant improvements. Another example: A fleet of 3208 units used as city pickup and delivery tractors are all plotted within the investigative range at approximately 35 gallons of fuel per quart of oil (140 liters fuel per liter oil) and all units have approximately 20,000 miles (32,000 km). One other unit, however, is at 18 gallons of fuel per quart of oil (72 liters fuel per liter oil). This one unit would be the only one requiring an investigation and repair. 4. If an engine experiences a high deterioration rate from any level, whether it be in the top area or lower area of the graph, it would require a defect investigation and repair. To determine deterioration, it is necessary to check oil consumption for at least two consecutive regular oil change periods. Using the Oil Consumption Test Report, plot the fuel to oil rates on the appropriate graphs. When plotted, the fuel to oil rate should be extrapolated (extended) to give an estimated rate for a specific number of miles/kilometers. If the extrapolation of the two consecutive oil change periods on the graph indicates that oil consumption will eventually reach into the investigative range, the engine should be repaired before oil consumption falls into the investigative range.
7. Oil consumption repairs should be made only after an engine is confirmed to have an oil consumption problem. These repairs should be made in accordance with the latest published information on oil consumption.
Oil Consumption Claim Story Requirements

For oil consumption claims, the Claim Story must include: The oil to fuel consumption ratio. The cause of the oil consumption. The condition of the parts that were inspected for determining the cause of oil consumption.
NOTICE
The graphs are not intended to be extrapolated beyond the maximum miles/kilometers/hours illustrated in the graphs. 5. Low engine operating temperature can contribute to excessive oil consumption. 6. Blow-by (oil slobber) alone is not enough to justify a warranty claim.
06.05 (10/07)
Bulletin No. 6.5
OIL CONSUMPTION TEST REPORT

(FOR OWNER/OPERATOR USE) OWNER'S NAME ENGINE MODEL
VEHICLE MANUFACTURER VEHICLE APPLICATION AVERAGE MILES/KILOMETERS PER DAY BRAND NAME OIL (complete) CLASSIFICATION (all) AVERAGE HOURS PER DAY VISCOSITY FUEL SULFUR CONTENT (if available)
LOCATION SERIAL NO.

MODEL
ARRANGEMENT
SERIAL NO.
This test report is required before any repair for excessive oil consumption is performed. It is intended that various external items be Inspected prior to completion of this report. However. If all of the guidelines contained within have been met, available records can be Used to complete this report. All information required in this report must be retained in dealership records.
TEST PROCEDURES
1. At the start of the oil consumption test, the crankcase must be drained and refilled with the correct grade and quantity of oil, and of the proper viscosity for the ambient temperature. New Caterpillar oil filter elements must also be installed. The fuel tank must be filled. (NOTE: These are normal maintenance items to be done at the owner's expense.)
DATE
ENGINE MILES/KILOMETERS (HOURS)
2. The vehicle owner must substantiate each fuel and oil addition to the next oil change period with a daily log sheet showing date, miles/Kms/hrs., amount of fuel added, and amount of oil added. (see back page)
3. At the end of the test, the fuel tank must be refilled at the owner's expense. The oil level on the dipstick must be noted to estimate the amount of oil used (distance down from dipstick "full" mark)
DATE
ENGINE MILES/KILOMETERS (HOURS)
4. TOTAL OIL USED, QUARTS/LITERS
TOTAL FUEL USED, GALLONS/LITERS
5. Determine the fuel to oil ration. GALLONS/LITERS PER QUARTS/LITERS OIL
Illustration 1. Oil Consumption Test Report 06.05(10/06) 3 CATERPILLAR FORM NO. 01-081227-06(3906)
Bulletin No. 6.5
OIL CONSUMPTION DAILY LOG

(FOR OWNER/OPERATOR USE) Complete each entry for oil consumption verification. Record odometer reading each day (mileage) even if no fuel or oil additions are made. Both odometer and hourmeter readings should be recorded if unit is so equipped. Oil additions should be made only when oil reaches the "ADD" level on the engine dipstick.
MONTH
DATE 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
ODOMETER READING
HOURMETER READING
FUEL ADDITIONS
OIL ADDITIONS
2. Oil Consumption Daily Log 06.05(10/06) 4 CATERPILLAR FORM NO. 01-081227-06(3906)
Bulletin No. 6.5
Illustration 3. Oil Consumption Graph.
06.05 (10/07)
Bulletin No. 6.5
6 06.05 (10/07)
Bulletin No. 6.5
06.05 (10/07)
Bulletin No. 6.5
06.05 (10/07)
Bulletin No. 6.6
SERVICE
WARRANTY BULLETIN
Cold Weather Operating Complaints For On-Highway Vehicle Engines

Since engine heat is needed to avoid these problems, the engine is often blamed when in fact the cause of the problem may be in the installation and/or the operating environment. In the past Caterpillar has been asked to pay for troubleshooting and adding winter fronts, fan clutches, etc. to conserve engine heat. In most cases, investigation of cold operating complaints and vehicle modifications will NOT be paid for by Caterpillar.
Many cold weather complaints result from inadequate preparation; using incorrect weight oil, not having winter blend fuel, incorrect coolant mixture and weak batteries causing hard starting. Also, when unusually cold temperatures are experienced, normal levels of preparation are not adequate. In addition to hard starting and fuel problems due to waxing or jelling, other complaints often heard include 1) the engine does not get to operating temperature or 2) operating temperature cannot be maintained at idle or low load. Specific complaints may include: Engine runs cold (below 170F) Insufficient cab (or bus) heat Exhaust valve sticking White smoke These problems are due to the inability to conserve the heat that the engine generates. Ways to address these complaints are covered in the Caterpillar Operation and Maintenance Manual, Cold Weather Recommendations for On-Highway Diesel Truck Engines (SEBU6740).
Problems related to the truck/bus/RV manufacturers air lines that freeze due to condensation trapped in low points and subsequently cause air compressor failure are NOT the responsibility of Caterpillar. Cold weather complaints related to the vehicle should be referred to the appropriate truck/bus/RV manufacturer.
06.06 (11/95)
Indicates change.
Bulletin No. 6.6
06.06 (11/95)
Bulletin No. 7.1
SERVICE
WARRANTY BULLETIN
Removed Warranty Claim Parts Disposition and Parts Return Requests (Send It Back Program)
Overview
Parts removed during warranty repairs, as well as defective parts from stock, may be required to support dealer service claims made to Caterpillar. These parts may also be required by Caterpillar for engineering analysis. This bulletin provides Caterpillar dealers guidelines for handling these parts. TEPS dealers will still follow the requirements outlined in TEPS Bulletin 5.1 Warranty Parts Handling. date. If no Parts Return Request is received by the dealer within 15 days, the part can be returned for Core Value. For complete information on warranty claim core disposition and shipment, refer to Warranty Bulletin 7.2. All other warranty claim parts must be held in storage a minimum of 30 days after the claim registered date for possible Parts Return Requests by Caterpillar. If no Parts Return Request is received within the 30-day hold period, the removed warranty claim parts should be rendered useless and scrapped by the dealer.
Retention Schedule for Removed Warranty Claim Parts
The time period for warranty parts retention begins on the date the warranty claim is received by Caterpillar, also referred to as the claim registered date. Dealers can obtain the Claim Register date by either viewing on-line their Open Claims List via the Dealer Worksheet Index or by viewing on-line the individual service claim itself. When service claims are resubmitted for any reason, the retention period for any removed warranty claim parts starts over. The following schedule for retaining (holding) removed warranty claim parts for possible shipment to Caterpillar must be followed. PIP/PSP claim parts that are replaced under a Product Improvement Program (PIP) or Product Support Program (PSP) do not have to be held by dealers, unless the specific Service Letter indicates that they are to be retained or returned. These parts should be rendered useless and scrapped at the completion of the repair.
Disposition and Shipment of Warranty Claim Cores

For complete information on warranty claim core disposition and shipment, refer to Warranty Bulletin 7.2.
Mark Defects on Held Warranty Claim Parts and Cores

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

All removed parts that are being held must be protected against further damage. Until the claim is
Reman parts and parts with core value must be held for 15 days after the claim registered
07.01 (06/07)
Indicates change.
Bulletin No. 7.1
paid, the dealer owns these parts. Thus, dealers should protect their investment. The following are storage guidelines that Caterpillar expects dealers to follow: Parts must be cleaned (unless this destroys evidence of the cause of failure) and protected from the elements. Coat machined surfaces with anti-rust compound. This preserves parts so a technical analysis of the cause of failure can be made. Engine crankshaft main and connecting rod bearings must be marked according to cylinder number and taped together in sequential order. All components that are disassembled for determining cause of failure must be reassembled for storage. Bolts and nuts only need to be finger tight. Use protective caps and plugs on fuel injection nozzles and injectors.
Locate the parts before you respond. Respond to every Part Return Request promptly within 15 days. Package parts using the documents provided by Caterpillar. Ensure that each part is individually labeled. Transmit the electronic Core Credit Request in the Core Management Information System (CMIS2) for any part with core value and include a paper Core Credit Request (Caterpillar form number 01-040291-00 (4000)) with the part. Provide packaged parts to the specified carriers by the Caterpillar schedule.
Parts Return Request Response

Dealers should respond to each Part Return Request promptly in the Send It Back system. There are two types of responses. There is a 'Part Not Available' response and a 'Process' response. The 'Part Not Available' response will record the reason that the part is not available for return. It will then close the request and end the return process. No further action is necessary. The 'Process' response will initiate the return of the parts to Caterpillar. To initiate the 'Process' response, you will click the check box next to every part that is available for return. More than one part may be processed at the same time, but only if the parts are at the same location. Once the parts have been selected, click the 'Process' button. This action will open the "Requests for Processing" screen where the pickup information should be entered. Pickup location and some information about each part must be included in this response. The same pickup location and contact information will be used for every part included in this response. An accurate email address and phone number is required, as Caterpillar will use this information to coordinate the shipping process. Ensure an accurate weight for each part. Also, check the 'Pallet' box if the part will be shipped on a pallet. By default, the 'Return Part to Dealer' check box is selected. Leave this selected if you would like the parts returned to you in the case of a nonallowed claim. Special pickup instructions can be added by clicking the 'Yes?' link. This will open a text box for you to document the instructions. You will need to respond individually for each pickup location.
Storage of Held Warranty Claim Parts

In some cases, Caterpillar may request additional information, photographs, or the return of held warranty claim parts. Removed warranty claim parts must be retained, and should be systematically stored in a secured and limited access area. Good control of held warranty claim parts will allow dealers to promptly respond to requests, or to promptly dispose of parts not requested for return; thereby minimizing the dealer's storage costs.
Parts Return Request Notification
Part Return Requests will be generated each weekend and added to the Send It Back website at https://senditback.cat.com/. Dealers should check the Send It Back website every Monday for new Part Return Requests. The Send It Back website is the sole method of communicating Part Return Requests.
Dealer Responsibilities for Parts Return Request

There are a few steps in the process that each dealer must perform after having been notified of a Part Return Request.
Indicates change.
07.01(06/07)
Bulletin No. 7.1
Non-Allowed / Debited Claims Resulting From Parts Not Returned
If responses are not recorded in the Send It Back system within 15 days after issuance of the Part Return Request, any associated service claims will be either partially or totally non-allowed depending on the specifics of the service claim. Any subsequent claims for partially or totally nonallowed claims due to requested parts not being returned will not be considered for warranty. Caterpillar retains the option of debiting dealers for service claim credit previously paid. The following are examples of when debits may be issued as a result of warranty parts returns: Part Return Requests without a response. Parts damaged due to incorrect handling or packaging by dealer. Parts that should have been repaired. Assemblies that should have been rebuilt. Parts inspection indicates failure not Caterpillar's responsibility. Parts replacement not justified.
Each Dealer Pak will contain one part label per part in the shipment, and depending on the mode of shipment, a few other documents. Each common carrier shipment will contain two copies of the bill of lading with a detailed packing list of each part, a container label, and the individual part labels. Additionally, international shipments will include an Invoice for Customs purposes. Each part must be individually labeled with a Part Label regardless of the mode of shipment. Each Part Label should be in a waterproof envelope or bag on the outside of the part with the bar codes showing.
In addition, include a paper Core Credit Request (Caterpillar form number 01-040291-00 (4000)) with any part that has core value. Also, transmit the electronic version of this document in the Core Management Information System (CMIS2). For a complete description of the information required on the paper Core Credit Request, refer to Warranty Bulletin 7.2. You should also ensure that any labels required by the carrier should be affixed to the shipment as required by that carrier.
Packaging Guidelines For Shipment

Correctly packaged parts are less likely to be damaged during shipment. The following are general guidelines for correct packaging of all Caterpillar requested parts returns: When possible, use the crate or box which the new part or component was removed from for returning the damaged or defective part. Pack containers properly. Use containers that have adequate strength, and attach them to a pallet. Use dividers between items in cartons and between loose items. Always pack heavier items at the bottom. Palletize large, heavy items. Items not suitable for containers should be banded to pallets. Cover all part openings and protect exposed part surfaces. Whenever possible, package material so it can be handled with a lift truck. This greatly reduces handling time and minimizes potential damage. When loading the truck, don't stack heavy items on crushable items. Radiator core assemblies and other easily damaged parts should be loaded carefully. They can easily be damaged by load shift. Assign one specific individual to be responsible for the packing of all parts returns for shipment.
Packaging Requirements for Returning Warranty Parts

This section addresses the packaging requirements that dealers must follow for shipping removed warranty parts that have been requested for dealer return via a Parts Return Request.
Parts Identification and Consolidation For Shipment

Caterpillar will group all parts into loads based on the location, destination and weight of the parts. They will then schedule all shipments with the carriers. The shipping documents, known as the Dealer Pak, will be created by Caterpillar and delivered to you via email and the Send It Back website. The Send-It-Back system will specify the carrier and pickup schedule on the Pickup Schedule screen.
07.01 (06/07)
Indicates change.
Bulletin No. 7.1
Requirements For Shipments From Canada

Documentation For Surface And Air Shipments From Canada The following documents are required and will be provided to you for surface and air shipments from Canada: Two (2) copies of the Invoice for Customs purposes and two (2) copies of Bill of Lading are needed. One (1) copy should be placed with shipment and one (1) copy should be given to the driver. Include one original copy of EPA form 3520-21 for all engines (including those in machines, gen-sets or stand alone) shipped into the U.S. On the Invoice for Customs purposes, you will be required to complete the unit value and extended value for each part included in the shipment. You must also complete the country of origin, which can be obtained by inspecting the parts. If no country of origin is specified on the part, you should specify your current location as the country of origin. You should specify the currency units used to determine the part value. For Surface Shipment - Fax Bill of Lading with carrier Pro Number and Commercial Invoice to: Becky Staggs Import Manager/PIA Licensed Customs Broker NCBFAA Certified Compliance Specialist Fax: 1 309 673 4133
Indicates change.
07.01 (06/07)
Bulletin No. 7.2
SERVICE
WARRANTY BULLETIN
Removed Warranty Claim Cores Disposition/Shipment For Remanufacture

Responsibility To Establish Cause Of Failure On Failed Cores
When using remanufactured products to replace a failed part or component, the failed part or component will be returned to Caterpillar as a core return for remanufacturing. Prior to return of the failed core, the dealer must establish the cause of failure to determine if warranty applies to the failed core. The failed core should be disassembled enough to determine the cause of failure and the extent of damage to the parts. The core must then be completely reassembled for return to Caterpillar.
Shipment Of Non-Requested Removed Warranty Claim Cores

Removed warranty claim cores that are not requested by Caterpillar through a Parts Return Request, should be shipped to Caterpillar in the dealer's normal core return manner. Cores must also have the blue warranty tag attached. For complete instructions, refer to Reman Core Management Systems & Operations Procedures (SELD0040), Reman Policies and Core Management (SELD0122), and Shipping Instructions (SELD0039). All above can be found on the Reman website
https://reman.cat.com/home/index_publications_policiesandprocedures.html
Core Credit Refund
under the Publications/Policies tab. Note: Do not ship non-requested warranty claim cores to the Peoria Service Claims Room.
For each purchased remanufactured part or component, Caterpillar invoices dealers a core deposit. Once the core is properly returned to Caterpillar, the original core deposit is refunded to the dealer. Dealers must submit a Core Credit Request (CCR) document to Caterpillar whereby it is processed into the Core Management Information System (CMIS 2) to receive this refund. Warranty claim core credits cannot be issued to dealers on Service Claim Settlement Notices. The extent of core damage caused by the failure does not affect the core credit. However, if the Warranty claim core does not meet Caterpillar's acceptable core criteria due to mishandling, there can be a penalties assessed.
Shipment Of Requested Removed Warranty Claim Cores
Removed warranty claim cores that are requested by Caterpillar via a Parts Return Request on the SendIt-Back system should be returned using the process documented in Warranty Bulletin 7.1. When returning removed warranty claim cores per a Parts Return Request, the dealer should either transmit the electronic Core Credit Request to the Core Management Information System (CMIS 2) or enter the CCR directly into CMIS 2, and include a paper Core Credit Request (Caterpillar form number 01040291-00 (4000)) with the part. Cores must also have the blue warranty tag attached.
07.02 (06/07)
Indicates change.
Bulletin No. 7.2
Caterpillar will issue dealers full core credit in advance of the physical receipt of the warranty PRR core upon successful submission of dealer's CCR document in CMIS2. To receive this advance core refund, the CCR must have the appropriate PRR indicator selected and the associated Caterpillar warranty claim number applied in designated field.
- Dealer chooses to have all returned claims canceled. - Claims, which have been returned and have exceeded the 20-day dealer processing limit in the on-line grief hold file. For dealers on DBS, the system will automatically restart the hold period on resubmitted claims for which the original claim was canceled. If the part is held for the required hold period on a resubmitted claim, the dealer is free to ship the part after the hold period expires. The resubmitted claim cannot be denied for non-return of parts if Cat subsequently issues a parts return request against the claim. The hold period does not start over on a CONTESTED supplemental claim. If a claim is determined to be a non-warranty (warranty denied) and later submitted as a supplemental claim (Contested supplemental...description code 20) the supplemental claim cannot be denied if the dealer returned the core to Cat after the holding period had expired.
Retention Schedule For Removed Warranty Claim Cores

The following is the time schedule that dealers must retain (hold) removed warranty claim cores associated with the use of remanufactured products: PIP/PSP claim cores that are replaced under a Product Improvement Program (PIP) or Product Support Program (PSP) do not have to be held by dealers, unless the specific Service Letter indicates that they are to be retained. For such cores, dealers are free to immediately return the core to Caterpillar for core credit.
For dealers who receive parts return requests on line the hold period is 15 days from claim registration date. For dealers who receive parts return requests via paper (mail) and all TEPS dealers the hold period, from claim registration date, is as follows: - 30 days for supplier Recovery parts (Turbos/Air Compressors) that is cause of failure. - 15 days for all other Reman products. If a dealer has not received a PRR within the required holding period, the core can be shipped to the Cat core processing facility without penalty. If a parts return request is received after the hold period has expired, and the core has been shipped, the dealer cannot have a claim denied by Caterpillar for non-return of parts. There is an exception to the hold period when a claim is CANCELED. If a claim is CANCELED and later resubmitted the dealer should adjust his holding period requirements to reflect the claim resubmission date and hold the claim another 15/30 days. Reasons for a claim being canceled are as follows: - Dealer requested because claim was not complete. - System Process - Cat system will cancel if doesn't meet editing guidelines to process. Prompt notification is given in these cases. - Cat Analyst. If claim cannot be processed because information provided cannot be fully evaluated.
Indicates change.
07.02 (06/07)
Bulletin No. 7.5
SERVICE
WARRANTY BULLETIN
Shipping Damage and Discrepancies

When damages occur to parts and engines during shipment, the causes could be improper packing at the factory or improper handling or negligence on the part of the carrier. A discussion of these causes and related situations follow:
Engines or Parts Damaged by the Shipping Carrier

When damage occurs because of storage or mishandling due to negligence on the part of the shipping carrier or parties other than the manufacturer, a Warranty Claim should not be submitted. In such cases, claims should be made against the shipping carrier involved.
Engines Damaged Due to Improper Packing

If an Engine/On-Highway transmission has parts damaged (including loose shipped parts) during transit, as a result of improper packing at the factory, a Warranty Claim may be submitted for parts replaced. An explanation of the circumstances surrounding the incident, as well as photographs showing the part and related packing damage, should be retained.
Errors in Shipment of Engines and Serial Numbered Attachments

Errors can occur on Engine Division Product shipments (engine and serial numbered attachments). Warranty Claims for correction of such errors should be submitted via the Caterpillar On-line System. Individual parts needed for the correction must be sourced from the Caterpillar Parts Distribution System. Any components that are sourced only from Caterpillar Engine Division, such as PL numbers, PA numbers, or groups that are not serviced as a complete group in the Parts Distribution System, must be ordered through Caterpillar Engine Scheduling and Ordering Division, as per the Engine Order Guide. For components that are sourced only from Caterpillar Engine Division, dealers cannot break a component down into individual parts so that the parts can be ordered through the Parts Distribution System.
Parts Damaged Due to Improper Packing

If parts are damaged because of improper packing or handling by Caterpillar, submit a Defective Parts Stock claim. Refer to the Parts Stock Claim Filing Instructions in Bulletin No. 3.6 of this Warranty Guide. The Claim Story should describe the nature and extent of the damages, as well as how you believe those damages happened and to what they can be attributed.
07.05 (10/07)
Indicates Change
Bulletin No. 7.5

Warranty Claims for errors found on Engine/OnHighway Transmission Division Product at an Original Equipment Manufacturer (OEM) factory should be submitted using 00IFI00 as the delivery date. For errors found when Engine/On-Highway Transmission Division Product is in dealer inventory or not yet in service, use 00NIS00 as the delivery date. The group number and description code on the claim should be as per the following: For errors on Engine/On-Highway Transmission Division Product at an OEM factory, the group number must be 7783 and the description code must be 82 in the claim-heading portion. For errors on Engine/On-Highway Transmission Division Product in dealer inventory or not yet in service, the Group Number should be the Group Number or Substitute Group Number of the component that has the error and the Description Code must be 82 in the Claim Heading portion of the claim. For an Engine/On-Highway Transmission Division Product at an OEM Factory or in dealer inventory, use the appropriate Group Number and Description Code that best defines the failure.
Accidental Shipment of a Used Part Instead of a New Part

Occasionally, dealers may receive a used part on a Parts Order from a Caterpillar Parts Distribution Center. If dealers receive a used part, the part cannot be sold to a customer. Such a part or parts should not be claimed on a Warranty Claim. Rather, dealers should claim the used parts on a Parts Shipment Discrepancy Notice, Form 47-831-13857, and send it to the source from which it was initially received. On the Parts Shipment Discrepancy Notice, dealers should explain the reason for the rejection and include all information that will help the Caterpillar Parts Department solve the problem.
When more that one part is in error submit only one claim for the parts/components involved in the error. Details of the error and the Engine Shipping Order (ESO) Number or OEM Specification Number must be included in the Claim Story. Documentation of the error must be kept on file for audit purposes. Refer to Bulletin No. 7.1 of this Warranty Guide, for information on handling of the parts removed.
Errors in Shipment of Parts

When claiming for errors in parts, use a Parts Shipment Discrepancy Notice, Form 47-831-13857. DO NOT submit a Warranty Claim, when claiming for errors in parts. The Caterpillar Management Partsgram, For PEG0003-4, gives complete details for preparation of Parts Department claims involving parts discrepancies.
Indicates Change
07.05 (10/07)
Bulletin No. 7.6
SERVICE
WARRANTY BULLETIN
Shortage in Engine Shipments

