Caterpillar: Confidential Green

Global Service
Warranty Guide

August 2013

➤ WtyGuide-49T (08/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Caterpillar: Confidential Green

2 WtyGuide-49T (08/13)
 Caterpillar: Confidential Green Bulletin No. 1.00A

SERVICE

WARRANTY BULLETIN Global

Media Table Of Contents

➤ Table of Contents & Index

Media Table Of Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.00A-51

Tab 1 - General Section

1.01 Warranty Philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.01-01
1.02 Dealer Reimbursement Practices. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.02-09
1.03 Claim Supporting Documentation and Audit Requirements . . . . . . . . . . . . . . . . . . . . . . . 01.03-03
1.04 Transportation and Import Charges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.04-01
1.05 Labor, Travel & Vehicle Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.05-10
1.05T Labor, Travel & Vehicle Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.05-06T
1.06 Substitute Group and Part Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.06-00
1.07 Claim Action Reason Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.07-11
1.08 Description Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.08-00
1.09 Labor Reporting SMCS Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.09-02
1.10 Warranty Repair Expense Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.10-00
1.11 Determining Type Of Coverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.11-10
1.12 Delivery Service Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.12-04
1.13 Time Limits For Submitting Service Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.13-06
1.14 Caterpillar® Owned Product . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.14-01
1.15 Repair vs. Replacement of Parts, Major Components, Engines and Reman . . . . . . . . . 01.15-02
1.16 Service Letters (PIP/PSP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.16-06

1.00A-51 (08/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.00A Caterpillar: Confidential Green

1.17 Warranty Administration Direct Governmental Sales by

Caterpillar® Defense & Federal Products (D&FP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.17-00
1.18 Use Of Dealer Rebuilt Exchange Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.18-00
1.19 Use Of Other Manufacturer Auxiliary Devices, Accessories And Consumables . . . . . . . 01.19-00
1.21 Service Items Sold By Caterpillar. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.21-00
1.22 Redo / Repeat Revenue Repairs Performed By The Same or Another Dealer. . . . . . . . 01.22-00
1.23 Cooling System Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.23-01
1.24 Bargain List Products, New Parts Bargain List and Factory Surplus and Used Parts. . . 01.24-01
1.25 Warranty Service by Authorized Sales and Service Centers (ASSC) . . . . . . . . . . . . . . . 01.25-02
1.26 India Dealers - Additional Sales Tax / VAT (APD India Dealers Only) . . . . . . . . . . . . . . 01.26-10
1.27 Claim Miscellaneous Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01.27-03
1.28 Shipping Damage and Discrepencies (All Products and Parts Orders). . . . . . . . . . . . . . 01.28-01

➤ Tab 2 - Machine Section

2.01 Machines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.01-16
2.02 Work Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.02-15
2.03 Machine Component Power Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.03-02
2.04 Ultra Lite, Mine Specific Design (MSD) and Off-Highway Truck Bodies . . . . . . . . . . . . . 02.04-02
2.05 Mobil-Trac™ Belt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.05-02
2.06 PACCAR Winch Warranty Administration for Cat® Machines . . . . . . . . . . . . . . . . . . . . . 02.06-01
2.07 Cat® Branded Telehandlers (Manufactured by JLG) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.07-04
2.08 Cat®, Timberking™ Feller Buncher, Forwarder, Knuckleboom Loader and Harvester . . . 02.08-05
2.09 Rubber Track Warranty on Mini Hydraulic Excavator, Multi Terrain Loader and
Compact Track Loader . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.09-05
2.10 Bitelli™ Paving Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.10-02
2.11 Weldco Boom and Stick Warranty On Excavators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.11-00
2.12 Prentice Branded Forest Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.12-00
2.13 Expanded Cat Mining Products (Former Bucyrus). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02.13-00

Tab 3 - Engine Section

3.01 Engine Expenses and Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.01-12
3.02 Non-Revenue Producing Marine Propulsion Engine Extended Warranty Coverage
On Specified Parts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.02-00
3.03 On-Highway Truck Extended Warranty Coverage On Specified Parts . . . . . . . . . . . . . . 03.03-01
3.04 Other Manufacturer’s Engine Peripheral Components . . . . . . . . . . . . . . . . . . . . . . . . . . 03.04-01
3.05 Use Of Truck Engines In Non-Highway Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.05-00
3.07 Caterpillar® Electric Power Automatic Transfer Switches (ATS) . . . . . . . . . . . . . . . . . . . 03.07-04
3.08 Electric Power Cat® Switchgear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.08-04 ➤

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 Caterpillar: Confidential Green Bulletin No. 1.00A

3.09 Olympian™ Power Systems Products (OLY) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.09-06

3.10 Uninterruptible Power Supply (UPS) Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.10-02
3.11 Cat® Compact Power Systems Products (Less than 200kw Diesel Only) Warranty . . . . 03.11-03
3.12 Aged Engine Inventory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.12-03
3.13 Engines & Caterpillar “Packaged Products” Sold For Use In Petroleum Applications . . 03.13-01
3.14 On-Highway Vehicle Engine Emission Warranty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.14-05
Replaces Bulletin 3.15

3.17 Engine Performance Complaints (Low Horsepower/High Fuel Consumption) . . . . . . . . 03.17-01

3.18 Excessive Engine Oil Consumption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.18-03
3.19 Caterpillar Assembled Power Systems “Packaged Products” . . . . . . . . . . . . . . . . . . . . . 03.19-05
3.20 Final Delivery Sea Trial for Pleasure Craft Electronic Marine Engines Only
(Services and Claims) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.20-03
3.21 Caterpillar® Reimbursed Start Up / Performance Audit and Delivery Inspection . . . . . . . 03.21-03
3.22 Electronic Control Modules and Flash-files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.22-03
3.23 Alternative Fuel Conversion System Warranty Dynamic Gas Blending Kit . . . . . . . . . . . 03.23-01
3.24 Well Stimulation Pumps and Well Service Pumps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03.24-00
3.27 Cat Selective Catalytic Reduction System (SRC) for Aftertreament Retrofit . . . . . . . . . . 03.27-00

Tab 4 - Parts Section

4.01 Parts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.01-17
4.02 Global Warranty Parts Return Handling & Freight Charges . . . . . . . . . . . . . . . . . . . . . . 04.02-08
4.02T Warranty Parts Handling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.02-02T
4.03 Ground Engaging Tools & Landfill Compactor Tips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.03-04
4.04 Cat® Certified Rebuild Program (Effective 01Jan11) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.04-04
4.05 Nexus™ New Parts & Assembled Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.05-00
4.06 Tires . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.06-03
4.07 Batteries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.07-02
4.07T Batteries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.07-00T
4.08 Defective Parts Stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.08-06
4.08T Defective Parts Stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.08-02T
4.09 Dealer Service Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.09-04
4.09T Dealer Service Tools and Cat® Shop Supplies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.09-00T
4.10 Caterpillar® Shop Supplies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.10-04
4.11 Mechanic Hand Tools and Larger Mechanic Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04.11-04
4.12 New and Remanufactured Third Party Brand Name Aftermarket On-Highway Truck Parts
Sold by Caterpillar Not Installed on Caterpillar Brand Prime Product . . . . . . . . . . . . . . . . . . . . . . . . . . 04.12-00

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 Bulletin No. 1.00A Caterpillar: Confidential Green

➤ Tab 5 - MERCHANDIZING, VALUE ASSURANCE & EXTENDED PROGRAMS

5.01 Undercarriage Assurance Genuine, Classic and Gold Programs . . . . . . . . . . . . . . . . . . 05.01-05
5.02 SystemOne™ Undercarriage Assurance Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.02-04
5.04 PM Inspections For C175 Package Generator Sets Sold Into
Electric Power Applications (Global) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.04-02
5.05 Undercarriage Assurance “General Duty” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.05-01
5.06 Structural Components (Booms and Sticks) Assurance Program for E Series
Excavators (NACD Regions) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.06-00
5.16 Value Assurance Level 2 (NACD Machine) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.16-00
5.17 Hydraulic Assurance Program (Effective 01Jan07 - Terminated 31Dec07) (NACD Machine) . . . 05.17-00
5.18 Structural Components & Hitch Assurance Program for Wheel Skidders (525C, 535C
& 545C Skidders with sales transactions dated 01Jan07 through 31Dec10.) (NACD Machine) . . . . . . . 05.18-07

5.25 Olympian™ Power Systems Products (OLY) Extended Service Coverage. . . . . . . . . . . 05.25-01
5.30 Powertrain - Equipment Protection Plan (EPP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.30-07
Replaces Bulletins - 5.52, 5.60, 5.70, 5.80

5.31 Hydraulic - Equipment Protection Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.31-07

Replaces Bulletins - 5.53, 5.61, 5.71, 5.81

5.32 Premier - Equipment Protection Plan (Available for Machines delivered on or after 01Jan05) . . . . 05.32-05
Replaces Bulletins - 5.54, 5.62, 5.72, 5.82

5.35 Cat New Equipment Protection Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.35-01

Replaces Bulletins - 5.84, 5.85

5.36 Used Machine Equipment Protection Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.36-04

Replaces Bulletins - 5.55, 5.65, 5.90

5.37 Blanket Used EPP for Americas South, APD, and EAME . . . . . . . . . . . . . . . . . . . . . . . . 05.37-01
Replaces Bulletin - 5.56

5.40 Equipment Protection Plan (EPP) for Machine Control and Guidance Products. . . . . . . 05.40-02
5.41 Extended Coverage for Power Modules in OEM Product . . . . . . . . . . . . . . . . . . . . . . . . 05.41-02
5.43 Cat® Certified Machine Component Rebuild (CMCR) [Amer N. & APD only] . . . . . . . . . 05.43-03
5.44 Multiprocessor, Demolition and Sorting Grapple, Orange Peel Grapple, Hydraulic
Pulverizer, Hydraulic Crusher - Equipment Protection Plan (EPP) . . . . . . . . . . . . . . . . . 05.44-03
5.45 Cat® Certified Machine Component Rebuild (CMCR) [Amer N. & APD only] . . . . . . . . . 05.45-01
Replaces Bulletins - 5.63, 5.88

5.50 Cat Extra (APD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.50-01

5.51 Cat Extra For On-Highway Truck Engines (APD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.51-01
5.57 Extended Coverage for Cat® Certified Machine Rebuild (CCR) (APD) . . . . . . . . . . . . . . 05.57-00
5.58 Extended Coverage for Cat® Certified Powertrain Rebuild (CPT) (APD) . . . . . . . . . . . . . 05.58-00
5.62 Precious Metals Machine Engine Rebuild Kit - Equipment Protection Plan . . . . . . . . . . 05.62-01
5.64 Equipment Protection Plan Program for Cat® Certified Rebuild/Certified Powertain
Rebuild Program (CCR/CPT) (Effective 01May10) (EAME Only) . . . . . . . . . . . . . . . . . . 05.64-01
5.66 Cat Dealer Rebuild Protection Program (EAME) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.66-01
5.69 Cat Certified Machine Component Rebuild . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.69-00

➤ Indicates change. 4 1.00A-51 (08/13)

Bulletin No. 1.00A Caterpillar: Confidential Green

5.73 EPP for Cat® Certified Machine Rebuild (CCR) (LACD) . . . . . . . . . . . . . . . . . . . . . . . . . 05.73-00
5.74 EPP for Cat® Certified Powertrain Rebuild (CPT) (LACD) . . . . . . . . . . . . . . . . . . . . . . . . 05.74-00
5.86 Cat® Insurance Engine Emissions Retrofit Extended Program (NACD) . . . . . . . . . . . . . 05.86-00
5.89 Cat Certified Rebuild Machine and Cat Certified Powertrain Extended
Coverage (NACD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 05.89-01

Tab 6 - America’s North Only Vocational On-Highway Truck

6.01 America’s North Only Vocational On-Highway Truck Warranty . . . . . . . . . . . . . . . . . . . 06.01-06
6.02 America’s North Only Vocational On-Highway Truck Warranty
Labor Rate Adminstration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06.02-00

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6 1.00A-51 (08/13)
 Caterpillar: Confidential Green Bulletin No. 1.01

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Warranty Philosophy

This bulletin was prepared to assist Dealers in understanding the rationale behind Caterpillar’s basic warranty
practices. It identifies the responsibilities of each participant in warranty situations, that being the customer, the
dealer and Caterpillar, as well as explaining the difference between a warranty and a goodwill settlement.
Dealer personnel need a clear understanding of Warranty Philosophy for two reasons:
1) To develop the foundation required to correctly and efficiently administer warranty and

2) To make it better understood that a Dealer’s warranty department is not the only area responsible for
administering warranty.

➤ What Is Warranty?
The Caterpillar® Warranty is Caterpillar’s legal commitment to provide, through its Dealers, customer protection
for product/part defects in Caterpillar 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.

➤ 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 rectifying 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 Caterpillar material or workmanship. The customer could still
have warranty coverage on any subsequent failures that are the result of a defect in Caterpillar material or
workmanship.

01.01-01 (12/11) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.01 Caterpillar: Confidential Green

What Is A Warranty Repair?

A warranty repair restores the product to its operating condition just prior to the failure, by repairing and/or
replacing the defective part, and the resultant damaged Cat® parts, 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 Cat part that caused the failure.
Resultant Damaged Cat Parts - are the Cat parts that were damaged as a result of the failure of the defective
part. Cat parts include Cat approved parts.

➤ 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 an 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 Caterpillar’s legal obligation, nothing more.
• “Incidental and consequential damages are excluded.” Caterpillar is not responsible for incidental and
consequential damages.
Incidental damages are best described as damages to property resulting from the failure.
Consequential damages are best described as other damages, notably loss of profit or use as a consequence
of the failure.
As a matter of practice Caterpillar will repair or replace resultant damaged Cat parts.
For example: A Cat fan blade broke off and damaged the radiator. Caterpillar’s Warranty will provide for
replacement of the defective blade. As a matter of practice, Caterpillar will also replace the resultant damaged
Cat parts. The warranty does not cover the damage to parts made by manufacturers other than Caterpillar, or
the loss of profit due to downtime (consequential damage).

➤ Administrating Warranty
The Dealer is responsible for administrating Caterpillar Warranty. Administration of warranty includes the
following Dealer responsibilities:
• Determining whether a Caterpillar defect in factory material or workmanship caused the failure.
• Determining if the failure is covered by warranty, and if so, what expenses are covered.
• Determining the most economical method of repair.
• Making the repair settlement with the customer at the close of the repair.
• Submitting a claim to Caterpillar after the customer settlement is made, for monetary Dealer reimbursement
from Caterpillar with proof that the failure was the result of a defect in Caterpillar material or workmanship.
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.

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 Caterpillar: Confidential Green Bulletin No. 1.01

 Who the customer is and their application.

 The product operating conditions.
 The customer/operator practices.
➤ • And, customers should view the Dealer as the one who makes all decisions associated with the repair.
Note: Dealers administer warranty on behalf of Caterpillar to the customer. Repair settlements are based
upon the Dealer’s business philosophy. What Caterpillar reimburses a Dealer may differ from what the
Dealer settles with the customer.

Three-Party Responsibility
The merchandising of Cat products involves three parties: the manufacturer, the Dealer, and the customer.
Each of these parties has specific individual responsibilities that have an impact on 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:
• 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.
• Reporting the cause of failure to Caterpillar on completion of troubleshooting.
• Administering Caterpillar Warranty.
The customer is responsible for:
• Operating the product properly and within the limits of its intended capacity and application.
• Fueling, lubricating, adjusting, operating and maintaining the equipment as instructed by the Dealer and in
accordance with the recommendations set forth in applicable Caterpillar manuals, including the Operation
and Maintenance Manual.
• Notifying the Dealer promptly if a problem exists.
• Making the product available to the Dealer for normal and product improvement program repairs.

Goodwill
Goodwill IS:
• Intended to maintain customer satisfaction and promote future business.
• A gesture offered at the discretion of the Dealer and/or Caterpillar.
• Pertaining to product incidents not covered by Caterpillar Warranty.
Goodwill IS NOT:
• An extension of warranty or an extended service plan.
• Intended to offset normal repair costs.
• To be used for minor failures.
• To be automatically applied to a specific problem or customer.

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Bulletin No. 1.01 Caterpillar: Confidential Green

• A legal obligation.
Typically, a goodwill settlement involves a shared participation in the repair costs by:
• The Dealer and the customer, or
• The Dealer and Caterpillar, or
• The Dealer, Caterpillar, and the customer

Requesting Goodwill Participation From Caterpillar

Dealers should follow the Goodwill process provided by their Caterpillar representative.

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 Caterpillar: Confidential Green Bulletin No. 1.02

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Dealer Reimbursement Practices

The following outlines general dealer reimbursement practices and applies to all products covered in the Global
Warranty Service Guide. Some of these repair expenses are reimbursable to dealers from Caterpillar and
others are not. Please refer to the Dealer Reimbursement Sections and Summary of Reimbursement Chart(s) in
the applicable bulletin for reimbursement details.
Parts - All parts needed to correct the defect, including gaskets, seals, salvage materials and any resultant
damaged Cat® parts are reimbursed, if dealer reimbursable, at the allowed pricing in effect on the date of repair.
At Caterpillar’s choice, the replacement parts or components may be either Cat new, remanufactured or Caterpillar
approved repaired. When there is a Cat remanufactured part offered that is at standard dimensions, dealers must
always use the remanufactured part, unless repair is being made prior to delivery to the first customer or other
situations as described in Bulletin 1.15. For an emergency Class W Parts Order (warranty with product down) of
a remanufactured part that is not in stock, the dealer will be shipped the equivalent new part and invoiced at the
remanufactured price, plus the standard core charge. This Parts Department practice is not applicable for major
components (e.g., engines, transmissions).
• In countries where use of Reman parts is prohibited, it is acceptable to use New Parts instead of
Reman parts. The approved countries with this exception are validated by Cat Reman.
Parts reimbursement includes only those Cat parts needed to restore the product to its operating condition just prior
to the covered failure. It does not include reimbursement for parts to restore the product to a like-new condition.
Parts replaced under the terms of warranty are covered for the remainder of the original warranty period, as if such
parts were original components. The warranty on such parts ceases when the original warranty period expires,
regardless of when the parts were replaced.
Substitute parts from sources other than Caterpillar are not allowed where there is a Cat part serviced. However,
special cases, such as the repair of an electronic device where a part not serviced by a Cat part must be used in the
repair, the part and its cost at dealer’s acquisition price may be included under “Other” Expense.
If higher than normal parts costs are incurred, such costs are for the dealer or customer to absorb unless specifically
authorized. For example, higher costs due to a dealer removing the required repair part from another machine or
engine or by procuring it from another dealer in order to complete the repair will be at the expense of the dealer.

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https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

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Bulletin No. 1.02 Caterpillar: Confidential Green

Parts Service Charges - Caterpillar Service Department service charges for parts obtained on an
emergency order are a percentage of the Dealer Net (D/N) price of the part, as per the following:
• 0 % for slow moving parts
• 2% as defined in Regional Parts Grams Exception Items.
• 5 % for medium moving parts
• 8 % for fast moving parts

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

Service/Maintenance Items - Include Oil, Coolant, Hydraulic Fluids, Filters, Spark Plugs and/or other
parts listed in the OM&M for scheduled replacement.
• Service items made unusable due to loss or contamination resulting from a warrantable failure are
reimbursed, at the applicable price in effect on the date of repair.
• Service items replaced in the normal course of the repair are not reimbursable.
• Service items as the Part Causing Failure (PCF) - Claiming a service item as the PCF requires
very specific reasons in the claim story to justify defect in Caterpillar material or workmanship.
Service/Maintenance Items are rarely defective. Plugged or worn is not a defect in Caterpillar material
or workmanship. Replacement prior to the recommended change interval is also not a defect.
Note: In situations where packaged quantities of engine oil, hydraulic oil, and/or coolant are used, it is
acceptable to claim these items as a Part expense. These fluids should have a Caterpillar part number with
a price in the Caterpillar system and the full quantity has been used. If the Caterpillar part number or price in
Caterpillar system is not available, the item must be claimed as a miscellaneous expense.

Repair Labor - Reasonable repair labor that is performed during normal working hours is reimbursed, if
reimbursable, at the applicable labor rate. This includes, unless excluded in a specific bulletin, labor to inspect,
test, diagnose, remove, disassemble, clean, assemble and install. Any labor that is not reimbursable is the
responsibility of either the dealer or customer.
Engine labor hours for engines other than Cat machine engines will be reimbursed according to the applicable
Time Requirement Guide (TRG). In cases where no TRG 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 is requested by
Caterpillar.
Parts Salvage Labor - If reimbursable, parts salvage labor is reimbursed if the Cat part can be
satisfactorily repaired for a cost that does not exceed 50% of the D/N price for a new or remanufactured
part. Salvage labor includes only the time to perform salvage operations such as machining, cutting, burning,
trimming, bending, heating, welding, etc. It does not include the labor to disassemble and assemble the part or
component associated with performing the salvage operation (i.e. the cutting off and welding on of bucket edges
or other GET / Work Tool components). Such labor is the responsibility of the repairing dealer.
If reimbursable, salvage labor reimbursement is at the dealer’s cost labor rate. Materials such as steel that are
used to perform the salvage operation are reimbursed at the dealer’s acquisition cost.
Overtime Labor Rate - If it’s reimbursable and necessary to perform labor after normal working hours, the
labor performed will be reimbursed at the applicable labor rate. An acceptable reason would be completing a
field service repair, when it is less expensive to continue working rather than return the next day. The reason for
the overtime labor rate must be included in the claim story.

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 Caterpillar: Confidential Green Bulletin No. 1.02

Outside Repair Expenses - If outside repair expenses (sublet) are justified, reasonable and reimbursable,
the outside repair expenses are reimbursed at the dealer’s actual cost. These expenses are for parts and/or
labor from an outside vendor. Examples of labor expenses for sublet repairs include, machining, cylinder head
milling or radiator repair.
Cost of repair guidelines apply. Repairs should not exceed 50% of the D/N for a new or reman component. It is
the dealer’s responsibility to ensure that invoice charges for outside repair expenses are reasonable.
Travel time and mileage expenses cannot be included or associated with sublet repair costs.
When a Cat dealer performs a sublet warranty repair for a TEPS dealer, the repair labor hours on the TEPS
dealer’s invoice must be according to the Time Requirement Guide (TRG), when applicable. In such cases, the
labor rate charge should be the Cat dealer’s engine sell labor rate.
It is the Cat dealer’s responsibility to insure that invoice charges they submit to TEPS dealers for sublet warranty
repairs are fair and reasonable. 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
dealer’s labor rates.

Shop Supplies - Shop supplies are not reimbursable as an itemized parts expense line. However,
allowance for shop supplies is included in the dealer’s labor rate. Examples of shop supplies include the
following: Shop towels, welding rod, wire ties, gasket maker, sealants, solvents, adhesives, primers, paint,
assembly lubricants, anti-seize compounds, buffing discs & pads, emory cloth, etc. For any questionable items,
please contact your Warranty Operations Group.

Hauling Costs - If reimbursable, costs associated with transporting or hauling a machine for repairs are
reimbursed if the cost to haul the product to the recommended service shop is less than what a mechanic’s
travel time and mileage costs would be. In such cases, the invoice for hauling must be kept on file.
Towing Costs - If reimbursable, towing charges are reimbursed at invoice cost during the standard warranty
period, if both of the following conditions are met:
• 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.
Freight Charges -
EAME, Americas North (Machines) and Americas South - If reimbursable under the applicable
bulletin’s reimbursement (for example 2.01, 2.03, 3.01, 4.01, etc), inbound surface or air freight charges for
emergency parts shipments from a Caterpillar Parts Distribution Center to the dealer are reimbursed. Invoices
for such freight charges must be kept on file.
Dealer shuttle service expenses between a Caterpillar Parts Distribution Center and the dealer or between a
dealer’s stores are not reimbursable.
Americas North ( Engines) and APD - If reimbursable under the applicable bulletin’s reimbursement (for
example 2.01, 2.03, 3.01, 4.01, etc), freight charges for inbound surface or airfreight charges from a source
distribution center other than the dealer’s assigned Parts Distribution Center are reimbursed. Charges from the
dealer’s assigned Parts Distribution Center are the responsibility of the dealer.
TEPS Dealers All Regions - 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, Cat 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 Cat dealer or the Cat dealer’s primary servicing parts distribution center.

Meals & Lodging - If reimbursable, mechanic’s meals and lodging associated with field service repairs are
reimbursed at the dealer’s actual cost, if less expensive than travel time and mileage costs for returning the next
day.

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Bulletin No. 1.02 Caterpillar: Confidential Green

Travel Time & Mileage - If reimbursable, travel time labor and vehicle mileage to and from field service
repair sites are reimbursed per the Dealer Reimbursement Summary Chart in the applicable bulletin. Only
reasonable travel time during normal working hours is allowed. If reimbursable, reasonable vehicle mileage is
reimbursed per the Dealer Reimbursement Summary Chart in the applicable bulletin. If reimbursable, TT&M
can include, if applicable, Toll Charges incurred during the TT&M. The Toll Charges should be claimed as a
Miscellaneous Expense and explained in the Claim Story.

Value-Added Tax - EAME, Americas North and Americas South - Value-added tax is not
reimbursable. APD - Value-added tax may be reimbursable. Please contact APD Warranty Operations, if
reimbursable the tax is included in a Dealer’s Transportation and Importation (T&I) rate calculation.
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 Cat products are not reimbursable.
Incidental and Consequential Damages - Caterpillar is not responsible for incidental and
consequential damages. Incidental damages are best described as damages to property. Consequential
damages are best described as other damages, notably loss of profit or use.

Emergency Orders For Remanufactured Parts Not-In-Stock

For an emergency Class W parts order (warranty with product-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.
Remanufactured parts/components that do not have an equivalent new part/component that are sourced from
the Caterpillar Parts Distribution System are not covered by the above ordering procedure. Some examples of
these parts/components include: complete engines, 3406 short blocks, cylinder head groups, cylinder liner kits,
tune-up kits and undersized crankshafts.
When a dealer places an order on an undersized crankshaft, it will be placed on back order if it 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 UTN, the Reimbursable Expense
Detail on the warranty claim should list the part number of the remanufactured part/component that was ordered
- not the part number of the upgraded new part that was shipped and installed.

Preventive Repairs
Occasionally, a dealer will replace parts on a machine “to prevent a failure in the future.” Such a decision is
usually based on field experience or knowledge, and in some cases, the availability of improved parts. These
preventive repairs are not reimbursed under warranty, because there is no defect or failure.
Dealers are informed of authorized replacements by Service Letters (PIP/PSP), Claim Authorizations or
by individual correspondence with their local Caterpillar District Office and/or Warranty Operations. Other
publications such as Technical Information Bulletins and Service Magazines are not an authorization for a dealer
to replace or update parts or components at Caterpillar’s expense.

4 01.02-09 (10/12)
 Caterpillar: Confidential Green Bulletin No. 1.03

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Claim Supporting Documentation and

Audit Requirements
➤ Overview
Caterpillar conducts periodic claim audits with its Dealers, both on-site and remotely. These audits ensure that
Caterpillar® claim requirements are met and standards maintained. For a service claim audit to be performed,
some basic documentation must be available at the Dealership. Dealers must be able to present related source
documentation for each service claim.
The service department must provide the Dealer’s claims technician with all the correct service repair
documentation associated with a repair. The claim technician receives these documents in a paper file folder or
electronically.
It is important to have an understanding of the various types of repair documentation that can be associated with
a service repair. Knowing which repair documentation is required for specific repairs will maximize a Dealer’s
reimbursement from Caterpillar with minimum communication and in a timely manner.

Documentation Categories
To assist in determining the correct documentation needed for a specific repair, the documentation is divided
into four categories:
• Documentation for all repairs.
• Documentation for a specific coverage.
• Documentation based on the failure and its repair.
• Documentation based on repair expenses.
The following pages outline for each documentation category the various repair documentation Dealers may be
required to keep on file for claimable repairs.
A Dealer check list by documentation category is illustrated on page 11, for use by warranty and service shop
personnel.
The audit checklist is on page 12 for Dealer reference.

➤ 01.03-03 (03/11) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.03 Caterpillar: Confidential Green

This documentation helps provide proof that the Dealer accrued the repair expenses being claimed on the
service claim for Caterpillar reimbursement. Failure to keep the required claim documentation can warrant
partial to full denial or partial to full debit of a repair.

Documentation For All Repairs

➤ Service Report
The Service Report is completed by the service technician and used to document the engine or machine
information and failure information. This document is required to be kept on file (electronic or paper).
There are three methods available to file a Service Report.
1. Paper Service Report - the technician hand writes the service report.
2. Electronic Service Report - available on the Service Technician Workbench, Siebel Field Service
application or other Dealer software applications.
3. Dealer direct - the technician enters the repair comments directly into DBS or other Dealer software that
transfers the information directly to Caterpillar.
The Service Report includes such information as technician, serial number, hours/miles/kilometers, delivery
date, part(s) causing failure, group number, and mode of failure, such as leaks or cracks. The Service Report
should indicate the customer complaint, the cause of failure and a detailed description of the repair. The
Failure Information Section of the service report contains some of this information and should be completed by
the Service Technician, when applicable. This failure data should be entered into the SIMS System (Service
Information Management System) for repair history.
For all on-highway truck engine/transmission repairs, the truck make, truck model, and cab type must be listed
on the work order or service report.
For marine engine repairs, the marine vessel make and model must be listed on the work order or service
report.
When applicable, all engine 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, found on page 9, can be made for recording this information.