Causes of shortage in shipment can be found in the order fulfillment, manufacturing, logistics, transportation or Dealer operations/storage processes. It is therefore imperative to identify the correct responsibility for each case. It is the Dealers responsibility to check and inspect the Engines upon delivery to the Dealership or Warehouse, and to perform a thorough analysis of a suspected short-shipment case prior to submitting any claim. Situations for which either the Dealer or the Forwarder is responsible must be addressed to the appropriate party. They should never be claimed through the Caterpillar Corporate Service Claims System. For those situations where Caterpillar is responsible, claims may be submitted through the Caterpillar Corporate Service Claims System. If the failure root cause is within the Engine Orders fulfillment process, claims should be sent under Service Management Control System (SMCS) code 7783: 7783 Short-shipment claims related to the order fulfillment process (i.e. parts that do not require some disassembly, operation or testing to be checked). Note: The process outlined in this Bulletin only applies to Engines ordered and received through the Cat Engine Order fulfillment process (i.e. CEOPS or EOMP for most Dealers). This process does not apply to separate Parts and Components ordered through the Parts supply process (Antares for most Dealers).
Claim Practices for Short Shipments Resulting from a Problem Within The Order Fulfillment Process.
SIMS Report must be submitted prior to submitting a claim. Enter the claim under the engine or genset prime Serial Number. Delivery date should be as per the predelivery format (00NIS00 or see Warranty Guide). If more than one part is missing enter the most expensive part in the Part Causing Failure field. In the claim story for all the missing parts give the corresponding group numbers (including their names). The group number must be 7783. The product defect code (PD code) must be submitted as 82 (missing part). Enter the ESO number and/or SAP number in the claim field called Comments/Findings (also called Special Data field). Example: ESO BPSTG (108364) Parts and Dealer labor to repair or install parts that were damaged or missing as a result of a factory error may be claimed. For Factory OEM, parts, reasonable Dealer labor, travel, mileage and miscellaneous items for parts missing or damaged as a result of a factory error may be claimed.
07.06 (10/07)
Indicates Change
Bulletin No. 7.6
Important Please note:

The claim must be submitted within 90-days of ship date (the engine must be checked upon arrival at Dealership or Warehouse). Missing Cat Literature will no longer be reimbursed. For missing or incorrect Literature please email the appropriate account coordinator. Include the following information in the email; The ESO (engine shipping order) number, the product serial number, the literature part number that is missing and the ship-to address. For Mossville engines only (facility codes 40 and GN) use the following address: shortship_literature@grayinterplant.com For all other engines email: Shortship_dppliterature@cat.com
Indicates Change
07.06(10/07)
Bulletin No. 8.1
SERVICE
WARRANTY BULLETIN
Documentation For Warranty Claims And Audit

With the advent of the electronic On-Line Service Claims System, documentation for Warranty Claim information must be readily available in the dealers file for auditing purposes. This bulletin specifies the information needed for Warranty Claim support. Caterpillar may periodically request any of the following documentation for up to one year from the settlement date.
Opening Work Order Documentation

The work order must be opened prior to the expiration of the warranty period and must indicate date failure occurred, the customer complaint(s), product Serial Number, and the delivery date or parts start date.
Service Reports/SIMS Entries Repair Documentation

All claimed items must be documented by work orders, service reports, parts requisitions, job cards, outside purchase invoices, and/or a job summary. Dates of the repair labor performed must be available.
For all on-highway truck engine/transmission warranty repairs, the truck make, truck model, and cab type must be listed on the work order or service report. When applicable, all cylinder liner and cylinder block wear measurements must be recorded and retained on file, including liner flange thickness, liner projection, and liner seat wear on the top of the cylinder block. A photocopy of Illustration 1 can be made for use in recording this information. For engine performance repairs, the engine fuel system setting information that is outlined in Illustration 2 must be recorded and retained on file. A photocopy of Illustration 2 can be made for recording this information. For additional information on engine performance data, refer to Bulletin No. 6.4 of this Warranty Guide.
A Service Report generated at the time of the repair is required, showing the part causing failure, group number, description code, and service meter hours/miles/kilometers. The Service Report must indicate the complaint, the cause of failure, and the repair method used. The Service Report comments must include details of why parts or components were replaced, and justification for labor operations involved. A Service Information Management System (SIMS) entry must be entered promptly after the repair.
Delivery Date
The delivery date must be obtained and confirmed at the time the work order is opened. This can be substantiated by a bill of sale from the customer. Although it is the users responsibility to provide proof of delivery date, there are other methods for obtaining this information. Refer to Bulletin No. 8.3 of this Warranty Guide for information regarding determination of the delivery date.
08.1 (10/06)
Indicates change.
Bulletin No. 8.1
Delivery Reports (Industrial/Marine)

A Delivery Report, with the date of delivery to the customer, is required for industrial and marine applications. It must be signed by a representative of the customer. For rental units, the Delivery Report must be dated at the time of first rental use and signed by a dealer manager. A demonstration unit is considered delivered at the time 2 years or 200 hours are accumulated, whichever occurs first. The date the unit reached either of these limits should be entered into the Product Information System (PIS) as the delivery date, and the appropriate documentation of this date should be filed in the history folder. Refer to Bulletin No. 8.3 of this Warranty Guide for information regarding delivery dates of demonstration units.
Towing
When claiming for towing, a copy of the towing invoice relating to the warranty repair must be retained on file.
Customer Credit Documentation

An invoice or job summary charging the repair to a warranty account, or an invoice to the customer showing a credit, is required for all warranty repairs prior to claiming.
Other Documents
Some claims require additional data for processing. The following information must be on file, if applicable: Lack of power data or power results (PAR data). Automatic cylinder cutout test results (before and after). Oil consumption data (Refer to Bulletin No. 6.5). Fuel Nozzle/Injector Test Record Sheets, Form SEHS8144. Related claims and their settlements. Invoice for claimed Caterpillar Emergency Service Charges (Refer to Bulletin No. 4.1, 5.1, and 5.2). Invoices for freight charges (Refer to Bulletin No. 4.1, 5.2, and 7.1). Battery Warranty Test Sheets (Refer to Bulletin No. 3.7). Histograms/Logged Diagnostic and Event Codes (refer to Bulletin 4.4) Legible copies of scanned documents, such as service reports, outside invoices, etc., are acceptable documents for warranty audits.
Previous Repair Invoice

Parts Warranty must be documented by a previous customer invoice or a previous revenue work order. The dealer should verify the part causing failure was the part installed during the previous repair. The documentation must show the date of previous repair or customer purchase, and the parts installed in the previous repair. Caterpillar recommends that the Parts Sales Invoice includes the customer name, the cab-type (for on-highway trucks), the Engine/Transmission Division Product serial number/vehicle number, and the make and model of the OEM product.
Outside Purchase Invoices

When claiming for outside work, material, or services purchased for a warranty repair, the suppliers invoice must be retained on file. The invoice must show actual cost to the dealer, and be reasonably detailed.
Indicates change.
08.1 (10/06)
Bulletin No. 8.1
Illustration 1.
08.1 (10/06)
Bulletin No. 8.1
Illustration 2.
08.1 (10/06)
Bulletin No. 8.2
SERVICE
WARRANTY BULLETIN
Engine/On-Highway Transmission H Identification

NOTICE
Metal stamping tools are not to be used on the Information Ultraplate-Film.
Information Plates
All Engine Division Products shipped from the factory have affixed to them a Serial Number Plate (Illustration 1 and 2) located on the side of the block and either an Information Plate or an Information Ultraplate-Film located on a valve cover. All engines manufactured and shipped from the LaFayette plant have affixed to a valve cover an Information Plate (Illustration 3). This same Information Plate was also attached to engines manufactured and shipped from the Mossville and Greenville plants prior to November 1994. Engines shipped from the Mossville and Greenville plants after November 1994 will have affixed on a valve cover an Information Ultraplate-Film (Illustrations 4 through 7). Packaged products shipped from the Lafayette or Griffin plant will have an information plate affixed to the unit. Refer to Warranty Bulletin 5.6 for information concerning this.
Illustration 1. Serial Number Plate (For 3054/3056, 3114/3116, 3126, 3176, 3208 Engines).
For On-Highway Transmissions the s/n plate is located on the left front of the transmission, as viewed from the engine flywheel housing. (Illustration 8) These plates offer a variety of data about the engine which may be required in administering warranty, or preparing a claim. Any entry on the Serial Number Plate, or the Information Plate must be made with a metal stamping tool. If changes are required to the Information Ultraplate-Film, a replacement metal plate must be ordered through the Morton Parts System and installed over the current Information Ultraplate-Film. All entries on replacement plates must be made with a metal stamping tool. Any information not stamped will be considered invalid. Illustration 2. Serial Number Plate (For C-10, C-12, C-15, C-16, 3300, 3400, 3500, 3600 Engines).
08.2 (10/06)
Indicates change.
Bulletin No. 8.2
Illustration 3. Information Plate On Valve Cover. (For all Lafayette Engine Products.)(For Mossville and Greenville Products Prior to November 1994.)
Illustration 6. Ultraplate-Film (For Industrial, Power Generation, Vehicular Engines).
Illustration 4. Ultraplate-Film (For Electronic Controlled On-Highway Truck Engines).
Illustration 7. Ultraplate-Film (For Marine Engines).
Illustration 5. Ultraplate-Film (For Mechanical On-Highway Truck Engines).
Illustration 8. Serial Number Plate for On-Highway Transmissions.
08.2 (10/06)
Bulletin No. 8.3
SERVICE
WARRANTY BULLETIN
Establishing Product Delivery Date For Engines and Transmissions

Peterbilt - The delivery date and serial number are typed on a gum-backed decal which is placed on the glove box door. If the information cannot be found, Peterbilt prefers that dealers call the selling dealer. Freightliner - The delivery date is stamped near the serial number on the left-hand frame rail near the front tire. GMC/Chevrolet - The delivery date is in the Warranty Booklet, which is provided with each vehicle. The delivery date should also be stamped on the left-hand door. If not, the fleet home office can provide the delivery date information. As an alternative, dealers can call the selling dealer. WhiteGMC (Volvo GM) - The delivery date should be stamped on the right-hand frame in the middle of front spring saddle. If not, you must call the selling dealer. Mack - To obtain the delivery date, dealers must call the selling dealer. Ford/Sterling - An owner card stamped with the delivery date is provided with the vehicle. If not, dealers can contact the selling dealer or fleet headquarters. As an alternative, dealers can call the Ford District Office. Navistar-International - The delivery date is located on the latch side of the drivers door frame. If the information cannot be found, dealers should obtain the last 8 digits (3 letters and 5 numbers) of the vehicle identification number and call Navistar-International at 219-461-1850.
Delivery Date (All Applications)

The correct delivery date is required information on a Warranty Claim. It is important that the correct delivery date be known before a warranty decision is made with the user. The delivery date or in-service date to the initial user is the beginning date of the warranty period. This date must be provided on the Warranty Claim. The user has the responsibility to provide proof of the delivery date. Although it is the users responsibility to provide proof of delivery date, there are other methods for obtaining this information. The delivery date can be obtained from the product information plate or from the Caterpillar on-line Product Information System (PIS), if it has been previously entered in PIS. Any documented information received from the customer that has not previously been entered into the Product Information System (PIS), should be entered by the obtaining dealer. If there is a discrepancy between the customer supplied information and PIS, the discrepancy should be resolved at the time of repair. For on-highway truck engines, the delivery date can also be obtained as per the following on-highway vehicle manufacturers: Kenworth - The delivery date is located on the top flange of the right-hand frame rail within 3 feet (0.9 m) of the front, and is also located on edge of the drivers door.
08.3 (01/08)
Indicates change.
Bulletin No. 8.3
Western Star - The delivery date is located on the right-hand frame rail over the front axle. As an alternative, dealers can call Caterpillar Engine Division OEM Marketing at 309-578-8097. Blue Bird Body Co. - To obtain the delivery date, dealers must call the selling dealer. Gillig - For motor homes, dealers must contact the selling dealer for the delivery date. For school buses, the delivery date is located above the drivers left window. Thomas Built Buses - To obtain the delivery date, dealers must call Thomas Built Buses L.P. at 919-889-4871 (Product Support Department) and give them the chassis and body numbers. Oshkosh - To obtain the delivery date, dealers must call the selling dealer.
Warranty Start Date/Delivery Date For Demonstration Units

On engines/on-highway transmission used strictly for demonstration purposes by the OEM and/or dealer, the warranty period starts at the time of the first demonstration. This warranty start date should be entered in the Product Information System (PIS) as the delivery date. The initial user in this case, is the OEM or dealer (such as garbage packer or a street sweeper traveling from city to city with the intent of generating orders for similar product). On engines/on-highway transmission powering vehicles being demonstrated with the intent to sell that specific unit, the warranty period starts when the vehicle is placed in service by the first user, provided the demonstration(s) does not exceed the limits listed below. Should these limits be exceeded, the warranty period will start when the engine reaches the following limits: For Mid-Range On-Highway Vehicle Engines/on-highway transmission (3116, 3126, 3208, C7) - 1 year or 5,000 miles, whichever occurs first. For Heavy Duty On-Highway Vehicle Engines/on-highway transmission ( C-9/10.3 liter thru 18.1 liter) - 1 year or 10,000 miles, whichever occurs first. For Industrial and Marine Units 2 years or 200 hours, whichever occurs first. Should the limits listed above be exceeded before delivery to the initial user, the dealer should enter the warranty start date in the Product Information System (PIS) as the delivery date. At delivery to the initial user, demonstration units may have accumulated miles/kilometers/hours that is within the limits listed above. In such cases, the delivering dealer should enter on-line a Service Information Management System (SIMS) report with the following comment: Warr Start Miles = ___________ or Warr Start Hours = ___________
Delivery Date For Replacement Engines/On-Highway Transmission

The delivery date on replacement engines should be stamped on the engine Information Plate. If the replacement engine/on-highway transmission has remaining New Engine/On-Highway Transmission Warranty, then the original engine delivery date should be stamped on the Information Plate. If the replacement engine/on-highway transmission has its own warranty (New or Remanufactured), the inservice date of the replacement engine/on-highway transmission should be stamped on the Information Plate. If proof of the engine/on-highway transmission delivery date cannot be found, the dealer who replaced the original engine/on-highway transmission may have to be contacted.
Delivery Date For Remanufactured Engines

Remanufactured engines/on-highway transmission have their own warranty. The in-service date should be stamped on the engine Information Plate of Remanufactured engines/on-highway transmission. Do not enter the in-service date of the Remanufactured engine/on-highway transmission as the parts start date, when submitting a Warranty Claim.
Indicates change.
08.3 (01/08)
Bulletin No. 8.3
Warranty claims submitted on demonstration units after delivery to the initial user should reference the warranty start miles/kilometers/hours from the SIMS report in the Claim Story, if it is to be a factor in determining warranty.
Establishing On-Highway Vehicle Mileage

The repairing dealer is responsible to verify the accuracy of the vehicle odometer. If the mileage odometer is inoperative, in error, or has been tampered with, the miles should be estimated as per the following: For Mid-Range Engines (3116, 3126, 3208), Calculate 250 miles (400 km) for each day of service since the delivery date to the initial user. For Heavy-Duty Engines (3176, C-9, C-10, C12, C-15, C-16, 3306, 3406), Calculate 400 miles (640 km) for each day of service since the delivery date to the initial user.
Delivery Date For Commercial Applications

In addition to a standard delivery date, the in-service date, or the commission date can be the start of the warranty for commercial except those used for demonstration purposes.
Delivery Date For Transferred EPG Units

For Electric Power Generation Products that have been transferred from the first user to a second user prior to being started by an authorized Caterpillar Dealer, warranty will start upon delivery to the first user. Caterpillar reserves the right to make exceptions to this policy based on proper storage procedures, adherence to application/installation guidelines, proper start-up and confidence in the selling entity's willingness and ability to ensure customer satisfaction for non-warrantable failures.
New On-Highway Vehicles With Accumulated Mileage Before Delivery

Occasionally new on-highway vehicles will have accumulated miles before delivery to the initial user due to situations such as: Driving the vehicle from the factory to the dealer, or Driving the vehicle to and from an outfitter for special attachments. In such cases, the delivering dealer should enter on-line a Service Information Management System (SIMS) Report with the following comment: Warr Start Miles = _________ Warranty Claims submitted on such vehicles after delivery to the initial user should reference the warranty start miles/kilometers from the SIMS report in the Claim Story, if it is to be a factor in determining warranty.
Delivery Date For Engines Not Delivered But Being Used

There is a maximum service hour limitation allowed before an engine product is considered delivered, for engine products in industrial/marine applications that have been transported to a job site, but: Have not had a delivery service performed, or Have been put into service on an emergency basis only, or Have been put into service without the knowledge of the Caterpillar dealer. In these instances, 200 hours is the maximum amount of service allowed before the product is considered delivered, and the warranty period started. The date that such products reach 200 hours should be entered in the Product Information System (PIS).
08.3 (01/08)
Indicates change.
Bulletin No. 8.3
08.3 (01/08)
Bulletin No. 8.4
SERVICE
WARRANTY BULLETIN
Processing Of The Engine/Product Delivery Service Record
The Engine /Product Delivery Service Record can be used for Engines and Engine Products such as Gensets, UPS, ATS, Swithgear and On-highway Transmissions.
Distribution Of Engine/Product Delivery Service Record, if a Caterpillar dealer delivers the engine/product: Dealer retains the white copy,
The dealer has the option of sending the factory copy of the Engine/Product Delivery Service Record to Caterpillar, or entering the delivery date in the computer on-line Product Information System (PIS). If dealers choose to send the Engine/Product Delivery Service Record to Caterpillar, it should be sent to: Mail: Caterpillar, Inc. Attn: Service Claim System Coordinator Marketing Systems Division - AB6140 100 N.E. Adams St. Peoria, Illinois 61629-6140 Fax: (309) 675-1831 Refer to the Product Information System User Manual, Form SEBD0631, for instructions on entering delivery information in the on-line computer system via PIS. Original copies of the Engine/Product Delivery Service Record must be retained in the dealer files for verification of delivery date and for audit purposes. The Engine/Product Delivery Service Record, Form 01-83995 (See page 2), is used to notify Caterpillar of engine/product delivery and to provide information for proper administration of warranty to the user. This form is to be completed by the delivering dealer and reported promptly to Caterpillar either by on-line computer or mail.
Dealer sends the yellow copy to Caterpillar, unless entered on PIS, Dealer sends the green copy to the OEM dealer, if applicable, and Dealer sends the pink copy to the user. Distribution Of Engine/Product Delivery Service Record if an OEM (original equipment manufacturer) delivers the engine/product: OEM retains the green copy, OEM sends the pink copy to the user, and OEM sends both the yellow and white copy to the Caterpillar dealer. The Caterpillar dealer retains the white copy and either enters the delivery date on PIS, or sends the yellow copy to Caterpillar.
08.4 (10/06)
Indicates change.
Bulletin No. 8.4
I l s r t o . The Engine/Product Delivery Service Record, Form 01-83995-10. lutain
08.4 (10/06)
Bulletin No. 8.5
SERVICE
WARRANTY BULLETIN
Approved Warranty Rate Submission (Engine Division Only)

In order for Caterpillar to correctly reimburse warranty labor expense (when applicable), a notification of labor rates is required from all dealers. This notification is made by submitting an Engine Labor Rate Report, Form 87859-03 (see Illustration 3). The Engine Labor Rate Report is available through the Caterpillar Literature Distribution System. Caterpillar enters the information from the Engine Labor Rate Report into the Caterpillar On-Line Service Claim System data base. If a dealer does not enter the labor, travel, or mileage rates on a Warranty Claim, the On-Line Service Claim System will automatically assign the shop warranty rate on-file for labor and the shop selling rate on file for travel and mileage. If the rates on file in the On-Line Service Claim System are not the correct rates, the dealer should manually enter the correct rates during the on-line entry of the Warranty Claim. The rate claimed must be the rate in effect at the time of repair completion.
Where To Send The Rate Report

For reporting and approval of warranty labor rates, dealers must send the completed Engine Labor Rate Report to their Caterpillar Engine Area/Region Office, Attention Engine Area Manager/Truck Engine Regional Manager. Once the Engine Labor Rate Report has been approved by the dealers Caterpillar Engine Area/Region office, a copy of the Engine Labor Rate Report should be given to the dealers Warranty Administrator. This will ensure that the rates claimed are the same as those reimbursed by Caterpillar.
Completing The Rate Report

The dealers actual published selling rates for revenue customers and the dealers cost rates must be entered on the Engine Labor Rate Report. These rates should be listed for the main store and each branch store that will be submitting Warranty Claims to Caterpillar. Under Section 1 (Labor Rate Information) of the report are lines for entering, when applicable, a labor rate allowance for shop supplies and/or hazardous waste disposal. These allowances can only be entered on the report, if these charges are typically itemized on revenue service shop invoices. A total explanation of each allowance and how to calculate follow:
When To Submit The Rate Report

An Engine Labor Rate Report must be submitted to Caterpillar ten days prior to any of the following changes: change in a labor rate addition or deletion of a branch dealer code submitting Warranty Claims change in dealer name or dealer code(s)
08.05 (10/01)
Bulletin No. 8.5
Shop Supply Allowance For Warranty Labor Rate

Bulk Caterpillar part number supply items and Non-Caterpillar part number supply items are not allowed as itemized expenses or part of a parts summary (LLOW) expense line on Warranty Claims. To receive allowance for these supply items, dealers must include the cost of these expenses in their approved engine warranty labor rate. For dealers to include shop supply expenses in their engine warranty labor rate, they must be able to demonstrate that these expenses are typically itemized on revenue service shop invoices as separate charges to the customer and not included in their published labor selling rate for revenue customers. For complete details concerning which shop supplies can be included in the dealers approved engine warranty labor rate, refer to Bulletin No. 3.1, 4.1, 5.1, 5.2, or 5.3 of this Warranty Guide under the subhead entitled Shop Supplies. Supplies such as floor cleaning compounds, solvent tank solutions, and cleaning tank/steam cleaner chemicals are not considered shop supplies and should be included in the shop overhead cost. To determine how much a given warranty labor rate should be adjusted to compensate for shop supply expenses, it is recommended that dealers randomly select twenty revenue work orders. Of the twenty randomly selected revenue work orders, ten (50%) should have a total dollar amount above $2500 per work order and the remaining ten (50%) with a total dollar amount below $2500 per work order. Illustration 1 provides a format for dealer use in calculating the appropriate allowance for shop supplies from the 20 revenue work orders. Note: The Labor Rate Allowance for shop supplies may not exceed $2.50 per hour. It is suggested that a photocopy be made of Illustration 1 for recording these calculations. The calculations must be kept on file for reference and audit purposes. After computing the shop supplies allowance in Illustration 1, the allowance should be entered on the Engine Labor Rate Report under Section 2, Item C. The calculations in Illustration 1 assume that the use of shop supplies increases as labor hours per repair increase.
During a Warranty Audit, dealers may be asked to randomly select twenty revenue work orders. From these work orders, the Caterpillar Auditor will calculate the shop supplies allowance for an approximate comparison with the dealers calculations on file.
Hazardous Waste Disposal Allowance For Warranty Labor Rate

The cost to dispose of hazardous waste is not allowed as an itemized expense on Warranty Claims. To receive allowance for this expense, dealers must include the cost of hazardous waste disposal in their approved engine warranty labor rate. For dealers to include hazardous waste disposal expenses in their engine warranty labor rate, they must be able to demonstrate that these expenses are typically listed on revenue service shop invoices as a separate charge to the customer and not included in their published labor selling rate for revenue customers. The disposal of hazardous waste materials includes, but is not limited to, lubricants, coolants, solvents, cleaners, and steam bay water. In cases where the waste material is collected and sold as used material, such as oil, the cost to collect the material may be greatly reduced or negligible. To determine how much a given warranty labor rate should be adjusted to compensate for these expenses, it is recommended that dealers pull all revenue work orders that were completed during a given 30-day period. Illustration 2 provides a format for dealers to use in calculating the appropriate allowance for hazardous waste disposal from the sampled revenue work orders. Note: The Labor Rate Allowance for hazardous waste disposal may not exceed $1.10 per hour. It is suggested that a photocopy be made of Illustration 2 for recording these calculations. The calculations must be kept on file for reference and audit purposes. After computing the hazardous waste disposal allowance in Illustration 2, the allowance should be entered on the Engine Labor Rate Report under Section 2, Item D.
Whenever the shop labor selling rate changes, the hazardous waste disposal allowance should be recalculated.
Whenever the shop labor selling rate changes, the shop supplies allowance should be recalculated.
Indicates change.
08.05 (10/01)
Bulletin No. 8.5
During a Warranty Audit, dealers may be asked to pull all revenue work orders completed during a given 30-day period. Using these work orders, the Caterpillar Auditor will calculate the hazardous waste disposal allowance for an approximate comparison with the dealers calculations on file.
Illustration 1. Calculations To Determine Labor Rate Allowance For Shop Supplies. Note: May not exceed $2.50 per hour.
Illustration 2. Calculations To Determine Labor Rate Allowance For Hazardous Waste Disposal. Note: May not exceed $1.10 per hour.
08.05 (10/01)
Indicates change.
Bulletin No. 8.5
TEPS/AMD Warranty Rate Reporting

Caterpillar dealers must obtain Caterpillar Engine Area/Region Office approval for warranty rates of their TEPS dealers/AMDs. Area/Region Office approval is required anytime a TEPS dealers/AMDs warranty rate changes. All TEPS dealers/AMDs selling and warranty rates are communicated to Caterpillar by using either a paper Dealer Data Sheet (Form N4-086062) or the Dealer Data System (DDS). To update TEPS dealers/AMDs warranty labor rates, Caterpillar dealers must send either a diskette of the TEPS dealers/AMDs Data Sheet from the Dealer Data System, or a paper Dealer Data Sheet to their Caterpillar Engine Area/Region Office. Caterpillars approval must be obtained from the Engine Product Support Representative and either the Truck Engine Regional Manager for Truck TEPS dealers or the Engine Area Manager for Mobile-Ag TEPS or Marine AMDs. Upon Caterpillar Engine Area/Region Office approval, the labor rate changes are updated in the Caterpillar On-Line Service Claim System data base.
Truck Chassis Dynamometer Labor Rate

To help Caterpillar dealers and TEPS dealers recover part of the large capital investment required to install truck engine chassis dynamometers, Caterpillar will reimburse dealers for all chassis dynamometer labor associated with truck engine warranties at 1.2 times the dealers approved warranty labor rate. This applies only to PAR-Certified dealers. To claim a higher warranty labor rate for chassis dynamometer labor on Warranty Claims, PAR-Certified dealers should enter the 20% higher warranty labor rate in the labor rate field of all labor expense lines that are associated with dynamometer labor.
Travel Labor Rate

The allowances calculated for shop supplies and hazardous waste disposal should not be included in the travel labor rate.
Indicates change.
08.05 (10/01)
Bulletin No. 8.5
Illustration 3. Engine Labor Rate Report, Form 87859-03.