➤ Job Time Cards

Job Time Cards are paper form cards that are unique for each Dealer and used by the service department to
record technicians time associated with segment(s) of a repair. This information is transferred to the work order.
The Job Time Card includes the work order number, the job segment, customer information, engine/machine
information, employee identification, and associated labor time.
Note: Not all Dealers use Job Time Cards. Some use an electronic system rather than paper time cards to
record technician time. The requirement to retain job time card information applies to all Dealers regardless of
the method used for recording time.

➤ Work Order Summary

The Work Order Summary information is required to be kept on file (electronic or paper).
The Work Order Summary is an electronically controlled document that contains an itemized list of all the
charges associated with a repair.
The Work Order Summary includes parts, labor, travel time, travel mileage, miscellaneous items, outside
purchased charges, and the repair dates. This information is obtained from the Work Order.

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 Caterpillar: Confidential Green Bulletin No. 1.03

➤ Customer Credit Verification / Invoice

There must be documentation to validate that the customer was not charged for repair expenses that the
Dealer claimed on a service claim to Caterpillar. If this information is not included in the Dealer’s Work Order
Summary, then the Dealer is required to keep a copy of the Customer Credit Invoice (repairs not invoiced to the
customer or replacement parts sales) on file (electronic or paper).
A Customer Credit Invoice is an electronically generated paper document that is unique for each Dealer.
The service department uses this invoice to bill the applicable accounts for the various repair expenses
associated with a service repair.
A Customer Credit Invoice includes customer information, product information, repair detail, and an itemized
list of the repair expenses indicating whose account the various charges are being billed to. For charges
covered by warranty, the invoice will indicate those charges were billed to a warranty account for Caterpillar
reimbursement. For charges not covered by warranty or another Dealer account, the invoice will indicate those
charges were billed to the customer’s account.

➤ Delivery Service Record

This document is a required paper form or scanned copy of the original that must be signed by both the
customer and a Dealer representative and kept on file for every product (machine, engine, generator set, etc.
that are sold through the dealership). The form is available through the Caterpillar Corporate Literature System.
The Dealer’s Service and/or Sales Department uses this document to validate customer receipt of the product
and the appropriate service literature. The document is also used to review product operation and maintenance
with the customer.
This document contains the delivering Dealer and product/customer/service checklist information.

Please refer to Bulletin 1.12 for more details and requirements.

Documentation For Specific Coverage

Caterpillar Authorization
There is not a specific document to be filled out to identify Caterpillar authorization. Approval from Caterpillar is
usually received over the phone. Caterpillar authorization information should be recorded on the Service Report
within the repair detail.
The service department will obtain Caterpillar authorization for repairs on a Caterpillar factory field follow unit, or
a special request from a Caterpillar factory business unit. In addition, Caterpillar authorization can be for district-
approved service goodwill involving reimbursement of expenses not covered under warranty, or for repairs to a
product that is out of warranty and/or extended coverage.
For district-approved service goodwill repairs, the authorizing person’s name and department must be recorded.
In addition, the Caterpillar representative may provide a goodwill code. For EAME, the District Offices must
submit a SCR (Service Claim Recommendation) to the EAME Warranty Office for approval.
For factory authorization repairs, the authorizing person’s name and department must be recorded. In addition,
the Caterpillar authorizer will provide a goodwill code and group number. They may also provide a pre-approval
claim authorization number (five-digit).

Custom Track Service (CTS) Inspection Report

This document must be on file for claims on all undercarriage components, including Undercarriage Assurance
claims. This document is a Caterpillar paper form available through the Caterpillar Corporate Literature System.

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 Bulletin No. 1.03 Caterpillar: Confidential Green

The service department uses this document to record wear information for the various undercarriage parts and
components.
This document contains lines for recording customer and machine information, the date the undercarriage
components were installed, wear measurements, the percent worn, and the total potential hours remaining.

Undercarriage Assurance Enrollment Certificate

This document must be on file for all Undercarriage Assurance claims.
This document is a Caterpillar paper form available through the Caterpillar Corporate Literature System.
Either the Dealer Sales Department or the Parts Department will issue this document at the time of
Undercarriage Assurance enrollment. This document summarizes the coverage parameters and verifies
enrollment.
This document contains a summary of the program coverage, the customer name, the date of purchase, and
machine/undercarriage information.

➤ S·O·S Fluid Analysis Test Results

SM

S·O·S fluid analysis test results are required to be on file when they have been used to identify and/or diagnose
the root cause of a warrantable failure. When this information has been used, the results that drove the action
must also be cited in the claim story.

➤ Pre-delivery / Revisit / Delivery Inspection Reports

This document may have been downloaded into SIMS and is acceptable. If the report has not been downloaded
into SIMS, a copy (paper or electronic) must be on file for all Standard Warranty claims. This document is a
paper form. There are a variety of forms based on the type of machine or engine. These forms are available
through the Caterpillar Corporate Literature System, Service Information System (SIS), and the Global Warranty
website.
The service department uses the Pre-delivery Inspection Report document as a quality inspection upon factory
delivery to the Dealer, prior to customer delivery. The Revisit Inspection and Delivery Inspection Reports are
utilized after the product has been delivered to the customer and operational.
The document contains Dealer Work Order and product information. It is a checklist for service points, product
operation, and external visual inspection by the Dealer.

➤ Previous Repair Invoice & Repair Option

The previous repair invoices are required to be kept on file (electronic or paper) for Parts Warranty claims
involving parts which were purchased by the customer as part of a service department repair.
This document is typically either a faxed copy from another Dealership or a copy from the Dealership’s history
file folder for the product.
The service department reviews a previous repair invoice for parts used and the repair detail, which may be
associated with the current repair. The invoice is used to determine if Parts Warranty applies based on the date
of purchase.
This document includes customer information, product information, parts, labor, miscellaneous expenses, and
repair detail.

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 Caterpillar: Confidential Green Bulletin No. 1.03

➤ Parts Sales Invoice / Receipt

This document must be kept on file (electronic or paper) for Parts Warranty claims involving parts (new or
remanufactured) which were direct sold through the Dealer Parts Department.
This document is a paper form that is unique to each Dealer. It is generated electronically by a Dealer’s Parts
Department. A copy of this document must be obtained from the customer at the time of the repair for the
Dealer’s files.
It is used by the Dealership to determine if Parts Warranty applies, based on the part date of purchase.
The invoice will include the customer’s name, the sale date, and the part number and name of the part.

Note: Requirement for Certified Rebuilds as documentation of the parts replaced during the rebuild.

Documentation Based On Failure and Its Repair

The following documentation may be required to be on file based on the failure or complaint, and its repair.
Documentation of this type supports why and/or how the Dealer performed the repair.

➤ Engine Fuel System Setting Data

The Engine Fuel Systems Setting Data report may have been downloaded into SIMS or if the report has not
been downloaded into SIMS, a copy is required to be kept on file (electronic or paper).
For engine performance repairs, the engine fuel system setting information that is outlined in Illustration 2,
found on page 10, must be recorded and retained on file. This document is a paper worksheet. A photocopy
of Illustration 2, can be made for recording this information. For additional information on engine performance
data, refer to Bulletin 3.16 of this Service Warranty Guide.
The service department uses this document to identify fuel setting data when necessary to check fuel/governor
settings. This applies for both mechanical and electronic engines.
The information recorded includes the factory specifications, the before adjustment setting data, and the after
adjustment setting data.

➤ Repair vs. Replace Cost Comparison Worksheet

This document is a paper worksheet and may have been downloaded into SIMS or if this hasn’t been
downloaded into SIMS, then a copy is required to be kept on file (electronic or paper). A copy of the worksheet
is located in Bulletin 1.15.
The service department uses this worksheet to determine whether it is less costly to repair or replace the
component.
This worksheet contains lines for recording and calculating parts, labor, and miscellaneous expenses.

➤ Cat ET (Electronic Technician) ECM Report / Download

Cat ET ECM Report / Download is required per the requirements listed in Bulletin 3.01. The Electronic Engine
Repairs report may have been downloaded into SIMS and is acceptable. If the report has not been downloaded
into SIMS, a copy is required to be kept on file (electronic or paper). This shows a histogram or logged
diagnostic and event codes from electronic engine claims.

➤ Engine Nozzle Test Record

This document is a Caterpillar paper form and is required to be kept on file (electronic or paper). The form is
available through the Caterpillar Corporate Literature System.

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 Bulletin No. 1.03 Caterpillar: Confidential Green

The service department uses this document to record leak test and spray patterns for fuel injection nozzles.
This document is used for fuel nozzle failures. The document is not used for engines with unit injectors.
This worksheet contains lines for recording Valve Opening Pressure (VOP), leaks, and spray pattern information.

➤ Oil Consumption Test and Daily Log Report

This document is a Caterpillar paper form and is required to be kept on file (electronic or paper). The form,
number 01-081227, is available through the Caterpillar Corporate Literature System.
The service department uses this document to perform an initial inspection for customer complaints. Then the
customer is given a copy of the form to log the fuel/oil ratio for evaluation.
This report contains space for recording customer and vehicle/machine identification, initial test procedure
results, and a daily log of odometer/hour meter readings for fuel and oil additions.
Please refer to Bulletin 3.18 for additional details on engine oil consumption.

➤ Dynamometer Test Sheet

This document is a Caterpillar paper/electronic form and is required to be kept on file (electronic or paper). The
paper form is available through the Caterpillar Corporate Literature System. The electronic forms are available
through the Caterpillar Product Support Global Web and can be located at
Engine: https://productsupportglobalcontent.cat.com/cda/components/fullArticleNoNav?ids=397749&languageI
d=7.
Engine (metric): https://productsupportglobalcontent.cat.com/cda/components/fullArticleNoNav?ids=397751&lan
guageId=7.
Machine Engine: https://productsupportglobalcontent.cat.com/cda/components/fullArticleNoNav?ids=718770&la
nguageId=7.
The service department performs this test to verify the quality of a major out-of-chassis engine repair.
The test sheet contains engine specifications and performance data.The following documents may be required
to be on file based on the Dealer’s repair expenses.
When applicable, these documents provide proof of accrued Dealer expense when itemized on a service claim
for Caterpillar reimbursement.

➤ Oil Cooler Test Result

This document is a Caterpillar paper form that is available through the Caterpillar Special Instruction REHS
1758-01 “Test Procedure For Brazed and Rubber End Sheet Oil Cooler” and is required to be kept on file
(electronic or paper). It is also available in Caterpillar website https://sis.cat.com.
This additional oil cooler field test assists Dealers in correctly determining the source of coolant and oil mixture
and correctly identifying the root cause of the complaint the first time around.
For all new and Reman oil coolers requested to be returned, a copy of the test results must be returned
together. The same test results will also be required in the claim story of all warrantable rubber end sheet and
brazed oil cooler claims. All claims without the test results included in the claim story will be returned for this
information. If the test information is not available, then claims will be non-allowed.

➤ SR4/SR4B Generator Rectifier Assembly Troubleshooting

Checklist - This document is a Caterpillar paper form and is required to be kept on file (electronic or paper).
The form is available on the Global Warranty website at url https://warranty.cat.com/wtyforms. The service
department used this checklist for troubleshooting the SR4/SR4B Rectifier Assembly part numbers 290-5563,
290-5564, 290-5565, 290-5566, 290-5567, 298-3647, 298-3648 and 298-3817.

➤ Indicates change. 6 01.03-03 (03/11)

 Caterpillar: Confidential Green Bulletin No. 1.03

➤ Failure Analysis Report

The Failure Analysis Report may have been downloaded into SIMS or if the report has not been downloaded
into SIMS, a copy is required to be kept on file (paper) as justification for all service claims. All service claims
should have failure analysis provided in the claim narrative to indicate failure is due to Caterpillar defects on
material and workmanship. Analysis detail is, to certain extent, proportional to the claim value. A failure analysis
report with detail write-up and photos must be submitted upon request by Caterpillar. Dealer is to submit such
reports and photos via the Add Service Image function in SIMSi. Failure to supply this document may result in
delay of settlement or claim rejection. A copy of this report is to be kept on file.

Coolant Related Failure Report

Required per Bulletin 1.23. The Coolant Related Failure Report captures the details of the product coolant and
coolant related failure.

Documentation Based On Repair Expenses

The following documents may be required to be on file based on the Dealer’s repair expenses. When applicable,
these documents provide proof of accrued Dealer expense when itemized on a service claim for Caterpillar
reimbursement.

➤ Hauling / Transport Invoice

Hauling costs are not typically reimbursable for equipment product. Only hauling invoices qualified for
Caterpillar reimbursement must be kept on file (electronic or paper).
This document is either a paper invoice from an outside vendor or a similar Dealer document.
The service department or customer is presented this invoice for hauling a machine to the Dealer.
This document is in various formats and sizes. The document should indicate the nearest town to where the
machine was hauled. The document should include the customer name, model of machine, list of charges, and
miles/kilometers hauled including to and from locations.

➤ Towing Invoice
When claiming for towing, a copy of the towing invoice relating to the warranty repair must be retained on file
(electronic or paper).

➤ Outside Purchase Invoice

This document is a paper invoice from an outside vendor and is required to be kept on file (electronic or paper).
The service department uses this invoice to identify parts and/or labor from an outside vendor associated with a
repair.
This document comes in various formats and sizes. This document should include, when applicable, a detailed
part(s) list and price, total labor hours and price, and an explanation of work performed.

➤ Service Charge Invoice

This is a paper document and is required to be kept on file (electronic or paper).
Caterpillar charges a processing fee for handling emergency parts shipped to a Dealer. This is called a “Service
Charge” on the Caterpillar invoice.
These charges are typically added to the service department’s work order. This document can involve both a
Caterpillar invoice and an internal Dealer invoice.

01.03-03 (03/11) 7 ➤ Indicates change.

 Bulletin No. 1.03 Caterpillar: Confidential Green

This invoice includes shipping order information, customer information, part numbers, and service charges.

➤ Freight Invoice
Freight costs are not typically reimbursable for equipment product, except for Product Improvement Programs
(PIP’s). The only instances that freight invoices are required to be on file are when they qualify for Caterpillar
reimbursement. These invoices must be kept on file (electronic or paper).
This document is typically an invoice from an outside carrier (air or surface).
The parts department receives this invoice from an outside carrier for emergency shipment charges. The parts
department should provide a work order identifier to the carrier for use on the freight invoice. These charges are
then added to the Work Order.

Additional Auditable Documentation

Documentation on Merchandising Programs, specific Follow-up Programs, Claim Authorizations etc., including
additional requirements, must be available.
When applicable, the following additional documents will be required for an audit:
Dealer Work Order: Paper or Computer Format
Internal Parts Order
Internal Order for Supplies (Oil, Welding Rods, etc.,)
Invoice for Rental machine
Invoice for Machine/Engine/Component transport
Battery Test Sheet
Caterpillar Close Field Follow Document
Parts Invoice from Parts Depot
Document justifying travel time
Document justifying travel points.
Document justifying traveled distance in kilometers.(miles)
Document justifying daily travel allowances.
Invoice for hotel charges
Invoices for meals

➤ Indicates change. 8 01.03-03 (03/11)

 Caterpillar: Confidential Green Bulletin No. 1.03

Illustration 1 Cylinder Liner Measurements Graphic.

01.03-03 (03/11) 9
Bulletin No. 1.03 Caterpillar: Confidential Green

Illustration 2 Engine Fuel Setting System Information Graphic.

10 01.03-03 (03/11)
 Caterpillar: Confidential Green Bulletin No. 1.03

➤
Engine/Machine Product
Checklist of Claim Repair Documentation
Documentation - Required For All Repairs

Service Report Job Closing Summary

Job Time Cards (if used) Customer Credit Verification / Invoice

Delivery Service Record

Documentation - For Specific Coverages

Caterpillar Authorization Pre-delivery/Revisit/Delivery Inspection Rpt

CTS Inspection Report Previous Repair Invoice

Undercarriage Assurance Certificate Parts Sales Invoice / Receipt

Dealer Extended Coverage Agreement

Documentation - Based On Failure and Its Repair

Engine Fuel System Setting Data Dynomometer Test Sheet

Repair vs. Replace Cost Comparison Wrkst Oil Cooler Test

Electronic Engine Repair Histogram SR4/SR4B Generator Rectifier Checklist

Engine Nozzle Test Record Failure Analysis Report

Oil Consumption Test Report Coolant Related Failure Report

S·O·S SM Fluid Analysis (where applicable)

Documentation - Based on Repair Expenses

Hauling/Transport Invoice Service Charge Invoice(s)

Towing Invoice Freight Invoice

Outside Purchase Invoice Additional Required Docs (as applicable)

Notes

01.03-03 (03/11) 11 ➤ Indicates change.

Bulletin No. 1.03 Caterpillar: Confidential Green

Dealer Warranty Audit Checklist

Item # Item Name Item Description
1 Delivery Date Check the Delivery Service Report. If the delivery date shown on the dealer
documentation varies from the one registered at Caterpillar, the difference
must be clarified and corrective action taken.
2 Parts Start Date If a new parts warranty claim, check the invoice for the previous repair.
3 Serial Number Verify that the serial number is correct.
4 Product Hours Check the service hours on the service report. Unit hrs/miles/km.
5 Part Hours Check the service report, job-closing summary, previous invoice and machine
history. Approximate hours is acceptable. Unit hrs/miles/km.
6 Part Causing Failure Check the service report, and claim story to confirm correct part causing
failure.
7 Group Number / SMCS Check the service report, and claim story to verify correct group number.
Code Verify the correct use of a group number versus an SMCS code based on the
type of claim (i.e. Undercarriage Assurance, PIP/PSP, pre-delivery inspection).
8 Description Code Check the service report, and claim story to verify correct description code.
Use discretion, as more than one code may describe a single failure.
9 Claim Story Claim story should include complaint, cause, correction and any complications,
as is necessary to describe failure and repair. Depending on the type of
claim, more or less detail may be acceptable. (i.e. Undercarriage Assurance
information).
10 Customer Credit Compare claim to invoice and/or job-closing summary.
11 Repair Date Compare date on job summary to claim. Last day of labor on the job or on
the repair segment are acceptable. If repair begins during the coverage and
ends outside of coverage, the job opening date is allowable and it should be
included in the claim story, the job opening date must be entered in the claim
story.
12 Actual Repair Hours Check the job segments claimed to verify actual repair hours.
13 Claimed Parts Review parts against claim story. Parts and quantities must match story and
job summary.
14 Claimed Labor Compare labor claimed with claim story and the component being repaired.
Check the job-closing summary and service report to verify that all segments
on work order match the claim. Review coverage to verify labor is claimable.
Engine: Labor claimed must be to TRG when applicable. Exceptional labor
may be claimed with justification in the claim story.
15 Claimed Travel Is coverage for Travel Time & Mileage allowed? (i.e. Defense Products,
Mining, Transient Machine, PIP).
16 Claimed Other Check to make sure that other expenses are detailed in the claim story and
claimed correctly. Check outside invoices, job-closing summary and service
report.
17 Parts Retention Verify that the dealer is holding parts for the required amount of time as per
the Warranty Bulletin. All Claims under 30 days will be reviewed for parts
retention.
18 SOS History SOS history will be reviewed for all Extended Service Coverage machine
claims requiring SOS.
19 Predelivery and Revisit Predelivery and revisit checklist or form will be reviewed on claims for these
expenses.
20 Additional Required Additional documentation required based upon repair as noted previously in
Documentation this bulletin.

12 01.03-03 (03/11)
 Caterpillar: Confidential Green Bulletin No. 1.04

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Transportation and Import Charges

Transportation and Importation (T & I) charges include surface freight, non-reimbursable customs duties and
taxes, in addition to inland freight to the dealer. T & I charges, where applicable, are allowed. This allowance
adjusts parts credit from the dealer’s net price to an average landed cost.
➤ For Caterpillar “Design to Order” (DTO) products with no information in the Morton Parts System, T & I charges
are allowed as defined above. These T & I expenses are claimed on a misc. line using the discription code of
MISCTI, per Bulletin 1.27. These changes are not to exceed the average landed cost already assigned to the
dealer code. Contact rep for applicable T & I factor.
Not included under T & I costs are emergency charges, premium freight and special handling charges.
Caterpillar sets T&I charges. Contact your warranty administrator for further information.

➤ 01.04-01 (11/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.04 Caterpillar: Confidential Green

2 01.04-01 (11/12)
 Caterpillar: Confidential Green Bulletin No. 1.05T

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Labor, Travel & Vehicle Rates

In order for Caterpillar to correctly reimburse warranty labor expenses, all Truck Engine Parts and Service
(TEPS), Industrial Service Distributor (ISD), Marine Engine Parts and Service (MEPS), Authorized Marine Dealer
(AMD) and other Authorized Sales and Service Centers (ASSC) dealers are required to annually report to
Caterpillar Inc. their warranty labor rates.
Effective April 1, 2013, dealers are required to submit all labor rate updates and changes through the online
labor rate submission tool located on https://warrantyadmin.cat.com. The ASSC Warranty Labor Rate Change
Request Dealer Worksheet and ASSC Warranty Labor Rate Change Request Form referenced in this bulletin
will no longer be accepted on or after April 1, 2013. Additional information about the labor rate tool can be found
at https://warranty.cat.com/mdlr.

Annual Review
Labor rates must be submitted once and only once per calendar year. (A calendar year is January 1 -
December 31.) Rates must be submitted, approved and put on file every year, even if the labor rate does not
change. Rates with effective dates in the previous year will expire effective December 31 of the current year.
For example, the last time the dealer updated rates was February 2011. The rate will expire on
December 31, 2012, if no labor rate was put on file in 2012.
Labor rates will be updated once per calendar year. Updated labor rates should be received by the Caterpillar
Representative at least 30 days prior to the proposed future effective date. Any exceptions for revising a rate
within the same calendar year will require Caterpillar Enterprise Warranty approval. The dealership may be
required to submit further documentation to support the request such as:
• A business case for the rate change
• Sample work orders and/or invoices as necessary
The effective date is when the Caterpillar Service Claim System begins using the new rates. The revised rates
will be applied to all claims submitted with a repair date on or after the effective date.

➤ 01.05-06T (03/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.05T Caterpillar: Confidential Green

The dealer is required to keep the completed file and their signed/electronic copy of the request form until the
rate is superseded by a new approved rate. The dealer’s copy of the worksheet and form should be available
for review during an audit or the approval process. The dealer must retain all documentation supporting the
source/method used for deriving numbers in the worksheet.

➤ Labor Rate Change Request Form Submission Requirements

Effective April 1, 2013, the paper Warranty Labor Rate Change Request will no longer be accepted. Dealers will
be required to update their rates by submitting an online Warranty Labor Rate Change Request with the proposed
rates, including an explanation to justify the rates requested (https://warrantyadmin.cat.com). The form must
be routed to the dealer’s 2nd level program manager and Caterpillar Industry Representative utilizing the online
Labor Rate tool. Once the rates are reviewed and approved by the 2nd level program manager and Caterpillar
Industry Representative, the online tool will email confirmation of the rate status back to the dealer. After
approval by both the 2nd level program manager and the Caterpillar Industry Representative, the request will be
automatically forwarded to Global Warranty for final approval and system entry of the rates.

➤ Americas North TEPS Dealers Only

Effective April 1, 2013, the paper Warranty Labor Rate Change Request will no longer be accepted. Dealer will
be required to update their rates by submitting an online Warranty Labor Rate Change Request with the proposed
rates, including an explanation to justify the rates requested (https://warrantyadmin.cat.com).

All dealers must submit the online Warranty Labor Rate Change Request once per calendar year, even if the rate
does not change. The form must be routed to the dealer’s TEPS program manager and Caterpillar truck Engine.

If the rate is changing, an additional document, “Invoice Summary (OHT-AN Only)” within the ASSC Warranty
Labor Rate Change Request File, must be completed and submitted with the signed labor rate request. The
TEPS dealer must also provide fifteen (15) invoices to TEPS Program Manager for review. The invoices, along
with the ASSC Warranty Labor Rate Change Request Form, must be submitted to the TEPS Program Manager
for approval within 30 days of the proposed effective date. If the 15 invoice minimum is unable to be met, the
TEPS Program Manager should submit a request for exception to their On-Highway Truck Representative.

Invoice Requirements:
• Invoices must be dated within 90 days of the labor rate request
• Caterpillar Engine Serial Number must be reflected on the invoice
• If the ESN is not on the invoice, supporting documentation should be provided to tie the ESN
to the invoice
• Total number of labor hours billed must be provided
• If hours billed are not reflected on the invoice, the requesting TEPS dealer is required to
provide an internal accounting copy that displays this information
• Total number of flat rate hours
• Final labor amount (before taxes)

TEPS Program Managers are required to review the invoices prior to approving the rate changes. If the TEPS
Program Manager agrees the invoices support the labor rate change request, he/she should approve the new
rate and forward the ASSC Warranty Labor Rate Change Request Form to the On-Highway Truck Representative
for approval.

In cases where no labor rate change is requested, the requirement for fifteen (15) invoices is void. If the labor
rate is going to remain the same, the only annual requirement is the standard ASSC Warranty Caterpillar Labor
Rate Change Form, complete with applicable signatures and electronic approvals.

TEPS dealers should contact the TEPS Program Manager for questions regarding this policy.

➤ Indicates change. 2 01.05-06T (03/12)

 Caterpillar: Confidential Green Bulletin No. 1.05T

Expired Labor Rates

If a claim requesting labor, travel, and/or vehicle reimbursement is submitted and the labor rate on file is expired,
the claim will be returned by the system to the dealer with a reason code indicating there is no active rate on file
to allow the claim to be processed. The system will provide a message in the claim story that reads, “Returned-
No Active Labor Rate is on File with Caterpillar,” as defined in warranty service guide Bulletin 1.07.

When updating expired labor rates, the new labor rate will be effective on the date it is entered into the system.
Once the revised date has been approved and entered, the expired labor rate will be extended to cover claims
returned due to expired labor rates. If the claim is not submitted within the return claim time limit (currently 14
days), the system will cancel the claim and the dealer will have to submit a new claim. If the new claim is beyond
the claim submission time limit, follow the late claim exception request process outlined in warranty service guide
Bulletin 1.13.

Market Based Labor Rates

To obtain consistent labor reimbursement for all dealers, the labor rate should be set by the marketplace
and should be the dealer’s posted or advertised customer labor rate. If the dealership typically charges
shop supplies and hazardous waste disposal fees separately on revenue customer service invoices, then an
allowance for these fees is also calculated and added to the customer rate. How to calculate the shop supplies
and hazardous waste disposal allowances is defined later in this bulletin.

Definitions

Posted/Advertised Customer Labor Rate

The Posted or Advertised Customer Labor Rate is the labor rate that the dealership publishes to their
customers. The rate may or may not include allowances for shop supplies and/or hazardous waste disposal
fees depending upon how the dealership chooses to charge its customers.

Travel Rate
When applicable to the product being serviced, the Travel Rate is used to compensate the dealer for the Service
Technician’s time spent traveling to and from a job site to perform a repair. It is 90% of the Posted/Advertised
Customer Labor Rate. Shop supply and Disposal fees are not included in this calculation. The Travel Rate is
multiplied by the hours provided in the claim detail when applicable for a warrantable repair.
Note: When claiming travel and mileage, the two items must be listed separately in the claim detail.

Vehicle (Mileage/Kilometer) Rate

When applicable to the product being serviced, the Vehicle Rate is used to compensate the dealer for Service
Truck expenses for driving to and from a job site to perform a repair. It is 1.6% for Kilometers and 2.6% for
miles of the Sell Labor Rate (which includes shop/disposal allowances). The Vehicle Rate is multiplied by the
miles/kilometers provided in the claim detail when applicable for a warrantable repair.

Note: When claiming travel and mileage, the two items must be listed separately in the claim detail.

Shop Supply Expense Allowance

Shop supplies are not allowed as an itemized expense on Warranty Claims. If the dealership does not include a
shop supplies expense in their posted customer labor rate, then the dealer is allowed to calculate a Shop Supply
Expense Allowance. This shop supplies allowance will be included in the sell labor rates automatically.
Bulletin 1.02 explains what expenses should be considered as shop supplies.

01.05-06T (03/12) 3
Bulletin No. 1.05T Caterpillar: Confidential Green

The shop supply expense calculation is the total cost of shop supplies divided by the total dealer service hours
sold (revenue and interdepartmental). The shop supplies expense should not exceed 2.7% of the Posted/
Advertised Customer Labor Rate.

Net Hazardous Waste Disposal Expense Allowance

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

Sell Labor Rate

The Sell Labor Rate is the same as the Posted/Advertised Customer Labor Rate for dealers who do not itemize
shop supply and hazardous waste disposal fees on their customer invoices but include these fees in their labor
rates.
For dealers that do itemize shop supplies and hazardous waste fees on their customer invoices, then the Sell
Labor Rate is the Posted/Advertised Customer Labor Rate plus a shop supplies allowance. A Net Hazardous
Waste Disposal fee allowance is also added to the posted rate if it is applicable to the dealership.
In either case, the Sell Labor Rate is what the Caterpillar Service Claim System will use to reimburse dealers for
warranty labor expenses at the sell rate.