08.05 (10/01) 5 Indicates change.
Bulletin No. 8.5
08.05 (10/01)
Bulletin No. 8.6
SERVICE
WARRANTY BULLETIN
Establishing Warranty On Aged Engine Inventory
Effective June 1, 1993, engines, except Industrial (principle work code K), that have been shipped from a Caterpillar factory and not put into service within five years of the ship date will no longer be considered for new warranty. Caterpillar no longer considers engines shipped over five years from the sale to the initial user as new engines. As a result, the new product warranty period shall start no later than five years from the date the engine is shipped from the Caterpillar factory. This shipment date is the ship date listed in the Caterpillar on-line Product Information System (PIS). As this change to policy is relatively new at the writing of this bulletin, it should be noted this
change will not affect engines that have already been sold to end users (on or before June 1, 1993) but have not been put into service. It will, however, affect all engines that are sold to end users after June 1, 1993. When an engine product that is not covered by Caterpillars new product warranty is sold to an initial user, the dealer shall not give the customer the Caterpillar Warranty Statement which applies to new product. Instead, the dealer shall give the customer the Caterpillar Limitation of Liability. It should contain language as follows: Reference Bulletin 8.7 for Industrial engines.
Caterpillar Limitation of Liability

User has been informed prior to purchase that this Caterpillar Engine was shipped from the Caterpillar factory more than five (5) years before Users purchase. User accepts the Caterpillar Engine AS IS, WITH ALL FAULTS. Caterpillar makes NO WARRANTIES, EXPRESS OR IMPLIED WITH RESPECT TO THE CATERPILLAR ENGINE, AND CATERPILLAR EXPRESSLY DISCLAIMS ALL WARRANTIES, INCLUDING ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. User acknowledges that Caterpillar has not made and does not hereby make any representation, warranty, or covenant with respect to the merchantability, condition, quality, description, durability, or suitability of the Caterpillar Engine in any respect or in any connection with or for the purposes and uses of User. CATERPILLAR IS NOT RESPONSIBLE FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES.
As it is not Caterpillars normal practice to sell products without any warranty, express or implied, it is ABSOLUTELY ESSENTIAL that the Caterpillar Warranty Limitation of Liability language, as shown above, is made a part of your contract of purchase with your customer and that this is documented. This warranty limitation applies to all serial numbered engine product regardless of distribution channel. The form on the following page should be used to document customers acceptance of the Warranty Limitation of Liability. One copy of the completed form should be provided to the customer, one retained for dealer files, and one returned to Caterpillar Inc. to the following address: Caterpillar Inc. Engine Division - Warranty Administration P.O. Box 610 Mossville, IL 61552-0610
08.06 (05/06)
Indicates change.
Bulletin No. 8.6
08.06 (05/06)
Bulletin No. 8.7
SERVICE
WARRANTY BULLETIN
Establishing Warranty On Aged Industrial Engine Inventory

Effective January 1, 2007, Caterpillar no longer considers engines shipped over two years from the sale to the initial user as "new" engines. As a result, the new product warranty period shall start no later than two years (3 years on C7 and larger industrial engines) from the date the engine is shipped from the Caterpillar factory. This shipment date is the "ship date" listed in the Caterpillar on-line Product Information System (PIS). Note: Customers may purchase extended service coverage (ESC) per the ESC Guidelines. When an engine product that is not covered by Caterpillar's new product warranty is sold to an initial user, the dealer shall not give the customer the Caterpillar Warranty Statement which applies to new product. Instead, the dealer shall give the customer the Caterpillar Limitation of Liability. It should contain language as follows:

User has been informed prior to purchase that this Caterpillar Engine was shipped from the Caterpillar factory more than two (2) years (3 years on C7 and larger industrial engines) before User's purchase. User accepts the Caterpillar Engine warranty may have started or expired prior to purchase. If the warranty has expired the purchaser accepts the engine "AS IS, WITH ALL FAULTS." Caterpillar makes NO WARRANTIES, EXPRESS OR IMPLIED WITH RESPECT TO THE CATERPILLAR ENGINE, AND CATERPILLAR EXPRESSLY DISCLAIMS ALL WARRANTIES, INCLUDING ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. User acknowledges that Caterpillar has not made and does not hereby make any representation, warranty, or covenant with respect to the merchantability, condition, quality, description, durability, or suitability of the Caterpillar Engine in any respect or in any connection with or for the purposes and uses of User. CATERPILLAR IS NOT RESPONSIBLE FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES. As it is not Caterpillars normal practice to sell products without any warranty, express or implied, it is ABSOLUTELY ESSENTIAL that the Caterpillar Warranty Limitation of Liability language, as shown above, is made a part of your contract of purchase with your customer and that this is documented. This warranty limitation applies to all serial numbered engine product regardless of distribution channel. The form on the following page should be used to document customers acceptance of the Warranty Limitation of Liability. One copy of the completed form should be provided to the customer, one retained for dealer files, and one returned to Caterpillar Inc. to the following address: Caterpillar Inc. Engine Division - Warranty Administration P.O. Box 610 Mossville, IL 61552-0610
08.07 (06/08)
Indicates change.
Bulletin No. 8.7

User has been informed prior to purchase that this Caterpillar Engine was shipped from the Caterpillar factory more than two (2) years before Users purchase (3 years on C7 and larger industrial engines). User accepts the Caterpillar Engine warranty may have started or expired prior to purchase. If the warranty has expired the purchaser accepts the engine AS IS, WITH ALL FAULTS. Caterpillar makes NO WARRANTIES, EXPRESS OR IMPLIED WITH RESPECT TO THE CATERPILLAR ENGINE, AND CATERPILLAR EXPRESSLY DISCLAIMS ALL WARRANTIES, INCLUDING ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. User acknowledges that Caterpillar has not made and does not hereby make any representation, warranty, or covenant with respect to the merchantability, condition, quality, description, durability, or suitability to the Caterpillar Engine in any respect or in any connection with or for the purposes and uses of User. CATERPILLAR IS NOT responsible for incidental or consequential damages.
Engine Serial No _____________________ Model Dealer Code _____________________ _____________________
Customer Name _____________________ Address _____________________ _____________________
Date: __________________
___________________________________ (Customer Signature)
__________________________________ (Dealer Representative Signature)
Indicates change.
08.07 (06/08)
Bulletin No. 9.1
SERVICE
WARRANTY BULLETIN
Time Limits For Submitting Warranty Claims
Caterpillar strongly recommends dealers submit claims within 30 days from the last day of labor, (Repair Date). For dealers that submit claims for TEPS/AMD dealers we strongly recommend these claims be submitted within 60 days from the last day of labor, (Repair Date).
Any Warranty, Supplemental or Goodwill Claims received by Caterpillar later than these designated times are subject to the following: If the received date is over 180 days and less than 365 days from the repair date, the parts will be system-adjusted to dealer net (D/N) price and the repair labor and travel labor will be system-adjusted to 90% of dealers approved warranty labor rates. The system will assign Reason Code LT9 to claims when these adjustments occur. Any claims over 365 days from the date of repair will not be accepted by Caterpillars On-Line Service Claim warranty system.
09.01-02 (05/07)
Indicates change.
Bulletin No. 9.1
09.01-02(05/07)
Bulletin No. 9.3
SERVICE
WARRANTY BULLETIN
Instructions For Completing Claims

This bulletin provides authorized dealers with instructions for completing Caterpillar Service Claims on Engine Division Products, using the Caterpillar On-Line Service Claim System for claim submission. For complete instructions on how to use the On-Line System, refer to the Marketing Information Systems User Manual, Form SEBD0922. In addition, this user manual also provides instruction on how to check for on-line entry errors, how to correct the on-line claim, how to use the on-line worksheet index, and how to use the on-line worksheet detail.
Examples Of Claims
Examples of how to complete various types of claims are included in related warranty bulletins. See Page 17 for an index of the claim examples.
Service Claim Work Copy (Paper)

The paper Service Claim Work Copy Sheet (see Illustration on Page 2) is designed as an aid for inputting Service Claim data on-line when submitting a Service Claim. The Service Claim Work Copy Sheets are available in tablets (Form 089479-00) and can be used as a penciled draft of the Service Claim for data entry into the On-Line Service Claim System. The Service Claim Work Copy Sheets have the required claim information laid out in the order that the information appears on the On-Line System. The Work Copy Sheet consists of three sections, the Claim Heading, the Reimbursable Expenses Detail, and the Claim Story. These three sections represent the three screens on the On-Line Service Claim System. In addition, at the bottom of the Service Claim Work Copy is a fourth section entitled Claimed Dealer Expenses, which is for dealer use only and not for on-line data entry.
NOTICE
For help in solving data entry problems associated with submitting Engine Division Service Claims online, dealers should contact the Service Claims Clerk in Engine Division Customer Services at (309)-5781954. Data entry problems involving DBS dealers should be directed to the DBS help desk, (309)-675-4000. To ensure prompt processing, dealers should do the following: Submit all claims using the On-Line Service Claim System. Provide all requested information on the product by filling in every required field on the claim entry screen. Submit a separate claim for each failure. Correct all grief errors before submitting. When possible, keep all information for each claim in one place. This will reduce response time when more information is needed.
09.3 (10/07)
Indicates change.
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Bulletin No. 9.3
A. Claim Heading
The Claim Heading section of the Service Claim contains 29 information fields that are used for submitting Service Claims (see Illustration 1). The Claim Heading section is the first screen of the Caterpillar On-Line Service Claim. The following describes the data required in each of the Claim Heading fields: Click here to access a claim heading worksheet
4. Sales Model
Leave this field blank when submitting the claim on-line. The Sales Model will automatically be computer generated from the Product Serial Number. When filling out the paper Service Claim Work Copy, the Sales Model should be filled in for verification of the correct Product Serial Number at the time of on-line data entry.
1. Claiming Dealer Code

Enter the four-digit Caterpillar Dealer Code for: Caterpillar Dealer Claims. TEPS dealer/AMD Claims being processed by the administering Caterpillar dealer. Authorized Truck Fleet Claims, being processed by the administering Caterpillar dealer.
5. Delivery (Date) DDMMMYY

Enter the day, month, and year the product was delivered to the first user. If the product has not yet been put in service, enter 00NIS00 (zero zero NIS zero zero) indicating Not-In-Service. Use the international date format to enter all dates. That is, DD=day, MMM=first three letters of the month as spelled in English, YY=year. (Example: 08APR90). The delivery date is an optional field if there is a date in the Product Information System (PIS). The date in PIS is always considered to be correct and will be used to determine eligibility for warranty. If the delivery date is determined to be incorrect, dealers should contact the Service Claims Clerk in Engine Division Customer Services (Fax: 309-578-2027, Phone: 309-578-1954). One of the following letters will appear under the Delivery Date upon claim entry: D = dealer supplied, date not on PIS E = equal, date supplied and date on PIS equal N = none, date missing and/or not required P = PIS sourced, date sourced from PIS R = replaced by, date supplied replaced by the date on PIS Dealers can obtain delivery information from either the on-line Product Information System (using application JIZ111, task 04), or the on-line Dealer Service System, (application JSZ120/JSZ107, task 05). If neither system shows a date, the customer is responsible to provide proof of delivery. Note: When the customer provides the delivery date information, dealers should enter it on the PIS (using application JIZ111, task 05). In such cases, the dealer must keep a copy of the customers proof of delivery for audit purposes.
2. Dealer Claim Number

The Dealer Claim Number field contains room for a maximum of eight characters (numeric and alpha); However, dealers should enter an identification number that does not exceed seven characters to allow room for an additional suffix letter, when submitting supplemental claims or claims involving multiple repairs performed at the same time. This number will appear on the Settlement Notice as reference. A Dealer Claim Number cannot be repeated within thirteen months for the same dealer code. When submitting a supplemental claim, the original Dealer Claim Number along with the suffix letter A added to end of the claim number must be entered in this field. When resubmitting a canceled claim, use the same Dealer Claim Number in this field.
3. Alternate Dealer Code

For Caterpillar Dealer Claims, leave this field blank. For TEPS dealer/AMD Claims being processed by the administering Caterpillar dealer, enter the fourdigit TEPS dealer/AMD Code. For authorized Truck Fleet Claims being processed by the administering Caterpillar dealer, enter the four-digit Fleet Code.
09.3 (10/07)
Indicates change.
Bulletin No. 9.3
6. Parts Start (Date) DDMMMYY

If the claim is for Parts Warranty, enter the date the customer bought the part or assembled component. The customer must provide this date. Leave this field blank if the claim is not a Parts Warranty Claim. This includes claims on complete Remanufactured engines/on-highway transmission purchased by a customer, because a Remanufactured engine/on-highway transmission has its own warranty and is not covered by Parts Warranty.
10. Coverage Type

This field is only used when submitting an Extended Service Plan claim or a Truck Owner Protection Plan (TOPP) claim. For Extended Service Plan/TOPP claims, enter one of the following three-digit Coverage Type Codes: EXT - for Extended Service Coverage or Remanufactured Extended Coverage. MCP - for Major Component Protection under Extended Service Coverage. OPC - for Overhaul Protection For Commercial Engines. OPT - for Overhaul Protection For Trucks. ADV - for Used Truck Engine Extended Service Coverage. TOP - for Truck Owner Protection Plan. For all other Engine Division claims that are not an Extended Service Plan/TOPP claim, leave this field blank.
7. Repair Date DDMMMYY

Enter the last date the product was worked on, which is the last day labor was charged to the work order or work order segment. When the repair date puts the claim out-of-warranty for a failure that occurred within the Warranty Period, a statement indicating that the failure date was within the Warranty Period must be included in the Claim Story. For Parts Stock Warranty Claims, Service Tool Claims, and Quarterly Freight Claims, enter the date the Service Claim is submitted to Caterpillar.
8. Initial Dealer Code, and 9. Initial Dealer Claim Number

Use these fields when submitting: a supplemental claim a deductible Extended Service Plan claim involving multiple repairs during one service visit. a claim for a repeat failure after a deductible Extended Service Plan repair has been completed. Enter the Dealer Code and Dealer Claim Number shown on the first claim, in these two fields. The Caterpillar On-Line Service Claim System will not accept a combination of the Initial Dealer Code and Initial Claim Number in these fields unless they are already in the on-line system, and they are not older than one year from the current date.
11. Product Identification/ Serial Number

Enter in this field one of the following: The Caterpillar Engine Serial Number, for claims on Caterpillar Engines, Caterpillar Marine Gears manufactured by Twin Disc, Caterpillar Generators, and any Caterpillar replacement parts. The Packaged Product Serial Number, for claims on Lafayette/Griffin plant produced products. 99Z00007 (Special Product Id. No.), for Engine Division PIP Parts Stock and Parts Stock Warranty Claims 99Z00011 (Special Product Id. No.), for a claim on a Caterpillar industrial/marine engine replacement part, that was used on a Non-Caterpillar product. For claims on marine engine parts, the Claim Story comments must indicate that the failed replacement part is a marine engine part. 99Z00014 (Special Product Id. No.), for a claim on a Caterpillar truck engine replacement part that was used on a Non-Caterpillar product. 99Z00024 (Special Product Id. No.), for Engine Division Service Tool Warranty Claims.
99Z00050 (Special Product Id. No.), for Battery Goodwill Claims. 99Z00098 (Special Product Id. No.), for Engine Division Quarterly Freight Claims.
Indicates change.
09.3 (10/07)
Bulletin No. 9.3
12. Product Hr/Mi/Km

This field has two sections. In the first section, enter the number of hours, miles, or kilometers the product operated before the repair. Round the number to the nearest whole number. Use the second section to enter the letter H for hours, M for miles, or K for kilometers to indicate the type of measurement.
15. Part Causing Failure Part Number

Enter in this field the part number of the original new Caterpillar part that caused the failure. If the cause of failure was due to a remanufactured part, enter the reman part number as the part causing failure. If this reman part does not have serviceable parts or is a complete assembly that may be replaced, as listed in Warranty Bulletin 6.1, use the reman part as the part causing failure. If the reman part number has serviceable parts, such as a cylinder head or cylinder pack, use the actual part number, i.e., valve or piston as the part causing failure. If a reman part is listed, one or more of the following conditions must apply: claim has a remanufactured engine serial number. claim has a parts start date. claim has parts miles less than the prime product miles. If the repair was only an adjustment, tightening a fitting, cleaning a contaminated system, or welding a structural member, then enter the part number of the part that was adjusted, tightened, cleaned, or welded. For PIP or PSP Claims, enter the PIP or PSP Reference Number in this field. (Example: PI0230, PS4017). Leave this field blank for Factory Authorization Claims, Parts Stock Warranty Claims, Service Tool Warranty Claims, and Quarterly Freight Claims. Note: The part number entered in this field should be the same part number given in the Service Information Management System (SIMS) report, except when the SIMS report information is incorrect. When this occurs, enter the correct number in this field and submit a SIMS report indicating the error. A record of the SIMS correction should be retained on file.
NOTICE
For customer-purchased Replacement Engines /OnHighway Transmission (new or Remanufactured) enter the hours/miles/kilometers on the Replacement Engine, not the total vehicle hours/miles/kilometers. For engines replaced under new Product Warranty, enter the total product hours/miles/kilometers. If reliable miles/kilometers cannot be obtained for an on-highway vehicle engine/transmission, refer to Bulletin No. 8.3 of this Warranty Guide for information on estimating miles/kilometers.
13. Parts Hr/Mi/Km

If the claim is for Parts Warranty or a repeat part failure within the Prime Product Warranty, enter the number of hours, miles, or kilometers that the replacement part which caused the failure operated. If claim is for a repair covered under Overhaul Protection for Trucks (OPT), Overhaul Protection for Commercial Engines (OPC), or Used Truck Extended Service Coverage (ADV), enter the number of hours, miles, or kilometers that the engine has accumulated since the engine was enrolled in either of these Extended Service Plans. The number entered in this field will be less than the number entered in the Product Hr/Mi/Km field. Round the number to the nearest whole number. It is not necessary to enter the letter H, M, or K for the type of measurement, since the On-Line System will assume the measurement indicator is the same as the Product Hr/Mi/Km field. Leave this field blank if the claim is not a Parts Warranty, OPT, OPC, or ADV Claim. When left blank, the On-Line System will automatically generate the same value in this field as in the Product Hr/Mi/Km field.
14. Actual Total Hours Of Repair

Enter the total man-hours that it took the dealer to complete the repair. The man hours exclude travel time, when applicable. Round the number to the nearest tenth of an hour. Always enter the actual total hours to do the repair in this field, regardless of the labor hours claimed on labor expense lines in the Reimbursable Expenses Detail section. As a result, the hours listed in this field, may not equal the total claimed hours listed in the Reimbursable Expenses Detail section. This field must be completed as outlined above for audit purposes.
16. Part Causing Failure Part Name

Leave this field blank when submitting the claim on-line. The Part Name will automatically be computer generated from the Part Number. When filling out the paper Service Claim Work Copy, the Part Name should be filled in for verification of the correct Part Number at the time of on-line data entry.
09.3 (10/07)
Indicates change.
Bulletin No. 9.3
17. Description Code (DC)

Enter either a letter or numeric Description Code that describes the failure/defect, or specific type of claim. Refer to Bulletin No. 10.2 of this Warranty Guide for a list of Description Codes. If the claim is a repair involving a Product Improvement Program (PIP) or a Product Support Program (PSP), the Description Code must be either 56 for before-failure repairs, or 96 for after-failure repairs. If the claim is a supplemental, the Description Code must be either 20 for Additions/Corrections Supplementals or 98 for Contested Supplementals. If the claim is a service goodwill claim or a factory authorization claim with a 3 or 4 digit goodwill code, the description code must be 56. Note: The Description Code used in this field should be the same Description Code given in the Service Information Management System (SIMS) report if at all possible. However, if another Description Code is more definitive, it should be used.
When filling out the paper Service Claim Work Copy, the Group Name should be filled in for verification of the correct Group Number at the time of on-line data entry.
20. Failure Description

This 20 character field is used to indicate the dealers diagnosis of the cause of failure. This field is entitled Findings/Comments in the On-Line Service Claim System. Dealers should not just state the customer complaint (oil consumption), or the symptom (lack of power), or the problem itself (air in fuel system). The dealer should tell what they think caused the problem. The Failure Description should not include a repeat of the Part Number, Group Number, or Part/Group Description. The following chart gives examples of what to say and what not to say in the Failure Description field: Say pinched at assembly oil holes omitted soft wear surface S.L. dated 07SEP90 Rather Than 8J-8725 Seal leaks cam starved for oil 1F-3753 Shaft worn PIP/PSP completed
18. Group Number Containing Failed Part

Enter in this field the Group Number or Substitute Group Number of the Group that contains the failed part. Substitute Group Numbers should only be used when a Group Number is not readily available. For the appropriate Substitute Group Number, refer to the pocket-size booklet entitled Caterpillar Product Service Reporting Codes For SIMS And Service Claim Use, Form No. SEBD0850. If the group number causing failure is a remanufactured part that has no serviceable parts or is a complete assembly that may be replaced, as listed in Bulletin 6.1, then the appropriate SMCS code may be entered as the group causing failure. If the group number causing failure is a remanufactured part that has serviceable parts, then list the reman group number as the group number causing failure. If a reman group number is listed, the same three conditions listed under the part causing failure must apply. Note: The Group Number or Substitute Group Number used in this field should be the same number given in the Service Information Management System (SIMS) report, except when the SIMS report information is incorrect. When this occurs, enter the correct number in this field and submit a SIMS report indicating the error. A record of the SIMS correction should be retained on file.
Remember: A good entry in the Failure Description may preclude the need for any further justification in the Claim Story.
21. For Dealer Use

This block is for dealer use only, and applies only to the paper Service Claim Work Copy. Dealers can use this block for recording various types of information. The following are examples of information that some dealers include in this field: Customer name and address Customer vehicle number Work order number TEPS dealer/AMDs name
Related Equipment
Fields 22, 23, and 24 are used only on Warranty Claims for the following Engine Division Products: On-Highway Vehicle Engines Caterpillar Generators ABB (Brown Boveri) Turbochargers Woodward Governors Caterpillar Marine Gears/Clutches (manufactured by Twin Disc) Packaged Products Produced at the Lafayette/Griffin Plants Marine Vessels For Warranty Claims on all other Engine Division Products, leave these fields blank.
19. Group Name Containing Failed Part

Leave this field blank when submitting the claim on-line. The Group Name will automatically be computer generated from the Group Number.
Indicates change.
09.3 (10/07)
Bulletin No. 9.3
22. OEM/Make - Truck

For On-Highway Vehicle Engines, enter either the first four letters of the truck/bus/RV manufacturers name (such as: CHEV, FORD, FREI, PETE), or the manufacturers abbreviation of no more than four letters (such as: FRTL, GMC).
24. Model/Serial Number

For On-Highway Vehicle Engines, enter the truck/bus/RV manufacturers model designation. The model can be the OEM chassis vin. Use the last 8 digits of the vin. EXAMPLES: F5516388 For those model designations that exceed 8 spaces, enter the first 8 digits. EXAMPLE: WANDERLODGE = WANDERLO For Marine Vessel Engines, enter the marine vessel manufacturers model designation. The model can be a name or a number/letter designation. EXAMPLES: 380SUND, 450SUND, 400EXP For those model designations that exceed 8 spaces, enter the first 8 digits. EXAMPLES: 400SUNDANCER = 400SUNDA For ABB (Brown Boveri) Turbochargers, enter ABB in this field and enter the Serial Number in the Claim Story or in the Failure Description field (Block 20). If 3500 Engine and Turbocharger is made by Garrett, enter GAR in this field. No serial number is required in this instance. For Woodward Governors, enter the Serial Number of the Woodward Governor. For CATERPILLAR Generators, enter the Serial Number of the Generator. For CATERPILLAR Marine Gears/Clutches manufactured by Twin Disc, enter the Serial Number of the marine gear or clutch. For CATERPILLAR Engine/Generator, installed in a Lafayette/Griffin packaged product, enter either engine or generator Serial Number. For CATERPILLAR Transmissions, enter the engine serial number in this field.
23. Cab Type

For On-Highway Truck Engines, enter a two-digit code from the following chart that describes the cab type/vehicle model for the associated engine model. Cab Type Codes For On-Highway Vehicles Engine Cab Type/ Cab Type Model Vehicle Model Code All Short Conventional SC Medium Conventional MC Conventional CV Cab Over CO Hood HD Bus BU Motor Home RV Special (crane carrier, SP garbage truck, fire truck, etc. 3116 GMC Top Kick or TK Chevrolet Kodiak 3208 GMC Top Kick or TK Chevrolet Kodiak Ford F With Forward FT Tilt Hood
Cab Type for Industrial & Marine Cab Type

Marine Generator Set Locomotive Industrial Petroleum Generator Only Switch Gear UPS Twin Disc
Cab Type Code

MA GN LO ID PT SR SG UP TD
25. Customer Credit % (Parts and Labor)

For Engine Division Claims, enter in these two fields the percentages (in whole numbers) that Caterpillar will reimburse dealers for parts and labor. The Customer Credit fields must reflect the settlement dealers expect Caterpillar will make with them. Thus, the customer in these two fields is the dealer, for Engine Division Claims. For goodwill claims, the customer credit fields must reflect the settlement the customer received and what Caterpillar has agreed to participate towards. If the Parts Credit % and/or Labor Credit % fields do not apply for the particular claim, enter zero. The On-Line System will automatically convert the single zero to three zeroes. Do not leave either of these two fields blank. For Quarterly Freight Claims neither Parts Credit % nor Labor Credit % apply, thus a zero must be entered in both the Parts and Labor Customer Credit fields.
For ABB (Brown Boveri) Turbochargers, leave this field blank. For Woodward Governors, leave this field blank. For Caterpillar Marine Gears manufactured by Twin Disc, enter the letters TD for Twin Disc.
09.3 (10/07)
Indicates change.
Bulletin No. 9.3
26. Import Percent

This field only applies to Canadian dealers. When import duty charges cannot be recovered from the Canadian Government, Canadian dealers must enter the duty percentage in this field for import duty reimbursement from Caterpillar. Canadian dealers should refer to Bulletin No. 3.4 of this Warranty Guide for additional import duty information. If Import Percent does not apply, leave this field blank.
Each expense line contains eleven fields, with the field headings listed across the top of this section. (see Illustration 1). Not all of the eleven expense line fields require data entry for each expense line. The following describes each of the expense line fields used to input a claim:
30. Expense Identification Code

The Exp. Id. Code field indicates the type of expense being claimed. There are six types of claimed expenses, which have the following Expense Identification Codes: P = Parts (Caterpillar) S = Parts Summary (Caterpillar Parts) L = Labor T = Travel V = Vehicle M = Miscellaneous A complete description of each of these claimed expenses is included later in this bulletin under individual subheadings for each type of expense line.
27. Claim Authorization Number

This field applies only to Factory Authorization Claims and some Service Goodwill Claims. The Claim Authorization Number must be a 5-digit numeric code given to the dealer by the authorizing person from Caterpillar. The authorizing person from Caterpillar obtains the 5-digit numeric code from the On-Line Service Claim System. If an authorization number is provided that is not a 5-digit system-generated numeric code, leave this field blank, and instead list the authorization number in the Claim Story. If the Claim Authorization Number does not apply, leave this field blank.
28. Goodwill Code

This field only applies to Service Goodwill Claims and Factory Authorization Claims. In such cases, enter the three or four digit code given to the dealer by the person from Caterpillar who authorized the claim. If the Goodwill Code does not apply, leave this field blank.
31. Quantity
This field is used to indicate the quantity of the expense line. This field has a decimal point position for applicable expense lines.
32. Caterpillar Part Number

This expense line field is only used for Caterpillar parts expense lines (Exp. Id. Code P). Only Caterpillar part numbers can be used in this field.
29. Caterpillar Claim Number

Leave this field blank. The Caterpillar Claim Number is automatically assigned by Caterpillar when the claim is registered. This claim number is also referred to as the Factory Claim Number.
33. Part Name/ Expense Description

This field contains only 6 spaces. For Caterpillar parts expense lines (Exp. Id. Code P), this field is used to indicate the Part Name. When submitting the claim on-line, the Part Name will automatically be computer generated from the Part Number. For parts summary, travel, vehicle, and miscellaneous expense lines (Exp. Id. Codes S, T, V, and M), this field is used to describe the expense. For labor expense lines (Exp. Id. Code L), leave this field blank.
B. Reimbursable Expenses Detail

The Reimbursable Expenses Detail section is the second screen of the Caterpillar On-Line Service Claim. This section is used to list the various dealer expenses associated with the claim, which Caterpillar will reimburse the dealer for. These expenses include items such as parts, labor, towing, travel time/mileage, meals/lodging, freight/service charges, fees, expendable service items, sublet repairs, etc. In this section dealers must list each expense item on an individual line. If more than nine expense items are listed when entering on-line, it will be necessary to use more than one page of the Expenses Detail Screen by pressing PF9.
34. SMCS Labor Code

The SMCS Labor Code fields are used for entering the SMCS Code for each labor expense line (Exp. Id. Code L). Individual fields are provided for each code segment of the SMCS Code, which are:
Indicates change.
09.3 (10/07)
Bulletin No. 9.3
COMP (Component Code) - four-digit code. JOB (Job Code) - three-digit code. MOD (Modifier Code) - two-digit code when applicable. QTY (Quantity Code) - single digit code when applicable. For a complete description and listing of SMCS Codes, refer to Bulletin No. 10.3 of this Warranty Guide. In addition to labor expense lines, the COMP field is also used on parts expense lines of Industrial Engine Parts Warranty, Part Stock Warranty, and Service Tool Warranty Claims, for entering an appropriate Description Code in the first two positions of the COMP field.
36. Cost Total

This field is only used for parts summary and miscellaneous expense lines (Exp. Id. Codes S and M). Enter in this field the total dollar amount being claimed, for a parts summary or miscellaneous expense line.
37. Currency Code

The Curr Code field applies only to Canadian dealers, when entering miscellaneous expense lines (Exp. Id. Code M). If the dealer enters USD in this field, the miscellaneous expense line Cost Total amount will be in U.S. dollars and will not be subject to the currency rate calculation. If this field is left blank, the Cost Total amount will be considered Canadian Currency and will be subject to the currency rate calculation.
35. Rate
This field is used to list the expense rates for labor, travel, and vehicle expense lines (Exp. Id. Codes L, T, and V). The on-line system will use these rates for calculation of expense line totals. For Engine Division Claims involving on-highway vehicle engines/transmission, the rate for labor, travel, or vehicle should only be entered on-line when the rate is different from the rate on-file at Caterpillar. When the rate is left blank for these expense lines, the latest reported rate on-file will automatically be computer generated. If left blank, dealers should be sure that the rate on-file at Caterpillar is the correct rate since the dealer will be reimbursed at the on-file rate. When filling out the paper Service Claim Work Copy for on-highway vehicle engine/transmission claims, the rate should be filled-in for the appropriate expense lines for verification of the correct rates at the time of on-line data entry. For industrial and marine claims, dealer must enter the appropriate labor rate in this field. The on-line Service Claim System only has the capability of having one rate on file for commercial engines. To ensure that the correct rate is paid, that rate should be entered. If the Rate field is left blank, the system will assign the rate on file which may or may not be appropriate.
Parts Expense Lines (P)

Click here for parts expense help sheet Parts expense lines (Exp. Id Code P) are used to list individually the Caterpillar parts that are being claimed for reimbursement. For parts expense lines, the following data must be entered in the expense line fields (see Illustration 2): Exp. Id. Code - enter the letter P. Qty. - enter the quantity (whole numbers only). Caterpillar Part No. - enter the part number. Part Name/Expense Description - the Part Name should only be entered on the paper Service Claim Work Copy. When entering the claim on-line leave this field blank, since the Part Number will automatically be computer generated from the Part Number. COMP - the only time this field is used on parts expense lines is for Warranty Claims on Industrial Engine Parts Warranty, Parts Stock, Service Tools, or Batteries. For Service Tools and Parts Stock Warranty Claims, enter the appropriate description code in the first two positions of the COMP field. For Standard Battery Program Warranty Claims, enter the months-in-service of the battery in the first two positions of the COMP field.
I l s r t o 2 Parts Expense Line. lutain .

09.3 (10/07) 9
Bulletin No. 9.3
I l s r t o 3 Labor Expense Lines (Also Illustrates Use Of Duplicate Labor Expense Lines). lutain . Resultant Damaged Caterpillar Parts Under Parts Warranty Under Parts Warranty, resultant damaged Caterpillar parts that are only partially allowed at 1/3 dealer net or at 50% consumer list should be listed individually, the same as a normal claim, and any part that is to be partially allowed should be identified by inserting RD in the COMP field on that parts line. The system will adjust to the proper allowance. JOB - enter the three-digit SMCS Job Code which corresponds to the labor line operation. For a before-failure PIP/PSP labor allowance expense line, in which the Service Letter labor allowance is a total time without a labor breakdown, enter Job Code 001. Do not use Job Code 001 in any other instances, unless it is a valid published TRG code. For combined repair times, enter Job Code 000. MOD (MD) - enter the two-digit SMCS Modifier Code which corresponds to the labor line operation, when applicable. Qty (Q) - enter the SMCS Quantity Code which corresponds to the labor line operation, when applicable.
Labor Expense Lines (L)

Click here for labor expense help sheet Labor expense lines (Exp. Id. Code L) are used to list the repair labor hours performed by the authorized repairing dealer including salvage labor. For claims involving labor, a detailed labor expense line breakdown by individual labor segments is required, unless a published Combined Repair Time exists, or the claim is either a Product Improvement Program (PIP) or a before-failure Product Support Program (PSP). For labor expense lines, the following data must be entered in the expense line fields (see Illustration 3): Exp. Id. Code - enter the letter L. Qty.- enter the labor hours claimed for the repair segment or combined repair time. The labor hours must be entered to the nearest tenth of an hour (example: 3.0, 2.3, .3). COMP - enter the four-digit SMCS Component Code which corresponds to the labor line operation. For a before-failure Product Improvement Program (PIP) labor allowance expense line, enter Component Code 7751 to indicate the PIP Service Letter labor allowance. For before-failure Product Support Program (PSP) claims, in which the labor allowance is a total time without a labor breakdown, enter Component Code 7755 to indicate the PSP Service Letter labor allowance.
Rate - when submitting the claim on-line, leave this field blank, if the appropriate approved shop standard warranty labor rate on-file at Caterpillar is the correct rate for the engine application being claimed. If the appropriate approved warranty labor rate is not the correct rate or does not apply for the application, then enter the correct rate in effect, at the time of repair, in this field.
Indicates change.
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09.3 (10/07)
Bulletin No. 9.3
I l s r t o 4 Portion of labor performed at non-standard labor rate (4.3 hours performed at overtime rate of $39). lutain . When non-standard labor rate hours (such as dynamometer, specialization, overtime, etc.) are included in a service claim repair, they must be listed on separate labor expense lines and explained in the Claim Story (see Illustration 4). Occasionally a labor expense line will have to be repeated/duplicated more than once in a labor breakdown of repair segments. Instances where this can happen are when reporting repair segments that have an SMCS Quantity Code of A (each additional), or E (each one). Refer to Illustration 3. In situations where dealers are requesting additional labor that exceeds the published Time Requirement Guide (TRG) time for a particular repair segment, dealers must submit two labor lines for each labor segment that exceeds the TRG time. When requesting labor that exceeds the TRG, the first of the two labor lines should contain the exact SMCS Code and labor hours from the TRG. The second line should contain the same Component Code as the TRG time segment, but with a Job Code of 500 (see Illustration 5). Job Code 500 is used to indicate the labor hours that exceed TRG time and should be used only in requesting labor to remove special attachments such as snow plows, PTOs, hydraulic lines, etc. Also, for excessive diagnostic times or for repairs involving chassis/cab types which are not listed in any current TRGs such as RVs, buses, etc. When using a Job Code 500 line the total claimed labor cannot exceed the actual hours to repair. This allows dealers to enter labor time that exceeds the TRG time without the On-Line Service Claim System reducing the labor time back to the published TRG time. In such cases, dealers must explain in the Claim Story the reason for the additional time.
Illustration 5. Claiming For Additional Labor That Exceeds TRG (first line equals TRG time and second line equals labor that exceeds TRG).
Bulletin No. 9.3
I l s r t o 6 Travel Expense Line. lutain .
Travel Expense Lines (T)

Click here for travel expense help sheet A travel expense line (Exp. Id. Code T) is used to claim travel time to and from a field service repair. For travel expense lines, the following data must be entered in the expense line fields (see Illustration 6): Exp. Id. Code - enter the letter T. Qty. - enter the hours traveled to the nearest tenth of an hour (example: 2.0, 3.1, .5). Part Name/Expense Description - for filling-in the paper Service Claim Work Copy, enter the word TRAVEL. When entering the claim online, this field can be left blank, since the word TRAVEL will automatically be computer generated from the Expense Identification Code of T. Rate - when submitting the claim on-line, leave this field blank, if the approved warranty travel rate on-file at Caterpillar is the current rate. If the appropriate approved warranty travel rate is not the current rate, then enter the correct rate in this field.
Part Name/Expense Description - for filling-in the paper Service Claim Work Copy, enter the word VEHICLE. When entering the claim online, this field can be left blank, because the word VEHICLE will automatically be computer generated from the Expense Identification Code of V. Since there are only 6 spaces in this field, the last letter (E) in the word VEHICLE will not appear on-line. (Example: VEHICL). Rate - When submitting the claim on-line, leave this field blank, if the approved warranty vehicle rate on-file at Caterpillar is the current rate. If the vehicle rate is not the current rate, then enter the correct rate per mile/kilometer in this field.
Vehicle Expense Lines (V)

A vehicle expense line (Exp. Id. Code V) is used to claim vehicle mileage/kilometers to and from field service repair. For vehicle expense lines, the following data must be entered in the expense line fields (see Illustration 7): Exp. Id. Code - enter the letter V. Qty. - enter the miles/kilometers traveled. Round to the nearest whole number.
Illustration 7. Vehicle Expense Line.
Indicates change.
12
09.3 (10/07)
Bulletin No. 9.3
Illustration 8. Miscellaneous Expense Lines (The second expense line represents Caterpillar Oil).
Miscellaneous Expense Lines (M)

Click here for Misc/Parts expense help sheet Miscellaneous expense lines are used for listing reimbursable miscellaneous expenses that cannot be claimed under Caterpillar parts, parts summary, labor, travel, or vehicle expenses lines. The following chart lists the various acceptable miscellaneous expenses and their corresponding standardized reporting description that dealers must use for each of these miscellaneous expenses. The On-Line Service Claim System will not accept any other reporting descriptions. All miscellaneous expense line items must fall into one of these types of expenses. Note: PPPEXP and TOPEXP are only to be used for misc. expenses claimed under the PPP/TOPP Programs. These codes are not to be used under standard warranty. For miscellaneous expense lines, the following data must be entered in the expense line fields (see Illustration 8): Exp. Id. Code - enter the letter M. Qty. - enter the quantity of the item listed. For sublet repairs enter the labor hours involved, rounded to the nearest whole number. Part Name/Expense Description - enter the appropriate standardized reporting description from the chart for the specific miscellaneous expense. Cost Total - enter the dealers acquisition cost of the justified expense item. Curr - for Canadian dealers that are submitting a claim in U.S. dollars and the dealer normally claims in Canadian dollars, enter USD in the Currency field of miscellaneous expense lines only. Leave the Currency field blank in all other cases. Claim Story - For sublet repairs describe the repair. For Caterpillar emergency service charges and premium freight charges, explain the reason for the charge. For any out of the ordinary expenses associated with the Power Protection Plan or Truck Owner Protection Plan (TOPP) that requires the use of the reporting description PPPEXP or TOPEXP, explain the miscellaneous expense.
NOTICE
For listing Caterpillar Oil, the miscellaneous expense line must contain the dealers list price of the oil in the Cost Total field. Refer to Illustration 8.
Acceptable Miscellaneous Expenses St andard Reporting Type of Expense Description CATFRZ Antifreeze (Cat) - Bulk Only1 OTHFRZ Antifreeze (Non-Cat)1 Auxiliary Filter (Luberfiner) AUXFIL Auxiliary Filter (Luberfiner) CMPRTS Dual Fuel DFSPTS Error (Dealer) DLRERR FRGHT Freight (Premium)2 Gen. Sales Tax GSTTAX Lodging LODGE Meals MEALS Oil (Cat) CATOIL Oil (Non-Cat) OTHOIL Olympian Parts OLY Goodwill (Caterpillar) GDWILL Refrigerant FREON Scheduled Oil Sample (S O S) Kits SOSKIT SERCHG Service Charge (Emergency Parts)2 Stock Order Parts Discount STKORD (Full service TEPS/MEPS dealers only) SUBLET Sublet Repair2 Tolls TOLLS Towing TOWING Power Protection Plan Expenses PPPEXP (Commercial Engines) Not Described By Any Of The Above2 Truck Owner Protection Plan TOPEXP (TOPP) Expenses Not Described By Any Of The Above2 Cat Auto Transmission Fluid CATATF
1
Caterpillar Brand Antifreeze purchased as an individual item (Cat part number) must be listed on a parts expense line. 2 Expense must be described in the Claim Story.
09.3 (10/07)
13
Indicates change.
Bulletin No. 9.3
C. Claim Story
Click here for a story help sheet Not all Service Claims require a Claim Story with the exception of marine claims. All marine claims require the 1st item on the 1st line of the claim story to be the vessel length in numerical characters followed by a series of 5 asterisks. Example: 60*****, 120*****, etc. (Block 38 in Illustration 1), for example before failure PIPS/PSPS. When a Claim Story is required, the story should be brief, not a novel. Complete sentences are not required. If the labor expense line breakdown adequately illustrates the labor detail, it is not necessary to duplicate the labor description in the Claim Story. If additional claim information is needed to process the claim, Caterpillar will request it. The Claim Story should explain or include the following, when applicable: All after failure repairs on PIPS/PSPS should list complaint, cause of failure, and repair method used. Premium freight charges, Caterpillar emergency service charges, sublet repairs, or out of the ordinary expenses associated with the Power Protection Plan or Truck Owner Protection Plan (TOPP). The parts that were required which normally are not replaced during the type of repair involved. The labor hours which exceed normal repair times for the type of repair involved. Any damage that exceeds the usual damage for the type of repair involved, including the extra parts and labor required to repair the excess damage. The attachments or installation configuration, which caused extra repair time. An explanation of towing charges should include the location of the hook-up or the location of point of travel from repair facility. An explanation of any travel labor and mileage should include the location of the repair site and the nearest full service dealer store from which traveled. In addition, an entry in the Claim Story is required for the following when applicable: The failure occurred and was reported within the warranty period, however the last day of labor was beyond the warranty expiration date. In this instance, the work order must have been opened prior to the warranty expiration date and claim comments must indicate the date work order opened.
If the authorization number is not a five-digit system generated numeric code, include the goodwill authorization number for Service Goodwill Claims in the Claim Story. The name and position/department of the authorizing Caterpillar person for Goodwill Claims (with a paper Claim Authorization), Factory Authorization Claims, and claims involving replacement of a complete engine, short block, cylinder block, or serialized component. The parts invoice number when claiming for Caterpillar Emergency Service Charges on a miscellaneous expense line. For oil consumption claims, enter the required information outlined in Bulletin No. 6.5 of this Warranty Guide. Occasionally, dealers may prefer to put a blank line between paragraphs or sections of the Claim Story, to provide ease in reading the story comments. This can be done by placing two dashes/hyphens (- -) in the first two positions of a line, and leaving the remainder of the line blank. The line will print-out as a blank space, except for the two dashes/hyphens.
D. Claimed Dealer Expenses

The Claimed Dealer Expenses section (Blocks 39-44 in Illustration 1) is for dealer use only, and applies only to the paper Service Claim Work Copy. This section can be used by dealers to check for dealer data entry errors. Prior to entering the claim on-line, the dealer can fill-in the subtotal dollar amounts for each claimed expense category (Blocks 39-43). Once the claim has been entered on-line, the dealer can compare the dollar amounts calculated prior to claim submission with the dollar amounts shown on the on-line claim. Any major discrepancies between the two will indicate a possible data entry error. In addition, a block is provided for recording the Service Claim Settlement Notice Number (Block 44), once a Settlement Notice is issued.
Making Changes And/Or Additions To Claims

Caterpillar accumulates incoming claims and processes them every other working day. Dealers can make changes/additions any time prior to claims being processed through the batch run. After the batch run, only the Claim Story can be added to or continued by the dealer, unless Caterpillar returns the claim for corrections or additions using the Grief-Hold File. For instructions on how to modify the Claim Story after a batch run, refer to the Marketing Information Systems User Manual, Form SEBD0922.
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09.3 (10/07)
Bulletin No. 9.3
Submitting The Claim

All claims should be submitted to Caterpillar via the Caterpillar Service Claims System. Refer to the Marketing Information Systems User Manual, Form SEBD0922, for specific instructions. All supporting documents and photos should be kept on the file for future audit purposes. For documentation requirements, refer to Bulletin No. 8.1 of this Warranty Guide.
Supplemental Claims
Requests for omitted or non-allowed expenses will be considered only after Caterpillar has issued a Service Claim Settlement Notice on the original claim. When submitting supplemental claims, dealers can not duplicate expenses allowed on the original claim. All supplemental claims must contain the Initial Dealer Code, the Initial Dealer Claim Number, and one of the following Description Codes to differentiate type of Supplemental Claim: Desc. Code 20 for Additional/Corrections Supplementals - when dealers want to make corrections or additions that were inadvertently omitted by the dealer on the original claim. Such corrections can include additional parts, labor segments, or miscellaneous expense items. Desc. Code 98 for Contested Supplementals when dealers want to contest Non-Allowed Claims or non-allowed individual expense lines (parts, labor, miscellaneous) on the original claim.
Claim Authorization
Claim authorization is a commitment from Caterpillar to a specific dealer prior to claim submission, for reimbursement of specified expenses that are not covered under warranty. Caterpillar can give authorization to a dealer either by phone, paper, or fax. For Service Goodwill Claims, the Caterpillar employee who authorized the claim may issue a paper Claim Authorization (CA). The goodwill authorization number indicated on the paper Claim Authorization is from the goodwill approvers own authorization numbering system. This goodwill authorization number must be included in the Claim Story. Do not enter this goodwill authorization number in the Claim Authorization Number field of the Claim Heading, because the on-line system does not recognize this number. For Factory Authorization Claims, the authorizing Caterpillar person will obtain a Claim Authorization Number from the On-Line Service Claim System. The person approving the authorization will provide the dealer a Claim Authorization Number (5-digit numeric code) and a Goodwill Code, which are both entered in the appropriate fields of the Claim Heading. When submitting a Factory Authorization Claim, automatic payment will occur if the Claim Authorization Number, Goodwill Code, Product Serial Number, and Dealer Code all match the online factory authorization, and if the Service Claim dollar amount does not exceed the authorization limits. Service Goodwill Claims with paper Claim Authorization (CA), and all Factory Authorization Claims must be submitted on-line.
Returned/Canceled Claims Processing