Cost Labor Rate

The Cost Labor Rate consists of 90% Post/Advertised Customer Labor Rate plus a shop supplies allowance. A
Net Hazardous Waste Disposal fee allowance is also added to the labor rate if it is applicable to the dealership.
The Cost Labor Rate is what the Caterpillar Service Claim System will use to reimburse dealers for warranty
labor expenses at the cost rate.

Sample Calculations
The calculations used for the Shop Supplies Expense and Net Hazardous Waste Disposal Expense should use
figures from the previous 4 quarters.

1. Calculate Shop Supplies Expense

Shop Supplies Expense = Total cost of shop supplies

Total dealer service hours sold
(revenue and interdepartmental)

4 01.05-06T (03/12)
 Caterpillar: Confidential Green Bulletin No. 1.05T

2. Calculate Net Hazardous Waste Disposal Fee Expense

Net Waste Disposal Expense = (Total disposal fee cost - Total recovery for reclamation)
Total dealer service hours sold
(revenue and interdepartmental)

Below is an example of shop supply and disposal expense calculations where the dealer itemizes these fees.
Example: Posted/Advertised Customer Labor Rate = 100
Total Cost of Shop Supplies = 500,000
Total Service Hours = 250,000
Shop Supplies Expense = 500,000 / 250,000 = 2.00 per hour
Net Disposal Fee Cost = (500,000 – 30,000) = 470,000
Net Disposal Expense = 470,000 / 250,000 = 1.88 per hour
2.7% of Customer Rate = 100 x .027 = 2.70
1.3% of Customer Rate = 100 x .013 = 1.30
Shop Supplies Allowance = 2.00 (the lesser of the 2.7% max or shop expense)
Disposal Allowance = 1.30 (the lesser of 1.3% max or net disposal expense)
The Caterpillar Service Claim System will automatically calculate the Sell Labor Rate that will be used in
processing warranty claims.
3. Sell Labor Rate = Posted/Advertised Customer Labor Rate + Shop Supply Allowance + Disposal Allowance
Example: Dealer that includes shop supplies/disposal fees in Customer labor rate
Posted/Advertised Customer Labor Rate = 103.30
Shop Supply Allowance = 0
Disposal Fee Allowance = 0
Sell Labor Rate = 103.30
Example: Dealer that itemizes shop supplies/disposal fees in Customer Invoice
Posted/Advertised Customer Labor Rate = 100
Shop Supply Allowance = 2.00
Disposal Fee Allowance = 1.30
Sell Labor Rate = 103.30
4. Cost Labor Rate = (Posted/Advertised Customer Labor Rate x 0.90) + Shop Supplies Allowance + Disposal
Allowance
Example: 90% of Posted/Advertised Customer Labor Rate = (0.90 x 93.50) = 84.15
Shop Supplies Allowance = 2.00
Disposal Fee Allowance = 1.22
Cost Labor Rate = 87.37
The Caterpillar Service Claim System will automatically calculate the following rates that will be used in
processing warranty claims:
5. Travel Rate = 90% of Posted/Advertised Customer Labor Rate
Example: 90% of Posted/Advertised Customer Labor Rate = (0.90 x 103.30) = 92.97

6. Vehicle (Mileage/Kilometer) Rate = 1.6% (Km) or 2.6% (Mi) of Sell Labor Rate
Example: 2.6 % of Sell Labor Rate = (.026 x 103.30) = 2.69

01.05-06T (03/12) 5
Bulletin No. 1.05T Caterpillar: Confidential Green

6 01.05-06T (03/12)
 Caterpillar: Confidential Green Bulletin No. 1.06

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Substitute Group and Part Numbers

Where possible, the Cat® part number of the Cat part causing failure should be entered into the Part
Causing Failure field, and the Cat Group Number for the Cat Part Causing Failure should be entered into
the Group Number field. In some situations usage of a Cat part number or group number is not possible. In
those situations, usage of an substitute part number (SP Number) or Service Management Control System
(SMCS) code group number may be required.
This bulletin advises when it is appropriate and acceptable to use SP and/or SMCS codes. For a listing of
SP part numbers and SMCS codes, Dealers can reference the booklet entitled “Caterpillar® Product Service
Reporting Codes for SIMS and Warranty Use,” Form SEBD0850, that is available from corporate literature.

Substitute Part Numbers

If the part number that caused the failure is not a Cat part number, a substitute part number may be used.
Substitute part numbers should only be used when a Cat part number is not available.
Some Caterpillar branded products are built and serviced using parts with part numbers that do not follow
the format of regular Cat part numbers. Since these numbers are not compatible with Service Information
Management System (SIMS) and the warranty system, Substitute Part Numbers have been created to identify
the type of part that may have caused an incident.
A Substitute Part Number may only be used as the Part Number Causing Failure, when the part does not have
a Cat Part Number and the part is warranted by Caterpillar, or when instructed to do so for a specific type of
claim.
Note: Do not use a Substitute Part Number to designate a non-serviceable lower level part. Instead, put the
failure information into the Claim Story.

Substitute Group Numbers

An SMCS code should only be used when either a Cat group number is not available OR when instructed to do
so with a specific SMCS code for a specific type of claim.

➤ 01.06-00 (03/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2008 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.06 Caterpillar: Confidential Green

2 01.06-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.07

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Claim Action Reason Codes

NOTICE
This bulletin is effective for all claims adjudicated on/after 01Sep11. It is provided now to help dealers
prepare for the system change.

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 2 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.
• The last 2 digits, called the Reason Code, indicates the reason for taking the action identified in the first
digit.
There are also special 3-Digit Claim Action Codes that consist of 3 letters that are used without an
accompanying 2-digit reason code. Special 3-Digit Claim Action Codes are used to indicate special action taken
with a service claim.
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 the return claim timelimit, as outlined in Bulletin 1.13, the claim will be

➤ 01.07-11 (04/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.07 Caterpillar: Confidential Green

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.

Listing to Cancellation and Return Code “SE1”

Comp Code Missing for Job (labor lines) Missing Initial Dealer Claim Number
Delivery Date missing or not on P.I.S. Missing Initial Dealer Code
Duplicate Claim Number for Paid Claim Missing Job CD for Comp CD (labor lines)
Duplicate Part Number (parts lines) Missing Group Number Causing Failure
Generic CMPNT/Job Code Missing Part Number
Group Part No. Not Same as Initial CLM Missing Parts HR/ML/KM
Initial Claim not Found Missing Parts SMU/MILES/KM
Invalid Component Code (labor lines) Missing Product HR/ML/KM
Invalid Description (miscellaneous lines) Missing Repair Date
Invalid Description Code Missing Quantity on Line
Invalid Description Code on Line No Extended Coverage for SN
Invalid Job Code (labor lines) Non-Numeric Component Code
Invalid Part Causing Failure Non-Numeric Parts HR/ML/KM
Invalid Part Causing Failure for Group Non-Numeric Quantity on Line
Invalid Part Number (parts lines) Part Causing No. Start Date/Invalid Part HR
Invalid Parts Hr/ML/KM Part Causing Not Same as Initial CLM
Invalid Product Hr/ML/KM Product Hr/ML/KM not Same as Initial Claim
Invalid Quantity on Line Product Ident. No. not Same as Initial Claim
Invalid Repair Date Repair Date 5 yrs. Past Delivery Date
Invalid RT/PRC for CD (labor lines) Repair Date not the Same as Initial CLM
Invalid use of Part Start Date/Product NIS Repair Date Out of Order
Invalid use of SP**** Part Causing on S/N TEPS Dealer not Affiliated with Repairing Dealer
Missing Description Code Turbocharger Serial No. Required in Equip SER
Missing Description Code on Line

2 01.07-11 (04/13)
 Caterpillar: Confidential Green Bulletin No. 1.07

Global Reason Codes

Special 3-Digit Claim Action Codes Single-Digit Claim Action Codes

KKK Claim Or Line Canceled By Caterpillar (1st digit)
[Internal Caterpillar Usage only on A Adjustment
Caterpillar (not dealer) created claim.] C Corrected By Caterpillar Warranty Analyst
RDR Resultant Damage - System Automatically D Dealer Error
Calculates Percentage I System Non-Allowed
SDD Claim Canceled By Non-DBS Dealer K Canceled - Claim Will Not Be Returned
S41 Claim Canceled By DBS Dealer L Adjusted By System
SDL Line Canceled By Dealer N Non-allowed
R Returned To Dealer By Analyst
S Canceled / Returned By System
U Internal Adjustment

System Generated Reason Codes

L1S Part(s) do not agree with Service Letter
L2S Labor > than Service Letter repair hours of X
L3S Travel/Vehicle/Misc exceed Service Letter limit
L4S ADJ PTS/LBR % - Based on age or HR/MI per Service Ltr
LT1 Late Claim Submission
LT9 Late Claim Submission

S01 Claim Cancelled - Product Identification No/Serial No Incorrect Or Invalid

S04 Claim Cancelled - Repair Dealer Code Not Authorized To Submit Claim For Prod.
S05 Claim Cancelled - Duplicate Claim Number.
S08 Claim Cancelled - Name/Address or Delivery Date Not In P.I.S.
S41 Cancelled - Claim Will Not Be Returned Dealer Instructions.
SE1 System Generated Dealer Error. [See page 2 for definition listing]
ST8 S/Generate-Shop Supplies Not Claimable, Included In Labor Rate Calculations.
Engine Only Reason Codes
L64 No TRG Segment Found
L65 No Detail Records Exists
L66 Duplicate Record Exists
L90 Adjusted - Labor Exceeds TRG Times

01.07-11 (04/13) 3
Bulletin No. 1.07 Caterpillar: Confidential Green

I 01 System Non-Allowed - Serial Number Incorrect Or Invalid.

K Cancelled - Serial Number Incorrect Or Invalid.
S Cancelled / Returned By System - Serial Number Incorrect Or Invalid.
S 02 Cancelled / Returned By System - Option “A” Violation.
S 03 Cancelled / Returned By System - Option “A” Dealers Cannot Claim Low Dollar Misc.
Parts.
S 04 Cancelled / Returned By System - Repair Dealer Code Not Authorized To Submit Claim
For Production.
I 05 System Non-Allowed - Duplicate Claim Number.
K Cancelled - Duplicate Claim Number.
S Cancelled / Returned By System - Duplicate Claim Number.
I 06 Returned - No Active Labor Rate is on File with Caterpillar
S 07 Cancelled / Returned By System - Problem with Related Serial Number on Transmission
Claim.
C 08 Corrected - Delivery Date Missing or Incorrect.
I System Non-Allowed - Delivery Date Missing or Incorrect.
N Non-Allowed - Delivery Date Missing or Incorrect.
R Returned - Delivery Date Missing or Incorrect.
S Cancelled / Returned By System - Delivery Date Missing or Incorrect.
C 09 Corrected - Parts Warranty Start Date Missing Or Incorrect.
D Dealer Error - Parts Warranty Start Date Missing Or Incorrect.
I System Non-Allowed - Parts Warranty Start Date Missing Or Incorrect.
N Non-Allowed - Parts Warranty Start Date Missing Or Incorrect.
R Returned - Parts Warranty Start Date Missing Or Incorrect.
U 10 Internal Adjustment - Internal Accounting Adjustment.
C 11 Corrected - Intial Dealer Code or Claim Number Missing or Incorrect
N Non-Allowed - Intial Dealer Code or Claim Number Missing or Incorrect
R Returned - Intial Dealer Code or Claim Number Missing or Incorrect
C 14 Corrected - Product SMU Incorrect
N Non-Allowed - Product SMU Incorrect
R Returned - Product SMU Incorrect
C 15 Corrected - Part SMU Incorrect
N Non-Allowed - Part SMU Incorrect
R Returned - Part SMU Incorrect
A 16 Adjustment - Incorrect Part Causing Failure.
C Corrected - Incorrect Part Causing Failure.
D Dealer Error - Incorrect Part Causing Failure.
I System Non-Allowed - Incorrect Part Causing Failure.
K Cancelled - Incorrect Part Causing Failure
N Non-Allowed - Incorrect Part Causing Failure.
R Returned - Incorrect Part Causing Failure.
A 17 Adjustment - PD/DC Code Incorrect.
C Corrected - PD/DC Code Incorrect
D Dealer Error - PD/DC Code Incorrect
I System Non-Allowed - PD/DC Code Incorrect
R Returned - PD/DC Code Incorrect
C 18 Corrected - Group Number Incorrect.
D Dealer Error - Group Number Incorrect.
I System Non-Allowed - Group Number Incorrect.
K Cancelled - Group Number Incorrect.
N Non-Allowed - Group Number Incorrect.
R Returned - Group Number Incorrect.

4 01.07-11 (04/13)
 Caterpillar: Confidential Green Bulletin No. 1.07

L 1S Adjusted by System - Part(s) Do Not Agree with Service Letter

R 20 Returned - Related Equipment Make, Cab Type Or Serial Number Missing Or Incorrect.
I 22 System Non-Allowed - Service Approver or Goodwill Code Missing/Incorrect
N Non-Allowed - Service Approver or Goodwill Code Missing/Incorrect
R Returned - Service Approver or Goodwill Code Missing/Incorrect
I 24 System Non-Allowed - Insufficient Claim Story Information.
K Cancelled - Insufficient Claim Story Information.
N Non-Allowed - Insufficient Claim Story Information.
R Returned - Insufficient Claim Story Information.
I 25 System Non-Allowed - Unit Or Part Beyond Age Or SMU Limit.
K Cancelled - Unit Or Part Beyond Age Or SMU Limit.
N Non-Allowed - Unit Or Part Beyond Age Or SMU Limit.
L 2S Adjusted by System - Labor Greater Than Service Letter Repair Hours of X
A 30 Adjustment - Part Not Covered By Cat Warranty.
I System Non-Allowed - Part Not Covered By Cat Warranty.
K Cancelled - Part Not Covered By Cat Warranty.
N Non-Allowed - Part Not Covered By Cat Warranty..
A 31 Adjustment - Part Not Covered By EPP Or ESC Program.
I System Non-Allowed - Part Not Covered By EPP Or ESC Program.
K Cancelled - Part Not Covered By EPP Or ESC Program
N Non-Allowed - Part Not Covered By EPP Or ESC Program
I 37 System Non-Allowed - More Than One Failure/Repair Claimed.
K Cancelled - More Than One Failure/Repair Claimed.
N Non-Allowed - More Than One Failure/Repair Claimed.
N 38 Non-Allowed - Serial Number Not Included In Service Letter
N 39 Non-Allowed - Service Letter Terminated Prior To Repair/Failure.
L 3S Adjusted by System - Travel/Vehicle/Misc. Exceed Service Letter Limit.
A 40 Adjustment - Duplicate Claim For This Repair.
I System Non-Allowed - Duplicate Claim For This Repair.
K Cancelled - Duplicate Claim For This Repair.
N Non-Allowed - Duplicate Claim For This Repair.
S 41 Cancelled / Returned By System - No On-Line Return Selected.
A 48 Adjustment - See Claim Story for Explanation.
C Corrected - See Claim Story For Explanation.
D Dealer Error - See Claim Story For Explanation.
I System Non-Allowed - See Claim Story For Explanation.
K Cancelled - See Claim Story For Explanation.
N Non-Allowed - See Claim Story For Explanation.
R Returned - See Claim Story For Explanation.
L 4S Adjusted By System - ADJ PTS/LBR % - Based On Age Or HR/MI Per Service Letter
A 54 Adjustment - Claim Adjusted To Content Of PIP/PSP.
C Corrected - Claim Adjusted To Content Of PIP/PSP.
I System Non-Allowed - Claim Adjusted To Content Of PIP/PSP.
N Non-Allowed - Claim Adjusted To Content Of PIP/PSP.
K 55 Cancelled - Processed Per District Goodwill
N Non-Allowed - Processed Per District Goodwill
A 59 Adjustment - Failure Result Of Foreign Material or Debris

01.07-11 (04/13) 5
Bulletin No. 1.07 Caterpillar: Confidential Green

C 60 Corrected - Repair Date Before Delivery Date. Correct to 00NIS00.

R Returned - Repair Date Before Delivery Date. Correct to 00NIS00.
A 62 Adjustment - Failure Result Of OEM Or Installer Workmanship.
K Cancelled - Failure Result Of OEM Or Installer Workmanship.
N Non-Allowed - Failure Result Of OEM Or Installer Workmanship.
A 63 Adustment - Part Causing Failure is within Specifications.
L 64 Adjusted By System - No TRG Segment Found.
L 65 Adjusted By System - No Detail Records Exist
L 66 Adjusted By System - Duplicate Record Exists
R 67 Returned - Test Results Not Documented As Required.
N 68 Non-Allowed - Parts Are Not Related To Failure/Repair.
A 69 Adjustment - Caterpillar Material/Workmanship Defect Not Established.
K Cancelled - Caterpillar Material/Workmanship Defect Not Established.
N Non-Allowed - Caterpillar Material/Workmanship Defect Not Established.
R Returned - Caterpillar Material/Workmanship Defect Not Established.
N 71 Non-Allowed - Part/Assembly/Kit Not Justified.
N 73 Non-Allowed - Part Quantity Excessive Or Duplicated.
N 74 Non-Allowed - Parts Are Reusable Or Can Be Salvaged.
A 79 Adjustment - Parts Adjusted to Most Economical Repair Option.
I System Non-Allowed - Parts Adjusted to Most Economical Repair Option.
L Adjusted By System - Parts Adjusted to Most Economical Repair Option.
N 80 Non-Allowed - Resultant Damage Parts Not Explained In Story.
I 89 System Non-Allowed - Labor Not Caterpillar Responsibility.
N Non-Allowed - Labor Not Caterpillar Responsibility.
L 90 Adjusted By System - Labor Exceeds Established/Published Labor Guide Times.
N Non-Allowed - Labor Exceeds Established/Published Labor Guide Times.
N 91 Non-Allowed - Labor Not Justified.

N 92 Non-Allowed - Labor Duplicated or Excessive.

I 93 System Non-Allowed - Predelivery Allowance Does Not Apply.
K Cancelled - Predelivery Allowance Does Not Apply.
N Non-Allowed - Predelivery Allowance Does Not Apply.
C 94 Corrected - Labor Rate Adjusted.
N 97 Non-Allowed - Not Salvage Labor.
N 98 Non-Allowed - Travel/Vehicle Expense Excessive/Not Justified.
L A1 Adjusted By System - Accept Special Quoted EPP Premium
L A3 Adjusted By System - Override Age/Hours Limits
L A8 Adjusted By System - See Claim Story for Details
L A9 Adjusted By System - Cat Extra Care Registrations Override Grief.
N B2 Non-Allowed - Submit Under PIP/PSP Refer to EPP/ESC In Claim Story.
A D1 Adujstment - Returned Part Incomplete, Damaged or Cannot be Tested.
A D2 Adjustment - Proof Of Part Return Delivery Provided.
S DD Canceled / Returned By System - Claim Cancelled On-Line By Dealership.
S DL Canceled / Returned By System - Line Cancelled On-Line By Dealership.
R DR Returned - Resultant Damage - System Automatically Calculates Percentage
R E1 Returned - System Generated Action Code
S Canceled / Returned By System - System Generated Action Code

6 01.07-11 (04/13)
 Caterpillar: Confidential Green Bulletin No. 1.07

K E2 Cancelled - At Dealer Request.

N E9 Non-Allowed - Evidence of Continued Operation, Neglect Or Abuse.
C EW Corrected - Processed to Emissions Warranty.
N F3 Non-Allowed - Claimed Hours Exceed Actual Repair Hours.
➤ R GW Returned - Please Contact Warranty Service Help Desk for Assistance.
N Non-Allowed - Please Contact Warranty Service Help Desk for Assistance.
L K3 Adjusted By System - Replacement Engine Priced At Dealer Net.
C K8 Corrected - Incorrect Labor Code (Component, Job, Modifier, Or Qty)
N Non-Allowed - Incorrect Labor Code (Component, Job, Modifier, Or Qty)
R Returned - Incorrect Labor Code (Component, Job, Modifier, Or Qty)
K KK Cancelled - Claim or Line Cancelled By Caterpillar.
R L5 Returned - Actual Repair Hours Missing or Incorrect.
N M2 Non-Allowed - Exact Location Not In Claim Story As Required.
R M5 Returned - Need Sales Record Information Updated Before Claim Processing.
E MG Special Process - Contact Geneva
N P2 Non-Allowed - ECM Report Not Uploaded To SIMS As Required.
P RO Pro-Rata Parts & Misc Exp (33.3%) Mechanically Calculates %
N S3 Non-Allowed - Tow Charges Excessive Or Not Towed To Nearest Auth Dealer.
I S4 System Non-Allowed - Travel, Mileage,Transport, Or Towing Not For Caterpillar.
N Non-Allowed - Travel, Mileage,Transport, Or Towing Not For Caterpillar.
I S5 System Non-Allowed - Miscellaneous Items Or Freight Are Not For Caterpillar.
N Non-Allowed - Miscellaneous Items Or Freight Are Not For Caterpillar.
I S7 System Non-Allowed - MISC code incorrect, see bulletin 1.27
R System Non-Allowed -MISC code incorrect, see bulletin 1.27
N S8 Non-Allowed - Items Exceed Refill Capacity.
L T1 Adjusted By System - Late Claim, See Warranty Bulletin.
N Non-Allowed -Late Claim, See Warranty Bulletin.
N T3 Non-Allowed - Expense Not Supported By Claim Comments.
N T5 Non-Allowed - Cat Analyst Request Was Not Provided In Resubmitted Claim.
I T8 System Non-Allowed - Shop Supplies Included In Labor Rate Calculations.
N Non-Allowed - Shop Supplies Included In Labor Rate Calculations.
S Canceled / Returned By System - Shop Supplies Included In Labor Rate Calculations.
A X1 Adjustment - All Parts Or Photographs Not Returned Within Allotted Time.

01.07-11 (04/13) 7
 Bulletin No. 1.07 Caterpillar: Confidential Green

➤ Caterpillar Claim System - Validation Messages

The below content outlines the messages used by the Caterpillar Claim System to verify information contained in certain claim fields. The left column includes system
messages applied to claims prior to 09 July 2012, referred to as "Legacy Cat System Message". The remaining columns identify the new message numbers, the new
Caterpillar Validation System Message seen in system prompts, and possible action steps. The new prompts are effective for Service Letter claims being submitted via
LU6.2 or Claimsi on or after 09 July 2012.

New
Legacy Cat System Message New Caterpillar Validation
Message Number System Message Possible Action Steps
SLMSG1: SERVICE 25 Part causing failure is not a valid Verify the Service Letter number entered in the part causing failure. If the Service
LETTER NOT VALID service letter. Letter number entered is incorrect, correct the information.

If the Service Letter number entered is correct, add information to the story to explain
why it's a valid Service Letter number.

If the Service Letter is aged, it may be unknown to the Caterpillar Claim System. File
the claim using the proper Service Letter number as the Part Causing Failure and add
information to the claim story noting the aged Service Letter.

SLMSG2: SER NO 17 Serial Number is not included as Verify the Serial Number is correct. If it is correct and the unit is not listed on the
INVALID FOR SERVICE eligible product for Service Letter. Service Letter, contact your Tech Rep.
LTR
If the Serial Number is listed in the published Service Letter or a previous version of
the Service Letter, include that information in the claim story.

If the Serial Number is not listed on the Service Letter and if the failure is covered
under another coverage such as Standard Warranty or Extended Service Coverages
(EPP/ESC), file the claim under the actual part causing failure.

SLMSG4: OUTSIDE OF 23 Product age is beyond the age limit Verify the delivery date is correct. If the delivery date is incorrect, submit a delivery
S/L AGE/HR/MI LIMIT for Service Letter date change request with an signed Delivery Service Record. This change needs to
be completed prior to the claim submission.

Check the Part age. If the part age is within the Service Letter limits, verify the correct
Parts Start Date has been entered. If the repair started before the termination date,
file the claim under the Service Letter number and follow additional claim instructions
such as including actual repair start date in the first line of the claim story.

If it exceeds the limits, the claim would need to be submitted using the actual part
causing failure and using another coverage type such as Standard Warranty,
Extended Service Coverages (EPP/ESC), or Parts Warranty.

SLMSG6: REPAIR DATE 21 Repair date is before service letter Verify the Service Letter issuance date and repair date on the claim.
< SL ISSUE DATE issue date.
If the repair started before the Service letter was issued, file the claim using the actual
part causing failure and another availble coverage such as Standard Warranty,
Extended Service Coverages (EPP/ESC), or applicable Service Engineer approval.

If the repair started after the Service Letter was issued, there may be an error in the
repair date currently entered in the claim.

SLMSG5: CHECK SERV 15 Check limits of Service Letter. Check to see if the part-causing failure is part of a published Service Letter. If so,
LTR PSxxxxx LIMITS verify the Service Letter criteria. If the repair fits within the criteria of the Service
letter, change the PCF to the correct Service Letter number and use the Service
Letter SMCS code in the Group Number field.
SLMSG3: REPAIR DATE 19 Service letter was terminated Verify the termination date on the Service Letter and the repair date on the claim.
> TERM DT/NOT FND before repair date.
If the repair started after termination date, the claim should be filed using the actual
part causing failure and using another available coverage such as Standard Warranty
or Extended Service Coverages (EPP/ESC).

If the repair started before the termination date, file the claim under the SL number
and follow additional claim instructions such as including the actual repair start date in
the first line of the claim story.

Bypassing System Prompts

If all the information has been verified and you feel the claim is being filed properly but the prompt continues to appear, please:
- Include "OVERRIDE" in the Comments/Finding field. This will override the system prompt and allow the claim to be submitted. CAUTION: If a claim is
received containing "OVERRIDE", the claim story must specify why the claim fulfills the published Service Letter instructions. If the claim does not meet the
published Service Letter requirements, the claim will be 100% non allowed.
or
- For additional assistance, please submit a ticket in MSCRM using the following link: https://cpidsn-ss.cat.com/GlobalWarranty_SSS.aspx

➤ Indicates change. 8 01.07-11 (04/13)

 Caterpillar: Confidential Green Bulletin No. 1.08

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Description Codes

Overview
Description Codes are used on Warranty Claims to better describe the failure/defect, or indicate a specific type
of claim.
On the following pages are charts that list all the Description (Desc.) Codes that can be used on Global Product
Service Claims. The charts are divided into general categories. Each general category has a one-position letter
code. Within each general category are two-position numeric codes that 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 one-position general
category letter code or a two-position 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 on-line Service Claim 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 Service Tool & Shop Product claims, only the two-digit numeric description codes that are identified by a (1)
in the charts can be used. For Defective Parts Stock claims, utilize the codes listed in Bulletin 4.08. For such
claims, the Desc. Code field in the claim heading is left blank. The appropriate numeric Description Code is
instead entered in the first two positions of the Comp field, on each parts expense line of the claim detail screen.
Special Description Codes are used in the Desc. Code field of the Claim Heading to indicate a specific type of
claim for:
• Commercial Goodwill
• Factory Authorization
• Product Improvement Programs (PIP)

➤ 01.08-00 (03/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.08 Caterpillar: Confidential Green

• Product Support Programs (PSP)

• Supplemental Claims
The special Description Codes for identifying these types of claims are listed on page 3.

Description Codes Description Codes

Letter Numeric Letter Numeric
Code Description Code Code Description Code
A STRUCTURAL (10) C LEAKS (17)
Broken 101 Leaks Air/Gases 161
Cracked 111 Leaks Oil/Lubricant 171
Bent or Twisted 121 Leaks Water 181
Burst, Split, or Ruptured 151 Leaks Fuel 191
Threads/Splines 211 Slobbers 67
Stripped or Failed
D FACTORY ASSEMBLY (81)
Separated 231
Fastener Loose, Missing,
Stretched or Elongated 241 Damaged, or Broken 221
Cut 251 Packaging 76
Bruised 261 Interference, Insufficient
Clearance 791
Weld Failed 27
Operation Omitted 811
Damaged Terminals 341
Oversized or Too Long 841
Weld Defective or Omitted 83
Undersized or Too Short 851
B SURFACE (02)
Too Hard or Excessive
Pitted, Spalled, or Eroded 011
Heat Treat 861
Scratched, Scored, 021
Too Soft or Too Little Heat
Burred, or Nicked
Treat 871
Rusted or Corroded 031
Out of Round, Run Out
Plating Omitted or Defective 041 Excessive 881
Rough, Dented, Chipped 051 Improper Lubrication 891
or Uneven
Improperly Machined 921
Burned, Wrinkled, 06
Incorrectly Positioned/
Blistered, Peeling
Assembled 931
Material Transfer or Pick-up 071
Damaged At or Prior To
Worn 131 Assembly 951
Seizes, Sticks, Binds 511
Seats or Fits Poorly 591
Debris or Foreign Material 621
Casting Defect (Porous, 901
Inclusions, Sand Holes)
1 Identifies the only Description Codes that can be used for Service Tool and Shop Product claims.