For information regarding the processing of returned claims that are in Grief-Hold or that have been canceled, refer to Bulletin No. 11.4 of this Warranty Guide.
09.3 (10/07)
15
Indicates change.
Bulletin No. 9.3
This warranty bulletin contains the information required to file most claims. This index shows where other claiming instructions can be found on the subjects listed.
Prime Product Warranty Claims
Warranty Bulletin
Engine/On-Highway Transmission Warranty Claim (Performance Repair) . . . . . . . . . . . . . . . . . . . . . . 6.4 Truck Engine/Transmission Warranty Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 Prime Product Warranty Claim (For Repetitive Failure Of A Replacement Part During The Product Warranty Period) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 Uninterruptible Power Supply Systems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.13 3600 Unit Injectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4
Remanufactured Engine/Transmission Warranty Claims

Remanufactured Engine/On-Highway Transmission Warranty Claim . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2
Parts Warranty Claims

Truck Engine/Transmission Parts Warranty Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Industrial Parts Warranty Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Marine Parts Warranty Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Parts Warranty Claim (Part Used On Non-Caterpillar Product) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.6 Dash Displays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 Dual Fuel Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.7
Delivery/Start-Up Inspection Claims

Delivery Inspection Claim. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.4 Start-Up And Performance Inspection Audit Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.6
Product Shipment Discrepancy Claims

Product Shipment Discrepancy Claim (Product Is At A Dealer) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.5 Product Shipment Discrepancy Claim (Product Is At An OEM Factory) . . . . . . . . . . . . . . . . . . . . . . . 7.5 Literature Shipment Discrepancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4
PIP/PSP Claims
Product Improvement Program (PIP) Claim - Priority/Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.1 Product Improvement Program (PIP) Claim - Parts Stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.1 Product Support Program (PSP) Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.2
Goodwill/Factory Authorization Claims

Service Goodwill Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 Factory Authorization Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4
Parts Stock, Service Tool, and Quarterly Freight Claims

Parts Stock Warranty Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.6 Service Tool Warranty Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.8 Quarterly Freight Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.3
Indicates change.
16
09.3 (10/07)
Bulletin No. 9.3
Extended Service Coverage Claims
Warranty Bulletin
Initial Extended Service Coverage Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 Related/Associated Extended Service Coverage Claim. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 Major Component Protection Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 Extended Service Coverage Involved With A Prorated PSP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 PEEC Coverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4
Overhaul Protection For Trucks (OPT) Claims

OPT Claim (Part Failure Beyond 12 months From Overhaul . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 OPT Claim (Workmanship Failure) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4
Overhaul Protection For Commercial Engines (OPC) Claims

OPC Claim (Part Failures Beyond 6 Months From Overhaul) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 OPC Claim (Workmanship Failure). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4
Remanufactured Extended Coverage Claim

Remanufactured Extended Coverage Claim. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4
Used Truck Engine Extended Service Coverage Claim

Used Truck Engine ESC Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4
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Bulletin No. 9.3
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Bulletin No. 9.3
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Bulletin No. 9.3
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Bulletin No. 9.3
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Bulletin No. 9.3
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Bulletin No. 9.3
09.3 (10/07)
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Bulletin No. 9.3
Indicates change.
24
09.3 (10/07)
Bulletin No. 9.4
SERVICE
WARRANTY BULLETIN
Claim Filing Instructions for Unique Claims

This warranty bulletin contains additional claims filing instructions for unique claims in which an appropriate warranty bulletin does not apply.
Service Goodwill Claim

Authorized Service Goodwill Claims are for reimbursement of repair expenses that go beyond the stated warranty period, or are not included in standard warranty practices. Goodwill authorization must be obtained from either the Caterpillar Engine Area/Region Office or Engine Division Marketing. The Desc. Code must be 56. The Reimbursable Expenses Detail must include, when possible, a breakdown of expenses Cat is paying for, rather than a combined total dollar amount. The customer credit field must indicate the percentage of agreed upon participation. If a 5-digit system-generated numeric code is given for the Claim Authorization No. by Cat, it must be entered in the Claim Auth. No. and the approvers name listed in the Claim Story. Leave Claim Auth. No. field blank, if any other type of authorization number is given. The Goodwill Code obtained from Caterpillar must be entered in the Service Approver Code field. The Claim Story must indicate what Cat/Customer/Dealer are each paying for, the approvers name and authorization code, and why Cat is participating.
Prime Product Warranty Claims

Repair Performed Prior To Delivery For Warranty Claims involving repairs performed prior to delivery, there are two claim fields that require the following input: For the Delivery Date enter zero zero NIS zero zero (00NIS00), which indicates Not-In-Service. The Product Hr/Mi/Km must be at least 1.
Repetitive Failure Of Replacement Part During Product Warranty Period)

The Parts Start Date must be left blank. The Parts Hr/Mi/Km must be the hours/miles/kilometers on the part which caused the failure. This number will be less than the Product Hr/Mi/Km.
0904-01 (05/07)
Bulletin No. 9.4
DASH DISPLAY (Units Delivered Prior to 1-Jan-03)

Must enter 99Z00084 as the serial number. Enter parts start when dash display was purchased. Enter 7490 in the group number causing failure field. Use 7490 as the SMCS code for claiming labor.
Factory Authorization Claim

Factory Authorization Claims are for reimbursement of service repairs performed at the request of a person from Caterpillar. The Desc. Code must be 56 or left blank.
CAT INFORMATION DISPLAY (Units Delivered After 1-Jan-03)

Must enter 99Z00086 as the serial number. .Enter date Cat ID was purchased for delivery date Enter the part number of the failed Cat ID.for Part Causing Failure Enter 7490 in the group number causing failure field. Use SMCS code 7490-010 for .5 hours for claiming labor. Engine Serial Number - Must enter the true engine serial number in the comment field on the control page of the claim
The Group Number, the Claim Authorization Number, and the Goodwill Code must be entered in the appropriate fields in the Claim Heading. This information is given to the dealer by the requesting person from Caterpillar. The Reimbursable Expenses Detail must include only those expense items and amounts that the requesting person from Caterpillar authorized.
EXTENDED SERVICE COVERAGE CLAIMS

Initial Extended Service Coverage Claim If the claim value does not equal the deductible, the repair should still be claimed. Enter EXT in the Coverage Type. When multiple repairs are performed during the same service visit or a repeat failure occurs from a previous service visit, the repairs must be submitted on separate claims using an initial claim and related/associated claim(s). The initial claim should be keyed into the Service Claims System first. The initial claim should be the highest dollar value claim, to cover any deductibles. If the highest dollar value claim does not equal/exceed the deductible, then several associated repairs should be combined on the initial claim with the Claim Story identifying each repair.
LITERATURE SHIPMENT DISCREPANCY

Enter SP0536 as the part causing failure. Enter 0375 as the group causing failure. Enter 82 as the description code. Claim story should include quantity of literature missing, literature number, and the serial number of the engines missing literature.
If any of the repair is submitted under Goodwill, the Goodwill Claim must be submitted after the initial and all associated claims have been submitted.
Indicates change.
09.04-01 (05/07)
Bulletin No. 9.4
Related/Associated Extended Service Coverage Claim

A related or associated ESC claim must be submitted for each additional repair performed during one service visit, or for repeat failures from a previous service visit. The Initial Dealer Code and the Initial Dealer Claim No. must be entered from the initial claim to avoid deductible charges being duplicated. For repairs having multiple repairs performed during one service visit, the labor hours on the associated claims may have to be reduced below TRG time to avoid duplicate labor, as shown in the above example for labor segment 1059-010
Overhaul Protection For Trucks (OPT) Claim

(Part Failure occurred after 12 months from overhaul.) The Delivery Date must be the Engine Delivery Date. Enter OPT in the Coverage Type. The Product HR/MI/KM must be the total miles/kilometers on the vehicle. The Parts HR/MI/KM must be the miles/kilometers on the engine since the overhaul. Parts replaced during the overhaul, that fail within 12 months after the overhaul, must be submitted as a Parts Warranty Claim. Start Date of OPT must be included in the Claim Story.
Extended Service Coverage Claim Major Component Protection

Enter MCP in Coverage Type. The customer credit % must be 100 for parts and 0 for labor.
Overhaul Protection For Trucks (OPT) Claim

(Workmanship Failure.) The Delivery Date must be the Engine Delivery Date. Enter OPT in the Coverage Type. The Product HR/MI/KM must be the total miles/kilometers on the vehicle. The Parts HR/MI/KM must be the miles/kilometers on the engine since the overhaul. The Desc. Code must be 93 to indicate failure due to workmanship. Start Date of OPT must be included in the Claim Story.
Extended Service Coverage Involved With A Prorated After-Failure Product Support Program (PSP)
When an engine failure is covered by both ESC and an after-failure PSP having prorated parts/labor, the repair must be submitted on one claim as a PSP claim. Enter EXT in the Coverage Type. The Part No. Causing Failure must be the PSP Reference Number. The Desc. Code must be 96. The Group No. must be 7755, indicating a PSP. The Customer Credit % must be 100 for both parts and labor. For additional information, refer to the last page of Bulletin No. 12.2 in this Warranty Guide.
09.04-01 (05/07)
Indicates change.
Bulletin No. 9.4
Remanufactured Extended Coverage Claim

The Delivery Date must be the in-service date of the Remanufactured engine. Enter EXT in the Coverage Type. The Product HR/MI/KM must be the miles/kilometers on the Remanufactured engine, not the total vehicle miles/kilometers. A Claim Story is not necessary in the above example, since the Claim Heading and the Expenses Detail sufficiently indicates the problem and the extent of the repair.
Overhaul Protection For Commercial Engines (OPC) Claim

(Part Failure occurred after 6 months from overhaul.) The Delivery Date must be the Engine Delivery Date. Enter OPC in the Coverage Type. The Product HR must be the total hours on the engine. The Parts HR must be the hours on the engine since the overhaul. Parts replaced during the overhaul, that fail within 6 months after the overhaul, must be submitted as a Parts Warranty Claim. Start Date of OPC must be included in the Claim Story.
Used Truck Engine Extended Service Coverage Claim

The Delivery Date must be the in-service date. Enter UTP in the Coverage Type. The Product HR/MI/KM must be the total miles/kilometers on the vehicle. The Parts HR/MI/KM must be the miles/kilometers on the engine since the in-service date for Used Truck Engine ESC.
Overhaul Protection For Commercial Engines (OPC) Claim

(Workmanship Failure) The Delivery Date must be the Engine Delivery Date. Enter OPC in the Coverage Type. The Product HR must be the total hours on the engine. The Parts HR must be the hours on the engine since the overhaul. The Desc. Code must be 93 to indicate failure due to workmanship. Start Date of OPC must be included in the Claim Story.
PEEC COVERAGE
Parts miles/kilometers must be the mi/km on the engine since the PEEC Coverage was registered.
3600 Unit Injectors

The following information needs to be placed in the claim story: Reason injector failed. Injector Serial Number(s). Engine fuel pressure after the transfer pump. Supply fuel pressure at the engine but before the transfer pump. Inlet fuel temperature at the engine.
Indicates change.
09.04-01 (05/07)
Bulletin No. 9.4
09.04 (05/07)
Bulletin No. 10.1
SERVICE
WARRANTY BULLETIN
Overview
Claim Action/Reason Codes are 3-digit codes that Caterpillar uses to inform dealers of specific actions and the reason for those actions on a service claim. When applicable, Caterpillar enters these codes in the RSN fields on the claim heading and on individual expense detail lines of service claims. Any Claim Action/Reason Codes that are entered on a service claim, will then be listed on the Service Claim Settlement Notice that is issued to the dealer for the processed service claim. Claim Action/Reason Codes inform dealers of improper claiming practices, requested dealer corrections, and/or requested dealer return of removed warranty parts and cores. These codes are entered by a Caterpillar Warranty Analyst or the Caterpillar Service Claim System. Three-digit Claim Action/Reason Codes consist of two separate codes, as follows: The first digit, called the Claim Action Code, is always a letter, which identifies the claim action taken on the claim, such as cancelled, adjusted, partially allowed, non-allowed, corrected, or returned. Claim Action Codes Claim Settlement/Adjustment (First Digit) C K L M N R S Corrected By Caterpillar Warranty Analyst Canceled - Claim Will Not Be Returned Adjusted By System Partially Allowed Nonallowed Returned To Dealer By Analyst Canceled/Returned By System
Claim Action/Reason Codes

The last two digits, called the Reason Code, indicates the reason for taking the action identified in the first digit. (See Next Page). There are also special 3-Digit Claim Action Codes that are used without an accompanying two-digit reason code. Special 3-Digit Claim Action Codes are used to indicate that special action was taken with a service claim. These special 3-Digit Claim Action Codes are listed in the following chart. Special 3-Digit Claim Action Codes KKK Claim Or Line Canceled By Caterpillar
RDR Resultant Damage - System Automatically Calculates Percentage SDD S41 SDL Claim Canceled By Non-DBS Dealer Claim Canceled By DBS Dealer Line Canceled By Dealer
A Service Claim Settlement Notice will be issued by Caterpillar for every service claim submitted, except for canceled claims having a special 3-Digit Claim Action Code of either SDD or KKK. Claim/Action Reason codes are used on returned claims to indicate requested corrections and/or additional information to be made by the dealer. When returned claims are sent to the grief-hold file for dealer corrections/additions and no dealer action occurs within 30 days, the claim will be system canceled and a Service Claim Settlement issued. For batch or DBS dealers who elect to have all returned claims canceled, the returned claims will be canceled and a Service Claim Settlement Notice issued. Claim Action/Reason Codes are also used to explain the overall settlement, cancellation, or adjustment to the entire claim, and/or specific line-by-line adjustments. In some cases, Claim Action/Reason Codes will not fully explain how a claim was settled or adjusted. When this happens, Caterpillar will communicate the details to the dealer by: Explanation in the claim story of the claim, or A story statement on the Settlement Notice.
10.01 (05/07)
Indicates change.
K9 K49 N05 RP5
Reason Codes General Category (Last Two Digits) Line Item Added to Reflect Caterpillar Participation Contact your TEPS Manager for Assistance Non-Allowed - Cat Analyst Request Was Not Provided In Resubmitted Claim Returned - Warranty Update Requirements Are Not In The Claim Story Reason Codes Claim Heading Errors (Last Two Digits) Product Identification Number/Serial Number Incorrect or Invalid Repair Dealer Code Not Authorized To Submit Claim For Product Duplicate Claim Number Received in Batch For another Open Claim Dealer Claim Number Error Contingently Damaged Parts Not Identified in "Comp" Field Parts Stock: Description Code Must Be Entered in "Comp" Field Delivery Date Missing, Wrong, or Not on PIS
Reason Codes Claim Heading Errors (Last Two Digits) 46 Repair Exceeds Cost of Assembly 48 See On-Line Claim Story For Explanation 52 Caterpillar Error - Claim Re-entered with Corrections 53 Participation Adjusted Due to Age and/or Hours 55 Processed Per District Goodwill 57 Dealer Error - Re-entered with Corrections B3 Unit Has Major Component Coverage Only E1 Dealer Error - Re-entered with Corrections E3 Claim IS For Less Than Program Deductible E5 Should Be Parts Stock Claim Maintenance Item per the Operation and Maintenance E6 Guide Unit Is Not In Extended Service Plan Period Because E7 of Time and/or Service Hrs/Miles/Kilometers E8 Adjustments Not for Caterpillar Claim Entered With No Expense Lines - Please ReK6 Enter with Expense Lines L5 Actual Hours to Repair Missing or Wrong Supplemental Not Received Within 60 Days of Original L9 Claim Paid Date Parts and Labor Dollar Calculation For Late Claims T9 Received Between 180 and 365 Days Reason Codes Failure Related (Last Two Digits) 58 Lack of Lube/Coolant 59 Foreign Material/Debris Performance Complaint Not Supported By Fuel Setting 60 Data 61 Incorrect Operation and/or Application 62 OEM or Installer Workmanship 63 Maintenance Responsibility Of the User 64 Part Causing Failure is Within Specs Caterpillar Material or Workmanship Defect Not 65 Established 66 Test Results/Measurements Not Documented 67 No Warrantable Failure Identified All Cy. Packs Not Pulled as Required For Head B1 Gasket Failures Degree of Failure Caused by Lack of Maintenance or E9 Continued Operation, Neglect, Abuse Non-Allowed - Reference Serial Number Only - No N02 Warranty System Edit - Supplemental Claim Same As Initial N03 Claim - Rejected RP0 Returned - Delivery Date Prior to Repair Date Returned - Part Causing Failure Must Be the Reman RP3 Part Number Returned - Group Number Must Be Reman Group RP4 Number Returned - Enter Goodwill Code in Service Approver RP7 Field Returned - OPT,OPC and ADV Recalculate "Part RP9 Miles" Field From Enrollment Miles Returned - Enter Unit Hours in Story For Engines With RM7 Hour Limitations
01 04 05 06 7A 7B 08
09 Parts Warranty Start Date Missing or Wrong 10 Repair Date - Claim Beyond Submission Time Limit 11 Initial Dealer Code/Claim No. Missing or Wrong 12 Coverage Type Information Missing 14 Product Hours/Miles/Kilometers Missing or Wrong 15 Parts Hours/Miles/Kilometers Missing or Wrong 16 Part Number Causing Failure Missing or Wrong 17 Description Code Missing or Wrong 18 Substitute Group/Group Number Missing or Wrong 19 Supplemental Claim Not Identified Related Equipment Make/Cab/Serial Number 20 Information Missing or Wrong 21 Customer Credit Information Claim Authorization Number and/or Goodwill Code 22 Missing or Wrong 24 Insufficient Failure Summary Information 25 Unit or Part Beyond Age or HR/ML/KM Limit 26 Part Causing Failure Not Warranted by Caterpillar Part Causing Failure Not Under Parts and Assembled 27 Components Assembly 29 Unit Not Eligible for Warranty 30 Non-Caterpillar Part or Part Not Covered by Warranty Part Is Not Covered By an Extended 31 Service/Warranty Program Unit Is Not Enrolled In An Extended Service/Warranty 32 Program 37 More Than One Failure Or Repair Claimed 40 Duplicate Claim 41 Dealer Instructions 45 Claim Authorizer Not Identified In Claim Comments
10.01 (05/07)
Indicates change.
Reason Codes Parts Expense Errors (Last Two Digits) Parts Are Not Normally Part Of Or Related To 68 Failure/Repair Repair Versus Replacement Option (See Bulletin No. 5.1 69 Of This Warranty Guide) 70 Normal Wear Parts Nonallowed 71 Part, Assembly, or Kit Not Justified 72 Remanufactured Parts Not Used 73 Parts Duplication/Quantities Excessive 74 Parts Are Reusable Or Can Be Salvaged Records Show Customer Did Not Adequately Participate 75 in a Previous Repair To Qualify For Parts Warranty Parts Number Claimed Does Not Agree With Numerical 76 Parts Record (NPR) 77 Equalize Dealer/District Goodwill Expense Not parts Warranty Due To Lack of Customer 78 Participation in Previous Repair Parts Adjusted to Cost Of Exchange OR Remanufactured 79 Part Or Assembled Component Low Dollar Parts Listed On Parts Lines and Parts 82 Summary Lines 83 Low Dollar Parts Claimed Exceed Low Dollar Limits Need Breakdown Of All Parts Listed Under Low Dollar 84 Parts 86 ECM/ET Download Reports Incomplete Or Not Provided B3 Unit Has Major Component Coverage Only B4 Service Item Not Contaminated By The Failure B9 K1 K3 K4 This Item Exceeds Warranty Statement Limitations Part Beyond Recommended Replacement Period Per The Operation and Maintenance Guide Upgrade To New Not Allowed Damage To part Not Supported
Reason Codes Labor Expense (Last Two Digits) 89 Labor Not Caterpillar Responsibility 90 Labor Excees TRG Times Labor Excessive/Not Justified Or An Operation Not 91 Needed In Making The Repair Labor/Repair Operations Duplicated Or Listed On An 92 Associated Claim 94 Labor Rate Adjusted Salvage/Repair Labor Exceeds Nes/Remanufactured 95 Part Price 96 Hardship/Repeat Repair Labor Requires Documentation 97 Not Salvage Labor B3 Unit Has Major Component Coverage Only K2 Detailed TRG Labor Breakdown Needed K5 Labor Associated With Non- Allowed Part(s) K8 Incorrect SMCS Labor Code M3 Labor Rate Claimed Exceeds Labor Rate On File M4 Labor Rate Not In Effect At The Time Of Repair Miscellaneaous Labor Element Is Included In "Allowance 7D For Variation" Provided In TRG Most Economical Repair Not Performed. Adjusted To 7E Most Economical Repair. P2 ECM Download Not Uploaded Or Scanned TO SIMS Reason Codes PIP/PSP (Last Two Digits) Product Identification Number/Serial Nubmer Not Included In Service Letter Program Service Letter Program Terminated Prior To Repair Content Submit Under PSP (If Extended Coverage Applicable, Enter Coverage Type For Split-Pay With PSP) Repair-After Completion Date - Pnly Service Letter Content Allowed
38 39 54 B2 B7
K7 Incorrect Part Number L8 Part Not Replaced At Time of OPC Repair vs Replace worksheet Is Incomplete, Incorrect Or 7C Not Provided Defect Identification And/Or Location On A Part of $250 7F Or > Must Be Provided
E4 PIP/PSP Previously Performed PAR Dyno Not Performed As Requested By Service X7 Letter
Indicates change.
10.01 (05/07)
Reason Codes Miscellaneous Expense (Last Two Digits) Non-Caterpillar Part Or Part Not Covered By Warranty Travel/Vehicle Expense Excessive Or Not Justified Travel/Vehicle Expense Not For Caterpillar Service Item Not Contaminated By The Failure Location From Where Parts Were Freighted Not In M1 Claim Story City And State Where Unit Was Towed From Not In M2 Claim Story Non-Allowed - Freight From Main Depot, Cat Distr. Or N07 Branch Not Reimbursable Returned - Reason For Travel, Number of Trips, Or RM6 Unit Location Not In Story Returned - Part Number Requiring Service Charge RP6 Must Be In Claim Story S0 Dyno Expense Not For Caterpillar Miscellaneous Item Not At Cost or Does Not Agree Wit S1 Invoice S3 Transport/Towing Charges Are Excessive S4 Transport/Towing Charges Are Not For Caterpillar S5 Miscellaneous Items Are Not For Caterpillar Miscellaneous Item Does Not Match Standardized S7 Description S8 Items Exceed Refill Capacity S9 Dyno Expense Excessive T2 Freight Expense Not Supported By Comments T3 Expense Not Supported By Claim Comments Need Detail/Explanation Of Miscellaneous Expense T4 Claimed T5 Freight Expense Not Caterpillar T6 Core Charge(s) Are Not For Warranty T7 Miscellaneous Expense Excessive Shop Supplies Not Claimable, Included In Labor Rate T8 Calculations 30 98 99 B4 X1 X2 X3 X4
Reason Codes Parts Return (Last Two Digits) Parts/Photos Not Returned In Allotted time - See Warranty Guide Inspection Does Not Show Failure Parts Improperly Tagged, Packaged, Or Protected Parts Being Returned To Dealer
X5 Failed Area Not Properly marked Or identified X6 Not Disassembled Or Cleaned For Proper Analysis
10.01 (05/07)
4
Indicates change.
Bulletin No. 10.1
Parts Return Request Codes

The following chart lists special three-digit Parts Return Request Codes. These codes are only used for Parts Return Requests issued by Caterpillar Warranty Analysts. Parts return requests issued by Caterpillar Service Engineers do not use these codes. Dealers will only encounter these three-digit Parts Return Request Codes when viewing claims on-line in the Service Claim System (through AIMS). To request parts returns, Caterpillar Warranty Analysts enter either a PR1 or PR2 in the action/reason code field of the applicable parts expense lines (Cat Worksheet Detail Screens). Every Friday, codes PR1 and PR2 are converted to code PR3, and a Parts Return Request is issued to the dealer. Special Three-Digit Parts Return Request Codes PR1 PR2 PR3 Return This Part Only Return This Part And All Parts Related To This Failure A Parts Return Request Has Been Issued For These Parts
Indicates change.
10.01 (05/07)
Bulletin No. 10.1
Use Of Claim Action/Reason Codes On Settlement Notice