2 01.08-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.08

Description Codes Description Codes

Letter Numeric Letter Numeric
Code Description Code Code Description Code
E SYSTEM MALFUNCTION (99) E SYSTEM MALFUNCTION (99)
Shorted 311 Excessive Blowby 68
Open Circuit 321 No Pressure 691
Dead Cell 33 Difficult To Start 70
Overcharging 351 Wrong Cycle Time 71
Undercharging 361 Low Power 72
Software Defect Rough Operation 73
(Not An Update) 37
Overspeeds 77
Information Record 38
Concealed Damage 781
Failed Starting Load Test 41
Emissions 97
System Malfunction 42
Defect Undefined - See
Hesitates 431 Story 991
Erratic Shifts 44 H IMPROPER ADJUSTMENT (91)
Hard To Engage or J UNSATISFACTORY PAINT (06)
Disengage 45
Burned, Wrinkled, Blistered,
Battery Discharges Too Peeling 06
Quickly (Battery Powered
Vehicle Only) 46
Difficult or No Braking 47
Difficult or No Steering 48
Noisy 52
Overheating 53
Vibration, Chatters, or
Shakes 54 Special Description Codes (Type Of Claim)
Smokes Excessively 55 Letter Numeric
Code Description Code
Clogged, Plugged, or
Restricted 57 Factory Requested Work
Loose, Slips, Moves, or T Commercial Goodwill 56
Backs Off 58
Before Failure PIP/PSP
Unable To Adjust 601
Supplemental Claims
Oil Consumption Excessive 63
Additions / Corrections
Drifts 64 Supplemental 20
Pressure Too High 65 Contested Supplemental 98
Pressure Too Low 66 Z After-Failure PIP/PSP 96

1 Identifies the only Description Codes that can be used for Service Tool and Shop Product claims.

01.08-00 (03/09) 3
Bulletin No. 1.08 Caterpillar: Confidential Green

4 01.08-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.09

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Labor Reporting SMCS Codes

For Service Claims involving labor, Dealers must report labor using a coding system called the Service
Management Control System (SMCS). The SMCS Codes provide Caterpillar and Dealers with uniformity in
describing labor segments and operations involved in repairs. These codes are used in the service area to
segment the labor portion of a Work Order, and also on labor expense detail lines of a service claim.
An SMCS Code is divided into either two, three, or four separate codes. All SMCS Codes have at least two
separate codes:
• Component Code, and
• Job Code
In addition, some SMCS Codes will have one or both of the following:`
• Modifier Code, and/or
• Quantity Code
The following are examples of SMCS codes having various combinations of Component, Job, Modifier, and
Quantity Codes:

➤ 01.09-02 (08/10) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.09 Caterpillar: Confidential Green

➤ Component Codes
The Component (COMP) Code is a four-digit alphanumeric code that identifies the name of the component or
part. The Component Code is the first four digits of the SMCS Code.

Job Codes
The Job Code is a three-digit numeric code that identifies the operation performed on the component. The job
code follows the component code.

➤ Modifier Codes
The Modifier (MOD) Code is an two-digit or three-digit alphanumeric code used to further describe either the
Component Code or the Job Code.
Not all SMCS Codes have a Modifier Code. If the SMCS Code has a Modifier Code, the Modifier Code will
directly follow the Job Code.

Quantity Codes
The Quantity (QTY) Code is a single-digit alphabetic code used to define the component quantity. Not all SMCS
Codes have a Quantity Code.
If the SMCS Code has both a Modifier Code and a Quantity Code, then the Quantity Code follows the Modifier
Code.
If the SMCS Code has a Quantity Code with no Modifier Code, a blank space is left in the Modifier Code
Position, with the Quantity Code following the blank Modifier Code space.

➤ On the Web listing Of All SMCS Codes

Caterpillar publishes the labor reporting SMCS Codes on-line and in a booklet. The booklet contains the SMCS
Codes lists in various indexes: Component Codes, Job Codes, Modifier Codes, and Quantity Codes that are
available for all Cat® products. Download the booklet at https://smi.cat.com/smiweb/.
Note: When reporting labor on Service Claims, do not use Job Codes 700 thru 899. These Job Codes are for
Dealer use only and not for data entry to Caterpillar.

Use Of SMCS Codes On Claims

On Service Claims, the SMCS Component Codes listed in the SMCS Codes website must only be used for
reporting labor in the Expenses Detail section of the claim.
Note: Do not use SMCS Codes for the Group Number in the Claim Heading screen of the Service Claim unless
the failed part is not a Cat part number OR you are instructed to do so in the Warranty Guide.

➤ Labor Repair Guide

For Engines: https://warranty.cat.com/cda/layout?f=210684&m=199921&x=7
For Trucks: https://warranty.cat.com/cda/layout?f=210763&m=223482&x=7
For Machines: https://smi.cat.com/smiweb/

➤ Indicates change. 2 01.09-02 (08/10)

 Caterpillar: Confidential Green Bulletin No. 1.10

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Warranty Repair Expense Analysis

For each Dealer-sold unit, dealers should maintain a record of the repair expense participation by both
Caterpillar® and the Dealer for monitoring purposes. Dealers can record and track these expenses using an
electronic spreadsheet or a paper form such as the Warranty Analysis form illustrated on Page 3. Regardless of
the method used to track the repair expenses, the recorded information should contain the various items listed
on the Warranty Analysis form.
For each unit, the recorded information should contain the customer name, job location, job application, control
amount (service fee, if such was received, or an amount determined by Dealer), delivery date, a description of
the OEM product if applicable, and the Cat® product model and serial number including any related Caterpillar
serialized products (such as engine, winch). Each failure should be recorded in repair date order, and identified
by cause and service meter unit (SMU) reading. Properly used, the tracking of repair expenses provides the
following warranty-related references for an individual unit:
• A record of service claims filed, in SMU and repair date order.
• A record of repairs completed, including work order numbers, hours required, group and part numbers
involved and net cost for each repair.
• Dealer’s accumulated net cost to date.
The tracking of repair expenses can also be utilized for used products sold under Dealer warranty. Additional
information can be obtained by sorting repair expense analysis by customer to determine the total warranty-
related experience of the customer or job. Also, sorting repair expense analysis by product can be used to
determine the average or total repair expense by product type. Sorting by group number within product model
can identify the frequency of a given failure, or the relative warranty expense for a specific problem. For each
warranty-related problem, the following information should be recorded (as applicable):
1. Service Meter Reading (SMU): To establish the service life of the unit has been used.
2. Work Order Number (W.O. Number): The number assigned to the service repair job.
3. Repair Date: Enter the last date the product was worked on, which is the day labor was charged to the work
order or work order segment.
4. Repair Hours: All technician-hours, except for travel, required to complete the repair.
5. Travel Hours: The actual hours spent traveling to and from the repair site.

➤ 01.10-00 (03/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.10 Caterpillar: Confidential Green

6. Claim No.: The number assigned to the warranty claim.

7. Group Number: The parts book group number that contains the part causing the failure.
8. Part Number Causing Failure: The part number of the part that caused the failure.
9. Group Name: The name of the group that contains the part causing the failure.
10. Part Name: The name of the part that caused the failure.
11. Repair Description or Comments: A brief statement describing what was done to correct the problem and/
or a comment if an unusual problem was encountered.
12. Dealer Cost of Parts, Labor & Other (These costs should be reduced by the actual monetary amount of
customer participation, if any):
• Parts - For the purpose of this analysis, the Dealer net prices of parts purchased from Caterpillar should
be used. If your internal invoice reflects prices different from Dealer net, the parts total should be factored
back to Cat Dealer net price.
• Labor - This should be the total repair labor involved in the warranty repair (but not to include travel time
or transport labor) at Dealer cost. The cost figures used should be identical with those figures on record at
Caterpillar.
• Other - This category should include all other expenses, at cost, directly related to the warranty repair. This
could include such items as outside purchases at acquisition net cost, materials, parts not purchased from
Caterpillar, Caterpillar parts service charges and freight costs. Other expenses, such as loaner machines,
which may be unusual but reasonable, may also be included, at cost, in this category.
13. Claim Amount: The total amount shown in the three categories - Parts, Labor and Other - actually claimed
to Caterpillar. Use Dealer net price figures for parts cost. Dealer net figures adjusted by the 2% cash
discount and optional programs may be used, if you need the more accurate figures. Whenever any or all of
the warranty expenses are not claimed, this should be indicated by zero. The Dealer Cost figures, however,
should be determined in the same manner as explained above.
14. Factory Credit: The actual credit shown on the claim settlement notice. Any additional credit extended on
separate credit memo, but relating to the same cost, should be entered separately with adequate reference.
15. Net Cost: This is Dealer cost less factory credit for each expense category. If factory credit was greater than
Dealer cost, for any reason, the difference should be recorded within brackets to indicate negative entry.
16. Accumulated Net Cost: Add the Net Cost to the previous Accumulated Net Cost figure. It is recommended
this be a single new figure for each warranty-related repair. However, Dealer may choose to record a
cumulative figure for each of the three categories.

2 01.10-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.10

WARRANTY ANALYSIS
Model Serial No.

Customer Product

Name Control Other Equip.

Address Amount OEM

Job location

Job application Delivery Date

S.M.U. Repair hours Group No. Group Name Dealer Claim Factory Net Accumulated

W.O.No. Travel hours Pt. No. Csg. Flr. Part Name $

Repair Date Claim No. Repair Description / Cost Amount Credit Cost Net Cost
Comments

Parts

Labor

Other

Parts

Labor

Other

Parts

Labor

Other

Parts

Labor

Other

Parts

Labor

Other

Parts

Labor

Other

Parts

Labor

Other

Parts

Labor

Other

Warranty Analysis Form (01-082094)

01.10-00 (03/09) 3
Bulletin No. 1.10 Caterpillar: Confidential Green

4 01.10-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.11

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Determining Type of Coverage

Overview
This bulletin addresses how to determine the appropriate coverage for various types of products, how to identify
specific codes used to differentiate types of product applications and sales methods, how geography and the
method of product sales affects warranty reimbursement practices, and how to validate coverage by accessing
the Caterpillar® online computer system.

Identify The Product To Determine Coverage

To determine if a service repair is covered by a warranty, dealers must first identify what the product is to
determine the warranty statement that applies. Is it a power module, Cat® On-Highway Engine, Cat Marine
Engine, a Mobil-trac™ belt, a work tool, a Barber-Greene® machine, a Cat D8, etc.?

Model Series - To differentiate between various manufacturing changes of a specific machine model, Caterpillar
uses an alphabetic letter at the end of a model designation. This alphabetic letter is called the model series,
and it changes each time the model changes due to such items as features, horsepower, size, design, capacity,
etc.
Sales Application Codes - Identifies the function an engine, genset, transmission, or branded marine control is
used in. This alphabetic letter is used in determining the applicable engine warranty.
Principle Work Codes - Identify the application in which the product is used. It is a 3-digit number, each for a
specific use within a particular application.

How Product Is Sold

The amount that Caterpillar reimburses dealers for their warranty related repair expenses is directly associated
to how Caterpillar sold the product. Both the product model and the method of sale affect Caterpillar’s warranty
reimbursement practices to dealers. The method of sale is identified by a Distribution Code.

Caterpillar sells all their products through these three methods:

• Caterpillar sells directly to Cat dealers, who in turn resell the products to customers.

➤ 01.11-10 (05/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.11 Caterpillar: Confidential Green

• Caterpillar sells directly to another manufacturer, called an Original Equipment Manufacturer (OEM). The
Caterpillar component or product becomes part of that manufacturer’s product, which is then sold to their
customers.
• Caterpillar sells directly to Governmental Agencies, which can be either military or civilian agencies.

Distribution Codes
When a serialized product is sold, a Distribution Code is assigned to the product in Caterpillar’s sales reporting
system. The Distribution Code is a single-digit numeric code that identifies how the product was sold. When
viewing in SIMS, the Distribution Code is shown as Owner Class.
Distribution Codes for machine products are:
• 1 - Private
• 2 - National Government
• 3 - State or Province
• 4 - County, Township, Shire, Parish, MD, RM
• 5 - Municipal Government
• 6 - Special Authority
• 7 - Caterpillar Inc. sold to a Government Agency
• 8 - Caterpillar Inc. sold to an OEM
Distribution Codes for engine products are:
• 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)*
• W - Caterpillar office use only*

* For Electric Power or Industrial engines retail-sold that change territories and repairing dealership differs from
the selling dealership, repairing dealer should contact Caterpillar Warranty and request the distribution code be
changed to “W” in order to have OEM reimbursement terms applied.

2 01.11-10 (05/13)
 Caterpillar: Confidential Green Bulletin No. 1.11

Sales Application Codes

The Sales Application Codes are used to determine the length of the warranty period and other warranty related
factors on engines, gensets, transmissions, branded marine controls. Please see the below chart for a listing of
Sales Application Codes.

➤ Sales Application Codes

Application Code Description Definition
A Primary Drive 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.
B Pump An application in any business where the engine powers a pump.
C Compressor An application in any business where the engine powers a compressor (gas, air, freon,
etc.).
D Other Mechanical Drives A general category in any business where the engine is powering any machines excluding
pumps, compressors and vehicular drives.
E Prime Power Other than load management or quality power, any application within any business where
the engine powers an electric generator. The term prime denotes engines in regular,
planned, and everyday use as a main power source and output available with varying load.
F Standby Power 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, standby application denotes emergency power with varying load during electrical
power failures or similar crisis. This application will not have any form of Uninterrupted
Power Supply (UPS) product or system installed.
G Emergency Standby Emergency Standby Power: Other than load management or quality power, any application
Power within any business where the engine powers an electric generator. The engine usage
is sporadic and unplanned. The term, “Emergency Standby Power” denotes emergency
power with varying load during electrical power failures under the stated operational
conditions, and/or testing requirements for up to total of 200 hours per year, with an
average power output of 70% of the rating. This application will not have any form of
uninterrupted power supply (UPS) product or system installed.
H Cogeneration (CHP) Used when engine-generator system’s coolant and/or exhaust is used to increase overall
system efficiency.
J Cooling 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).
M Load Management 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 parallel with the utility. This
category would include the former code of G peak shaving.
N Continuous (Base Load) 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.
P Quality Power An application used for UPS product sales only - not to include Mission Critical Standby.

R Mission Critical Standby 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 be used for generator set applications with an uninterrupted
power (UPS) protecting critical loads such as Datacenter or Healthcare.
Q Marine POD Drive Marine propulsion system consisting of a drive shaft, upper unit (transmission), lower unit
(rotating propulsor piece), steering and control system, and propellers.
S Marine Control Cat branded (Cat brand nameplate installed) marine control system. Example; “Three60PC”
T Transmission Transmission used in any business where vehicle is not hybrid powered.
X Transmission-Hybrid Transmission used in any business where vehicle is powered by both internal combustion
and electric power source (hybrid).

01.11-10 (05/13) 3 ➤ Indicates change.

 Bulletin No. 1.11 Caterpillar: Confidential Green

Principle Work Codes

The following charts list the Principle Work Codes for engine, genset, or transmission sales information and
identifies the various Sales Application Codes which may be used with each Principle Work Code. Only the
combination of codes shown in these charts may be used.
When the dealer sales department enters the Sales Record Information online, the Principle Work Code and
Sales Application Code are entered as one complete 4-digit code with the first 3 digits being the Principle Work
Code and the 4th digit being the Sales Application Code. When viewing the sales record codes on the Service
Information Management System (SIMS) the Principle Work Code and Application Code appear separately on
the screen.
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 Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes
Fish Boat Boats used for any kind of commercial fishing to include fish factory ships. Also A11 A, B, C, D,
includes sport fish/charter boats used in revenue producing sport fishing. Non-revenue E, F
producing, recreation fishing craft should be reported in pleasure craft (A90 code).
Oceangoing Boats or ships used in carrying goods (cargo) in international waters. Includes A13 A, B, C, D,
container ships, bulk, dry cargo and tankers. E, F
Inland Waterways Same as oceangoing except travel is generally confined to inland waterways such as A14 A, B, C, D,
rivers, canals, etc. E, F
Government Boats used by government bodies like national navies, coast guards, police and A30 A, B, C, D,
revenue departments at all levels of the government. This category includes all blue- E, F
water navy, military and patrol boats.
Tug / Salvage Boats used to tow or push other vessels in harbors or open seas, and to conduct A15 A, B, C, D,
salvage operations. Not included in this category are Offshore Anchor Handling Tugs E, F
(use “Offshore Support - oil, gas, wind”), and Inland Waterway push boats (use “Inland
Waterway Cargo”)
Offshore Support Boats providing support services for the offshore oil, gas and wind, (renewable), energy A16 A, B, C, D,
Vessel (Oil, Gas, industry. Includes crew boats, workboats, supply boats, anchor handing tugs, diving E, F
Wind) support vessels, rescue vessels, derrick crane barges, pipe laying barges, survey
vessels, construction vessels, and remote operated vehicle support vessels.
Dredge Used to remove material from channels in rivers, canals, etc. A40 A, B, C, D,
E, F
Pleasure Craft Boats used for recreational use. All non-revenue producing recreational fishing craft A90 A, B, C, D, E,
belong in this category. F, S, Q
Passenger Vessel Boats used to transport people or people/automobiles. High-speed, fast ferries, A95 A, B, C, D,
together with conventional ferries, gaming, dinner cruise and sightseeing boats belong E, F
in this category.
Cruise Vessels with on-board hotel facilities A96 A, B, C, D,
E, F

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, moved to and from the site and used
for on-site well servicing.

➤ Indicates change. 4 01.11-10 (05/13)

 Caterpillar: Confidential Green Bulletin No. 1.11

➤ Petroleum Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes

Gas Well Head Engine used as a driver for gas compression collecting gas from a single well. B40 C
Gas Gathering Engine used as a driver for gas compression collecting gas from multiple wells B41 C
Gas Processing Engine used as a driver for gas compression, to aid in moving gas into, out of, or within B42 C
a processing facility.
Gas Transmission Engine used as driver for gas compression in pipeline transmission. B43 C
Gas Storage Engine used as driver for gas compression moving gas into or out of a gas storage B44 C
facility.
Gas Reinjection Engine used for reinjection of stranded or unwanted gas into a well in a gas B45 C
compression application.
Gas Lift Engine used as a driver for gas compression injecting gas into a petroleum well to B46 C
stimulate production.
Other Gas Engine used in gas compression application not described any other work codes. B47 C
Land Production Generator set used to provide electric power for gas compressor station auxiliary loads B31 E
Aux Genset in a petroleum land production application.
Land Production Generator set used to provide power for electric driven gas compressors in a petroleum B32 E
Prime Genset land production application.
Land Production Generator set used to provide emergency/standby power for gas compressor station B33 E
Standby Genset auxiliary loads in a petroleum land production application.
Land Production Engine only fire pump used in a petroleum land production application. B34 B
Fire Pump
Land Production Engines or gensets used for pumping crude or refined products through pipelines or for B50 B
Crude Oil Trans tanker loading facilities in a petroleum land production application.
Land Production Engine only used in Petroleum applications such as seismic, logging, refinery pumps, B35 B, D, E, F
Aux Eng Only water flood or disposal, etc., that do not fit the other categories in a petroleum land
production application.
Land Production Engines or gensets used for main, standby or essential power such as surface or B30 E, F, B
Power down hole pumps, camp power, field electrification, gas lift, etc. in a petroleum land
production application.
Land Drilling Engines or genset packages associated with rigs used to drill oil or gas wells in a B12 D, E, B, F
petroleum land drilling application.
Land Drill Fire Engine only land fire pump used in a petroleum land drilling application. B14 B
Pump
Offshore Engines or genset packages used as a firepump in a petroleum offshore application. B80 B
Production Fire
Pump
Offshore Crude Oil Main and auxiliary engines used for pumping crude or refined products through B85 B
Trans pipelines used in a petroleum offshore production application.
Offshore Engines or gensets used for main and essential power within production facilities in a B86 E
Production Power petroleum offshore production application.
Offshore Engines used as a crane in a petroleum offshore production application. B87 A, D
Production Crane
Offshore Prod Engines or genset packages used for emergency power in a petroleum offshore B88 F, G
Emergency Pwr production application.
Offshore Fire Pump Engines or genset packages used as a firepump in a petroleum offshore drilling B90 B
application.
Offshore Drilling Main and auxiliary engines or genset packages associated with offshore rigs used to B91 E
drill oil or gas wells in a petroleum offshore drilling application.
Offshore Engines or genset packages used for emergency power in a petroleum offshore drilling B92 F, G
Emergency Power application.
Workover Engines used for powering workover rigs in a petroleum well service application. B11 A, D
Well Service Engines used for mechanical drive or well service equipment which does not fit in other B13 D
Auxiliary categories in a petroleum well service application.

01.11-10 (05/13) 5 ➤ Indicates change.

 Bulletin No. 1.11 Caterpillar: Confidential Green

➤ Petroleum Principle Work Codes (continued)

Valid Sales
Principle Application
Description Definition Work Code Codes

Acidizing Engines used for acidizing operations in a petroleum well service application. B21 B, D

Cementing Engines used for cementing operations in a petroleum well service application. B22 B, D

Coil Tubing Engines used for coil tubing operations in a petroleum well service application. B23 B, D

Fracturing Engines used for hydraulic fracturing in a petroleum well service application. B20 B, D

Mobile Drill Rig Engines used for powering mobile drill rigs in a petroleum well service application. B24 A, D

Nitrogen/CO2 Engines used for nitrogen or CO2 pumping operations in a petroleum well service
B25 B, D
Pumping application.
Engines used for blending fracturing fluids, sand or other materials in a petroleum well
Blender B26 B, D
service application.
Engines used for mixing cement, polymers or other materials in a petroleum well
Mixer B27 B, D
service application.
Engines used for powering one or several hydraulic pumps to power well service
Hydraulic Pump B28 B, D
equipment which does not fit in other categories in a petroleum well service application.

Petroleum Transmissions: Includes select transmissions used in drilling for petroleum products and the
recovery of these products.

➤ Petroleum Transmissions Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes

Workover-Trans Transmissions used for powering workover rigs in a petroleum well service application. B51 T
Only
Well Service Transmissions used for mechanical drive or well service equipment which does not fit B53 T
Auxiliary-Trans in other categories in a petroleum well service application.
Only
Acidizing-Trans Transmissions used for acidizing operations in a petroleum well service application. B54 T
Only
Cementing-Trans Transmissions used for cementing operations in a petroleum well service application. B55 T
Only
Coil Tubing-Trans Transmissions used for coil tubing operations in a petroleum well service application. B56 T
Only
Fracturing-Trans Transmissions used for hydraulic fracturing in a petroleum well service application. B60 T
Only
Mobile Drill Rig- Transmissions used for powering mobile drill rigs in a petroleum well service B57 T
Trans Only application.
Nitrogen/CO2 Transmissions used for nitrogen or CO2 pumping operations in a petroleum well B58 T
Pumping-Trans service application.
Only
Blender-Trans Only Transmissions used for blending fracturing fluids, sand or other materials in a B59 T
petroleum well service application.
Mixer-Trans Only Transmissions used for mixing cement, polymers or other materials in a petroleum well B61 T
service application.
Hydraulic Pump- Transmissions used for powering one or several hydraulic pumps to power well service B62 T
Trans Only equipment which does not fit in other categories in a petroleum well service application.

6 01.11-10 (05/13)
 Caterpillar: Confidential Green Bulletin No. 1.11

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 Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes
Energy Utilities Electric utility, gas utility, energy services. C70 E, F, G, H, M,
Non-Nuclear N, P, R
Communications Telecom, radio / TV and cellular systems. C71 E, F, G, H, M,
Non-Datacenter N, P, R
Commercial Financial services Non-Datacenters, hotels/resorts, retail stores, warehousing or C72 E, F, G, H, M,
Business wholesale operations, commercial office buildings. N, P, R
Residential Apartment buildings, homes. C73 E, F, G, H, M,
Buildings N, P, R
Agriculture Crop / plant production, animal production, fisheries C74 E, F, G, H, M,
N, P, R
Construction Generation of electrical power for construction sites. C75 E, F, G, H, M,
N, P, R
Manufacturing Chemicals, apparel / textiles, lumber / paper / pulp, machinery, electronics, cement, C76 E, F, G, H, M,
steel, glass / plastics, food / feed. N, P, R
Public or Civil Emergency or disaster response, public transport (airports), government buildings C77 E, F, G, H, M,
Services (federal, state or municipal), water supply, waste management, military, schools. N, P, R

Leisure Event services, entertainment facilities, recreation or sports facilities. C78 E, F, G, H, M,

N, P, R
Forestry Forestry. C79 E, F, G, H, M,
N, P, R
Rental Electrical power packages given temporary possession and usage in return for the C80 E, F, G, H, M,
payment of rent or a fee. N, P, R
Mining Generation of electrical power for mines or quarries. C81 E, F, G, H, M,
N, P, R
Nuclear Generation of electrical power primarily through the use of nuclear fission. C82 E, F, G, H, M,
N, P, R
Datacenters Physical or virtual facility used to house computer systems and associated C83 E, F, G, H, M,
components. Can be found in industries including financial services, manufacturing, N, P, R
Internet Service Providers (ISPs), and healthcare.
Healthcare ( Non Facility whereby medicine is practiced regularly. Medical facilities range from small C84 E, F, G, H, M,
Datacenters) clinics and doctor’s offices to urgent care centers and hospitals. Including nursing N, P, R
homes, hospice centers, dental offices, mental health facilities, vision facilities,
and other outpatient or inpatient service facilities. Veterinarian facilities, and other
outpatient service facilities could also be within this category.
Landfill Sites for waste disposal. C85 E, F, G, H, M,
N, P, R

01.11-10 (05/13) 7 ➤ Indicates change.

Bulletin No. 1.11 Caterpillar: Confidential Green

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 Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes
Trucks Covers all intra- and inter-city trucks including dump trucks, garbage trucks, delivery, D10 A
etc. Does not include off-highway trucks.
School Buses All school bus applications. Does not include engines sold to factory OEMs that D20 A
produce trucks and school buses.
Tactical Vehicles Military vehicles having on-/off-highway capability. D30 A
Recreation Vehicles Motor homes. D40 A
Fire/Rescue Trucks Special vehicles - pumpers, ladders, crash and all types of emergency vehicles. D50 A

Yard Jockeys Vehicles used for transportation within ports, terminals and factories. D60 A
Non-School Buses All buses except school buses. Does not include engines sold to factory OEMs that D70 A
produce trucks and school buses.

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 still considered a highway
truck).

Truck Transmissions Principle Work Codes

Principle Valid Sales

Description Definition Work Code Application
Codes
Truck Transmission Covers all transmissions attached to engines in intra- and inter-city trucks including D15 T, X
dump trucks, delivery, etc. Does not include refuse trucks or off-highway trucks.
Covers all transmissions attached to engines in refuse trucks. D17 T, X

School Bus All transmissions attached to engines in school bus applications. Does not include D25 T, X
Transmission transmissions sold to factory OEMs that produce trucks and buses.
Tactical Vehicle Transmissions attached to engines in military vehicles having on-/off-highway D35 T, X
Transmission capability.
Recreation Vehicle Transmissions attached to engines in motor homes. D45 T, X
Transmissions
Fire/Rescue Trucks Transmissions attached to engines in special vehicles – pumpers, ladders, rescue, all D55 T, X
Transmissions types of emergency vehicles.

Yard Jockey Transmissions attached to engines in vehicles used for transportation within ports, D65 T, X
Transmissions terminals and factories.

Non-School Bus Transmissions attached to engines in all buses except school buses. Does not include D75 T, X
Transmissions transmissions sold to factory OEMs that produce trucks and buses.

8 01.11-10 (05/13)
 Caterpillar: Confidential Green Bulletin No. 1.11

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 Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes
Asphalt and Includes pavers, vibrators, mixers, planners, profilers, etc. K11 A, D
Concrete Paving
Equipment
Bore/Drill Rigs Bore/Drill rigs used in all types of construction (excludes mining and quarry K12 A, C, D
(Non-Mining) applications). Includes air compressor powered drills.

Compactors / All compactors including soil compactors, landfill, static and vibratory. Rollers of all K13 A, D
Rollers types including static and vibratory.
Other Mobile Construction mobile equipment (non mining or quarry) including crawlers, excavators, K14 A, D
Earthmoving graders, off-highway trucks or tractors, loaders, scrapers, backhoes, dozers, etc. The
Machines key is that the equipment is used in a construction application.
Trenchers Trenchers of all types. K15 A, D
Other Construction All other construction machinery and equipment. K16 A, B, C, D

Agriculture Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes

Ag Tractors Ag tractors including 2WD, 4WD, track type and belt type. K21 A

Combines and Combines and harvesters of all types. K22 A, D

Harvesters
Irrigation Irrigation equipment of all types. K23 A, B, D
Equipment
Sprayers Sprayers of all types. K24 A, B, D

Other Ag Other agriculture including balers, cultivators, windrowers and other self propelled or K25 A, B, C, D
stationary equipment.

Material Handling Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes

Aerial Lifts Articulated boom, boom and scissor lifts. K31 A, D

Chippers/Grinders Chippers and grinders used in non-forestry applications such as waste grinders, tire K32 A, D
(Non-Forestry) shredders, etc.

Compressors Including screw and reciprocal air compressors and gas compressors (non oil field). K33 A, C, D

Cranes All types of self-propelled and stationary cranes. K34 A, D

Crushers Crushers includes car crushers, rock crushers and soil pulverizers. K35 A, D
Dredge Land-based dredges used in the recovery of material from channels in rivers, canals, K36 A, B, C, D
etc.
Forklifts Rough terrain and standard industrial forklifts, including sea container handlers. K37 A, D
Pumps Includes concrete pumps, pressure washers, raw water waste pumps and general K38 B
industrial pumps. Should not include irrigation, fire and petroleum/oil field pumps.

Other Material Other material handling equipment as covered in above definitions. Includes snow K39 A, B, C, D
Handling groomers, other snow handling equipment, conveyors, non aircraft towing, yard
spotters and yard jockeys.

01.11-10 (05/13) 9
Bulletin No. 1.11 Caterpillar: Confidential Green

Mining Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes
Bore/Drill Rigs Machines used for mine drilling, surface mining, etc. K41 A, C, D
(Mining Only)
Shovels/Draglines Hydraulic, cable and diesel electric shovels, excavators and draglines for mining K42 A, D
applications (non construction).
Surface Hauling Off-highway trucks, scrapers and other hauling units used in surface mining. K43 A, D
Units
Underground All equipment for use in underground mining including hauling, loading, drilling, K44 A, B, C, D
Mining Equipment pumping and ventilation equipment.
Other Mining Other mining machinery/equipment such as screeners, crushers, tractors, loaders, K45 A, B, C, D
dozers and pumps (not underground).

Forestry Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes
Chippers/Grinders Chippers and grinders used in the production of wood products. K51 A, D
Feller/Bunchers Feller/bunchers of all types. K52 A, D

Harvesters Harvesters of all types. K53 A, D

Loaders / Loaders and forwarders of all types. K54 A, D
Forwarders
Skidders Skidders of all types. K55 A, D
Other Forestry All other forestry. K56 A, B, C, D

General Industrial Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes
Aircraft Support Tugs, loading equipment, baggage handling, de-icing equipment, ground power units, K61 A, D
heat and start units and utility service equipment.
Fire Pump All fire pumps except petroleum applications. K62 B
Hydraulic Power Units not originally manufactured as part of a complete machine. Intended for universal K63 A, B, C, D
Units hydraulic applications.
Lawn and Garden Commercial turf equipment, mowers, aerators, seeders, dethatchers, sod cutters and K64 A, B, C, D
utility vehicles.

Light Plants / All types of light plants / towers except EP applications. K65 D
Towers
Refrigeration / AC All types of refrigeration / AC. K66 J
Scrubbers / Municipal or commercial scrubbers or sweepers. K67 A, D
Sweepers
Welders Welders of all types. K68 A, D
Other General All other general industrial (not found in construction, ag, material handling, mining K69 A, B, C, D
Industrial or forestry) includes speciality vehicles, industrial personnel carriers, industrial utility
vehicles, ice maintenance equipment, abrasive blasting equipment, blowers, vacuums,
water sprayers, paint sprayers, stripers, tool carriers, industrial spreaders and all other
general industrial.

10 01.11-10 (05/13)
 Caterpillar: Confidential Green Bulletin No. 1.11

Locomotive Principle Work Codes

Valid Sales
Principle Application
Description Definition Work Code Codes
Locomotive Engines used to provide traction power for locomotives. Engine-driven electric L11 A, D
generators, mechanical gearboxes or hydraulic pumps for transmission of traction
power. Applications include freight, switcher/shunter, industrial and passenger
locomotives.
Rail Way Head Generator set engines or engine generator sets installed either in locomotive or L12 A, E
End Power 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.
Rail Maintenance Engines, generator set engines or generator sets installed in railway track maintenance L13 A, E
Equipment equipment. Applications include railway tie tampers, ballast cleaners / regulators, rail
grinders, track mounted cranes / swing booms and railcar movers.
Diesel Multiple Engines used primarily for passenger railcars which can be operated independently, L14 A
Units / Railcars 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.

Hertz & Fuel Type Fields

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 Distillate Diesel Fuel
• DG Digester Gas
• HF Heavy Fuel Oil
• LG Landfill Gas
• NG Natural Gas
• PR Propane

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 and 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.
• Transmissions used in hybrid powered vehicles require a special sales application code.

Validating a Coverage
When a serialized product is sold to an end user (customer), the sales information is entered into the Caterpillar
sales reporting system SCORE by a dealer by the dealer’s sales department. The Caterpillar Service Claims
System uses this sales information to determine the appropriate warranty and the type of claim reimbursement
to the dealer.

01.11-10 (05/13) 11
Bulletin No. 1.11 Caterpillar: Confidential Green

Dealers can verify the type(s) and length of coverage(s) of Caterpillar prime products that have serial numbers
online via Caterpillar’s Service Information Management System (SIMSi) and / or Corporate Claims System
(Claimsi).

SIMS Repair History

Caterpillar maintains a record of all repairs by product serial number for each prime product.
Dealers report repairs and can view a product’s repair history using SIMSi.
The Sales & Service screen contains such information as arrangement number, sales date, selling dealer,
Principle Work Code, Distribution /Owner Class Code, delivery date and the product’s service history. This is
where dealers validate the delivery date to determine when the coverage started for the product. If there is no
delivery date on a dealer sold product that is in service, contact the applicable dealership department (Sales or
Service) to have it entered.
To view complete PIP/PSP on the repair history screen click on the words “PIPs/PSPs” and a new screen will
pop up with Product Information System (PIS) Information.
To view / update the customer name and address, dealers can click on the words “Customer Name and
Address.”

12 01.11-10 (05/13)
 Caterpillar: Confidential Green Bulletin No. 1.12

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Delivery Service Record

All Products must have a Delivery Service Record completed.

The Engine/Product Delivery Service Record form can be used for Engines and Engine Products such as
Gensets, UPS, ATS, Switchgear and On-Highway Transmissions to notify Caterpillar of engine delivery and
provide information for proper administration of warranty to the engine user. Form 01- 83995 is found on the
Service Information System (SIS) at https://sis.cat.com under Service Forms. This form is to be completed by
the delivering Dealer and reported promptly to Caterpillar.
The Machine Delivery Service Record, Form 01- 085314, is found on SIS under Service Forms and is used to
notify Caterpillar of machine delivery and applicable attachments and/or work tools.
For Cat® Engines, Engine Products, Machines, Machine Products, Work Tools, Vocational On-Highway Trucks,
etc., the dealer enters the delivery date in the computer online at https://sims.cat.com, and then enters the
customer’s name and address information. For Cat Vocational On-Highway Trucks, the dealer must fill out the
miles/km/hours information into the Delivery Units field on the Customer Name and Address Screen in SIMSi.
Original copies of the Delivery Service Record must be retained in the dealer files for verification of delivery date
and for audit purposes.

Warranty Start Date / Delivery Date

Engines - All Applications
The delivery date or in-service date to the initial user is the beginning date of the warranty period. The user has
the responsibility to provide proof of the delivery date. Although it is the user’s 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 SIMSi, if previously entered in by the selling dealer or OEM.
Any documented information received from the customer that has not previously been entered into SIMSi should
be entered by the obtaining dealer. If there is a discrepancy between the customer-supplied information and
SIMSi, the discrepancy should be resolved at the time of repair.

➤ 01.12-04 (03/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.12 Caterpillar: Confidential Green

Please refer to Bulletin 3.12 for Aged Engine Inventory limitations.

Engines - Replacement Engines / On-Highway Transmissions
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 in-service date should be stamped
on the Information Plate. If proof of the delivery date cannot be found, the dealer who replaced the original
transmission may have to be contacted.
Engines - Remanufactured Engines
Remanufactured engines/on-highway transmissions have their own warranty. The in-service date should be
stamped on the Information Plate.
Do not enter the in-service date of the Remanufactured engine/on-highway transmission as the parts start date
when submitting a Warranty Claim.
Engines - 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 engines except those used for demonstration purposes.
Engines - Engines or Packaged Products in Petroleum Applications
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.
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 the first of the following occurs:
• The engines or Packaged Product on which the engines are installed are moved and set up at their first
revenue hole.
• The engines or Packaged Product have Delivery Service Inspections completed on them by a Cat dealer.
Note: If a dealer is contacted to work on a non-propulsion engine or Packaged Product on a drill rig site and
it has not been reported as being delivered, the dealer is to determine when the rig was moved to the site,
complete the Delivery Service Inspection and use this date as the delivery date of the product.
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 the first of the following occurs:
• 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.
• The engines or Packaged Product have Delivery Service Inspections completed on them by a Cat dealer.
• An engine on the product obtains 200 or more hours of operation after it is delivered to the first user.
Note: When a dealer is contacted to work on a product with an engine that has in excess of 200 hours on it and
the product has not been reported as delivered in the Caterpillar ACF2M data system, the dealer is to estimate
when the engine received 200 hours and complete the Delivery Service Inspection.
Engines - 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 Cat 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/

2 01.12-04 (03/12)
 Caterpillar: Confidential Green Bulletin No. 1.12

installation guidelines, proper start-up and confidence in the selling entity’s willingness and ability to ensure
customer satisfaction for non-warrantable failures.
Machines
The start date of the warranty period for Cat machines begins when the machine is delivered to the first user.
The delivery date is considered the date a new machine is physically transported from the dealer’s place of
business to the user’s place of business or job site, for the purpose of putting it into service. This date also
applies to machines being put into service in dealer rental fleets or machines on lease.
When a machine is unloaded at the user’s business or job site, the warranty period begins and a Delivery
Service Record form must be completed by the dealer. The date entered on the Delivery Service Record form
is the warranty start date and must be used on all subsequent warranty and service claims.
Once a delivery date/warranty start date has been established, warranty will continue without interruption for the
duration of the warranty period.
Rental Fleet - Warranty Administration - Warranty on products in the rental fleet should be administered by
the dealer’s service department in the same way as units delivered to any other initial user.
Rental Fleet - Products Sold After Use in Rental Fleet - If a machine from a dealer’s rental fleet is sold, this
used machine sale should be reported to Caterpillar via SIMSi. The warranty period, as determined from the
original Delivery Service Record, is not affected by such change of ownership, and Caterpillar will continue to
assume warranty responsibility for the remainder of the warranty period.
Caterpillar does not provide any extension of warranty to the purchaser beyond the normal expiration date. Any
extensions of warranty given beyond the normal expiration date are the total responsibility of the selling dealer.
Vocational On-Highway Trucks
The start date of the warranty period for Vocational On-Highway trucks begins when the product is delivered
to the first user. In addition to SCORE, the delivering dealer must also enter the miles/km information into the
Delivery Units field on the Customer Name and Address Screen in SIMSi.
➤ Branded Marine Controls (Cat brand nameplate installed)
The warranty term begins at delivery date, in-service date or commission date to the first user. For new branded
marine controls (Cat brand nameplate installed) that are delivered in conjunction with a new Caterpillar marine
engine, the delivery date (warranty start) is intended to be the same as for the new engine.

➤ Delivery Exceptions
Commercial / Industrial Engines
There is a maximum service hour limitation allowed before an engine product is considered delivered. This
is for engine products in industrial, marine, (including branded marine controls), petroleum, Locomotive,
EPG applications (including Generators, UPS, ATS and SwitchGear serialized components) 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 Cat Dealer.
In these instances, 200 hours is the maximum amount of service allowed before the product is considered
delivered, a Delivery Service Record is required to be filled out and the warranty period started. Refer to the
below All Products sub-section for reporting information.
For engines used in the Petroleum Industry but not delivered, the warranty start may also be determined as
follows:
• For engines on drill rigs in the Self-Propelled category, the warranty period starts when the drill rig or drill
ship first begin using the propulsion system or obtains 1,000 Total SMU hours, whichever comes first.

01.12-04 (03/12) 3 ➤ Indicates change.

Bulletin No. 1.12 Caterpillar: Confidential Green

• For engines on Non-Propelled Offshore or Land Rigs, the warranty period starts when the rig begin
operation on the first revenue hole or obtains 1,000 Total SMU hours, whichever comes first.
On-Highway Engines and Transmissions
On engines/on-highway transmissions can accumulate usage in 3 ways as follows: 1) driving the vehicle from
the factory to the dealer, or 2) driving the vehicle to and from an outfitter for special attachments, or 3) by
being used strictly for demonstration purposes by the OEM and/or dealer. For demonstrations, the warranty
period starts at the time of the first demonstration. This warranty start date should be entered into SIMSi as the
delivery date. The initial user in this case is the OEM or dealer (such as a garbage packer or street sweeper
traveling from city to city with the intent of generating orders for similar business).
For engines/on-highway transmissions powering vehicles, the warranty period starts on/before the following
limits:
• For Mid-Range On-Highway Vehicle Engines / On-Highway Transmissions (3116, 3126, 3208, C7) -
5,000 miles (8,047 km).
• For Heavy Duty On-Highway Vehicle Engines / On-Highway Transmissions ( C-9/10.3 liter thru 18.1
liter) - 10,000 miles (16,093 km).
At delivery to the initial user, units may have accumulated miles/km/hours that is within the limits listed above.
In such cases, the delivering dealer should enter the miles/km/hours information into the Delivery Units field on
the Customer Name and Address Screen in SIMSi.
Should the limits listed be exceeded before delivery to the initial user, refer to the “All Products” sub-section
below.
Machines
For machines delivered and not put into immediate service, the machine may be operated on a limited basis for
up to 100 hours without affecting the warranty start date.
Once the machine reaches 100 hours of operation, a Delivery Service Report form must be completed by the
dealer and reported to Caterpillar per the instructions in the below All Products sub-section. This action by the
dealer will start the warranty period on the machine.
In cases where a machine is sold and transported to a user’s business or job site for a purpose other than
being put into service, the delivery date/warranty start date may be delayed. To do this, the customer and the
dealer must agree upon a specified date for the completion of delivery, and the customer must agree to properly
maintain store and not use the machine until that time. Since delayed delivery depends on product usage, the
dealer is responsible for completing the delivery by the agreed-to date and verifying that the machine has not
been used prior to that date. The agreed-to date becomes the warranty start date and must be used on all
subsequent warranty and service claims.
Vocational On-Highway Truck
For product delivered and not put into immediate service, the vocational on-highway truck may be operated on a
limited basis for up to 6,500 miles/10,461km.
Once the truck reaches 6,500 miles /10,461 km of operation, a Delivery Service Report form must be completed
by the dealer and reported to Caterpillar per the instructions in the below All Products sub-section. Additionally,
the delivering dealer should enter the miles/km/hours information into the Delivery Units field on the Customer
Name and Address Screen in SIMSi. .
These actions by the dealer will start the warranty period on the truck.
All Products
Engine Products reaching the above hour limitations must be placed into service to the dealer by using
Caterpillar’s sales reporting system SCORE. Dealers may elect to sell the product as new and utilize Rental
with Purchase option Sale Type 3 to SCORE the product, and then utilize Convert To Final Sale when the
product is sold to the end customer. Products sold as new must receive the full Caterpillar Standard Warranty;

4 01.12-04 (03/12)
 Caterpillar: Confidential Green Bulletin No. 1.12

Caterpillar will only participate for the remainder of warranty left from the original Delivery Date (unless, a
Delivery Date Change Request is approved).
Machine and Vocational On-Highway Truck Products reaching the above hour/mi/km limitations must be sold to
the dealer, and placed into service by using the SCORE sales reporting system. Any additional sales on these
products should be as used product.
Documentation to validate when a product reached/exceeded the hour/mi/km limitation is required. For dealers
that fail to provide documentation, Caterpillar will utilize a formula to calculate a delivery date based upon
current product hours/mi/km and enter that date into the Caterpillar systems. The formulas are as follows:
• Machines and Commercial and Industrial Engines - 100 hrs / month of usage.
• On-Highway Vehicle Mid-Range Engines (3116, 3126, 3208) - 250 miles (400km) for each day of service
since the delivery date to the initial user.
• On-Highway Vehicle Heavy Duty Engines (3176, C-9, C10, C-12, C-15, C-16, 3306, 3406, etc.) - 400
miles (640km) for each day of service since the delivery date to the initial user.

Submitting Delivery Service Record Information

The Delivery Service Record form is used to document the date of product delivery to the first user for starting
the warranty period. The document needs to be signed by the customer to start the warranty clock. If the unit is
a rental, the dealership signs the form. The following are the 2 options dealers have for submitting the Delivery
Service Record form information to Caterpillar:
• By electronically entering the information into Caterpillar’s sales reporting system (SCORE),
or
• By electronically entering the information into SIMSi.
Dealer’s must retain on file a copy of the Delivery Service Record for verification, if requested by Caterpillar.

01.12-04 (03/12) 5
Bulletin No. 1.12 Caterpillar: Confidential Green

6 01.12-04 (03/12)
 Caterpillar: Confidential Green Bulletin No. 1.13

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Claim Types and

Time Limits For Submitting Service Claims
➤ Overview
This bulletin covers Caterpillar® Standard Warranty, Extended Service Coverage (EPP/ESC), Service Letter*
Returned Claims, Supplemental Claims, and Cancelled Claims, while providing the policy information for time
limits applicable to service claims (new, returned, supplemental and cancelled claims).
*Some exceptions apply such as JLG, Bitelli, Olympian, etc.

Returned Claims
A returned claim is not a claim dealers create; returned claims are dealer claims that are returned by Warranty
Analysts for additional information and/or corrections.
Effective 01Nov10, Claims Analysts will return claims with some (header / control) problems such as:
• Part Causing Failure
• Group number
• Part Hours / Miles / Kilometers
• Product Hours / Miles / Kilometers
• Parts Start Date
Once the dealer has corrected the claim and/or attached the required additional documentation, they must
resubmit the claim to Caterpillar for final processing.
Dealers should view and process their returned claims daily / frequently, using the Dealer Index screen in
Claimsi.
Dealers have 14 days from date of return to correct and resubmit the claim.
Claims that are not resubmitted within the 14 day time period will find the claim automatically cancelled by the
system and the following rules will apply:
• For cancelled original / supplemental claims, dealers may submit a new claim as long as the claim is within
60 days of last labor.

➤ 01.13-06 (03/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.13 Caterpillar: Confidential Green

• For cancelled contested claims, new contested claims may be submitted within 30 days of last settlement.
Cancelled claims cannot be contested, as no monetary transaction occurred.

➤ Supplemental Claims
Supplemental Claims are used by dealers to request Caterpillar® consideration for omitted (PD 20) or non-
allowed expenses (PD 98) on previously processed claims.
There are two types of Supplemental Claims:
• Contested Supplementals (PD 98) - are used when dealers want to contest non-allowed claims or non-
allowed individual expenses on their original claim. For these claims, a “98” should be entered in the
Description Code field of the Claim Heading screen.
Note: Contested claims should have no changes to the Control Page, other than PD 98 and the dealer
claim number. The claim is filed to contest previous settlement and can include only changes/additions to
the Claim Story and/or additional documentation (ECM download, invoice/documents, etc.) added to SIMSi
(Service Images).
Previously unclaimed items should not be added to the claim, nor corrections to previously incorrectly
filed items are allowed. Additional items and corrections need to be filed using the additions / corrections
supplemental OR, where applicable, as a new claim.
• Additions / Corrections Supplementals (PD 20) - are used when dealers want to make expense
corrections or additions that were inadvertently omitted by the dealer on their original. For these claims, a
“20” should be entered in the Description Code field of the Claim Heading screen.
Note: Supplemental (PD 20) claims should have no changes to the Control Page, other than PD 20 and
the dealer claim number.
NOTE: If any field on the Control Page requires a change from the original claim, a NEW claim must be filed.
The Description Code is used to differentiate between the two types of Supplemental Claims.
Requests for omitted or non-allowed expenses will only be considered by Caterpillar after a Service Claim
Settlement Notice on the original claim has been issued. When submitting supplemental claims, dealers cannot
duplicate expenses that Caterpillar allowed for reimbursement on the original claim.
Supplemental Claims must be received by Caterpillar within 60 days of the Repair Date (last day of labor) shown
on the claim. Contested claims must be received within 30 days of the Settlement Notice date of the original
claim. Late claims will not be accepted unless prior authorization is given. Refer to page 3, of this bulletin, for
additional information.
Note: Do not submit supplementals (PD 20 or 98) that are linked to cancelled claims or returned claims that
have been cancelled after 14 days in the Grief-Hold File. A NEW claim must be filed.

Cancelled Claims
Cancelling a claim means the claim has been voided. However, a copy of the cancelled claim remains in the
Caterpillar Service Claim System, even though there is no monetary transaction between Caterpillar and the
dealer.
A claim can be cancelled for various reasons by both Caterpillar or the dealer:
• Dealer Request - A dealer may request a claim to be cancelled because the claim was not complete.
• System Process - The Caterpillar Service Claims System cancels a claim when:
® Specific information does not meet the system edit guidelines to process. An example of this would be
an incorrect product serial number, or
® It is a returned claim that exceeds the 14-day dealer processing limit in the online Grief-Hold File.

2 01.13-06 (03/13)
 Caterpillar: Confidential Green Bulletin No. 1.13

• Warranty Analyst - A Warranty Analyst may cancel a claim if the claim information provided cannot be fully
evaluated for processing.
To resubmit a cancelled claim, dealers must rekey all claim field data. For resubmitted cancelled claims, dealers
can use the same Dealer Claim Number that was used on the cancelled claim. Dealers should re-enter the
claim making corrections and/or adding additional information where necessary. A cancelled claim cannot have
supplemental (PD 20 or 98) claims filed against the cancelled claim. A new Caterpillar® Standard Warranty,
Extended Service Coverage / Equipment Protection Plan, or Service Letter claim must be filed.

Time Limits
Service and Addition / Correction Supplemental Claims must be received by Caterpillar within 60 days of the
Repair Date (last day of labor) shown on the claim. Contested Supplemental claims must be received within
30 days of the Settlement Notice date of the original claim. Late claims will not be accepted unless prior
authorization is given.
To accommodate changes in time limit requirements in policy and practice, the following schedule is being adopted:

➤ Service Claims Time Limits

Region Claims Time Limit

Effective 01Nov10
All Dealers Service & Addition/Correction Supplemental Claims 60 days*
World Wide Contested Supplemental Claims 30 days
Returned Claims Resubmittal 14 days
* Parts Return Request (PRR) claim (freight charges only) have the time limit of 60 days from the date of
return/shipment of the part(s), per Bulletin 4.02. Any associated claim(s) involving a PRR remains under
standard claim time limits.

Exception Policy: To request a compelling exception, dealers should contact their local District Office Service
Operations Representative.
• A claim will not be accepted for a repair outside of 365 days.
Parts Return Request (PRR) Claims: Please refer to bulletin 4.02 for all PRR related information.

➤ Late Claim Information

Late claims are categorized in two ways:
1. Caterpillar caused late claims & Americas North EPP Machine Claims
2. Compelling dealer business reason
Note:
• Late claims can only be considered for Caterpillar Warranty claims. It does not apply to products like
JLG, Bitelli, Olympian, etc.
• Late claims considered cannot exceed 365 days from last labor.
• Authorized late claim exception requests only allows the claim to bypass the time limit rules in the
Caterpillar Service Claims System. The claim will be processed according to the merits and
information contained within the claim.
Caterpillar Caused Late Claims & Americas North EPP Machines – Global Warranty
Examples of these include delivery dates, serial number issues, other system-related types of issues. These
are situations where the dealer has tried to resolve the error in a timely manner, but by the time the situation is
corrected, it pushes the claim age past the 60-day claim time limit.

01.13-06 (03/13) 3 ➤ Indicates change.

Bulletin No. 1.13 Caterpillar: Confidential Green

• Americas North EPP Machines claim situations must be reviewed by a licensed adjustor and
should be sent to Global Warranty for review via the MSCRM tool, accessed using the following link:
https://cpidsn-ss.cat.com/GlobalWarranty_SSS.aspx.
• In these cases, the dealer will need to send a late claim request via the MSCRM link to Global
Warranty. If the late claim exception is authorized, Global Warranty will provide a Service Approver
Code and a late claim authorization number. The Service Approver Code must be added to the
control page of the claim. The late claim authorization number must be added to the
Findings / Comment field.
Compelling Dealer Business Reasons – Service Operations Rep Authorized
The Service Operations Rep (SOR) is responsible for authorizing late claim exception requests for compelling
dealer business reasons.
If the exception request is authorized, the SOR will provide the dealer with the Service Approver Code that
must be included in the Service Approver Code field of the claim. If the Service Approver Code is not used,
the claim will be automatically denied. The dealer then submits the valid claim following other normal claiming
requirements. The claim is then processed on its own merits.
When the dealer submits the claim with the appropriate approver code, the claim will be accepted into
the Caterpillar Service Claims System. The claim will be directed to the appropriate Warranty Analyst for
adjudication.
Escalation Requests
Any situation needing escalation should be handled within the District Office.
Likewise, should a Caterpillar caused Late Claim or Americas North EPP Machine request require escalation,
the requests should be managed through Global Warranty via MSCRM Link.

4 01.13-06 (03/13)
 Caterpillar: Confidential Green Bulletin No. 1.14

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Caterpillar® Owned Product

Caterpillar® owned products are not covered by any warranty. These products include but are not limited to; field-
follow, loan, demonstration, and Caterpillar Mining Solutions owned products (such as Command for Hauling) that
may be installed on customer owned machines. Caterpillar owned products may be assigned to an individual
Caterpillar loan or warehouse account. Before making any repairs to Caterpillar owned products, dealers must
obtain approval from Caterpillar. There may be a sticker attached to the product that indicates the Caterpillar
department to notify for authorization to make needed repairs.
Dealer reimbursement for repair expenses on these products will be handled by either a revenue invoice or a
factory authorization service claim, depending on instructions from the authorizing Caterpillar department. Dealers
must keep on file all pertinent information about the repair, including the name and phone number of the Caterpillar
person who authorized the repair, and the purpose of the repair.

➤   01.14-01 (07/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.14 Caterpillar: Confidential Green

2 01.14-01 (07/12)
 Caterpillar: Confidential Green Bulletin No. 1.15

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Repair vs. Replacement of Parts, Major

Components, Engines and Reman
Overview
The following are guidelines Dealers should use for determining whether to repair or replace the part,
component or engine at issue with a new or remanufactured option.

Most Economical Repair

Dealers are to perform the most economical repair when it applies. The following guidelines and worksheets
detail requirements.
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 an engine block
by installing cylinder sleeves.
Replacement - When replacement of a part, assembled component or serialized component (e.g. engines,
transmissions) is less costly than repairing, Dealers can replace it. The forms on pages 4 and 5 can be used by
Dealers to calculate repair versus replacement costs.
When individual parts of an assembly are not serviced (e.g. fuel injection nozzles or oil cooler cores), the
complete assembly should be replaced with a Remanufactured assembled component.
When a water pump, turbocharger cartridge, fuel transfer pump, air compressor or Cat® 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. Note: 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.
Engine starters and alternators should always be replaced rather than repaired.
For situations that justify replacement with a new serialized, non-serialized or a Remanufactured major
component, where it would have been cheaper to repair the component, the Dealer must provide justification in
the claim story, and if applicable include the name of the Caterpillar® personnel that were consulted.

➤ 01.15-02 (10/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.15 Caterpillar: Confidential Green

Examples that may qualify for such consideration include: Low product age / hours / miles / kilometers,
excessive downtime or unavailability of repair parts or Remanufactured unit.
Repair vs. Replace Cost Comparison - The Repair vs. Replace Form should be printed, filled in and kept
on file. The Engine version of the form is a downloadable spreadsheet that can be utilized to complete the
calculations; either the electronic or printed version of the completed form should be kept on file. The Engine,
Power Module and Equipment Repair vs. Replace Forms are available online at
https://warranty.cat.com/wtyforms. The appropriate form must be used as a guide when making repair or
replace decisions and must be kept on file with other repair documentation and be made available to a
Caterpillar Warranty Analyst, if requested.

NOTICE
For engines, refer to the Time Requirement Guide for labor times.

Engine Replacement (NERO) - Americas North Only

If a complete engine and/or generator is replaced (NERO), then the appropriate fees and credits associated with
NERO engines and/or generator should be included in the calculation of the repair vs. replacement decision.
Refer to Bulletin 3.01 for additional information.

➤ Usage of Reman
When replacement of a part or component is required and it is determined that a Reman part / component is
the most economical means of repair and is offered for availability, the Reman part / component is to be utilized
in the repair. For repairs involving Remanufactured major components, a complete Remanufactured major
component must always be used to satisfy a Remanufactured Product Warranty.
• In countries where use of Reman parts is prohibited, it is acceptable to use New Parts instead of
Reman parts. The approved countries with this exeption are validated by Cat Reman.

Claiming Practices Involving Remanufactured Major Components

The following claim field information is required, for all major component service claims (standard or extended
coverage) that involve Remanufactured components, either:
• Repair of a Remanufactured component, or
• The replacement of a failed new or Remanufactured component with a Remanufactured component.
The following are the major component categories that apply:
• Engines
• Generators
• Transmissions
• Torque Converters
• Steering Clutch & Brake Groups
• Final Drive or Wheel Groups
Product ID / Serial Number - enter the machine (Prime Product) serial number, 99Z00015 if in competitive
equipment, engine serial number for engine (Prime Product) or Remanufactured serial number for
Remanufactured engine (Prime Product).
Related Equipment (Machine claims only) - enter the following in the related equipment fields:
• OEM / Make - leave this field blank.

➤ Indicates change. 2 01.15-02 (10/12)

 Caterpillar: Confidential Green Bulletin No. 1.15

• Cab Type - enter the letters “RM,” which indicates Remanufactured.