Up to four Claim Action/Reason Codes can be applied to a single claim. A description of each Claim Action/Reason Code used will be listed under the heading entitled NOTES on the Service Claim Settlement Notice. When Claim Action/Reason Codes are used for individual line item adjustments, the complete line being adjusted is printed on the Service Claim Settlement Notice, with the Reason Code and description printed under it. Refer to the illustration on this page for a Service Claim Settlement Notice illustrating use of Claim Action/Reason Codes.
I l s r t o . Service Claim Settlement Notice Showing Use Of Claim Action/Reason Codes To Explain Overall lutain Settlement Of A Claim Involving Individual Line Adjustments.
10.01 (05/07)
Indicates change.
Bulletin No. 10.1
10.01 (05/07)
Bulletin No. 10.2
SERVICE
WARRANTY BULLETIN
Description Codes
Description Codes are used on Warranty Claims to better describe the failure/defect, or indicate a specific type of claim. A chart listing all the Description (Desc.) Codes that can be used on Engine Division Warranty Claims is included in this Bulletin. The chart is divided into General Categories. Each General Category has a one-position letter code. Within each General Category are two-position numeric codes which are more descriptive of the failure or defect. For claims other than Parts Stock and Service Tool Claims, a Description Code from the charts in this bulletin must be entered in the Desc. Code field of the Claim Heading. Dealers can enter either a oneposition general category letter code or a twoposition numeric code in the Desc. Code field. The On-line Service Claim System will automatically convert one-position Letter Description Codes to the Numeric Description Code value listed in parenthesis to the right of each Category Title shown in the chart. For example, if the letter code B (Surface) is entered in the Desc. Code field, the online system will convert it to the numeric code 02 (Scratched, Scored, Burned, or Nicked). The Description Code used on claims other than Parts Stock and Service Tools should agree with the Description Code used on the Service Information Management System (SIMS) Report, if possible; however, if another Description Code is more descriptive, it should be used.
For Parts Stock and Service Tool Claims, only the two-digit numeric codes that are identified by a (1) in the chart can be used. For such claims, the Desc. Code field in the Claim Heading is left blank and the appropriate numeric Description Code is entered in the first two positions of the Comp field after each part name listed in the Reimbursable Expense Detail of the claim. Special Description Codes are used in the Desc. Code field of the Claim Heading to indicate the specific type of claim for: Product Shipment Discrepancies Service Policies Factory Authorizations Product Improvement Programs (PIP) Product Support Programs (PSP) Supplemental Claims Refer to the charts on the following pages.
10.02 (10/01)
Bulletin No. 10.2
Description Codes Letter Code A Broken Cracked Bent or Twisted Burst, Split, or Ruptured Threads/Splines Stripped or Failed Separated Stretched or Elongated Cut Bruised Weld Failed Damaged Terminals Weld Defective or Omitted B SURFACE Pitted, Spalled, or Eroded Scratched, Scored, Burred, or Nicked Rusted or Corroded Plating Omitted or Defective Rough, Dented, Chipped or Uneven Burned, Wrinkled, Blistered, Peeling Material Transfer or Pick-up Worn Seizes, Sticks, Binds Seats or Fits Poorly Debris or Foreign Material Casting Defect (Porous, Inclusions, Sand Holes) Description STRUCTURAL Numeric Code (10) 10 12
1 1 1 1 1
Letter Code C
Description Codes (Contd.) Numeric Description Code LEAKS Leaks Air/Gases Leaks Oil/Lubricant Leaks Water Leaks Fuel Slobbers (17) 16 18 19
1 1 1 1
11
17
15 21 23
67 (81) 22
1
1 1 1 1
FACTORY ASSEMBLY Fastener Loose, Missing, Damaged, or Broken Packaging Interference, Insufficient Clearance Operation Omitted Oversized or Too Long Undersized or Too Short Too Hard or Excessive Heat Treat Too Soft or Too Little Heat Treat Out of Round, Run Out Excessive Improper Lubrication Improperly Machined Incorrectly Positioned/ Assembled Damaged At or Prior To Assembly
24 25 26
76 79 84 85
1 1 1 1
27 34
1
81
83 (02) 01 02
1 1
86 87 88
03 04 05
1 1 1
1 1 1
89
92 93 95
06 07 51 62
1 1 1 1 1 1
13 59 90
SYSTEM MALFUNCTION Shorted Open Circuit Dead Cell Overcharging Undercharging Software Defect (not an update)
(99) 31
1 1
32
33 35 36
1 1
37
1 Identifies the only Description Codes that can be used for Parts Stock and Service Tool Claims
Indicates change.
10.02 (10/01)
Bulletin No. 10.2
Letter Code E
Description Codes (Contd.) Numeric Description Code SYSTEM MALFUNCTION Information Record Failed Hydrometer Test (Battery Defect) Failed Charge Test Failed Starting Load Test System Malfunction Hesitates Hard To Engage or Disengage Battery Discharges Too Quickly (Battery Powered Vehicle Only) Difficult or No Braking Noisy Overheating Vibration, Chatters, or Shakes Smokes Excessively Clogged, Plugged, or Restricted Loose, Slips, Moves, or Backs Off Unable To Adjust Oil Consumption Excessive Pressure Too High Pressure Too Low Excessive Blowby No Pressure Difficult To Start Wrong Cycle Time Low Power Rough Operation Overspeeds Concealed Damage Emissions Defect Undefined - See Story (99) 38 39 40 41 42 43
1
Letter Code H J
Description Codes (Contd.) Numeric Description Code IMPROPER ADJUSTMENT UNSATISFACTORY PAINT Burned, Wrinkled, Blistered, Peeling (91) (06) 06 (82) 82
WRONG OR MISSING PART/TOOL Errors or Shortages Of Engine Product
45
FACTORY REQUESTED WORK OR BEFORE FAILURE PIP/PSP ADDITIONS/ CORRECTIONS SUPPLEMENTAL CLAIM CONTESTED SUPPLEMENTAL CLAIM
56
46 47 52 53 54 55 57 58 60
1
20 98 96
AFTER-FAILURE PIP/PSP
1 Identifies the only Description Codes that can be used for Parts Stock and Service Tool Claims
63 65 66 68 69 70 71 72 73 77 78 97 99
1 1 1
10.02 (10/01)
Indicates change.
Bulletin No. 10.2
10.02 (10/01)
Bulletin No. 11.1
SERVICE
WARRANTY BULLETIN
Claim Submission Paths For Caterpillar Engines/On-Highway Transmissions H In OEM Product

Warranty Claims on Caterpillar engines/on-highway transmissions used in OEM products can be submitted by one of several claim submission paths. These claim submission paths are: Path 1 - Cat dealer to Caterpillar Path 2 - Authorized TEPS dealers/AMDs to Cat dealer to Caterpillar (not using Cat PC) Path 3 - Authorized TEPS dealers/AMDs to Caterpillar (using Cat PC) Path 4 - Caterpillar Approved National Account Fleet to Caterpillar Path 5 - GMC/Chevrolet TEPS dealers to General Motors to Caterpillar The following chart illustrates the possible claim submission paths for each type of dealer/customer:
NOTICE
Warranty Claims from TEPS dealers/AMDs who are not using Cat PC must be submitted to Caterpillar by either a Caterpillar dealer or by the OEM, whichever is responsible for warranty administration. Claims submitted directly to Caterpillar by a TEPS dealer/AMD who is not using Cat PC will not be considered.
Warranty Claim Submission For Some Truck Fleets

Certain fleet customers operating on-highway trucks powered by Caterpillar Engines have entered into agreements with Caterpillar to perform their own warranty service on their Caterpillar Engines. These fleet customers submit claims directly to Caterpillar. Some fleets have been authorized to perform limited warranty repairs on their own vehicles and submit Warranty Claims via a designated Caterpillar dealer. These fleets must have a Fleet Code (similar to a TEPS Dealer Code), and an approved labor rate on file with Caterpillar. Any such Warranty Claims submitted to Caterpillar must have the Fleet Code in the TEPS Dealer Code field.
Claim Submission Paths Type of Dealer/Customer GMC/Chevrolet Truck TEPS All Other Truck TEPS Mobile-Ag TEPS Marine OEM Not Affiliated With OEM Fleets Claim Paths 1,2,3, or 5 1,2, or 3 1 or 2 1 or 2 1 or 2 1,2, or 4
11.1 (05/07)
Indicates change.
Bulletin No. 11.1
Warranty Claim Submission For Ryder Truck Rental Fleet

For all Caterpillar engine warranty and extended service plan repairs performed on Ryder-owned trucks, Caterpillar dealers and TEPS dealers should submit a Warranty Claim to Caterpillar in their normal manner. This applies to the following types of claims: New or Remanufactured Engine Warranty Parts Warranty Product Improvement Program/Product Support Program Extended Service Plan (ESC, OPT, TOPP, Used Truck Engine ESC, Remanufactured Extended Coverage)
Goodwill For these repairs, Ryder will request a copy of the Service Report and any supporting documentation for their failure data records. Any items or repairs not covered by Caterpillar should be billed directly to Ryder Truck Rental Inc. For Extended Service Plan repairs on Ryder-owned trucks, no deductible should be charged. Any questions pertaining specifically to Ryder requirements for warranty handling procedures should be forwarded to Ryders Warranty Department in Miami, Florida U.S.A., telephone (305) 593-3706.
11.1 (05/07)
Bulletin No. 11.2
SERVICE
WARRANTY BULLETIN
Service Claim Settlement Notice

A Service Claim Settlement Notice is produced for each Warranty Claim received from a dealer and processed by Caterpillar. A Service Claim Settlement Notice is also produced when Caterpillar issues a debit memo, an invoice to a dealer, or a credit memo. Dealers may select to receive Settlement Notices electronically, on paper, or both. They can be generated to include all claim detail, only summary information, or summary information with any exception detail. Dealers should select the combination of media and format that best suits their business needs. For Credit Settlement Notices - the first position of the Settlement Notice number will contain the letter C and be identified as follows: CO1SCE - U.S. engine claims paid by Caterpillar CO1SCP - U.S. parts/misc claims paid by Caterpillar C90SC - Canadian claims paid by Caterpillar CN4SCE - U.S. fleets filing directly to Caterpillar For Debit Settlement Notices - the Settlement Notice number will begin with one of the following prefixes: O1SCE - U.S. engine claims O1SCP - U.S. parts/misc claims O90SC - Canadian claims N4SCE - U.S. fleets All credit Settlement Notices issued during a month will appear on the dealers credit account statement for that month. All debit/invoice Settlement Notices issued during a month will appear on the dealers receivable statement. When a Warranty Claim is adjusted, non-allowed, or canceled, the dealer is informed by Claim Action/Reason Codes which appear under the NOTE Section at the bottom of the Settlement Notice. Up to four different Claim Action/Reason Codes can be indicated on a Settlement Notice. When necessary, specific line items may also be printed and identified by a corresponding Claim Action/Reason Code on the Settlement Notice. Refer to Bulletin No. 10.1 of this Warranty Guide for a list of Claim Action/Reason Codes and how they are used. The Settlement Notice can be more than one page. The end of a notice is identified by the following: ...END OF SETTLEMENT NOTICE...
Settlement Notice Information

The following identifies the various sections of the Service Claim Settlement Notice and what is printed under each section.
Number/Date
The assigned Service Claim Settlement Notice number and the date the Settlement Notice was issued appears in the upper right corner of the Settlement Notice.
11.02 (10/06)
Bulletin No. 11.2
Processor
Under PROCESSOR, Caterpillar Inc. Peoria, Ill is listed as the processor.
Currency Rate
The CURRENCY RATE only appears on Settlement Notices for Canadian dealers and is located directly below the CURRENCY, when applicable.
Claimant
The Caterpillar dealer and the dealers address is indicated under the CLAIMANT.
Other
The following items are listed under OTHER: The Product Identification/Serial Number. The Product Delivery Date that the dealer entered on the claim and the Delivery Date which the Product Information System (PIS) assigned to the Warranty Claim. The Claim Type will indicate whether the Warranty Claim is a supplemental or a debit, when applicable. If the Warranty Claim is not a supplemental or a debit related claim, the Claim Type will not appear on the Settlement Notice. If the Claim Type appears on the Settlement Notice, one of the following alpha identifiers will appear for the Claim Type: DBT = Debit Settlement ADD = Additional/Corrections Supplemental Claim (credit) CON = Contested Supplemental Claim (credit) CR = Credit Settlement NVC = Invoice The item entitled Coverage Type will appear to the right of the Claim Type every time the Claim Type appears. Thus, the title of Coverage Type only appears on Settlement Notices for supplemental or debit related claims, and only has a value if the Settlement Notice is associated with an Extended Service Plan claim. The Remanufacture Code (RMC) is located directly to the right of the Parts Option (Example: RMC - X). This one-position alpha code (X or S) is for factory use only.
References
The following items are listed under REFERENCES: The Processor Claim Number which is computer generated by Caterpillar and adjacent to it is the Processors Facility Code, which is the facility code of the Caterpillar Division that processed the claim. The Claimant Claim Number which is the dealer assigned claim number and adjacent to it is the Claimants Dealer Code. The Claimant Claim Number on a Debit Settlement Notice will be a Caterpillar assigned number beginning with a three position alpha prefix. The three-position Claimant Claim Number prefixes for debit Settlement Notices are listed in the chart on page 4. The Initial Claim Number (dealers original claim number) will appear directly below the Claimant Claim Number for supplemental claim and debit Settlement Notices only. Adjacent to the Initial Claim Number will be the claimants dealer code on the initial claim.
Terms
For debit Settlement Notices only, the section entitled TERMS will appear directly below the REFERENCES items. Under TERMS, on the first line will be an accounting number with a prefix of AZZ. This number is for Caterpillar internal use involving the posting of the dealers statement. Following the accounting number will be the date the dealers statement will be updated.
Currency
The type of currency for U.S. and Canadian dealers is always United States Dollars and is so indicated under CURRENCY.
11.02 (10/06)
Bulletin No. 11.2
The item entitled TEPS is located on the same line as Parts Option to the far right. If the Settlement Notice is for a TEPS dealers/AMDs Warranty Claim, the TEPS dealer/AMD code will appear after TEPS. If the Settlement Notice is for a Caterpillar dealers Warranty Claim, the word NONE will appear after TEPS. The Delivery Date Source Code is located between the dealer assigned Delivery Date and the PIS assigned Delivery Date. This onedigit code will be one of the following Delivery Date Source Codes: D = Dealer provided and not on PIS1 E = Equal (dealer provided and agrees with PIS date) N = None (date missing and/or not required) P = PIS sourced (date not provided by dealer) R = Replaced by PIS date (date provided on claim not used)2 If a D Delivery Date Source Code is entered on a Settlement Notice, the dealer should verify the accuracy of the Delivery Date and either enter the Delivery Date in the computer on-line Product Information System (PIS), or verify that the Engine Delivery Service Record was sent to Caterpillar. If an R Delivery Date Source Code is entered on a Settlement Notice, the dealer should verify that the Delivery Date on file in the Product Information System (PIS) is the correct date. If it is determined to be incorrect, dealers should send the correct delivery date and support information to the following address: Mail: Caterpillar Inc. Attn: Service Claims Clerk Engine Division Customer Services - AC6105 P.O. Box 610 Mossville, Illinois 61552-0610 Fax: (309) 578-2027 Phone: (309) 578-1954
2 1
NOTICE
The Delivery Date that the dealer entered on the Warranty Claim and the Product Information System (PIS) Delivery Date will appear on all Settlement Notices.
Claim Settlement Notices

A claim Settlement Notice includes the amount claimed, the amount non-allowed, and the amount credited. This includes parts, labor, travel, and vehicle expenses. Caterpillar parts are reimbursed at dealer net (D/N) or consumer list (C/L) prices, whichever is applicable. For Canadian Dealers, import charges are reimbursable by a percent factor established on the basis of the Dealer Net (D/N) price of the parts. For additional information concerning Canadian import charges, refer to Bulletin No. 3.4 of this Warranty Guide. For all Warranty Claims that receive parts reimbursement, a 2% parts price discount is applied that is calculated on the dealer net (D/N) price of the parts. This parts price discount is automatically applied to Warranty Claim Settlements, since the same discount is also available to dealers on parts sales invoices. This discount is always calculated on the dealer net (D/N) price even when the parts are credited at the consumer list (C/L) price.
Canceled Claim Settlement Notices

A Settlement Notice is issued for all canceled claims, except for those canceled by the dealer (before batch run) because of entry errors. All canceled claims should be reviewed by dealer personnel to determine if resubmittal is required. When Warranty Claims are canceled by the dealer, a Claim Action Code of SDD should be used by the dealer for canceling the Warranty Claim. If a Warranty Claim is canceled by a Caterpillar Warranty Analyst, the first position of the Claim Action/Reason Code, located at the bottom of the Settlement Notice, will contain a K or R for the Claim Action Code followed by a two digit Reason Code. For additional information concerning Claim Action/Reason Codes, refer to Bulletin No. 10.1 of this Warranty Guide.
11.02 (10/06)
Indicates change.
Bulletin No. 11.2
If and when a canceled claim is resubmitted to Caterpillar, it should be treated as a new Warranty Claim using the same Warranty Claim Number and Description Code. The resubmitted Warranty Claim should not be entered as a supplemental claim. A canceled claim cannot be re-entered into the OnLine Service Claim System until after the next update of the On-Line Service Claim System.
(continued) Claimant Claim No. Prefixes & Corresponding Claim Type For Debit-Related Settlement Notices Claimant Corresponding Claim No. Claim Type Prefix Identifier IAU LDR OPC OPE DBT NVC NVC DBT
Definition Internal Audits (debit settlement to dealer) Late DOLRS Registration Invoice OPC Premium Offset OPT/OPC Premium (Credit Error) OPT Premium Other/Misc Debit (debit settlement to dealer) Parts Return Request (debit settlement to dealer) Remanufactured Extended Coverage Premium Special Engine Parts Pricing Program Service Tool Program TEPS 2% Cash Discount Program TOPP - Credit For Adjustment ADV Premium
Debit/Invoice Settlement Notice

A debit is similar to a supplemental Warranty Claim, except the dealer is invoiced for the amount indicated. The debit amount could be used to: Offset an overpayment Make adjustments from an internal/warranty audit Obtain reimbursement for parts not recovered Coverage premiums for engines enrolled in Dealer On-Line Registration System (DOLRS)
OPT OTH
NVC DBT
PRR The following chart lists the various Dealer/Claimant Claim Number prefixes that appear on debit-related Settlement Notices along with the corresponding Claim Type identifiers. These two Settlement Notice elements help dealers identify credit or debit status.
DBT
REC
NVC
RTN Claimant Claim No. Prefixes & Corresponding Claim Type For Debit-Related Settlement Notices Claimant Corresponding Claim No. Claim Type Prefix Identifier ADJ CRD DAU EPC EPD EPP ERR ESC CR CR DBT CR CR NVC CR NVC STE TCD Definition Credit For Adjustment OPT/OPC/ADV/ESC Credit For Debit Error Dealer Audits (debit settlement to dealer TOPP Payment Of Customer Credits TOPP Customer Dividend Payment TOPP Registration Credit For Debit (credit settlement to dealer) ESC Premium UTE TOP
NVC NVC NVC CR NVC
Debit Settlement Notices will contain a DB to the right of each debit amount on the Settlement Notice.
11.02 (10/06)
Bulletin No. 11.2
Payment Discrepancies
If Settlement Notice credit errors involving overpayment by Caterpillar are found, dealers should use the On-line Service Claim System to determine the type of error and probable cause. The computer Service Claim Worksheets are retained in the On-line Service Claim System for 12 months from the date a claim is closed, whether the claim was paid, non allowed, or canceled. Dealers should notify Caterpillar Warranty Analysts via telephone or electronic mail (Lotus Notes) and indicate the Caterpillar Claim Number involved. For claim adjustments or underpayment, dealers should carefully review both the Warranty Claim and the Settlement Notice to determine the reason for claim adjustments or overpayments (such as non allowances, adjustments, etc.). If a Supplemental Warranty Claim is required, the Supplemental Claim should be submitted in the normal manner.
11.02 (10/06)
Bulletin No. 11.2
Index Of Settlement Notice Examples

Credit Service Claim Settlement Notices:
1. Credit with no adjustments or non-allowances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Page 7 2. Credit showing Claim Action/Reason Code and Code Description for an overall claim adjustment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Page 8 3. Credit showing Claim Action/Reason Code and Code Description for a detail line adjustment with a story line . . . . . . . . . . . . . . . . . . . . . . . . . . . .Page 9 4. Credit for a Supplemental Claim (Contested) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Page 10 5. Credit including Canadian import charges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Page 11
Debit Service Claim Settlement Notice

6. Debit for an overpayment (Claimant claim number prefix of OTH) . . . . . . . . . . . . . . . . . . . . . . . .Page 12
Canceled Service Claim Settlement Notice

7. Canceled claim and returned to dealer for more information or corrections (Claim Action Code of R) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Page 13
11.02 (10/06)
Bulletin No. 11.2
Example 1. Credit with no adjustments or non-allowances.
11.02 (10/06)
Bulletin No. 11.2
Example 2. Credit showing Claim Action/Reason Code and Code Description for an overall claim adjustment.
11.02 (10/06)
Bulletin No. 11.2
Example 3. Credit showing Claim Action/Reason Code and Code Description for a detail line adjustment with a story line.
11.02 (10/06)
Bulletin No. 11.2
Example 4. Credit for a Supplemental Claim (Contested).
10
11.02 (10/06)
Bulletin No. 11.2
Example 5. Credit including Canadian import charges.
11.02 (10/06)
11
Bulletin No. 11.2
Example 6. Debit for an overpayment (Claimant Claim Number prefix of OTH).
12
11.02 (10/06)
Bulletin No. 11.2
Example 7. Canceled claim and returned to dealer for more information or corrections (Claim Action Code of R).
11.02 (10/06)
13
Bulletin No. 11.2
14
11.02 (10/06)
Bulletin No. 11.3
SERVICE
WARRANTY BULLETIN
Caterpillar Dealer Responsibilities For Handling TEPS/AMD Warranty Claims

Under the Caterpillar Engine Sales and Service Agreement, the Caterpillar dealer has specific requirements in developing, maintaining, and auditing TEPS dealers/AMDs. The Engine Sales And Service Agreement includes specific Caterpillar dealer responsibilities in administering warranty for TEPS dealers/AMDs. These Caterpillar dealer warranty responsibilities include the following: Conducting TEPS dealer/AMD training on warranty decision making and administration, claims preparation, and the use of the Service Warranty Guide for TEPS dealers/AMDs.
Ensuring TEPS dealers/AMDs Warranty Claims are complete and accurate when submitted. Settling TEPS/AMD claims promptly. Settlement should not be delayed pending processing of the claim by Caterpillar. Acting as intermediary in interdealer warranty situations involving TEPS dealers/AMDs. Regularly reviewing TEPS dealer/AMD warranty acceptance rate and warranty activity compared to their parts and engine sales levels, to identify substandard performance.
11.03 (10/01)
Indicates change.
Bulletin No. 11.3
11.03 (10/01)
Bulletin No. 11.4
SERVICE
WARRANTY BULLETIN
Returned Claims Processing

The information in this bulletin outlines dealer responsibilities for correcting returned claims that are returned via the on-line Grief-Hold File or system canceled. Included is information on when returned claims are system canceled versus sent to the Grief-Hold File. When Caterpillar returns a claim via the on-line Grief-Hold File or as a system Canceled Claim, the Caterpillar Warranty Analyst or Service Claim System is requesting that the dealer make specific clerical corrections and/or supply specific additional information. The requested corrections and/or additional information is conveyed to the dealer by the use of reason codes and/or a claim story narrative. Claims that are returned via the on-line Grief-Hold File or as a Canceled Claim are not being non-allowed by Caterpillar. Instead Grief-Hold File Claims and Canceled Claims require dealers to respond with corrections and/or additional information to substantiate their claim before Caterpillar takes action on the claim. Returned claims will not be paid by Caterpillar until the dealer makes the requested corrections and/or supplies the requested additional information. Caterpillar dealers who use the On-Line Service Claim System Customers who use the On-Line Service Claim System
TEPS dealers/AMDs who use the On-Line Service Claim System On-line claim processing dealers are interactive within the Caterpillar On-Line Service Claim System. As a result, claims entered by the dealer on-line are edited immediately for entry errors by the Caterpillar Service Claim System. Entry errors are highlighted by asterisks during claim entry for dealer correction while entering the claim. On-line processing dealers have the advantage of viewing claim entry errors immediately. Those dealers who process claims in their own business claim system are not interactive within the Caterpillar On-Line Service Claim System. These dealers submit claims to Caterpillar in Batch transmissions. This includes the following dealers/customers: Dealers who use the Dealer Business System (DBS) Warranty Module Dealers who use their own Batch Transmission System Ryder Truck Rental GMC/Chevrolet TEPS dealers who use GMs Dealer Channel System (DCS) Claims submitted to Caterpillar in Batch transmissions are edited for entry errors by the Caterpillar Service Claims System every two Caterpillar Inc. work days.
Claim Processing Systems