• Model / Serial Number - enter the Remanufactured Component serial number.
Product Hr/Mi/Km (Engines/Generators) - For a customer-purchased Remanufactured engine/generator enter
the number of hours/miles/kilometers on the Remanufactured engine/generator, not the total vehicle numbers.
Customer Credit % (Engines) - enter 100 for Parts and number entered for Labor as follows: 0 for industrial
engines or 100 for marine engines and TEPS Dealers/AMDs sold Remanufactured engines.
Claim Story (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, include the sales method in the Claims
Story in order to receive the appropriate Warranty.
Note (All Products): If a major component is replaced with a Remanufactured replacement component, the
Dealer must enter a Sims entry and update product configuration in Caterpillar Systems with the remanufactured
replacement component serial number.

01.15-02 (10/12) 3
Bulletin No. 1.15 Caterpillar: Confidential Green

Engine Repair vs Replace Worksheet

4 01.15-02 (10/12)
 Caterpillar: Confidential Green Bulletin No. 1.15

Machine Repair vs Replace Worksheets

Repair Vs Replacement Cost Comparison Calculations

For Power Modules (except Cat Elphinstone Product)

Repair or Replace
Parts At C/L $___________ New Component At C/L $___________
Additional Parts At C/L $___________
Repair Labor At C/L
Hours at $ /Hour = $___________ R&I Labor At C/L
Hours at $ /Hour = $___________
R&I Labor At C/L
Hours at $ /Hour = $___________ Modification Labor At C/L
Hours at $ /Hour = $___________

Other Expenses $___________ Other Expenses $___________

____________ ____________

Repair Estimate $___________ Replace Estimate $___________

Repair Vs Replacement Cost Comparison Calculations

For Dealer Sold Equipment Product

Repair or Replace
Parts At D/N $___________ New Component At D/N $___________
Additional Parts At D/N $___________
Salvage Labor At D/N
Hours at $ /Hour = $___________ R&I Labor At D/N
Hours at $ /Hour = $___________
Repair Labor At D/N
Hours at $ /Hour = $___________ Modification Labor At D/N
Hours at $ /Hour = $___________

Other Expenses $___________ Other Expenses $___________

____________ ____________

Total Repair Estimate $___________ Total Replace Estimate $___________

01.15-02 (10/12) 5
Bulletin No. 1.15 Caterpillar: Confidential Green

6 01.15-02 (10/12)
 Caterpillar: Confidential Green Bulletin No. 1.16

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Service Letters

Overview
Product Improvement Programs (PIPs) and Product Support Programs (PSPs) are programs issued by
Caterpillar via Caterpillar® Service Letters. PIPs are mandatory programs issued to repair or replace parts
or assembled components. PSPs are programs used to provide customers and dealers additional warranty
support on product that is typically beyond the standard warranty period for known product problems.
There are currently three types of PIPs and two types of PSPs:
• Safety PIPs
• Priority PIPs
• Parts Stock or Dealer Tool PIPs
• Before or After Failure PSPs
• After Failure Only PSPs
Service Letters are available to dealers via the Service Information System (SIS).
The terms and conditions of the Service Letter are listed in a standardized Service Letter format.

NOTICE
Service Letters should not be copied or provided to customers. These documents are for dealer internal
use only.

NOTICE
Containment PSPs identified with program numbers PS6 - - - - and PS9 - - - - are not covered by this
bulletin. See your Caterpillar Tech Rep for administration details.

➤ 01.16-06 (03/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.16 Caterpillar: Confidential Green

PIPs
For Safety and Priority PIPs, Caterpillar or Cat® dealer sends a notice to the customer (end user) informing them
of the product problem.
Safety PIPs are programs established to eliminate a suspected safety hazard. Dealers must give Safety
PIPs immediate attention by performing the PIP repair as soon as possible. A Safety PIP has no termination
date. They remain valid indefinitely.
Priority PIPs are programs established to eliminate future potentially costly repairs and/or meet regulatory
requirements. A Priority PIP will have a Completion Date and a Termination Date.
• Completion Date - For all Priority PIPs (except Parts Stock/Dealer Tool) the completion date is the last
day of the month, 6 months after the issue date of the Service Letter. If a dealer starts a Priority PIP on
or before the completion date, Caterpillar will reimburse the dealer for the parts and labor specified in the
Priority PIP Service Letter. Plus, Caterpillar will also reimburse the dealer for justified resultant damage
parts and labor.
• Termination Date - For all Priority PIPs (except Parts Stock/Dealer Tool) the termination date is last
day of the month, 12 months after the issue date of the Service Letter. If a dealer starts a Priority PIP
after the completion date, but on or before the termination date, Caterpillar’s reimbursement to the dealer
will be limited to the parts and labor specified in the Priority PIP Service Letter. It will not include
reimbursement for resultant damage.

Parts Stock / Dealer Tool PIPs are programs established to remove suspected improper parts stock
or dealer tool stock from a dealer’s parts inventory. Service Letters for Parts Stock and Dealer Tool PIPs will
indicate what the dealer is to do with the parts or tools. They will instruct dealers to either scrap, salvage or
return the parts or tools to Caterpillar.
• Termination Date - The Termination Date for all Parts Stock and Dealer Tool PIPs is the last day of the
month, 3 months after the issue date of the Service Letter.

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 Cat dealer for replacement.
Parts Stock/Dealer Tool PIPs that involve salvage labor are also handled in the same manner. The Cat dealer
will be reimbursed for the exchanged parts/tools or salvage labor by submitting a Parts Stock/Dealer Tool PIP
Service Claim.

➤ PSPs
A PSP may provide only partial repair expense participation by Caterpillar, since the customer has already
received part of the intended value of the product. In such cases, the remainder of the PSP repair costs are
typically shared between the dealer and the customer, in accordance with a suggested amount published in the
announcing Service Letter. Refer to Illustration 4 on page 21 for an example of a typical allowance listing.
If dealers intend to seek any form of reimbursement for a repair that is described in a PSP, performing the PSP
is to be considered a requirement. (Excluding containment PSPs with PS6 or PS9 program numbers; which are
not covered by this bulletin.) Any claim for the reimbursement must be filed against the PSP. Applicable PSPs
must be performed and claimed in order to receive consideration for available EPP or ESC coverage that may
be applied to prorated expenses shown in the PSP allowance table as customer or dealer responsibility. For
after failure repairs to units still in standard warranty term, PSPs are intended to provide reimbursement at least
equal to what would be provided under standard warranty coverage.
A PSP may be a Limited Distribution program. Access to Limited Distribution Letters is limited to the declaring
dealers for specific units included in the program.
Before or After Failure PSPs allow dealers to perform the PSP repair prior to a failure of the identified
PSP problem, or at the time a failure occurs because of the PSP problem. Completion of before failure repairs
is based on dealer assessment of impact and requirements of specific customers. PSPs are not intended for
general, pro-active campaign of before failure repair, such as PIPs would be.

➤ Indicates change. 2 01.16-06 (03/12)

 Caterpillar: Confidential Green Bulletin No. 1.16

After Failure Only PSPs allow dealers to only perform the PSP repair at the time a failure occurs, which
was caused by the identified PSP problem.

➤ Service Letter Reference Numbers

All Service Letters have a reference number located on the right side of the title page below the description of
the program and affected product. The reference number contains an alpha prefix of “PI” for PIPs or “PS” for
PSPs which is then followed by either a 4-digit or 5-digit number. The first numeric digit indicates the type of
Service Letter, in accordance with the following:
• Safety PIP numbers begin with 1. For example, PI10000.
• Priority PIP numbers begin with a 3. For example, PI30000
• Parts Stock and Dealer Tool PIP numbers begin with a 7. For example, PI70000
• Before Or After-Failure PSP numeric digits begin with either a 4 or 8. For example, PS40000 or PS80000.
• After-Failure Only PSP numeric digits begin with either a 0 or 5. For example, PS00000 or PS50000.
• Containment After Only PSP numeric digits begin with 6. For example, PS60000. These programs are
not covered by this bulletin.
• Containment Before or After-Failure PSP numeric digits begin with 9. For example, PS90000. These
programs are not covered by this bulletin.

The Service Letter reference number is used to identify the specific Service Letter when submitting a service
claim for dealer reimbursement of repair expenses.

Service Letter Content

The following identifies the various informational items / segments included in all Service Letters, with a
description of each:
• 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 orange-red stripe. The specific program can only be applied to repairs that
have a repair date that is on or after the Service Letter Date. Caterpillar will not announce its intention to
issue a service letter or authorize repairs in advance of a service letter program being released.
• Mail Codes - on the first page directly under the Service Letter Date are various mail codes. These mail
codes indicate which dealers worldwide are to receive the specific Service Letter and provide a method for
dealers to verify that they have received all applicable Service Letters (PIPs and PSPs).
Example: U-141
Active Codes Non-Active Codes
A = Mid & South American dealers B = Brazil (replaced with A)
D = Asian & Pacific dealers C = Canada (Replaced with U)
O = EAME & CIS dealers E = CFEL (Caterpillar Far East Limited) (replaced with S then D)
TA = Mobil-Ag TEPS dealers H = Chinese dealers (code replaced with D)
TM = Marine MEPS dealers S = CAPL dealers (code replaced with D)
TT = Truck TEPS dealers AU = Australian dealers (code replaced with D)
U = U.S. & Canadian dealers

The alphabetic code before the hyphen indicates the affected Cat® dealers by geographic region, or type of
2nd-level dealer. The following is a complete list of these codes:
In the example U-141, the letter “U” indicates U.S. & Canadian Cat dealers, and the number “141”
indicates the Service Letter is the 141st PIP/PSP Service Letter for U.S. and Canadian Cat dealers in that
calendar year.
Note: Mail Codes are replaced with specific Dealer Codes in Limited Distribution Service Letters

01.16-05 (03/12) 3 ➤ Indicates change.

 Bulletin No. 1.16 Caterpillar: Confidential Green

• Title - located across the top of the first page, the title is a description of the program and product affected.
• Type Of PIP / PSP Logo - located directly to the left of the title is a PIP / PSP Logo with a black
background and white lettering that indicates the type of PIP /PSP (Priority, Safety, Parts Stock Action
Only, Parts Stock Action Required, Dealer Tool, Before or After Failure, After Failure only or Limited
Distribution).
• SMCS Component Code - located directly below the Service Letter title on the left side of the first page is
the Component Code(s) of the product part or component that is affected.
• Service Letter Reference Number - located directly below the Service Letter title on the right side on the
first page. The Service Letter Reference Number contains an alpha prefix of either “PI” for PIPs or “PS” for
PSPs followed by a four-digit or five-digit number.
• Notes - located on the first page, the Notes indicate when dealers can administer the Service Letter and
also state the claim reporting codes that dealers are to use.
For Service Letters that have been revised, an additional Note will also be included. The Note will indicate
that the Service Letter replaces a former Service Letter and will also indicate which areas of the Service
Letter have been changed.
• Completion Date (applicable only for Priority PIPs) - located on the first page, this date is the last day
Caterpillar will participate in resultant damage due to a failure described in the Priority PIP.
• Termination Date (not applicable for Safety PIPs) - located on the first page, this date is the last date of
repair for which Caterpillar will participate in the cost of the program.
• Problem - an explanation of the technical problem, and, when applicable, a description of the
improvements. For Parts Stock & Dealer Tool PIPs, the product applications may also be listed.
• Affected Product (not applicable for Parts Stock & Dealer Tool PIPs) - list of the models and serial
numbers of the affected product. If a product serial number is not listed, then it is not covered by the
Service Letter.
➤ • Parts Needed - lists the parts needed and authorized for replacement. If a failure has occurred, there may
be additional parts claimed due to resultant damage.
• New parts listed in the Service Letter are not to be substituted with Reman parts. Reman parts may
be used only if included in the Parts Needed list or to repair after failure Resultant Damage that is not
part of the specified Service Letter repair.
• In countries where use of Reman parts is prohibited, it is acceptable to use New Parts instead of the
listed Reman parts.
• Fluids specified by part number (packaged quantity) in the Parts Needed list may be substituted
by use of appropriate bulk packaged fluid and claimed as a miscellaneous item using appropriate
miscellaneous expense codes. Reference bulletins 1.02 and 1.27.
• Action Required - lists the steps necessary to carry out the program. It includes procedures, technical
instructions, warnings, tools, etc. Also, when applicable, it can include a statement on instructions for parts
stock removal.
• Owner Notification (applicable only for Priority & Safety PIPs) - contains the following statement, “...
owners will receive the attached owner notification.” A copy of the Owner Notification Letter sent by
Caterpillar or Cat dealers to all affected owners is attached at the end of the PIP Service Letter.
• Service Claim Allowances - is a chart listing the amount of parts and labor participation by Caterpillar,
and if applicable, participation by the dealer and/or customer. PSP Service Letters typically have prorated
participation based on product age and/or hours. PIPs typically have 100% Caterpillar participation, with
no participation by the dealer and/or customer.
Part age/hours - PSPs may also include allowance for part age/hours. The note section of the Service
Claims Allowance table will include a statement “If there has been a previous repair, part age/hours
will apply.” In this case, part age/hours may be substituted for Product SMU/Age to determine the
level of Caterpillar® participation. Participation may be different than what would be provided based on
Product SMU/age.
• Parts Disposition - instructions on how to dispose of parts.

➤ Indicates change. 4 01.16-06 (03/12)

 Caterpillar: Confidential Green Bulletin No. 1.16

Dealer PIP Completion Responsibility

An overview of this process is found in Illustration 1 on page 19.
For Safety and Priority PIPs, it is the responsibility of each dealer to schedule and rework all products involved
in a 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 as soon as possible. Removal or rework of parts stock may also be part of a
Safety or Priority PIP.
TEPS/MEPS dealers are to return parts or tools to their Cat® distributor.

Dealer Inability To Complete A Safety or Priority PIP Rework

The following section outlines the process options when a dealer is unable to complete a PIP. The process map
is found on page 19. TEPS/MEPS dealers should contact the PIP Coordinator at their Cat distributor.
Customer Refusal
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. Thirty days after sending the customer the registered letter, the
dealer must call the customer and again offer to perform the PIP. If the dealer’s second offer is refused, the
dealer must note the individual’s name, the date, and the customer’s response comments on the dealer’s
copy of the registered letter, which must be kept on-file. The dealer must then enter a Service Information
Management System (SIMS) Report with the Description Code “CR” for “customer refusal.” Dealers may
choose to attach an electronic copy of the registered letter to the SIMS ticket thru SIMSi for records retention
at https://sims.cat.com/. Any appropriate comments should be added to the SIMSi entry. Also, electronic
images of any correspondence can be attached to the entry through SIMSi.
Performed By Customer
Although rare, for certain non-technical updates Caterpillar can approve the customer to be responsible to
complete the program.
If a PIP indicates that the customer should perform the repair and the repair is not yet completed, the dealer
should enter on-line a SIMS Report using the Description Code “PC,” after first contacting the customer to
ensure that they are aware of the PIP. The date of customer contact should be noted in the comment field of
SIMSi. Note: This code should not be used until the last customer Service Letter has been sent out (Priority
180 days and Safety 210 days), and the customer has performed the update.
Non Applicable
If upon dealer inspection a product is found not to need the PIP, then the dealer must enter an on-line SIMS
Report with the Description Code “NA,” meaning “Does not apply - inspected.” Description Code “NA” may
also be used if the dealer has a signed letter from the product owner indicating the PIP does not apply. If a
dealer finds that a product has already had the PIP performed, then the dealer must enter an on-line SIMS
report showing the PIP complete with a “56,” if performed before failure, or a “96,” if performed after failure.
If a dealer determines that a product does not need a PIP through any other methods, such as a review of
sales records, shipping records, etc., the dealer must enter an on-line SIMS report with a Description Code
“NI” meaning “Does not apply - not inspected.” This code should only be used if the Service Letter indicated
this option, or if approved by the Warranty Supervisor.
NOTE: If a SIMS Description Code of “CR,” “PC” or “NI” is used, the PIS System and DBS will indicate the
letter is “completed.” If the dealer later performs the PIP repair or the situation changes, another SIMS entry
should be made with the appropriate description code. These codes may also require an “estimated” service
meter reading. The dealer should use available resources to enter the best estimate and note “ESTHRS”
in comment field. Codes “PC” and “NI” should not be used until the last customer Service Letter has
been sent out (Priority 180 days and Safety 210 days). The three Description Codes “CR,” “PC” and “NI”

01.16-05 (03/12) 5
Bulletin No. 1.16 Caterpillar: Confidential Green

cannot be claimed through the warranty system. A SIMS entry can only be made through DBS or SIMSi
directly.

Location Unknown
If a dealer cannot locate a product for a PIP, they should first do 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 in the on-line Product Information System (PIS) to determine the current
customer or product location.
• Contact the dealer’s Sales or Used Equipment Department to determine if the product has been traded.
If, after doing the above, the dealer finds that a product has moved out of its territory, then the dealer must
update the customer name and address and change the declaring Dealer Code to the current dealer on-line
in SIMSi. Or, if the dealer is still unable to locate a product for a PIP, then the dealer should place the
product serial number on the Unable to Locate List (Z800) by updating the declaring dealer to Z800 on-line in
SIMSi.
Product Out of Service
If a product has been scrapped or is permanently out-of-service, dealers should use the Stolen-Missing-
Damaged-Total Loss System at URL https://smdt.cat.com/ to report the product as a “Total Loss” which will
declare the product as permanently out-of-service (Z850) and update the coverage in Caterpillar’s systems.
TEPS/MEPS dealers should contact the PIP Coordinator at their Cat® distributor.

Owner Notification Of Safety and Priority PIPs

For Safety and Priority PIPs, Caterpillar or Cat dealers (does not include TEPS/MEPS dealers) will notify all
customers by mail. Caterpillar notifies customers on Safety and Priority PIPs in the U.S., Canada and on Safety
PIPs in Australia and New Zealand. Customers in the rest of the world are notified by their Cat dealer. The
notice provides the following information to customers:
• A clear description of the product problem.
• A clear description of the possible malfunction and its consequences, when applicable.
• The corrective action to be taken.
The on-line Product Information System (PIS) is used to identify owners of affected product so that a timely
notification of a PIP 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.

Caterpillar assignment of the responsible Dealer to PIPs/PSPs:

The declaring dealer from the Customer Name and Address database is assigned (if not Z800 or blank).
If the declaring dealer is Z800
• The most recent repairing dealer is assigned if repair date is later than the Z800 entry.
• If Z800 entry is the latest date or no prior repair is found, Z800 is assigned.
If the declaring dealer is blank
• The most recent repairing dealer is assigned.
• If no prior repair entry is found, the dealer with address nearest to the customer (by zip code) is
assigned.
• If no dealer is found by address logic, the selling dealer is assigned.

The process for customer notification of a Safety or Priority PIP is as follows:

• Just prior to mailing a new PIP Service Letter, Caterpillar enters the new PIP into the Product Information
System (PIS) for dealer access of PIP information.

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 Caterpillar: Confidential Green Bulletin No. 1.16

The PIP information that is entered into PIS includes the following:
Service Letter Date
PIP Reference Number
Program Description
PIP Termination Date
List of Applicable Serial Numbers
• The Service Letter announcing the PIP is provided to dealers by Caterpillar.
• The Dealer PIP Coordinator should check PIS for new PIPs on a weekly basis. (www.pis.cat.com)
• To ensure customer receipt of the Owner Notification Letter sent by Caterpillar or Cat® dealers, the PIP
Coordinator should promptly update incorrect customer names and addresses on the Customer Name &
Address screen in SIMSi at URL https://sims.cat.com.
• An Owner Notification Letter is mailed to customers by Caterpillar or Cat dealers two to three weeks
after the PIP information is entered into PIS. The customer is asked to contact a dealer immediately to
schedule a time for the PIP completion.
• Owner Notification Letters sent by Caterpillar include the assigned dealer’s address as the postal return
address. Owner Notification Letters that are undeliverable due to inaccurate customer information in PIS
are returned by postal service to the assigned dealer (rather than to Caterpillar). The assigned dealer
is to forward the undelivered Owner Notification Letter to the correct customer address and correct the
inaccurate information in PIS to ensure subsequent Owner Notification Letters sent by Caterpillar are
delivered directly to the customer.
• For product that has not been reported for PIP completion within 90 days after the Owner Notification
Letter date, Caterpillar or Cat dealers will mail a reminder letter to the customer. Refer to Illustration 2 on
page 20.
• Safety PIPs ... For product that has not been reported for PIP completion within 180 days after the original
Owner Notification Letter is sent, Caterpillar or Cat dealers will mail a second reminder letter (third notice)
to the customer. Refer to Illustration 2 on page 20.
• Priority PIPs ... For product that has not been reported for PIP completion within 180 days after the
original Owner Notification Letter is sent; the dealer must do so by phone or mail as a second reminder
(third notice). This is only required if the dealer has not previously contacted the customer, and
documented the outcome (refer to Illustration 3 on page 20, for a reminder letter). The dealer should
emphasize to the customer its 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. Documentation of the phone call or a
copy of the reminder letter should be kept in the dealer’s product history file.
• For product that has not been reported for Safety or Priority PIP completion within 210 days after the
original Owner Notification Letter is sent; dealers must do so by phone or mail as a third reminder (fourth
notice). This is only required if the dealer has not previously contacted the customer and documented the
outcome. The dealer must explain the urgency of the PIP, and record date and name of person contacted.
The dealer should emphasize to the customer its 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. This information should
be kept in the dealer’s product history file.
• All Safety and Priority PIP documentation should be filed in the dealer’s product history file for a minimum
of 20 years.

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Bulletin No. 1.16 Caterpillar: Confidential Green

Reporting PIP / PSP Completion On SIMS

Upon completion of a PIP / PSP on a product, it is essential that the dealer immediately enter on-line a Service
Information Management System (SIMS) Report. Failure to report completion of a PIP / PSP repair may affect
disposition of the Dealer’s PIP / PSP Service Claim. TEPS/MEPS dealers should immediately contact the PIP
Coordinator at their Cat® distributor to report PIP completion.
PIPs
In addition to the usual SIMS reporting information, the following is the unique reporting field information on the
SIMSi Product Problem Reporting Screen for entering PIP completions:
• Report Type - enter “1.”
• Part Number - enter the PIP Reference No.
• Problem Desc. - enter one of the following:
56 - PIP has been completed before failure.
96 - PIP has been completed after failure.
Note: As outlined earlier, the following codes are used if the dealer was unable to complete the repair
for one of the following four reasons.
NA - Program Does Not Apply to Serial Number - Inspected: Use when the PIP is not performed
because the dealer has inspected the product and verified its configuration is not the subject of the
program. This code may also be used if the customer has inspected the machine and has sent a signed
letter to the dealer stating that the letter does not apply to his/her machine.
NI - Program Does Not Apply to Serial Number - Not Inspected: Use when the PIP is not performed
because the dealer has determined the product configuration is not the subject of the program through
reasonable efforts other than a physical inspection of the project (sales or other records, verbal
communication with customer, etc.). Note: This code can only be used if the PIP does not require
physical inspection of the product - should be noted in the Service Letter.
CR - Customer Refused (Declined) Program: Use when the PIP is not performed because dealer has
contacted the customer, and the customer has declined to have the program performed on the product.
PC - To be Performed by Customer - Dealer Customer Contact Complete: Use when PIP is not
performed because the letter requests the customer perform the repair, the dealer has contacted the
customer, and the customer has indicated they have not performed the repair.
NOTE: Code “PC” should not be used until the last customer Service Letter has been sent out
(Priority and Safety 210 days).
• Group/Subgroup Number - enter “7751.”
• Comment - enter the Service Letter date, for example: “S/L dated 22Aug99.” Note: DBS entries are
limited to 20 characters and SIMSi entries are limited to 50 characters.
Note: SIMSi imaging can be used to attach electronic copies of important documents, such as certified
letters, customer signatures, etc.
Note: See section “Dealer Inability To Complete A Safety or Priority PIP Rework” for additional information
on the use for codes “NA,” “NI,” “PC” and “CR” in SIMS.
PSPs
In addition to the usual SIMS reporting information, the following is the unique reporting field information on the
SIMS Product Problem Reporting Screen for entering PSP completions:
• Report Type - enter “1.”
• Part Number - enter the PSP Reference No.
• Problem Desc. - enter one of the following:

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 Caterpillar: Confidential Green Bulletin No. 1.16

56 - PSP has been completed before failure.

96 - PSP has been completed after failure.
• Group/Subgroup Number - enter “7755.”
• Comment - enter the Service Letter date, for example: “S/L dated 22Aug99.”

Dealer Training and Preparation For PIP Repairs

It is a dealer’s responsibility to familiarize and train service mechanics in the rework procedure for a PIP prior
to performing the first scheduled rework. When a PIP is issued, dealers should review the PIP to establish the
proper repair procedure and to identify any special tools or equipment that will be needed.
Proper mechanic training and preparation by the dealer will identify potential repair problem areas and ensure
completion of the PIP repair within the allocated repair hours.

Repeating A PIP / PSP Repair

Should a PIP / PSP repair have a failure due to a Caterpillar® defect (not dealer workmanship), a repeat repair as per
the Service Letter can be claimed against the PIP / PSP, if:
• The Service Letter has not expired, and
• The product is still within the product age and hour range of the PIP / PSP.
In such cases, the Dealer should submit a PIP / PSP Service Claim using the PIP / PSP Reference Number,
and explain the reason for repeating the PIP / PSP in the Claim Story.

Dealer Expense Reimbursement

Service Letters provide a prescribed repair action that addresses a known product problem. The parts and labor
provided by the Service Letter at face value are to cover that prescribed repair. Parts and labor reimbursement
for the prescribed repair is limited to the maximum listed in the Service Letter. Additional parts and labor not
listed in the Service Letter but required to correct justified Resultant Damage after a failure has occurred is also
reimbursable under Service Letter. Other available coverages such as EPP/ESC may provide reimbursement
of allowable Dealer/Customer expense as detailed below by “Application of Other Coverages” and policies
associated to those coverages.

Reimbursement for expenses related to Service Letters will be per the applicable Summary of Reimbursement
Charts found on the following pages and in accordance with applicable Reimbursement Practices as outlined in
Bulletin 1.02 and details/exceptions as listed below.

• Caterpillar participation in PIPs is 100% of allowable expenses as outline in the Service Letter.
• Caterpillar participation in PSPs may be 100% of allowable expenses as outlined in the Service Letter
based on age/hours on unit; or may be prorated to a lower Caterpillar participation. The percentage
of Caterpillar participation shown in the Service Claims Allowance section applies to all parts and
labor allowed under Service Letter. (Note: refer to “Application of Other Coverages” to determine
applicability to expenses not covered under Service Letter)

Parts: Only parts listed in the “Parts Needed” section are reimbursable for the prescribed repair as documented
in the “Action Required” section. (Note: also refer to “Resultant Damage” details on page 10).

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Bulletin No. 1.16 Caterpillar: Confidential Green

Labor: The labor allowance shown in the Service Claim Allowances section is the maximum established repair
time to complete all work for the prescribed repair as documented in the "Action Required" section, much like a
Time Requirements Guide (TRG). This labor allowance includes time for inspect, test, diagnose, remove, disas-
semble, clean, assemble, install and salvage parts. Labor associated to the prescribed repair that is beyond the
allowance listed in the service letter is not reimbursable. (Note: also refer to "Resultant Damage" details below.)

• NOTICE: If the actual labor hours to perform a PIP repair are less than the Service Letter labor allow-
ance, dealers can claim full labor allowance listed in the Service Letter.
• NOTICE: If the actual labor hours to perform a PSP repair are less than the Service Letter labor allow-
ance, only the actual labor hours should be claimed.

Misc: Specific miscellaneous expenses noted in the Service Letter allowance table are reimbursed at 100% of
justified amount up to maximum shown in the Service Letter. Other miscellaneous expenses are subject to PSP
proration.

Resultant Damage: Additional Cat® parts and labor required to repair Resultant Damage after a failure has oc-
curred is also reimbursable under the Service Letter if justified by explanation in claim story (excluding Priority PIP
repairs that are started after the Completion Date). Note: refer to "Application of Other Coverages" to determine
applicability to expenses not covered under Service Letter.

Application of Other Coverages

All Service Letter repairs must be claimed under the PIP/PSP, even if the product has additional coverage such as
EPP/ESC, Cat Extra, or Value Assurance II. These additional coverages do not apply to before failure repairs.

Note: The labor allowance shown in the Service Claim Allowances section is the maximum established repair
time to complete all work for the prescribed repair as documented in the “Action Required” section, much like a
Time Requirements Guide (TRG). Labor associated to the prescribed repair that is beyond the allowance listed in
the Service Letter is not reimbursable.

PIP Performed After-Failure: Reasonable parts and labor expense required to repair after failure Resultant Dam-
age for Priority PIP repairs that are started after the Completion Date is reimbursable.

PSPs Performed After-Failure (prorated Cat participation): Parts & Labor for the amount of Dealer/Customer par-
ticipation listed in the Service Claim Allowances section for the prescribed repair (the remainder of proration not
covered by Cat under Service Letter) is reimbursable at various rates established by the specific additional cover-
age. Additionally, that same percentage of Dealer/Customer participation in reasonable parts and labor expense
required to repair justified after failure Resultant Damage is also reimbursable.

PSPs Performed After-Failure (Not prorated Cat participation): Other coverages are not applicable since all allow-
able expenses are reimbursable by the Service Letter.

Claiming Practices for Other Coverages: The following is additional unique claim field information required for con-
sideration of Other Coverages that may be available to specific units.

• Coverage Type - Leave blank.

• Description Code - Enter 40
• Claim Story - In addition to the normal claim story information required for PIP/PSPs performed after
failure, the first line must state request includes additional reimbursement under a specific
additional coverage. List the specific coverage in the claim story.

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 Caterpillar: Confidential Green Bulletin No. 1.16

Global Machine Policy

Machine PIPs Machine PSPs
Parts Stock/Dealer Tool Parts D/N + 10%
Parts Stock/Dealer Tool Labor Sell Labor Rate, When Provided in
SL
Parts Stock/Dealer Tool Service Not Allowed
Items Unusable
Parts1 Std Wty Parts = D/N: D/N + 10%, Std Wty Parts = D/N: D/N + 10%,
Per SL Allowance Per SL Allowance Percentage
Std Wty Parts = C/L: C/L, Per SL Std Wty Parts = C/L: C/L, Per SL
Allowance Allowance Percentage
Parts: Resultant Damage If Repair Started On Or Before SL Reimbursable If Repair Is After
Completion Date Failure, Per SL Allowance
Percentage
Service Items D/N, Only If Made Unusable Due D/N, Only If Made Unusable Due
(Claim on Misc Line) To PIP-Related Failure To PSP-Related Failure, Per SL
Part Allowance Percentage
Labor Sell Labor Rate, When Provided In Sell Labor Rate, When Provided In
SL SL, Up To SL allowance
Labor: Resultant Damage If Repair Started On Or Before SL Reasonable Labor Is Reimbursable
Completion Date Reasonable Labor At Sell Labor Rate If Repair Is
Is Reimbursable At Sell Labor Rate After Failure, Per SL Allowance
Percentage
OT Labor Rate Only If Justified Not Reimbursable
Parts Salvage Labor Sell Labor Rate, If Justified Sell Labor Rate, If Justified
2
TT&M Travel Rate & Vehicle Rate Travel Rate & Vehicle Rate, Only If
Provided In SL2
Meals & Lodging At Cost - Only If Justified Not Reimbursable
Parts Service Charges Reimbursable Reimbursable
Emergency Freight Charges At Cost - Only If After Failure And Not Reimbursable
Part Is From Unassigned Parts DC
Towing/Hauling Costs If Less Than Travel Expenses, At At Cost, Only If Provided in SL
Cost - Only If Justified
Shop Supplies Same As Parts (above), Only If Same As Parts (above), Only If
Listed In SL Listed In SL
Outside Repair Expense At Cost - Only If Justified At Cost, Less Proration Percent -
Only If Justified

1
See applicable Standard Warranty Bulletin to determine Std Wty Parts allowance.
2
Claim Story must include adequate To/From Destination detail to validate amounts.

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Bulletin No. 1.16 Caterpillar: Confidential Green

Vocational On-Higway Truck Policy

Vocational On-Highway Truck Vocational On-Highway Truck
PIPs PSPs
Parts Stock/Dealer Tool Parts C/L
Parts Stock/Dealer Tool Labor Sell Labor Rate, When Provided in
SL
Parts Stock/Dealer Tool Service Not Allowed
Items Unusable
Parts C/L: C/L, Per SL Allowance C/L: C/L, Per SL Allowance
Percentage
Parts: Resultant Damage If Repair Started On Or Before SL Reimbursable If Repair Is After
Completion Date Failure, Per SL Allowance
Percentage
Service Items D/N, Only If Made Unusable Due D/N, Only If Made Unusable Due
(Claim on Misc Line) To PIP-Related Failure To PSP-Related Failure, Per SL
Part Allowance Percentage
Labor Sell Labor Rate, When Provided In Sell Labor Rate, When Provided In
SL SL, Up To SL allowance
Labor: Resultant Damage If Repair Started On Or Before SL Reasonable Labor Is Reimbursable
Completion Date Reasonable Labor At Sell Labor Rate If Repair Is
Is Reimbursable At Sell Labor Rate After Failure, Per SL Allowance
Percentage
OT Labor Rate Only If Justified Not Reimbursable
Parts Salvage Labor Sell Labor Rate, If Justified Sell Labor Rate, If Justified
1
TT&M Travel Rate & Vehicle Rate Travel Rate & Vehicle Rate, Only If
Provided In SL1
Meals & Lodging At Cost - Only If Justified Not Reimbursable
Parts Service Charges Reimbursable Reimbursable
Emergency Freight Charges At Cost - Only If After Failure And Not Reimbursable
Part Is From Unassigned Parts DC
Towing/Hauling Costs If Less Than Travel Expenses, At Engine Failures: Invoice cost
Cost - Only If Justified allowed only If necessary during
standard waranty period on after-
failure repairs.
All Other Failures: At cost, if
provided in S/L.
Shop Supplies C/L, Only If Listed In SL C/L, Only If Listed In SL
Outside Repair Expense At Cost - Only If Justified At Cost, Less Proration Percent -
Only If Justified

1
Claim Story must include adequate To/From Destination detail to validate amounts.

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 Caterpillar: Confidential Green Bulletin No. 1.16

Global Engine Policy

Engine PIPs Engine PSPs
Parts Stock/Dealer Tool Parts D/N + 10%
Parts Stock/Dealer Tool Sell Labor Rate, When Provided
Labor in SL
Parts Stock/Dealer Tool Cost - Only If Made Due to PIP
Service Items Unusable Repair
Parts1 Std Wty Parts < D/N+10%: Std Wty Parts < D/N+10%:
D/N + 10%, Per SL Allowance D/N + 10%, Per SL Allowance
Percentage
Std Wty Parts = D/N+15%:
(Amer. North) C/L, Per SL Std Wty Parts = D/N+15%:
Allowance (Amer. North) C/L, Per SL Allowance
(ROW) D/N + 15%, Per SL (ROW) D/N + 15%, Per SL Allowance
Allowance
Std Wty Parts = C/L: C/L, Per SL
Std Wty Parts = C/L: C/L, Per SL Allowance Percentage
Allowance
Std Wty Parts = 90% C/L: 90% C/L, Per
Std Wty Parts = 90% C/L: 90% SL Allowance Percentage
C/L, Per SL Allowance Percentage
Parts: Resultant Damaged If Repair Started On Or Before SL Reimbursable If Repair Is After Failure
Completion Date Repair, Per SL Allowance Percentage
Service Items D/N, Only If Made Unusable Due D/N, Only If Made Unusable Due To
(Claim on Misc Line) To PIP-Related Failure PSP-Related Failure, Per SL Part
Allowance Percentage
Labor Sell Labor Rate, When Provided Sell Labor Rate, When Provided In SL,
In SL Up To SL Allowance
Labor: Resultant Damage If Repair Started On Or Before Reasonable Labor Is Reimbursable At
SL Completion Date Reasonable Sell Labor Rate If Repair Is After Failure,
Labor Is Reimbursable At Sell Per SL Allowance Percentage
Labor Rate
OT Labor Rate Sell Labor Rate - Only If Justified Not Reimbursable
Parts Salvage Labor Sell Labor Rate, If Justified Sell Labor Rate, If Justified
3
TT&M Travel Rate & Vehicle Rate Travel Rate & Vehicle Rate4 - Allowed
Only If Necessary During Normal
Warranty Period Or When Provided In SL
Meals & Lodging At Cost - Only If Justified At Cost - If Justified During Normal War-
ranty Period On After-Failure Repairs
Parts Service Charges Reimbursable Reimbursable
Emergency Freight Charges At Cost - Only If After Failure And Not Reimbursable
Part Is From Unassigned Parts DC
Towing/Hauling Costs If Less Than Travel Expenses, At On-Highway Engines: Invoice Cost
Cost - Only If Justified Allowed Only If Necessary During
Standard Warranty Period On After-
Failure Repairs
All Other Engines: At Cost, If Provided
In SL
Shop Supplies C/L, Only If Listed In SL C/L, Only If Listed In SL
Outside Repair Expense At Cost - Only If Justified At Cost, Less Proration Percent - Only If
Justified

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Bulletin No. 1.16 Caterpillar: Confidential Green

Global TEPS / MEPS / AMD / ISD Policy

Engine PIPs Engine PSPs
Parts Stock/Dealer Tool Parts Return Parts Or Tools To Cat
Distributor
Parts Stock/Dealer Tool Labor Not Allowed
Parts Stock/Dealer Tool Service Not Allowed
Items Unusable
Parts TEPS: Fleet Owner Net (FOND) TEPS: Fleet Owner Net (FOND),
Per SL Allowance Percentage
MEPS / AMD / ISD: C/L
MEPS / AMD / ISD: C/L, Per SL
Allowance Percentage
Parts: Resultant Damaged If Repair Started On Or Before SL Reimbursable If Repair Is After
Completion Date Failure Repair, Per SL Allowance
Percentage
Service Items At Cost, Only If Made Unusable At Cost, Only If Made Unusable
(Claim on Misc Line) Due To PIP-Related Failure Due To PSP-Related Failure, Per
SL Part Allowance Percentage
Labor Approved Sell Labor Rate, When Approved Sell Labor Rate, When
Provided in SL Provided in SL, Up To SL Allowance
Labor: Resultant Damage If Repair Started On Or Before SL Reasonable Labor Is Reimbursable
Completion Date Reasonable Labor At Sell Labor Rate If Repair Is
Is Reimbursable At Sell Labor Rate After Failure, Per SL Allowance
Percentage
OT Labor Rate Sell Labor Rate - Only To Prevent Not Reimbursable
Loss Of Enroute Perishable Load
Parts Salvage Labor Not Allowed Not Allowed
3
TT&M Travel Rate & Vehicle Rate Travel Rate & Vehicle Rate -
Allowed Only If Necessary During
Normal Warranty Period Or When
Provided In SL
Meals & Lodging At Cost - Only If Justified At Cost - If Justified During Normal
Warranty Period on After-Failure
Repairs
Parts Service Charges Reimbursable Reimbursable
Emergency Freight Charges At Cost - Only If After Failure And Not Reimbursable
Part Is From Unassigned Parts DC
Towing/Hauling Costs If Less Than Travel Expenses, At On-Highway Engines: Invoice Cost
Cost - Only If Justified Allowed Only If Necessary During
Standard Warranty Period On After-
Failure Repairs
All Other Engines: At Cost, If
Provided In SL
Shop Supplies C/L, Only If Listed In SL C/L, Only If Listed In SL
Outside Repair Expense At Cost - Only If Justified At Cost, Less Proration Percent -
Only If Justified

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 Caterpillar: Confidential Green Bulletin No. 1.16

Global TEPS / MEPS / AMD / ISD Policy

Engine PIPs Engine PSPs

3
Safety & Priority PIP Service Letter repairs to mobile (units that can be driven or easily transported) engine
product such as on-highway truck, industrial, mobile Ag, are expected to be performed in a dealer shop.
Exceptions to this expectation include the following.
• After failure when unit is:
♦ Inoperable and travel cost is less than cost of towing/hauling to nearest dealer shop
• Before failure when one or more of the following conditions exist:
♦ Caterpillar has recommended units be taken out of service until repair is made
♦ To perform Safety related repairs on units that are temporarily non-mobile
For these exceptions, all claims requesting TT&M reimbursement must include explanation why repair was not
made in dealer shop along with adequate to/from destination detail to validate time and distance. Dealer must
keep documentation on file to support audit.
Safety & Priority PIP Service Letter repairs to non-mobile engine product such as stationary EPG, Marine,
Petroleum may include TT&M for before or after failure repairs when the cost is less than the cost of towing/
hauling the unit to nearest dealer shop. All claims for TT&M must include adequate to/from destination detail
to validate time and distance.
4
Claim Story must include adequate To/From Destination detail to validate amounts and be less than towing.

Claim Field Information For Safety and Priority PIPs

Unless the Service Letter gives instructions to the contrary, a separate PIP service claim must be entered for
each PIP repair performed.
The following outlines the unique claim field information that is required when submitting a Safety or Priority PIP
service claim for equipment product:
Product Hr/Mi/Km - enter the product service hours, as with any other service claim.
Part No. - enter the PIP Reference Number.
Desc. Code - for PIPs that are performed:
• Before-Failure - enter “56”
• After-Failure - enter “96”
• Manually Reviewed - enter “40” when requesting partial coverage under EPP/ESC or when claim story
explains that repair completed after Termination Date was started prior to Termination Date. Note: Claims
that are in excess of Service Letter criteria are automatically sent to manual review and do not require “40.”
• Does Not Apply - Inspected - enter “NA.”
When the Service Letter allows for inspection expense reimbursements and the requirements outlined in this
bulletin have all been met.
Group No. - enter the special component code “7751.”
Findings / Comments - enter the Service Letter date, for example: “S/L dated 22Aug99.”
Labor Expense Line - for PIPs that provide labor-hour reimbursement, dealers must claim reimbursable labor
hours on one labor expense line in accordance with the following expense field information:

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Bulletin No. 1.16 Caterpillar: Confidential Green

• Qty - when dealer’s actual repair time is:

Less than hours listed in the S/L, enter the labor hours allowed in the PIP.
Equal or greater than hours listed in S/L, enter the total labor hours listed in the Service Letter for
Caterpillar Participation + Resultant Damage labor hours (After-Failure only).
• Comp - enter the special component code “7751.”
• Job - enter job code “001.”
Claim Story - no claim story information is required to substantiate a PIP claim, except when claiming for
the repair expenses listed below. In such cases, the claim story should contain the listed information for the
applicable claimed expense(s).
• Resultant Damaged Parts - identify the RD parts and labor and give a brief explanation to justify why they
are being claimed.
• Service Items - made unusable due to the PIP-covered failure, give an explanation as to why the item(s)
is being claimed.
• Parts Service Charges - for emergency orders, list the corresponding parts invoice number(s).
• Overtime Labor Rate - give a brief explanation as to why labor hours are being claimed at the overtime
labor rate.
• Meals and Lodging - give an explanation as to why the meals and lodging were necessary.
• Freight Charges - give an explanation as to why the freight charges are being claimed.
• Towing/Hauling Costs - give an explanation as to why transporting the machine for the repair was
necessary.
• TT&M - include adequate To/From Destination detail to validate amounts.
• Outside Expense - give an explanation as to what the outside expense is for and why it was necessary.
Miscellaneous Line - All Service Items must be filed on a Miscellaneous line, not a Parts line.

Claim Field Information For Parts Stock Only, Dealer Service Tools and
Caterpillar® Shop Supplies PIPs
The following outlines the unique claim field information that is required when submitting a Parts Stock, Dealer
Service Tools and Caterpillar Shop Supplies PIP service claim for equipment product:
Repair Date - enter the date the parts or tools were pulled from inventory or repaired.
Product ID / Serial No. - enter one of the following:
• For Parts Stock PIPs - enter the special product identification number of “99Z00001.”
• For Dealer Service Tools PIPs - enter the special product identification number of “99Z00025.”
• For Caterpillar Shop Supplies PIPs - enter the special product identification number of “99Z70008.”
Part No. - enter the PIP Reference Number.
Desc. Code - enter “56.”
Group No. - enter the special component code “7751.”
Findings / Comments - enter the Service Letter date, for example: “S/L dated 22Aug99.”
Labor Expense Line - for PIPs that provide labor reimbursement, Dealers must claim reimbursable labor hours
on one labor expense line in accordance with the following expense field information:
• Qty - when dealer’s actual repair time is:
Less than hours listed in the S/L, enter the actual labor hours to perform the PIP.

16 01.16-06 (03/12)
 Caterpillar: Confidential Green Bulletin No. 1.16

Equal or greater than hours listed in S/L, enter the total labor hours listed in the Service Letter for
Caterpillar Participation.
• Comp - enter the special component code “7751.”
• Job - enter job code “001.”
Claim Story - no claim story information is required to substantiate Parts Stock, Dealer Service Tools and
Caterpillar® Shop Supplies PIP claims.
For more information, please refer to Bulletin 4.08 for Defective Parts Stock and Bulletins 4.09 and 4.10 for
Dealer Service Tools and Caterpillar Shop Supplies.

Claim Field Information For PSPs

Unless the Service Letter gives instructions to the contrary, a separate PSP service claim must be entered for
each PSP repair performed.
The following outlines the unique claim field information that is required when submitting a PSP service claim for
equipment product:
Product Hr/Mi/Km - enter the product service hours, as with any other service claim. This is important, since a
PSP may have prorated reimbursement allowances based on the product hours.
Part No. - enter the PSP Reference Number.
Desc. Code - for PSPs that are performed:
• Before-Failure - enter “56”
• After-Failure - enter “96”

• Manually Reviewed - enter “40” only when requesting partial coverage under EPP/ESC or when claim
story explains that repair completed after Termination Date was started prior to Termination Date. Note:
Claims that are in excess of Service Letter criteria are automatically sent to manual review and do not
require “40.”

Group No. - enter the special component code “7755.”

Findings / Comments - enter the Service Letter date, for example: “S/L dated 22Aug99.”
Parts Expense Lines - for PSP claims having a prorated parts allowance percentage, enter the part number of
the parts used, as is normally done. Based on the entered part number, the Caterpillar system automatically
enters the full unit price and will automatically prorate parts as the claim is processed by Caterpillar. Do not
enter “PR” in the COMP field of each part line.
Labor Expense Line - for PSPs that provide labor hour reimbursement, dealers must claim the listed labor
hours on one labor expense line in accordance with the following expense field information:
• Qty - when dealer’s actual repair time is:
Less than hours listed in the S/L, enter the actual labor hours to perform the PSP.
Equal or greater than hours listed in S/L, enter the total labor hours listed in the Service Letter for
Caterpillar Participation + Resultant Damage labor hours (After-Failure only).
• Comp - enter the special component code “7755.”
• Job - enter job code “001.”

Claim Story - for PSPs performed:

• Resultant Damaged Parts - identify the RD parts and labor and give a brief explanation to justify why they
are being claimed.

01.16-05 (03/12) 17
Bulletin No. 1.16 Caterpillar: Confidential Green

• TT&M (PSPs, If Applicable) - include adequate To/From Destination detail to validate amounts.
• Before-Failure - leave blank. No claim story information is required to substantiate the PSP claim.
• After-Failure - the claim story should contain the following information:
Indicate that PSP was performed after-failure.
Include a brief explanation of the failure.
When claiming for resultant damaged parts, give a brief explanation as to why they are being claimed.
When an outside expense is required, give an explanation for the expense.
When a service item such as lubricants, filters, antifreeze, etc. is made unusable due to the PSP covered
failure, give an explanation as to why the item is being claimed.
For Parts Service Charges on emergency orders, list the corresponding parts invoice number(s).
Miscellaneous Line - All Service Items must be filed on a Miscellaneous line, not a Parts line.

Claiming Practices For PIPs/PSPs That Also Include “Parts Stock Action
Needed”
When a PIP or PSP includes additional instructions for parts stock removal or salvage, a separate service claim
must be submitted for reimbursement of the parts and/or labor associated with the parts stock action.
TEPS/MEPS/AMD/ISD dealers are to return these parts to their Cat® distributor.
The following outlines the unique claim field information that is required when submitting an equipment product
PIP/PSP service claim for parts stock:
Product ID / Serial No. - enter the special product identification number of “99Z00001,” for parts stock.
Part No. - enter the PIP/PSP Reference Number.
Desc. Code - enter “56.”
Group No. - enter the special component code “7755.”
Findings / Comments - enter the Service Letter date, for example: “S/L dated 22Aug99.”
For more information, please refer to Bulletin 4.08 for Defective Parts Stock Warranty.

18 01.16-06 (03/12)
 Caterpillar: Confidential Green Bulletin No. 1.16

START – PIP PUBLISHED

Contact Customer As Soon As Possible

Is PIP
Y N Product N
Done on
Location Update SIMSi with Z800
Serial
Known?
Number?

N Update SIMSi
Enter SIMSs PD In Dealer
Declaring Dealer
Code 56 or 96 Territory?
Code

N Contact Warranty
Product In
Operations to enter
Service?
Z850

Y SIMSi Entry PD
N Code NI *

N Was
Does PIP
Product
Apply to
Physically
S/N?
Inspected?

Y Y SIMSi Entry PD
Code NA

Customer
N Contacted
Contact Customer
By
Dealer? SIMSi Entry PD
Code CR
Y

Did
Customer Y SIMSi Entry PD
Decline Code PC *
PIP?

N
N

Customer
Is Dealer
Y N Ask for
Dealer Completes Expected
help to do
PIP to Perform
Safety
PIP?
PIP?
* NOTE: Codes “PC” and “NI” should
not be used until the last customer Y
service letter has been sent out (Priority
180 days and Safety 210 days).

01.16-05 (03/12) 19
Bulletin No. 1.16 Caterpillar: Confidential Green

CUSTOMER
STREET ADDRESS
CITY, STATE, COUNTY, ZIP

MODELS INVOLVED - (XXXX)

Dear Cat Product Owner:

During the month of (month) (year), Caterpillar mailed a product improvement announcement (brief
description of problem)[Safety letters include “,which could result in personal injury or death.”].

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 Cat®
dealer so that the improvement can be accomplished. If the product has changed ownership, we
would appreciate any information you could furnish regarding the product’s location.

It is very important that the Service Department at your nearest Cat dealer be contacted in this
regard. Thank you.
Caterpillar Inc.

Identification No(s).

Illustration 2. Sample of a customer reminder letter sent by Caterpillar.

CUSTOMER
STREET ADDRESS
CITY, STATE, COUNTY, ZIP
MODELS INVOLVED:
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)

Illustration 3. Sample of a customer reminder letter sent by a dealer for a Priority PIP.

20 01.16-06 (03/12)
 Caterpillar: Confidential Green Bulletin No. 1.16

Illustration 4. Typical Service Letter Parts and Labor Allowance Chart.

01.16-05 (03/12) 21
Bulletin No. 1.16 Caterpillar: Confidential Green

22 01.16-06 (03/12)
 Caterpillar: Confidential Green Bulletin No. 1.17

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Warranty Administration
Direct Governmental Sales
by Caterpillar® Defense & Federal Products (D&FP)
This bulletin addresses warranty administration for governmental sales by Caterpillar® Defense & Federal
Products (D&FP) Department to:
• U.S. Governmental Civilian Agencies.
• U.S. Military establishments.
• Non-U.S. Governments or Military establishments.
Important: Products sold by Defense & Federal Products will have a “Selling Dealer Code” beginning with “G,”
such as G151, G042, etc., where the first letter “G” indicates a D&FP governmental sale.
Note: Commercially sold products that do not have “G” Selling Dealer Code were not sold by D&FP. Such
commercially sold products are covered by the applicable commercial warranty, and this Bulletin does not apply.
Sales contracts with governmental agencies for products purchased directly from Caterpillar specify the type of
initial services and warranty coverage, etc. These services vary between agencies and occasionally within the
same agency.
Initial Services: Initial services by the Dealer such as product preparation, assembly of attachments, delivery
hauling expense, training or other similar Dealer services requested by Caterpillar are handled by a Purchase
Order from a Contract Administrator in D&FP. These expenses are to be invoiced to D&FP in accordance with
the Purchase Order. Do not include warrantable repairs on an invoice.
Warrantable repairs performed prior to delivery must be claimed using the warranty claim system. Do not send
invoices for warranty repairs.

Validating Warranty Coverage

Before performing any warranty work on delivered products that D&FP sold directly to either a military
establishment or to a U.S. governmental civilian agency, Dealers should verify the Warranty Coverage and
Dealer Reimbursement by checking the product Serial Number in Service Information Management System
SIMSi or Claimsi. Dealers will be reimbursed per the terms and guidelines shown on the coverage verification
screen(s).

➤ 01.17-00 03/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.17 Caterpillar: Confidential Green

Dealer Reimbursement
Dealer reimbursement for warranty repairs expenses for products sold by D&FP will be in accordance with
standard claiming practices, with exceptions as noted below.
Parts are reimbursed at the consumer list (C/L) price. Labor, if applicable, is reimbursed at the Dealer’s labor
selling rate, unless otherwise listed on the coverage verification screen.
Cat® Machines: Travel time and mileage and hauling charges are not covered, and are the customer’s
responsibility except when listed as covered on the coverage verification screen.
Pre-Delivery Inspections: Dealer may claim for actual pre-delivery inspection labor time performed, only to the
extent allowed for the same commercial model of a Dealer sold machine.
Revisit Inspections: Caterpillar does not cover Dealer “revisit” inspections of machines sold by D&FP.
On Highway Truck & Tactical Vehicle Engines and Transmissions: Reasonable towing or
Travel Time & Mileage expenses are covered, except when listed as not covered on the coverage verification
screen.
Marine, Industrial & EPG Engines: These engines are covered by the applicable Commercial
Warranty. Travel time and mileage may or may not be covered; coverage is governed by the applicable
Commercial Warranty. If a D&FP sold product has a special contractual warranty, the reimbursement terms will
be listed on the coverage verification screen.

Claim Authorization
Prior authorization for warranty repairs is not required when the product is within the warranty terms listed on the
coverage verification screen.
If the on-line coverage verification indicates that D&FP prior authorization is required, then Dealers must obtain
claim authorization before performing any repairs.
Claim authorization for EAME may be requested by calling EAME Warranty Operations.
Claim authorization for marketing regions other than EAME may be requested by contacting D&FP at one of the
following options:
• Email at [email protected], or
• Truck and Tactical Vehicle Engines call (309) 578-4288, or
• Marine, Industrial & EPG Engines call (309) 578-4562, or
• Machines call (309) 578-3295, or
• All products may call (309) 578-2351, if the above contact is not available.
When a claim authorization is granted, the Dealer will receive an “authorization code or number” that must be
included on the warranty claim for claim approval.

2 01.17-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.17

Defense Products Engine Sales

By Dealers To A Governmental Body
Dealer orders for Engine Division Products to the U.S. Government or to other governments for military use
are processed by the Caterpillar Defense Products Department, regardless of who accepts and processes
an order. Caterpillar’s warranty procedures and responsibilities are the same. Dealer sold products are
covered by Caterpillar Commercial Warranties, and Caterpillar’s Standard Warranty practices and procedures
apply. Caterpillar will only consider Warranty Claims from the servicing Dealer for the Caterpillar portion of
the warranty. The warranty terms between the selling Dealer and the government (contractual warranty) are
negotiated and decided upon by the selling Dealer. If the coverage terms go beyond the applicable Caterpillar
Commercial Warranty, then the additional coverage costs are for the selling Dealer.

Engine Selling Dealer Support Responsibilities

The selling Dealer’s 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 Dealer.
3. For Caterpillar Engine Division Products that 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,
• Sending his own service technician 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 Dealer’s service
territory and advise of the applicable contractual warranty terms. The selling Dealer must also inform the local
Dealer whether he/she 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, plus
an invoice to the selling Dealer for all other expenses associated with services requested by the selling
Dealer.

01.17-00 (03/09) 3
Bulletin No. 1.17 Caterpillar: Confidential Green

Governmental Service Life Extension Program (SLEP)

For U.S. Military Machines
The information below describes the Warranty coverage and procedures for repairs and Dealer warranty claim
reimbursement on the following refurbished U.S. military machines:
• D5B (S/N prefix 25X & 44X) Track-Type Tractors
• D7F, D7G (S/N prefix 61G, 3ZD, 4YB, 3GF) Track-Type Tractors
• 130G (S/N prefix 7GB& 74V) Motor Graders
• 621B (S/N prefix 2DB &, 7KC, 8HC) Tractor Scrapers
• 988B (S/N prefix 62Y) Rough Terrain Container Handlers (RTCH)
• 950B (S/N prefix 22Z) Wheel Loader
• Other Models and Serial Numbers may be added without notice. Any machine serial number covered by
the D&FP refurbishment (SLEP) warranty will be indicated in the on-line warranty verification in SIMSi or
CLAIMSi.
• For each machine to be refurbished, D&FP supplies the Dealer at no charge a Core Kit of standard parts
to be replaced for that model. Dealers inspect the machine and identify additional parts and components
that need to be replaced, along with the related labor. This is known as “Additional Work Effort”, or AWE
parts and labor. AWE parts are supplied by the Dealer.
• For technical questions that may arise during the actual refurbishment process, contact the D&FP Rebuild
Service Engineer at (309) 578-4149.
• For warranty inquiries contact (309) 578-3295.

Reimbursement Procedures
Caterpillar has been contracted by the United States Army to refurbish these machines using several Cat
Dealers who have been selected and trained in the SLEP refurbishment process.
The contract provides for an 18-month or 500 hours coverage for warrantable parts, labor, travel time and
mileage of the base machine. The machine serial numbers have been entered into the Service Application
Description Data (SADD) database.
After refurbishment the machines have a new serial number plate installed, which has the original serial number
followed by an “R,” Stamped below the serial number is the program coverage start date (month and year).
SLEP machines also receive a new hour meter, and the SLEP warranty starts at “zero” hours on the new meter.
A new Delivery Date (warranty start date) is entered in SIMSi by Caterpillar for the original s/n. The on-line
SIMSi or CLAIMSi systems may be used to verify warranty coverage, delivery date, and reimbursement.
If a Dealer is requested by a military unit to perform warranty repairs on a SLEP machine, check the on-line
warranty for verification of coverage prior to start of work. The reimbursement procedures vary, depending on
the repair and the point within the program coverage period. Refer to the information below:

SLEP Warranty Coverage

The SLEP Warranty covers the entire base machine for Caterpillar defects in material and workmanship
including re-used parts and components, similar to commercial new machine warranty.
Travel time and mileage expenses are covered during the warranty period for SLEP machines.
Dealer Workmanship for 0-6 Months or 500 Hours: The refurbishing Dealer is responsible for the cost of
repairs for failures due to Dealer workmanship during the first 6 months after date of delivery of the refurbished
machine, including any travel time and mileage. This also includes any parts the Dealer supplied manufactured
by anyone other than Caterpillar (such as re-chromed cylinder rods). Such repairs should not be claimed

4 01.17-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.17

to Caterpillar. Warrantable repairs that are not due to Dealer workmanship may be claimed to Caterpillar.
When the local servicing Dealer is not the refurbishment Dealer, the servicing Dealer should contact the
refurbishment Dealer when the cause of failure is believed to be due to Dealer workmanship. This is to allow
the refurbishment Dealer to choose whether make the repairs, or to hire the local servicing Dealer to make the
repairs. Caterpillar assumes this responsibility under the warranty after the first 6 months for the remainder of
the warranty period.