How claims involving dealer errors/corrections are processed, is dependent on the claim system used by the dealer. Dealers who enter claims directly into the Caterpillar On-Line Service Claim System are considered on-line claim processing dealers. This includes the following dealers:
11.04 (10/01)
Indicates change.
Bulletin No. 11.4
System Set-up For Returned Claims

Regardless of the claim processing system used, all Caterpillar dealers have an option as to whether returned claims requiring corrections and/or additions are automatically returned on-line in Grief-Hold status or system canceled. This option is controlled by the Return Indicator computer program switch. Initially Caterpillar selected the Repair Indicator that it felt appropriate for each dealers needs. However, dealers have the option of changing their Repair Indicator. Caterpillar dealers have the option of the following two Return Indicators: Return Indicator B - All returned claims will be canceled automatically by the Caterpillar Claims System. Return Indicator O - All returned claims will be returned on-line via Grief Hold. The Return Indicator selected will apply to all store locations for both NACD Construction Equipment claims and Engine Division claims. Those dealers who use claim processing systems that are not interactive with the Caterpillar On-Line Service Claim System can select Return Indicator O to allow use of Grief-Hold. However, there are several disadvantages to selecting Return Indicator O for dealers who process claims in their own business system. These disadvantages are: Time involved to exit the dealers business claim system and then enter the Caterpillar On-Line Service Claim System Claim System. It requires making corrections/additions to returned claims in both the dealers business claim system and Caterpillars On-Line Service Claim System. Caterpillar recommends that dealers who submit claims in Batch transmissions to Caterpillar have their returned claims canceled (Returned Indicator B) to keep their business claim system in sync with Caterpillars On-line Service Claim System. To change the Return Indicator, dealers should contact Caterpillar Marketing Division-Corporate Claims, phone 309-675-5602.
Cat TEPS dealers/AMDs do not have an option for the Return Indicator. All Cat TEPS dealers/AMDs have a Return Indicator O for returned on-line via the Grief-Hold File.
System Generated Claim Returns

For on-line claim processing dealers, and dealers who process claims in their own business claim system and Batch transmit to Caterpillar, the Caterpillar Service Claim System edits the claims for dealer errors and automatically returns claims having dealer errors. Claims that have been returned automatically by the Caterpillar Service Claim system for dealer entry errors can be identified by the Claim Action/Reason Code of SE1 in the first RSN field of the claim heading. For such claims, the Claim System will print a story narrative in the Claim Story explaining the dealer entry error. The chart on page 3 lists the story narrative for each claim entry error that the Claim System edits automatically.
Indicates change.
11.04 (10/01)
Bulletin No. 11.4
List of System Generated Claim Return Error Edits (For On-line and Batch Transmissions) Claim Entry Errors
TEPS DLR NOT AFFILIATED WITH RPR DLR DELIVERY DATE MISSING OR NOT ON PIS PROD INDENT NO NOT SAME AS INITIAL CLM GROUP PART NO NOT SAME AS INITIAL CLM PART CAUSING NOT SAME AS INITIAL CLM INVALID PART CAUSING FOR GROUP INVALID REPAIR DATE MISSING REPAIR DATE REPAIR DATE NOT SAME AS INITIAL CLM REPAIR DATE OUT OF ORDER CLAIM OLDER THAN 365 DAYS INVALID PARTS HR/MI/KM MISSING PARTS HR/MI/KM NON-NUMERIC PARTS HR/MI/KM INVALID PARTS START DATE INVALID USE OF PT START DATE/PROD NIS INVALID PRODUCT HR/MI/KM MISSING PRODUCT HR/MI/KM NON-NUMERIC PRODUCT HR/MI/KM PROD HR/MI/KM NOT SAME AS INITIAL CLM INITIAL CLAIM NOT FOUND MISSING INITIAL DLR CODE INVALID PART CAUSING FAILURE INVALID DESCRIPTION CODE MISSING DESCRIPTION CODE INVALID GROUP CAUSING MISSING GROUP CAUSING INVALID RELATED EQUIPMENT CAB MISSING INITIAL DEALER CLAIM NO MISSING INITIAL DEALER CODE
Detail Errors
INVALID DESC CODE FOR MISSING DESC CODE FOR INVALID QUANTITY FOR MISSING QUANTITY FOR NON-NUMERIC QTY FOR INVALID QTY FORMAT FOR INVALID PART NUMBER MISSING PART NUMBER INVALID JOB CODE MISSING JOB CD FOR COMP CD NON-NUMERIC JOB CODE INVALID COMPONENT CODE COMP CODE MISSING FOR JOB NON-NUMERIC COMP CODE INVALID RT/PRC FOR CD INVALID RT/PRC ON DESC INVALID RT/PRC DUPLICATE PART NUMBER UNIT PRICE EXCEEDED
11.04 (10/01)
Bulletin No. 11.4
Analyst Generated Claim Returns

Claims that are returned by the Caterpillar Warranty Analyst for dealer corrections and/or additions can be identified by the Claim Action/Reason Code of RE1 in the first RSN field of the claim heading. The Warranty Analyst will list in the remaining RSN fields the appropriate reason codes to indicate the requested corrections and/or additional information. Sometimes the Warranty Analyst will add a claim story narrative concerning the requested corrections/additions.
Grief-Hold File On-Line Returns Only

The Grief-Hold File in Caterpillars Service Claim System is for dealers who receive returned claims on-line. The Grief-Hold File is an on-line index of a dealers returned claims that have been returned on-line by Caterpillar for the dealer to make specific clerical corrections and/or supply specific additional information. The use of the Grief-Hold File improves claim processing time and efficiency for dealers, by making it easier to process claims and reducing the number of supplemental and canceled claims. Dealers should enter the requested corrections and/or additional information to all returned claims listed in the Grief-Hold File. Once the corrections and/or additions have been entered on the claim, the dealer can resubmit the claim without having to rekey the entire claim.
At least weekly, dealers should use the Worksheet Index-Dealer screen to display all returned claims that are listed in the Grief-Hold File. To list returned grief claims only, dealers must enter on the Worksheet Index-Dealer screen their store location Dealer Code that they are seeking in the DEALER CODE field, and the letter G in the Ent/Grief field. Then press the ENTER key and the Worksheet Index-Dealer screen will display a list of returned claims less than 30-days old, which have not been paid due to needed dealer corrections and/or additions. The returned claims will be identified with an R and the date they were returned. Once the dealer is viewing the list of returned claims in the Grief-Hold File, the following procedure should be used for making the requested corrections/additions, and resubmitting: 1. When more than one returned claim is listed, screen print the list of returned claims in GriefHold that is displayed on the Worksheet IndexDealer screen. 2. On the Worksheet Index-Dealer screen displaying the list of returned claims in GriefHold, type the letter X to the left of the first Caterpillar Claim Number listed that you want to correct and resubmit. Then press the F4 key and the Dealer Worksheet-Control screen for the first claim will be displayed. 3. Review the reason code(s) listed in RSN fields of the Dealer Worksheet-Control screen. Caterpillar will have entered appropriate reason codes to indicate the requested corrections and/or additional information. 4. Next press the F6 key to display the Dealer Worksheet-Story screen and scroll to the last page of the Claim Story to see if Caterpillar has added a claim story narrative concerning the requested corrections/additions. Dealers should not assume that if the RSN fields on the Dealer Worksheet-Control screen do not list the Reason Code 48 (See Claim Story For Explanation) that Caterpillar did not add a story narrative. Sometimes a story narrative has been added without listing Reason Code 48.
Claims held in the Grief-Hold File for more than 30-days without dealer processing will be automatically system canceled. Once the system cancels a returned claim that is listed in the Grief-Hold File, dealers can only view the claim on-line. Dealers cannot enter corrections and/or additions on-line to the canceled claim. To make corrections and/or additions to Grief-Hold File claims that have been system canceled, dealers must rekey the entire claim.
Indicates change.
11.04 (10/01)
Bulletin No. 11.4
5. After viewing the Dealer Worksheet-Story screens for what corrections and/or additions Caterpillar is requesting, go to the appropriate screen of either Worksheet Control, Worksheet Detail, or Worksheet Story and make necessary corrections and/or additions to the claim being corrected. To add information to the Claim Story, dealers must enter the letter C in the INQ/ADD/CON field. Do not enter the letter A in this field. After entering the letter C and typing the additional requested information in the Claim Story, press the ENTER key. 6. After all corrections and/or additions are made to the claim being corrected, return to the Dealer Worksheet-Control screen of the claim and type the letter U for update in the INQ/UPD/RSB field and then press the ENTER key. The claim has now been updated with the corrections/additions. Next type the letter R for resubmit in the INQ/UPD/RSB field of the Dealer Worksheet - Control screen, then press the ENTER key. The corrected claim will now be resubmitted. 7. When more than one returned claim is listed in the Grief-Hold File, refer to the next dealer claim number listed on the screen print copy (from step 1) and enter that claim number in the CLAIM NO. field of the Dealer Worksheet - Control screen. Next, delete the number listed in the Cat Claim No. field of this screen. Press the ENTER key and the next returned claim listed in the Grief-Hold File will appear on the screen. 8. Repeat Steps 3 through 7 until all returned claims listed in the Grief-Hold File have been corrected and resubmitted.
Upon receipt of the resubmitted claim that was canceled, Caterpillar will assign a new Caterpillar/Factory claim number.
Grief-Hold Batch Returns Only

For dealers who desire to have their claims returned in Batch transmissions, Caterpillars Service Claim System will cancel all claims that Caterpillar returns for the dealer to make specific clerical corrections and/or supply specific additional information. These canceled claims will be in Grief-Hold within the dealers own claim system. Within the dealers own claim system, such dealers should review all canceled claims in Grief-Hold for reason code(s) listed in the RSN fields of the claim heading. Caterpillar will have entered appropriate reason codes to indicate the requested corrections and/or additional information. After reviewing the reason codes, dealers should scroll to the last page of the claim story to see if Caterpillar has added a claim story narrative concerning the requested corrections/additions. Dealers should not assume that if the RSN fields in the Claim Heading do not list the Reason Code 48 (See Claim Story for Explanation) that Caterpillar did not add a story narrative. Sometimes a story narrative has been added without listing Reason Code 48. Dealers should enter the requested corrections and/or additional information to the canceled claims in their own claims system. Once the corrections and/or additions have been entered on the canceled claim, the dealer can resubmit the entire claim. Upon receipt of the resubmitted claim, Caterpillar will assign a new Caterpillar/Factory Claim Number.
Canceled Claims
Canceled Claims with a Claim Action/Reason Code of RE1 (Returned by Analyst)or SE1 (Returned by System) are claims that Caterpillar has returned to the dealer for dealer corrections and/or additional information, which the Caterpillar Service Claims System has canceled. Dealers should review the reason code(s) listed in the RSN fields and the claim story for the requested corrections and/or additions. Dealers should then make the requested corrections/additions to the canceled claim and resubmit the entire claim. Do not resubmit canceled claims as supplemental claims. Dealers should not prepare a new claim by changing the Dealer Claim Number, unless Caterpillar specifically asks the dealer to do so.
11.04 (10/01)
Bulletin No. 11.4
11.04 (10/01)
Bulletin No. 12.1
SERVICE
WARRANTY BULLETIN
Product Improvement Program (PIP)

Product Improvement Programs (PIPs) are programs established by Caterpillar, to repair or replace parts or assembled components. Dealers are informed of a Product Improvement Program (PIP) by a Caterpillar issued Service Letter or by individual correspondence from their Caterpillar Product Support organization. Reimburse the dealer for parts and labor as specified in the Service Letter announcing the PIP, plus Reimburse the dealer for additional Caterpillar parts and components discovered damaged as a result of the PIP problem at the time of intervention. If a Priority PIP is completed after the completion date but before the termination date, Caterpillars participation will be limited to the cost of the PIP as outlined in the Service Letter. 3. A Parts Stock or Dealer Tool PIP, identified by a PIP Reference Number of PI7XXX, is a program established to remove suspect parts from dealers part stock, or to replace or update dealer tools. The termination date is three months after the date of the Service Letter. Note: A new numbering system has recently been introduced for service letters. The new numbering system will have seven characters instead of the current six characters. Care should be taken when submitting claims that the correct PIP number is listed in its entirety.
NOTICE
PIP documents (Service Letters or individual correspondence from Caterpillar) should not be copied or provided to customers. These documents are for dealer internal use only. There are three types of Product Improvement Programs (PIPs), which are: 1. A Safety PIP, identified by a PIP Reference Number of PI1XXX, is a program established to eliminate a suspected safety hazard. Safety PIPs must be given immediate attention and be completed as soon as possible . A safety PIP has no termination date. It remains open indefinitely. 2. A Priority PIP, identified by a PIP Reference Number of PI3XXX, is a program established to eliminate potentially costly failures. Such programs require immediate attention and must be completed as soon as possible. A Priority PIP will have a completion date and a termination date. If a Priority PIP is completed by the completion date, Caterpillar will participate in the repair of the resultant damage. This means Caterpillar will:
Service Letter Content

PIP Service Letters are used to inform dealers of product related problems which require dealers to perform service repairs and/or parts stock replacement. The following identifies the various topics included in all PIP Service Letters with a description of each topic:
12.01 (10/07)
Indicates change.
Bulletin No. 12.1
Form Number of Service Letter - located in upper right hand corner of the first page. Service Letter Date - the date the Service Letter was issued is located on the first page in the upper right corner directly below the Service Letter Heading. The program can be applied only to reworks with the repair date being on or after the Service Letter Date, unless prior authorization is received by Caterpillar. Mail Codes - on the first page directly under the Service Letter Date are various mail codes. These mail codes provide dealers a method of numerically filing Service Letters and help dealers verify that they have received all applicable Service Letters. Example: U-141. In this example, the letter U indicates U.S. and Canadian Caterpillar dealers, and the number 141 indicates the Service Letter is the 141st Service Letter for U.S. and Canadian Caterpillar dealers in that calendar year. The following are the letter mail codes that apply to U.S. and Canadian dealers: U TT TA TM = = = = Caterpillar Dealers (U.S./Canada) Truck TEPS Dealers Mobile-Ag TEPS Dealers Marine AMDs
Problem - Explanation of the technical problem and description of improvements made, when applicable. Affected Product - List of models and serial numbers of the affected product. Not applicable to Parts Stock/Dealer Tool PIPs; however, the product applications for the Parts Stock or Dealer Tool may be listed under the topic heading entitled Problem. Parts Needed - Lists the parts needed for the program that are authorized for replacement. Action Required - Steps necessary to carry out the program. Includes procedures, technical instructions, warnings, tools, etc. Also has a statement on parts stock removal, if necessary. Owner Notification - Safety and Priority PIPs will have the statement, U.S. and Canadian owners will receive the attached owner notification. Service Claim Allowances - A statement and/or chart indicating Caterpillar participation in the program. Parts Disposition - Instructions on how to dispose of parts.
Dealer PIP Completion Responsibility

For Safety and Priority PIPs, it is the responsibility of each dealer to schedule and rework all products involved in the PIP as soon as possible. For information regarding customer notification responsibility, refer to the subheading in this Bulletin entitled Owner Notification of Safety/Priority PIPs. For Parts Stock or Dealer Tool PIPs, it is the responsibility of each dealer to remove suspect parts from stock, and replace or rework dealer tools. Removal or rework of parts stock may also be part of a Safety or Priority PIP.
Title - Description of program and product affected. PIP Logo Type - A black background logo is located directly to the left of the title, which indicates the type of PIP (Priority, Safety, Parts Stock, or Dealer Tool). SMCS Component Code - located directly below the PIP Title on the left side is the Component Code(s) of the product part/component that is affected. PIP Reference Number - located directly below the PIP Title on the right side. The PIP Reference Number contains an alpha prefix of PI followed by a four-digit number. Completion Date - (Applicable only to Priority PIP.) The last day Caterpillar will participate in resultant damage due to failure described in the PIP. Termination Date - (Not applicable to Safety PIPs.) The last date of repair for which Caterpillar will participate in the cost of the program.
Dealer Inability To Complete A PIP Rework

If a dealer finds that a product either has already had a PIP performed or does not need the PIP, the dealer must enter a SIMS Report showing the PIP as completed. In such cases, the dealer must enter an appropriate explanation in the Comments field of the SIMS Report, such as PIP Not Needed.
Indicates change.
12.01 (10/07)
Bulletin No. 12.1
If a product has been scrapped or is permanently out-of-service, dealers should notify their Caterpillar Engine Area Office or Caterpillar Engine Division Marketing to have the product declared permanently out-of-service. If a customer refuses to allow the dealer to perform a PIP on a product, the dealer should send the customer a registered letter outlining the PIP repair. After 30 days, the dealer must call the customer and offer to perform the PIP. If the dealers offer is refused, the dealer must note the individuals name, the date, and response comments on the dealers copy of the registered letter. The dealer must send a copy of the registered letter to either their Caterpillar Engine Area Office or Engine Division Dealer Marketing requesting that the product serial number involved be put on the Customer Refusal List. If dealers are unable to locate a product, they should notify their Caterpillar Engine Area Office or Caterpillar Engine Division Marketing to put the product serial number involved on the Unable to Locate List. Dealers should not notify Caterpillar of Product that cannot be located, until the dealer has done the following: Do an on-line Service Information Management System (SIMS) inquiry to see if there has been any recent activity to help the dealer locate the product. Contact the customer listed on the Product Information System (PIS) to determine the current customer or location. Contact the dealers Sales or Used Equipment Department to determine if the product has been traded. If dealers find that a product has moved out of their territory, the dealer must update the customer name and address and transfer it to the appropriate dealer. This can be accomplished either by using Screen 5 of the Product Information System (PIS), or contacting the dealers Caterpillar Engine Area Office for those dealers without Product Information System (PIS) capabilities.
A clear description of the product problem. A clear description of the possible malfunction. The consequences of the malfunction. The corrective action to be taken. The estimated labor time for the correction. Caterpillars Product Information System (PIS) is used to identify customers so that a timely notification of PIPs can be communicated to the customer. This system cross-references product and certain component serial numbers to a customer name and address list. This allows Caterpillar and dealers to notify customers by mail of Safety and Priority PIPs. The process for customer notification of a Safety or Priority PIP is as follows: Caterpillar will enter the new PIP into the Product Information System (PIS) so it is available to dealers. The PIP information that is entered in the Product Information System (PIS) includes the following: - PIP Reference Number - Title of Program - List of Product Identification Numbers with customer name and address for each applicable dealer. The dealer PIP Coordinator should check Screen 12 of the Product Information System (PIS) for new PIPs. Checking for new PIPs should be done on a weekly basis. When a dealer receives a PIP Service Letter, the PIP Coordinator should update the customer names and addresses on Screen 5 of the Product Information System (PIS). The Service Letter announcing the PIP is mailed to dealers by Caterpillar. An Owner Notification Letter is mailed to customers by Caterpillar two to three weeks after the PIP information is entered in the Product Information System (PIS). The customer is asked to contact a dealer immediately to schedule a time for the PIP completion. 90 days after the Owner Notification Letter date, Caterpillar will mail a reminder letter to customers whose product(s) has not been reported for PIP completion. (See Attachment 1.)
Owner Notification Of Safety/Priority PIPs

For Safety and Priority PIPs, Caterpillar will notify customers by mail. The notice will provide the following information to customers:
12.01 (10/07)
Bulletin No. 12.1
For a Safety PIP ... 180 days after Caterpillar has sent the Owner Notification Letter, Caterpillar will mail a second reminder (third letter) to customers whose product(s) has not been reported for PIP completion. For a Priority PIP ... 180 days after Caterpillar has sent the Owner Notification Letter, the dealer must mail a second reminder (third letter) to customers whose product(s) has not been reworked. (See Attachment 2.) A copy of the reminder letter should be kept in dealers product history file. 210 days after Caterpillar sent the Owner Notification Letter for either a Safety or Priority PIP, the dealer must contact the customer by phone, explain the urgency of the PIP, and record the date and name of the person to whom the dealer spoke to. The dealer should keep this information in the product history file. The dealer should emphasize to the customer their willingness to complete the PIP during normal working hours at any future date for a Safety PIP, or until the termination date for a Priority PIP. All Safety and Priority PIP documentation should be filed in the dealers product history file for a minimum of 20 years.
Part Number (Enter the PIP Reference Number) Problem Desc. (Enter either 56 For Repairs Before-Failure, or 96 For Repairs AfterFailure) Group Subgroup Number (Enter 7751) Comment (Enter - Completed PIP)
PIP Claiming Procedure

Unless the Service Letter gives instructions to the contrary, a separate PIP Service Claim must be completed for each repair accomplished. A detailed description of the rework is not required in the Claim Story to substantiate the PIP claim. The PIP Reference Number in the Part Number Causing Failure field and a Group Number of 7751 will provide Caterpillar with enough detail to substantiate a PIP Service Claim. Only the following items, when involved in a Safety or Priority PIP, require a detailed explanation of each in the Claim Story: Resultant Damaged Caterpillar Parts - all resultant damaged Caterpillar parts that are damaged as a result of the PIP problem at the time of intervention must be identified in the Claim Story along with a brief explanation of the damage. Overtime Labor - is only reimbursable when a field service repair is less expensive to continue working after regular working hours than to have the serviceman return the following day, or when the overtime is essential to prevent loss of a perishable load (on-highway vehicle en route). The reason for the overtime labor rate should be included in the Claim Story. Meals and Lodging - will be reimbursed if these expenses are less costly than travel to and from the repair site. An invoice or receipt of those charges must be retained on file. The reason for meals and lodging must be included in the Claim Story.
Reporting PIP Completion On SIMS

Upon completion of a Safety/Priority Product Improvement Program (PIP) on a product, it is essential that the dealer immediately enter a Service Information Management System (SIMS) Report on-line. Failure to report completion of PIPs via SIMS may affect the PIP Service Claim disposition. When submitting an on-line SIMS Report for reporting the completion of a PIP, the following information must be entered on the SIMS Product Problem Reporting Screen: Report Type (Enter 1) Dealer Code Work Order Number Repair Date Employee ID Cat Model Cat Serial Number Hours/Miles/Kilometers
Indicates change.
12.01 (10/07)
Bulletin No. 12.1
Premium Freight Charges - for air or surface freight are reimbursable only if the parts are not available from the dealer or the Caterpillar dealers primary servicing parts distribution center. In such cases, the Claim Story should include the reason for expediting the parts delivery, the date of the order, and the location of the parts distribution center from which the part was shipped. An invoice for the freight charge must be retained on file. Towing/Hauling Costs - will be reimbursed at invoice cost when the cost to tow/haul the product to the dealers shop is less costly than the cost for travel. An invoice of the hauling cost must be retained in the dealers file. The reason for the towing/hauling cost must be included in the Claim Story. Caterpillar Emergency Service Charges - for handling emergency parts orders are reimbursable only if necessary. In such cases, an explanation must be included in the Claim Story as to why the service charge was needed. An invoice for the service charge must be retained on file. Service Items - such as lubricants, filters, antifreeze, etc. that are made unusable due to the PIP repair, must be explained in the Claim Story as to why the item is being claimed. Outside Expenses - are reimbursable at invoice cost when reasonable and justified. In such cases, an explanation must be included in the Claim Story as to why the outside expense was needed. An invoice for the outside expense must be retained on file.
Whenever possible, Service Claim Allowances will be explained with a chart in the Service Letter. The below chart is to be used as a reference for allowances and rates on PIP Service Claims.
NOTICE
If the affected product repair labor has applicable Time Requirement Guide times, the repair labor hours can be claimed in accordance to the current TRG guidelines even though the actual hours to repai r may be less than TRG times. If TRG times are not applicable, then actual reasonable labor can be c laimed, for warranty consideration, using the appropriate SMCS codes needed to justify the service letter labor expenses. The service letter labor allowance could vary, depending on engine installations and/or engine models. In both of the above instances, an engine installation and/or contingent damage on an after failure PIP, may result in labor expenses higher than the service letter recommended allowance. These expenses will be considered for warranty if properly justified in the claim story and the labor is properly claimed, using the appropriate SMCS code. The PIP Service Claim and the SIMS Report will indicate to Caterpillar the completion of the PIP, and will result in the removal of the products serial number from the Incomplete PIP list.
PIP Service Claim Allowance and Rates Type of Expense Parts - Engine Product Labor

Safety/Priority PIPs Consumer List (C/L) Warranty Rate Warranty Rate Warranty Rate
Parts Stock/Dealer Tool PIPs Dealer Net (D/N) Warranty Rate (When Provided in Service Letter) Not Applicable Not Applicable
Reasonable Travel Time2 Reasonable Mileage2 Overtime Labor Rate1 Meals and Lodging1 Premium Freight Charges1 Towing/Hauling Costs1 Emergency Service Charges Service Items Unusable Outside Expenses1
Selling Rate - Only if Necessary Not Applicable Cost - Only if Necessary Not Applicable Cost - Only as explained on Page 4 Not Applicable
Invoice Cost - Only if Necessary Not Applicable Cost - Only if Necessary Cost Only if Made Unusable Due to PIP Repair Invoice Cost - Only When Reasonable and Justified Not Applicable Cost - Only if Made Due to PIP Repair Not Applicable
1 Expenses must be justified in Claim Story.
2 Based on Standard Warranty Guidelines.

Bulletin No. 12.1
TEPS dealers/AMDs cannot submit Parts Stock/Dealer Tool PIPs. TEPS dealers/AMDs are reimbursed for recalled parts/tools by returning the affected parts stock/dealer tools to their Caterpillar dealer for replacement. Parts Stock/Dealer Tool PIPs that involve salvage labor are also handled in the same manner. The Caterpillar dealer will be reimbursed for the exchanged parts/tools or salvage labor by submitting a Parts Stock/Dealer Tool PIP Service Claim.
Claim Filing Instructions Parts Stock PIP

Serial number must be 99Z00007. Repair date must be the date parts were pulled out of stock. Part causing failure must be the PIP reference number. Group number must be 7751.
PIP Training Of Servicemen

Dealers should review each PIP in order to establish the proper repair procedure. The necessary training and familiarization of the servicemen with the repair should take place prior to the first scheduled repair. Special tools or equipment should be identified at this time. The proper training and preparation by the dealer will identify potential problem areas and will allow for the completion of the PIP within the allocated repair time.
Description Code (DC) must be 56. Failure description (20 character) field must have service letter date listed.

Part causing failure must be the PIP reference number. Group number must be 7751. Description Code (DC) must be 56 if before failure, 96 if an after failure. Failure Description (20 character) field must have service letter date listed. If before failure, only claim the parts and labor authorized in service letter. If after failure and before completion date, resultant damaged parts and associated labor may be claimed. Briefly explain resultant damage in claim story and list complete breakdown of labor using appropriate codes.
Indicates change.
12.01 (10/07)
Bulletin No. 12.1
CUSTOMER STREET ADDRESS CITY, STATE, COUNTY, ZIP Dear Caterpillar Product Owner: During the month of _________, year _______, Caterpillar mailed a product improvement announcement (copy attached) to recorded owners of certain ______________________. To date, our records indicate that this important product improvement has not been performed on the product listed below. If you currently own the product listed below please contact your local Caterpillar dealer so that the improvement can be accomplished. However, if the product has changed ownership, we would appreciate and information you could furnish regarding the products location. It is very important that the Service Department at your nearest Caterpillar dealer be contracted in this regard. Thank you. Caterpillar Inc. Identification No(s).
A tachment 1 t
CUSTOMER STREET ADDRESS CITY, STATE, COUNTY, ZIP Dear (Customer): During (month and year), (Caterpillar or dealer) notified you of a product improvement applicable to your (model and serial number). The improvement concerns (brief description of program). At this time we have not heard from you about scheduling your machine to have the improvement performed. Please contact us at your earliest convenience to make these arrangements. If we do not hear from you within the next 30 days, however, we will assume that you do not want the improvement performed. Should you change your mind in the future, please contact us at that time. Very truly yours, _________________________ (Dealer name and signature)
A tachment 2 t
12.01 (10/07)
Bulletin No. 12.1
12.01 (10/07)
Bulletin No. 12.2
SERVICE
WARRANTY BULLETIN
Product Support Program (PSP)

Product Support Programs (PSPs) are programs established by Caterpillar to provide consistent technical and financial support for certain problems that occur in the life of a product. Product Support Programs (PSPs) are usually announced in Service Letters like Product Improvement Programs (PIPs). A Before or After Failure PSP - identified by a PSP Reference Number of PS4XXX, PS8XXX, or PS9XXX, provides technical and financial support for repairs performed either before or after a failure. Dealers must decide when or if to apply the program, based on each customers application, product population, and value received. An After-Failure Only PSP - identified by a PSP Reference Number of PS0XXX or PS6XXX, can provide a similar type of support as a Before or After-Failure PSP, except it may be administered only after a failure.
NOTICE
PSP documents (Service Letters) should not be copied or provided to customers. These documents are for dealer internal use only. Since customers have received part of the intended value of the product, a PSP may provide for partial participation by Caterpillar and suggest a sharing of the remainder of the PSP cost between dealers and customers. When a dealer feels that the identified product problem may be detrimental to the reputation of the product, the dealer may administer the PSP.
Containment PSPs - identified by a PSP Reference Number of PS2XXX, are an AfterFailure Only PSP that have no known correction for an identified product problem, but do provide financial support to the dealer and/or customer. Such PSPs allow dealers to only perform the PSP repair at the time a failure occurs, which was caused by the identified PSP problem. For these PSPs Caterpillar will not have any updated parts or components in the parts system for replacement. Note: A new numbering system has recently been introduced for service letters. The new numbering system will have seven characters instead of the current six characters. Care should be taken when submitting claims that the correct PSP number is listed in its entirety. For a PSP that was performed after a failure, Caterpillar will reimburse dealers for any resultant damaged Caterpillar parts according to the age and hour allowance of the Service Letter, unless the Service Letter states otherwise. This includes the additional labor associated with the resultant damaged Caterpillar parts, as per the Time Requirement Guide (TRG), if applicable.
NOTICE
Some PSPs include instructions for parts stock action. Prompt action on the parts stock, according to the instructions in the Service Letter, is mandatory.
There are three types of Product Support Programs (PSP), which are:
12.02 (10/01)
Indicates change.
Bulletin No. 12.2
Service Letter Content

PSP Service Letters are used to inform dealers of technical and financial support for customers whose product has not provided fair value after the warranty period. The following identifies the various topics included in all PSP Service Letters with a description of each topic: Form Number of Service Letter - located in upper right hand corner of the first page. Service Letter Date - the date the Service Letter was issued is located on the first page in the upper right hand corner directly below the Service Letter Heading. The program can be applied only to reworks with the repair date being on or after the Service Letter Date, unless prior authorization is received by Caterpillar. Mail Codes - on the first page directly under the Service Letter Date are various mail codes. These mail codes provide dealers a method of numerically filing Service Letters and help dealers verify that they have received all applicable Service Letters. Example: U-141. In this example, the letter U indicates U.S. and Canadian Caterpillar dealers and the number 141 indicates the Service Letter is the 141st Service Letter for U.S. and Canadian Caterpillar dealers in that calendar year. The following are the letter mail codes that apply to U.S. and Canadian dealers: U = Caterpillar Dealers (U.S./Canada) TT = Truck TEPS Dealers TA = Mobile-Ag TEPS Dealers
Problem - explanation of the technical problem, when applicable, and what improvements have been made. Affected Product - list of models and serial numbers of the affected product. If a product serial number is not listed, that product is not covered by the PSP. Parts Needed - lists the parts needed for the program that are authorized for replacement. There may be additional parts required if a failure has occurred. Action Required - Steps necessary to carry out the program. Includes procedures, technical instructions, warnings, tools, etc. Also has a statement of parts stock removal, if necessary. Service Claim Allowances - A statement and/or chart indicating Caterpillar participation and suggested dealer/customer participation in the program. Parts Disposition - Instructions on how to dispose of parts.
Reporting PSP Completion On SIMS

Upon completion of a Product Support Program (PSP) on a product, it is essential that the dealer immediately enter a Service Information Management System (SIMS) Report on-line. Failure to report completion of PSPs may affect the PSP Service Claim disposition. When submitting an on-line SIMS Report for reporting the completion of a PSP, the following information must be entered on the SIMS Product Problem Reporting Screen: Report Type (Enter 1) Dealer Code Work Order Number Repair Date Employee ID Cat Model Cat Serial Number Hours/Miles/Kilometers Part Number (Enter the PSP Reference Number) Problem Description (Enter 96)
TM = Marine AMDs Title - Description of program and product affected. SMCS Component Code - located directly below the PIP Title on the left side is the Component Code(s) of the product part/component that is affected. PSP Reference Number - located directly below the PSP Title on the right side. The PSP Reference Number contains an alpha prefix of PS followed by a four-digit number. Termination Date - the last date of repair for which Caterpillar will participate in the cost of the program.
Indicates change.
12.02 (10/01)
Bulletin No. 12.2
Group/Subgroup Number (Enter 7755) Comment (Enter - Completed PSP)
PSP Claiming Procedures

Unless the Service Letter gives instructions to the contrary, a separate PSP Service Claim must be completed for each repair accomplished. For before-failure PSPs, a detailed description of the rework is not required in the Claim Story to substantiate the PSP claim. The PSP Reference Number in the Part Number Causing Failure field, the Group Number of 7755, and the Product Hours/Miles/Kilometers will provide Caterpillar with enough detail to substantiate a before-failure PSP Service Claim. The Product Hours/Miles/Kilometers must be entered on after/ld/failure PSP claims, because the PSP may be prorated based on engine hours/miles/kilometers. For PSPs that are performed after a failure, the following items, when applicable, require a detailed explanation of each in the Claim Story. Resultant Damaged Caterpillar Parts needed to complete the PSP repair, must be identified in the Claim Story along with a brief explanation of the failure. Premium Freight Charges - Air or surface freight will be reimbursed only if necessary on after-failure repairs within the normal warranty period if the parts are not available from the dealer or the Caterpillar dealers primary servicing parts distribution center. In such cases, the Claim Story should include the reason for expediting the parts delivery, the date of the order, and the location of the parts distribution center from which the part was shipped. An invoice for the freight charge must be retained on file. Towing Costs - will be reimbursed at invoice cost, only on PSP repairs performed after failure and within the standard warranty period, when the cost to tow the product to the dealers shop is less costly than the cost for travel. An invoice for the towing cost must be retained in the dealers file. The reason for the towing cost must be included in the claim story.

Caterpillar Emergency Service Charges - for handling emergency parts orders are reimbursable only if necessary. In such cases, an explanation must be included in Claim Story as to why the service charge was needed. An invoice for the service charge must be retained on file. Service Items - such as lubricants, filters, antifreeze, etc. that are made unusable due to the PSP repair, must be explained in the Claim Story as to why the item is being claimed. Outside Expenses - are reimbursable when reasonable and justified. In such cases, an explanation must be included in the Claim Story as to why the outside expense was needed. An invoice for the outside expense must be retained on file. PSPs that are performed as a before-failure rework, are limited to the Service Claim Allowances outlined in the Service Letter.
NOTICE
If the affected product repair labor has applicable Time Requirement Guide times, the repair labor hours can be claimed in accordance to the current TRG guidelines even though the actual hours to repair may be less than TRG times. If TRG times are not applicable, then actual reasonable labor can be claimed, for warranty consideration, using the appropriate SMCS codes needed to justify the service letter labor expenses. The service letter labor allowance could vary, depending on engine installations and/or engine models. In both of the above instances, an engine installation and/or contingent damage on an after failure PSP, may result in labor expenses higher than the service letter recommended allowance. These expenses will be considered for warranty if properly justified in the claim story and the labor is properly claimed, using the appropriate SMCS code. Service Claim Allowances will be explained with a chart in the Service Letter. Each PSP Service Claim must conform to the allowances stated. Typically the chart will indicate Caterpillar participation in the PSP based on product hours/miles/kilometers and/or product age. The following chart is to be used as a reference for allowances and rates on PSP Service Claims:
Meals/Lodging - will be reimbursed at invoice cost only on after-failure repairs within the standard warranty period (commercial engines only).
12.02 (10/01)
Indicates change.
Bulletin No. 12.2
PSP Service Claim Allowances and Rates Type of Expense Allowance/Rate Parts Labor Consumer List (C/L) Warranty Rate (When Provided in Service Letter) Warranty Rate Allowed only if necessary during normal warranty period Warranty Rate Allowed only if necessary during normal warranty period Not Allowed Cost - Allowed only if necessary during normal warranty period on after-failure repairs Allowed only if necessary during normal warranty period on after-failure repairs Invoice Cost - Allowed only if necessary during normal warranty period on after-failure repairs (On-Highway Vehicles) Not Allowed Cost - Only if necessary Cost - Only if made unusable due to PSP repair Invoice Cost - Only when reasonable and justified
Repeating A PSP Repair

Should a PSP repair fail due to a Caterpillar defect (not dealer workmanship), a repeat repair as per the Service Letter may be claimed on a Service Claim, if the Service Letter has not expired and the product is still within the parameters of the PSP In such cases, . the dealer should submit a PSP Service Claim using the PSP Reference Number and explain the reason for repeating the PSP in the Claim Story.
Travel Time
Mileage
Claiming Procedure For PSP During The Proration Period

When a Product Support Program (PSP) is performed in the proration period, the parts, labor, sublet expenses, and resultant damaged parts (if applicable) must be claimed at full value. Caterpillar will adjust the PSP Service Claim according to the Service Letter content. The customer credit fields for parts and labor in the Claim Heading portion of the Service Claim must reflect the suggested prorated percentage.
Overtime Labor Rate Meals and Lodging1
Premium Freight Charges1
Towing Costs1
Claiming Procedure For Prorated PSP Involving An Extended Service Plan

When an after-failure Product Support Program (PSP) that has prorated parts and/or labor reimbursement is performed on an engine covered by an Extended Service Plan, the failure is covered by both the PSP and the Extended Service Plan. In such cases, the dealer must submit the repair on one claim as a PSP Claim. Refer to Bulletin No. 9.4 of this Warranty Guide under the Extended Service Coverage Claims, for a claim example. Caterpillar will split-pay the claim, with the customer participation amount of the PSP being paid by the Extended Service Plan minus, when applicable, the extended service plan deductible. NOTE: If the deductible is less than the customers portion, dealers must submit a normal PSP Claim and leave the Coverage Type field blank. All claimable PSP expenses (parts, labor, miscellaneous) must be claimed at full value. Expenses not covered under the PSP, but claimable under the Extended Service Plan, must be submitted on separate Extended Service Plan Claims for each part number causing failure.
Hauling Costs Emergency Service Charges Service Items
Outside Expenses1
1 Expenses must be justified in Claim Story.
For PSPs that include parts stock action (removal or salvage), TEPS dealers/AMDs cannot claim the parts stock on a PSP Claim. In such cases, TEPS dealers/AMDs must return the affected parts stock to their Caterpillar dealer for replacement. The Caterpillar dealer will be reimbursed for the exchanged parts or salvage labor by submitting a PSP Service Claim.
Indicates change.
12.02 (10/01)
Bulletin No. 12.2

Part causing failure must be the PSP reference number. Group number must be 7755. Description Code (DC) must be 56 if before-failure, 96 if after-failure. Failure description (20 character) field must have service letter date listed. If before-failure, only claim the parts and labor authorized in service letter. If after-failure, resultant damaged parts and associated labor may be claimed. Briefly explain resultant damage in claim story and list complete breakdown of labor using appropriate codes.
12.02 (10/01)
Bulletin No. 12.2
12.02 (10/01)
PIP/PSP TRUCK ENGINE SERVICE LETTER INDEX

3116/3126 Truck Engine Service Letter Index
PIP/PSP Revision Termination Number S/L Date Date(s) Date PI1155 NOTE: As new or revised Service Letters are issued, dealers should pencil in updates and additions to maintain a current index until the next semi-annual revision is published. Service Letters that have been terminated will remain listed on this index for 3 months. 01/20/91 3/91 None Affected Serial Numbers Certain 7SFs (See Service Letter) 9GK45180-70157 9YN03132-04777 7HJ01000-02798 2FR00394-07343 9LN05573-08734 7HS00316-01821 7JL00439-01046 7AG02806-06496 5RM01263-04201 3RJ01653-03237 Description 3116 Governor Update (Safety PIP) for GM Trucks
PI1419
08/09/99
3/00
None
3116 Governor Rivet Inspection (Safety PIP)
3306 Truck Engine Service Letter Index

PIP/PSP Revision Termination Number S/L Date Date(s) Date PI1191 06/05/92 3/93 None Affected Serial Numbers Certain 63Zs (See Service Letter) Description 3306B Governor Rack Servo Cylinder Assembly (Safety PIP)
12.03
Page 1 of 4
10/01

C-10, C-12, C-15, C-16, 3176 Truck Engine Service Letter Index
PIP/PSP Revision Termination Number S/L Date Date(s) Date PI1424 NOTE: As new or revised Service Letters are issued, dealers should pencil in updates and additions to maintain a current index until the next semi-annual revision is published. Service Letters that have been terminated will remain listed on this index for 3 months. 08/28/99 None Affected Serial Numbers Certain 3CSs and 2KSs (See Service Letter) 6ZN00001-UP 7CZ00001-UP 3CS18811-19326 8YS00768-07646 2KS61890-63273 9SM00277-00336 2PN00001-UP 3CS00001-17568 8YS00001-07578 AKB00001-UP 1YN00001-UP 9NS00001-20095 2KS00001-57687 ALS00001-UP 6NZ00001-UP 2KS17000-UP 7CZ00001-UP 2PN00001-UP 7LG00001-UP 9CK00001-UP 3CS04110-17279 2KS00358-56788 6NZ00001-29748 7CZ00001-01609 Description C-10, C-12 Flashing New Software on Engines Used With Eaton Transmissions (Safety PIP)
PS5393
01/24/98
8/01
12/31/01
C-15, C-16 Oil Consumption Reduction
PS30156 03/24/01
4/01
03/31/02
C-10, C-12 Injector Push Rod Inspection
PS50041 08/26/00
08/31/02
C-10, C-12 Cylinder Head Gasket Replacement
PS50131 08/26/00
08/31/02
C-12, C-15, C-16 Wastegate Cover Kit Installation
PS50181 03/03/01
7/01
03/31/02
3176, 3176B, C-10 Connecting Rod Bearing Replacement
PS50182 03/20/01
5/01
03/31/02
C-10, C-12, C-15, C-16 Fuel Injector Replacement
12.03
Page 2 of 4
10/01

3406 Truck Engine Service Letter Index
PIP/PSP Revision Termination Number S/L Date Date(s) Date PI1019 NOTE: As new or revised Service Letters are issued, dealers should pencil in updates and additions to maintain a current index until the next semi-annual revision is published. Service Letters that have been terminated will remain listed on this index for 3 months. 01/06/84 3/84 None Affected Serial Numbers Certain 7FBs (See Service Letter) Certain 4MGs (See Service Letter) Certain 1MMs and 2WSs (See Service Letter) 5EK00001-UP 6TS00001-UP 4AS00001-UP 5DS00001-UP 1LW00001-UP 2WS00001-UP 1MM00001-UP 5EK00001-UP 6TS00001-UP 4AS00001-UP 5DS00001-UP 1LW00001-UP 2WS00001-UP 1MM00001-UP 5EK00001-UP 6TS00001-UP 4AS00001-UP 5DS00001-UP 1LW00001-UP 2WS00001-UP 1MM00001-UP 5EK00001-80006 5EK00001-UP 6TS00001-UP 4AS00001-UP 5DS00001-UP 1LW00001-UP 2WS00001-UP 1MM00001-UP Page 3 of 4 Description 3406B Mechanical Governor Flyweight Shield (Safety PIP) 3406B Mechanical Governor Rack Servo Cylinder Assembly (Safety PIP) 3406E Flashing New Software on Engines Used With Eaton Transmissions (Safety PIP)
PI1191
06/05/92
3/93
None
PI1424
08/28/99
None
PS5290
07/02/97
7/01
07/31/03
3406E Spacer Plate Oil Leak Repair Procedures
PS5291
07/03/97
7/01
07/31/03
3406E Front Cover Oil Leak Repair Procedures
PS5292
07/04/97
7/01
07/31/03
3406E Front Cover Leak Repair Procedure
PS5367 PS5393
11/03/97 01/24/98
9/00 8/01
09/30/01 12/31/01
3406E (410 HP and below) Piston Replacement 3406E Oil Consumption Reduction
12.03
10/01

3406 Truck Engine Service Letter Index (continued)
PIP/PSP Revision Termination Number S/L Date Date(s) Date PS5444 NOTE: As new or revised Service Letters are issued, dealers should pencil in updates and additions to maintain a current index until the next semi-annual revision is published. Service Letters that have been terminated will remain listed on this index for 3 months. PI30221 08/02/98 08/30/01 4/01 03/31/02 08/31/02 Affected Serial Numbers 5EK00001-55087 Certain ILWs (See Service Letter) 2WS23000-UP 2EK00001-UP 4MG00001-UP 7FB00001-UP 5KJ00001-UP 8PC00001-UP 92U00001-UP ILW00001-UP 5EK00001-UP 6TS00001-UP 3ZJ00001-UP 4CK00001-UP 8PN00001-UP 2SW23702-42798 1MM00001-01488 Description 3406E Camshaft Replacement 3406E Software Update
PS50131 08/26/00 PS50181 03/03/01 7/01
08/31/02 03/31/02
3406E Wastegate Cover Kit Illustration 3406B, 3406C, 3406E Connecting Rod Bearing Replacement
PS50182 03/20/01
5/01
03/31/02
3406E Fuel Injector Replacement
12.03
Page 4 of 4
10/01

Cat Engine Warranty

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SERVICE

U.S. and Canada Engine Division

Form Number Table Of Contents

Ordering Information: Binder Only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . LELQ4171

U.S. and Canada Engine Division

Warranty Bulletin Numbering System

(U.S. and Canada) Engine Division

What Is A Warranty Repair?

Warranty Statement Disclaimer

Can A Warranty Be Voided?

Bulletin No. 1.1

U.S. and Canada Engine Division

Personal Use Warranties Disclosure Requirements

Bulletin No. 1.1

Bulletin No. 1.2

U.S. and Canada Engine Division

Non-Current Warranty Statements C

Filing Non-Current Warranty Statements

Bulletin No. 1.2

Bulletin No. 2.1

U.S. and Canada Engine Division

Determining Type Of Warranty/Extended Service Plan

Bulletin No. 2.1

Distribution Channel Codes

Sales Application Codes

Pump Compressor Other Mechanical Drives Prime Power

Cogeneration (CHP) Cooling

Continuous (Base Load)

Codes M, N, and P are new codes.

Bulletin No. 2.1

Principal Work Codes

Things To Keep In Mind

W ork Boat Oceangoing

Inland Waterways Government

Dredge Pleasure Craft Passenger Vessel

A40 A90 A95

Bulletin No. 2.1

Completion/ Stimulation Crude Production

Gas Compression Crude Oil Transmission

Leisure Forestry Renta l Mining Indicates change.

C78 C79 C80 C81

Bulletin No. 2.1

D20 D30 D40 D50 D60 D70

SCHOOL BUS TRANSMISSION TACTICAL VEHICLE TRANSMISSION

TRANSMISSIONS ATTACHED TO ENGINES IN MILITARY VEHICLES HAVING ON/OFF HIGHWAY CAPABILITY

RECREATION VEHICLE TRANSMISSIONS FIRE/RESCUE TRUCKS TRANSMISSIONS YARD JOCKEY TRANSMISSIONS

TRANSMISSIONS ATTACHED TO ENGINES IN MOTOR HOMES.

NON-SCHOOL BUS TRANSMISSIONS

Bulletin No. 2.1

Principa l W ork Code K21 K22 K23 K24 K25 A

Other Material Handling

Bulletin No. 2.1

K62 K63 K64 K65 K66 K67 K68 K69

Bulletin No. 2.1

Rail Way Head End Power

Rail Maintenance Equipment

Diesel Multiple Ui n ts/Railcars

Bulletin No. 2.1

Warranty/Extended Service Verification

Warranty Status For Remanufactured Engines

Warranty Period Limitations

Warranty Status For Replacement Engines

Engine Product Warranty

On-Highway Transmission Product Warranty