What is not covered by the SLEP Warranty

This SLEP warranty does not cover machines which have been repaired in the “RESET” program. RESET
machines are covered by the Dealer’s normal warranty for services performed.
This warranty is non-transferable outside of the U.S. Government.
This warranty covers only warrantable failures that occur after the refurbished machine has been delivered to
the customer. Do not submit claims for defective new parts found during the refurbishment process. Such parts
should be claimed on a Parts Stock Warranty claim.
This warranty does not cover glass, headlamps or bulbs, belts or other maintenance items, or tires. Cosmetic
complaints such as dents are not covered.
This warranty does not cover additional work tools, or “any other manufacturer than Caterpillar” attachments
or other components that may have been added by the Customer. Some examples are solar battery charging
devices, “other manufacturer than Caterpillar” laser systems and components, etc.
This warranty does not cover any armor parts or components, nor any failures or damage caused by or during
the installation of armor on the machine.
The SLEP warranty is further subject to the standard Caterpillar new machine warranty terms and conditions
regarding Caterpillar and Customer Responsibilities and Limitations and Exclusions, unless otherwise noted
above.

01.17-00 (03/09) 5
Bulletin No. 1.17 Caterpillar: Confidential Green

6 01.17-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.18

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Use Of Dealer Rebuilt Exchange Components

A Dealer rebuilt exchange component is a component that has been rebuilt by a Caterpillar® Dealer. Such
components should be used only in a warranty repair situation to avoid excessive downtime or travel expense.
When Cat® Remanufactured components exist, they are the preferred source for exchange components.
Caterpillar Warranty will not allow Dealer rebuilt exchange component prices to exceed their equivalent Cat
Remanufactured component prices. All parts used in Dealer rebuilt exchange components must be genuine Cat
parts, and one of the following conditions must exist:
• The Dealer rebuilt component is the lowest cost repair option, or
• The Dealer has obtained approval from Caterpillar prior to the replacement.
Situations that may qualify for rebuilt components to be exchanged include low age/hours, reduced downtime or
unavailability of repair parts or a remanufactured unit.
Dealer rebuilt components must be clearly identified as such on the component. For example: Dealers should
stamp “their Dealer code” and the word “Rebuild” above the component part number.

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 Cat Dealer that rebuilt the
exchange component. Parts reused in the rebuild are not eligible for parts warranty; however they may
be reimbursed as resultant damage per Bulletin 4.01 definitions.

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 to:
• Cylinder heads with repaired castings.
• Reground crankshafts.
• Connecting rods with oversized bearing bores.
• Complete engines or short blocks.

➤ 01.18-00 (03/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.18 Caterpillar: Confidential Green

Claiming Practices
The following claim field information should be included in service claims associated with the use of Dealer
rebuilt exchange components:
Miscellaneous Expense Line - claim the Dealer rebuilt exchange component on a miscellaneous expense line.
Do not enter your Dealer’s Rebuilt Part Number on a Parts Expense Line.
• Expense ID - enter M, for miscellaneous.
• Quantity - enter the quantity used.
• Part Name / Expense Description - enter the abbreviation “DLREXC” for Dealer exchange.
• Cost Total - enter the total cost of the Dealer rebuilt component(s) used.
Claim Story - in addition to the usual description of the complaint, cause and correction, the claim story must
also contain the following:
• Indicate that a Dealer rebuilt exchange component was used and why it was used.
• Indicate the Caterpillar person who approved usage of the Dealer Exchange component.

2 01.18-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.19

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Use Of Other Manufacturer Auxiliary Devices,

Accessories And Consumables
When auxiliary devices, accessories and consumables (filters, oil, additives, catalysts, etc.) made by
manufacturers other than Caterpillar are used on Cat® engines and/or machines, the Caterpillar® Warranty is not
affected simply because of such use.
The Caterpillar Warranty continues to cover defects caused by Caterpillar’s 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 Caterpillar’s Warranty.
Caterpillar is not in a position to evaluate the many auxiliary devices, accessories and consumables promoted
by other manufacturers and their effect on Cat 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 Cat products whenever a proposal or inquiry
concerning the use of other manufacturer products is received.

➤ 01.09-00 (03/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.19 Caterpillar: Confidential Green

2 01.19-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.21

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Service Items Sold By Caterpillar

Cat® brand coolants, lubricants, additives and other service items (fluids) sold by Caterpillar are not covered
by Parts Warranty. However they are guaranteed to be free from defects in material and workmanship at the
time of sale. Caterpillar will replace, without charge to the user, any service items that do not meet Caterpillar’s
specifications that were in effect at the time of sale to the user.
Service items are intended to be replaced periodically, in accordance with applicable Operation and
Maintenance Guides, and to meet specific operational needs. For example, service items, such as air filters,
must be changed more often than recommended if the equipment is used in an extremely dusty environment.
The user of service items must make their own assessment to determine what is suitable for a particular
purpose. Before accepting any claim in connection with Cat service items, the Dealer should ask the customer
for pertinent, documented information including: maintenance records, purchase invoices and S·O·SSM
(Scheduled Oil Sampling) Fluid Analysis results. In addition, the Dealer may need to perform an infrared scan
and a parts inspection to verify proper usage.
Cat service items may also be used in other manufacturer’s 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 Caterpillar sold service items are used in products manufactured by manufacturers
other than Caterpillar, warranty reimbursement is limited to replacement of the service item in those instances
where it was not manufactured according to Caterpillar requirements and industry standards.

➤ 01.21-00 (03/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.21 Caterpillar: Confidential Green

2 01.21-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.22

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Redo / Repeat Revenue Repairs

Performed By The Same or Another Dealer
Dealer Redo / Repeat Repairs
For non-warranty revenue repairs, Dealers typically warrant their own labor. In situations where a failure is
attributed to a previous revenue repair that was performed by another Dealer, the Dealer that is performing the
redo repair should contact the original repairing Dealer. The Dealer performing the redo must verify the extent
of the previous repair, and the terms of the original repairing Dealer’s warranty.
In such cases, if the cause of failure is due to workmanship from the previous repair and within the original
repairing Dealer’s warranty terms, then arrangements should be made for reimbursement from the original
repairing Dealer prior to completing the redo repairs. The customer should be informed that any repairs, which
are not warrantable, would be billed to them. During this process, Dealers must avoid undue delays, which
could cause additional customer dissatisfaction.

➤ 01.22-00 (03/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.22 Caterpillar: Confidential Green

2 01.22-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 1.23

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Cooling System Components

Cooling system components, including cylinder liners, water pumps, water pump seals, lines, elbows, heater
cores etc., may fail for a number of reasons, some of which clearly relate to defect in Caterpillar material or
workmanship - for example assembly of components. This bulletin addresses the coolant, which must be
considered in order to properly assess many component failures when establishing whether a warranty situation
exists.

Notice
Note that water alone is not an acceptable coolant and its use without treatment is likely to cause
premature failure of cooling system components, which are not in themselves defective.

Water: Must be of acceptable characteristics. These may be found in the product’s Operation & Maintenance
Manual or in the publication “Coolant and Your Engine,” SEBDO970-01 or later issue.
➤ Coolant Conditioner: Must be used in correct concentration with acceptable quality water. For correct
concentration in a specific engine system, refer to the Operation and Maintenance Manual for the engine.
Coolant conditioner concentration may be checked using the Caterpillar test kit shown in SEBDO970.
➤ Coolant/Antifreeze (Ethylene Glycol): In addition to providing protection against corrosion, freezing and
boiling, Coolant/Antifreeze protects against cavitation erosion. Water and conditioner alone will not provide this
protection; therefore, coolant/antifreeze concentration should be checked as part of a coolant analysis. Please
follow Operation & Maintenance Manual for all tests, checks and procedures.

Claim Practices
Where a cooling system component failure is being analyzed for a possible claim under warranty or another
coverage, the failure analysis is expected to include evaluation of the coolant as above in addition to
mechanical, assembly, coolant temperature and other influences. Inspection of failed components for coolant-
related effects such as rust; deposits; plugging or cavitations erosion is necessary to indicate whether the
cooling system has been operating with unsatisfactory coolant during the life of the now-failed component.

➤ 01.23-01 (05/11) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.23 Caterpillar: Confidential Green

The concentration readings of coolant conditioner and degrees of freezing protection, along with component
condition observation must be kept on the dealer’s file to support any claim on Caterpillar, and supplied when
any request for backup documents is made.
Where a warranty repair requires the draining and replacement of engine coolant, the coolant should generally
be stored, checked for acceptability and re-used. Where the coolant has been made unusable by the warranty
failure, the dealer’s cost of replacement coolant may be claimed.
The Coolant Related Failure Report is a suitable format for recording details of the product coolant and coolant-
related failure. The report is available online at https://warranty.cat.com/wtyforms. For retained samples of
coolant, storage out of direct sunlight in a one-liter glass container is recommended.

2 01.23-01 (05/11)
 Caterpillar: Confidential Green Bulletin No. 1.24

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Bargain List Products,

New Parts Bargain List and
Factory Surplus and Used Parts
Definition - Machines and Engines
Bargain List Machines and Engines are products that have been sold under particular conditions stipulating that
there is no or limited Caterpillar® Warranty coverage.
The Caterpillar invoice should provide all information in this respect.
Caterpillar, depending upon assigned warranty status, will either not, or only partially, participate in any
Dealer warranty claim settlement involving Bargain List Machines and Engines.
Dealers have to be particularly cautious when machines or engines of the Bargain List category are entering
their territory from other Dealers’ territories.

Definition - New Parts Bargain List

New Parts Bargain List are new parts that are sold at a discounted price and have full parts warranty.
Dealers have to be particularly cautious when products of the Bargain List category are entering their territory
from other Dealers’ territories.

Definition - Factory Surplus and Used Parts

Factory Surplus and Used Parts are parts that have been sold under particular conditions stipulating that there
is no Caterpillar® Warranty coverage (as is where is).
The Caterpillar invoice should provide all information in this respect.
Caterpillar will not participate in any Dealer warranty claim settlement involving Factory Surplus.
Dealers have to be particularly cautious when parts of the Factory Surplus category are entering their territory
from other Dealers’ territories.

➤ 01.24-01 (01/10) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.24 Caterpillar: Confidential Green

Warranty Administration
Prior to undertaking warranty repairs, Dealers should consult past repairs and/or the related Cat® product
invoice and the “Warranty Coverage” information on either SIMSi or CLAIMSi to determine the actual warranty
status of the concerned product. The url for SIMSi is https://sims.cat.com and CLAIMSi is https://claims.cat.
com.
Questions regarding a product’s warranty status should be directed to the Dealer’s Warranty Operations group.
Despite the absence of standard warranty coverage, Bargain List Machines and Engines are eligible for all
PIP service letter modifications, (but not PSP service letter) within the limits indicated in related Service
Letters.

2 01.24-01 (01/10)
 Caterpillar: Confidential Green Bulletin No. 1.25

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Warranty Service by
Authorized Sales and Service Centers (ASSC)
➤ Overview
Caterpillar and Cat® Dealerships may provide sales and service support for Power Systems and specific General
Construction Products through specialized organizations called ASSC – Authorized Sales and Service Centers.
The type of ASSC and GC ASSC vary by product/marketing segments:
• Authorized Marine Dealer (AMD) for marine applications
• Truck Engine Parts and Service (TEPS) for On-Highway Vehicles
• Marine Engine Parts and Service (MEPS) for Marine engines
• ISD - Industrial Service Distributor (ISD) for Industrial engines
• Agriculture – TEPS (AG-TEPS) for agricultural applications
• Authorized Power Generation dealer (APGD) for electrical energy products
• Commercial Engine Product Support Outlet (CEPSO) for industrial applications
• General Construction Authorized Sales and Service Centers (GC ASSC) for selected Building Construction
Products and Compact Construction Equipment (CCE) products
The ASSC is assigned by a Cat Dealer with Caterpillar approval to improve the coverage for Cat products in a
pre-defined territory/area.
The Cat Dealer is responsible to supervise and train his appointed ASSC accordingly.
Each ASSC is assigned a specific 2nd level dealer code by Caterpillar.

➤ Warranty Claims
Claims submitted by Cat Dealers or by ASSC Dealers for work done by an ASSC must be in the following
format:
Repair Dealer/ASSC Dealer claim fields:

➤ 01.25-02 (08/10) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 1.25 Caterpillar: Confidential Green

• If Cat Dealer entered, then enter Cat Dealer Code in Repair Dealer code field and enter ASSC Dealer code
in the Associated Dealer code field.
• If ASSC Dealer entered, then enter ASSC Dealer code in the Repair Dealer code field and enter the
associated Cat Dealer code in the Associated Dealer code field.
Note: All ASSC labor rates must be on file prior to any 2nd level dealer activity in order for claims to be
processed by the Service Claim system. Refer to Bulletin 1.05T for labor rate information.
• Parts: Enter the part numbers used for the repair. The system will automatically assign the correct price.
• Labor: If applicable, enter the labor spent with the relevant SMCS and job code. The system will pick up
the approved ASSC labor rates.
• Travel and Mileage: Travel expenses are claimable per the applicable bulletin.
The same conditions apply for Dealers and ASSC where warranty administration is concerned such as retention
of parts, invoices for miscellaneous expenses, submission time, etc. Refer to the appropriate bulletins in the
Global Service Warranty Guide.

2 01.25-02 (08/10)
 Caterpillar: Confidential Green Bulletin No. 1.26

SERVICE

WARRANTY BULLETIN Global

General Guidelines

India Dealers - Additional Sales Tax / VAT

India dealers can claim Sales Tax, Surcharges, Cess etc., as applicable up front for all warranty transactions in
India from Caterpillar. The tax can be claimed under miscellaneous expenses line item on the claim using the
miscellaneous code “OTHER.” The expenses should be explained in the Claim Story. The applicable Sales
Tax, Surcharges, Cess etc for the various Indian States are provided in Table 1 found on page 2 of this bulletin.
The methodology for calculation of Additional tax/VAT for parts purchased from the India Distribution Center and
Asia Distribution Center is given below.
Dealers will confirm to India Warranty Administration team at the end of every calendar year that the Sales Tax,
India Distribution Center (Parts D/N + CST1) x Addl. Sales Tax/VAT %
Asia Distribution Center (Parts D/N + T&I2) x Addl. Sales Tax/VAT%

OEM (Parts C/L + T&I2) x Addl. Sales Tax/VAT%

Surcharges, Cess etc. as applicable and as explained above have been duly remitted to the government and
that there are no dues for those transactions. In the event of any liabilities from these transactions, dealers will
not make any additional claims on Caterpillar and shall indemnify Caterpillar for any loss, damages, claims that
may be caused to Caterpillar on account of a lapse on the dealer’s end.
1
CST - Central Sales Tax
2
T&I - Transportation and Import

➤ 01.26-10 (04/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.26 Caterpillar: Confidential Green

➤ Table 1 - Applicable Additional Sales Tax, Surcharges, Cess For Indian States
Machines
State Engines
Mining Non-Mining
ANDHRA PRADESH 14.50% 14.50%
ASSAM 5.00% 13.50%
BIHAR 5.00% 13.50%
CHATTISGARH 5.00% 14.00% 14.00%
DELHI 5.00% 12.50%
GOA 12.50% 12.50%
GUJARAT 15.00% 15.00%
HARYANA 13.125% 13.125%
HIMACHAL PRADESH 13.75% 13.75%
JAMMU & KASHMIR 13.50% 13.50%
JHARKHAND 14.00% 14.00%
KARNATAKA 5.00% 14.00%
KERALA 13.5% 13.5%
MADHYA PRADESH 5.00% 12.50% 13.00%
MAHARASHTRA 12.50% 12.50%
ORISSA 13.50% 13.50%
PUNJAB 13.75% 13.75%
RAJASTHAN 5.00% 14.00%
TAMILNADU 14.50% 14.50%
UTTAR PRADESH 14.00% 14.00%
UTTARAKHAND 5.00% 13.50%
WEST BENGAL 5.00% 14.50%

➤ Indicates change. 2 01.26-10 (04/13)

 Caterpillar: Confidential Green Bulletin No. 1.27

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Claim Miscellaneous Codes

NOTICE
This bulletin is effective for all claims adjudicated on/after 01Jun11. It is provided now to help Dealers
prepare for the system change.

The Claim Miscellaneous Codes are the various miscellaneous expense codes and their corresponding
standardized reporting description that Dealers should enter in the Description field for each of these expenses.
These are the only miscellaneous codes that will be considered for reimbursement.
Refer to Bulletin 1.02 for proper claiming instructions for fluids and oils.

➤ 01.27-03 (11/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.27 Caterpillar: Confidential Green

Miscellaneous Expense Codes

Miscellaneous Codes Type of Expense/Definition
AIRCON AIR CONDITIONER EXPENSES - Bulletin 2.01
AIRFAR AIRFARE EXPENSES - BULLETN 1.02
ASVPRT ALL SEASON VEHICLE PART NUMBERS
AUXFIL AUXILIARY FILTER - REIMBURSED AT COST
BDPRTS BALDERSON PARTS - BULLETIN 2.02
BGPRTS BARBER GREENE PARTS - BULLETIN 2.01
BTPRTS BITELLI PARTS - BULLETIN 2.10
CATATF CATERPILLAR AUTOMATIC TRANSMISSION FLUID
CATFRZ CATERPILLAR ANTIFREEZE
CATOIL CATERPILLAR OIL
CATPRT CATERPILLAR PARTS ON WORK TOOL CLMS - BULLETIN 2.02
CFPPRT CAT FOREST PRODUCTS PARTS - BULLETIN 2.01 & 2.08
CRANE BOOM OR CRANE
DLREXC DEALER REBUILD EXCHANGE - BULLETIN 1.18
ENGINV ENGINE INVOICE (WARRANTY REPLACEMENT) - BULLETIN 3.01
FABRIC FABRICATE PARTS OR MATERIAL - BULLETIN 1.02
FREON FREON EXPENSES - REFRIGERANT - BULLETIN 2.01
FRGHT FREIGHT EXPENSE - BULLETIN 1.02
GDWILL GOODWILL
GENINV GENERATOR INVOICE (WARRANTY REPLACEMENT) - BULLETIN 3.01
GSTTAX GOODS AND SERVICE TAX - AUSTRALIA ONLY
HANDLI HANDLING - BULLETIN 3.01
HARSHP HARDSHIP - GOODWILL
HAULNG HAULING EXPENSES - BULLETIN 1.02
HYDOIL HYDRAULIC OIL
JHPRTS JOHN HENRY PARTS
JPNTAX JAPAN TAX
LODGE LODGING EXPENSE - BULLETIN 1.02
MACHNE MACHINING EXPENSES - BULLETIN 1.02
MEALS MEALS EXPENSE - BULLETIN 1.02
MISC. CODE FOR SPECIAL T & I SITUATIONS - (FOR EXAMPLE: DESIGN TO
➤ MISCTI
ORDER (DTO) - PER BULLETIN 1.04)
NSAL SALVAGE LABOR - REIMBURSED AT NET
OLY OLYMPIAN PRODUCT - BULLETIN 3.09
OTHATF OTHER AUTOMATIC TRANSMISSION FLUID
OTHER OTHER EXPENSES - DETAILED IN CLAIM STORY - REIMBURSED AT COST
OTHFRZ NON-CAT (OTHER) ANTIFEEZE - REIMBURSED AT COST
OTHOIL NON-CAT (OTHER) OIL - REIMBURSED AT COST
SERCHG SERVICE CHARGE (EMERGENCY ORDER) - BULLETIN 1.02
SOSKIT SOSKIT - BULLETIN 5.04 ONLY
STKORD STOCK ORDER - BULLETIN 1.02
SUBLET SUBLET REPAIR - BULLETIN 1.02
TOLLS TOLLS - BULLETIN 1.02 & 3.01
TOWING TOWING - BULLETIN 1.02 & 3.01
TRANSM TRANSMISSION INV. (WARRANTY REPLACEMENT) - BULLETIN 3.01
TRBLPT TRIMBLE PART - PART NUMBERS IN STORY, BULLETIN 2.01

➤ Indicates change. 2 01.27-03 (11/12)

 Caterpillar: Confidential Green Bulletin No. 1.28

SERVICE

WARRANTY BULLETIN Global

General Guidelines

Shipping Damage And Discrepancies

(All Products and Parts Orders)
➤
Contents:
Short Ship on All Products.................................................................................................page 1
Claim Submission Requirements....................................................................................page 2
Damage Due to Improper Packing................................................................................page 4
Parts Shortages or Incorrect Parts Shipped...................................................................page 4
Accidental Shipment of Used Part Instead of a New Part..............................................page 4
Product Invoice Credits...................................................................................................page 4
Shipment Error Documentation without Filing a Claim...................................................page 4
Errors In Shipment Decision Model...............................................................................page 5

Other Bulletin References:

• Pre-Delivery Warranty Repairs -> Refer to product bulletins, for example Engines, Bulletin 3.01;
Machines, Bulletin 2.01.
• In-Transit Warranty Repairs -> Refer to product bulletins, for example Engines, Bulletin 3.01;
Machines, Bulletin 2.01.
• Parts Warranty -> Bulletin 4.01
• Parts Stock Warranty -> Bulletin 4.08

➤ Short Ship on All Products:

Shipping discrepancies are referred to as Short Ship and apply to situations where parts were ordered with a
machine or engine but were not received. These situations apply only to machines and engines ordered and
received through the Cat® Order Fulfillment process (i.e. CEOPS for most dealers, or CMOPS) for dealers in all
regions.
It is the dealer’s responsibility to check and inspect the product upon delivery to the dealership or
warehouse, and to perform a thorough analysis of a suspected short-shipment. Causes for shortages,
product errors, and damages in shipment can be linked to various processes, including order fulfillment,
manufacturing, logistics, and transportation of dealer operations and/or storage. Therefore, it is imperative
to identify the responsible party in each Short Ship situation before filing a claim.

➤ 01.28-01 (05/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 1.28 Caterpillar: Confidential Green

Dealer Repair Expense Reimbursement

Dealer reimbursement for repair expenses related to Short Shipment will be per the Summary of Reimbursement
Practices Chart found below and in accordance with applicable Reimbursement Practices as outlined in Bulletin
1.02.

Short Shipment Summary of Reimbursement Practices

Repair Expense Allowance and Rate
Parts Reimbursable at D/N.
1
Repair Labor Reimbursable at warranty cost labor rate.
Parts Service Charges Reimbursable.
Service Items Reimbursable at D/N, if made unusable.
Parts Salvage Labor Reimbursable at warranty cost labor rate, if justified.
Outside Repair Expenses Reimbursable, at cost.
Overtime Labor Rate, Shop Supplies, Hauling Costs Not Reimbursable.
and Value Added Tax
Travel Time and Mileage Reimbursable at Travel Rate & Vehicle Rate2
– If required for dealer to travel to an OEM or
to a customer site where product was directly
delivered from Caterpillar and not covered under
commissioning.
Meals and Lodging At cost – Only if justified.
Freight Charges Reimbursable.
1 Assembly labor for loose-shipped parts or components and machine assembly/commission labor normally
performed by the dealer is not reimbursable.
2 Claim Story must include adequate To/From Destination detail to validate amounts.

➤ Determining Responsibility for Errors in Shipment

The Errors in Shipment Decision Model on page 5 breaks down a variety of Short Ship situations and can
be used to help determine the party responsible for the error in shipment. In situations where Caterpillar is
responsible, a Short Ship claim may be submitted through the Caterpillar® Warranty Claim System. In the
Errors in Shipment Decision Model, these situations are highlighted in yellow.

Note: If the product has a failure or an issue due to a missing or wrong part(s) that is not visible and requires
trouble-shooting, disassembly, operation or testing to identify the defect, then a pre-delivery warranty claim
should be filed, per bulletins 2.01 and 3.01. In the Errors in Shipment Decision Model, these situations are
highlighted in green.

Note: Missing Cat® literature is not reimbursable. For missing or incorrect literature, please contact the
appropriate orders group account coordinator directly for replacement.

➤ Submission Requirements for a Short Ship Claim

• Claim Value – The minimum claim value must be $50 USD or more.
• Claim Submission – The claim must be filed within 60 days of receipt of the product at the
dealership, warehouse, Original Equipment Manufacturer (OEM) factory or Caterpillar Inc. direct
shipment of product to a customer site. The product must be checked upon arrival. Short ship
claims are not eligible for late claim exceptions.

2 01.28-01 (05/13)
 Caterpillar: Confidential Green Bulletin No. 1.28

Considerations outside of 60 days from receipt of product:

• Mining products shipped direct to customer site that are not immediately built/commissioned.
Crates / containers must be securely stored and NO parts utilized for other repairs on other
products. Dealers must confirm secured storage. Dealers should inventory parts at beginning
of build and submit claim with copy of work order showing build start date into SIMSi with
short ship claim.
• Parts availability - Dealers that perform the inspection within the required time frame
that encounter parts availability issues must note such in the claim story and upload supporting
documentation in SIMSi for review with the claim.
• SIMSi – A SIMSi report must be submitted prior to submitting a claim.
• Pictures - will be required for all situations related to damaged parts or where a
photograph will greatly help to support the claim.
• To upload photos, use the SIMSi function “ADD SERVICE IMAGE” to attach digital
photographs or electronic documents to the SIMS report. This will automatically link
to the claim if they use the same part causing failure, group number, and serial
number.
• Serial Number - Enter the Cat® Product Identification Number or the Prime Product Serial Number.
• Delivery date – Enter one of the following:
• For errors on product that is in dealer inventory or not yet in service, use “00NIS00” as the
delivery date.
• For errors on product that is at an OEM factory, use “00IFI00” as the delivery date.
• Parts start date – Leave this blank.
• Part Causing Failure - If more than one part is missing enter the most expensive part in the Part
Causing Failure field.
• Group Number –
• Machines - Enter 770M
• Engines - Enter 770S
• Attachments -
• Use 770M if attaching to a machine
• Use 770S if attaching to a Commercial/Truck/Marine Engine
• PD Code – Enter the product defect code.
• 81 (Operation Omitted)
• 82 (Wrong/Missing Part)
• Comments / Findings - Enter the MSO/ESO reference followed by the actual SMCS or group
number followed by the part number.
• For example: MSO MZYB4, ESO NHFYJ
• Claim Story - The claim story must explain what was wrong with the product for classification as
short ship and the issue resolution.
• Part / Labor Detail Lines – Dealer part and labor lines should reflect the parts/labor to repair or
install parts that were damaged or missing as a result of a factory error and explanation provided
in the claim story. Labor should be broken down by logical segments with corresponding
SMCS component and job codes. Assembly labor for loose-shipped parts or components and
machine assembly/commission labor normally performed by the dealer is not reimbursable.
• Miscellaneous Detail Lines – Oils/fluids and Caterpillar® approved parts that do not have Cat part
numbers are claimed on miscellaneous detail lines. For example, Bitelli™ parts and Cat forestry
parts are Caterpillar approved parts that do not always have a Cat part number assigned. If items
are claimed on the miscellaneous lines they must be explained/documented in the claim story,
including the actual part numbers and part descriptions.

01.28-01 (05/13) 3
Bulletin No. 1.28 Caterpillar: Confidential Green

Damage Due to Improper Packing

For Machine or Serial Numbered Attachment Shipments – If the machine or serial numbered attachment
has parts that were damaged during transit as a result of improper packing at the factory, an Error in Shipment
claim should be submitted for the replaced parts. An explanation of the circumstances surrounding the damage
should be included in the claim story. Photographs showing the part and related packing damage should be
kept on file.
For Parts Shipments - If parts are damaged because of improper packing or handling by Caterpillar, dealers
should submit a Defective Parts Stock claim as outlined in Warranty Bulletin 4.08. The claim story should
describe the damage and what the dealer believes caused the damage.
For Damages Due to Shipping Carrier – When damage occurs while in transit due to negligence by the
shipping carrier or parties other than the manufacturer, is not the responsibility of Caterpillar. For such cases, a
claim should be made against the shipping carrier involved, please contact carrier directly.

Parts Shortages or Incorrect Parts Shipped From a Parts Store/Warehouse.

To claim for part shortages or incorrect parts, dealers must submit a parts claim on the ANTARES system. Do
not submit a machine warranty or an Error in Shipment claim. ANTARES claiming instructions are available on
URL https://warranty.cat.com/training.

Accidental Shipment - Used 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
through the Caterpillar Service Claim System. Instead, dealers should submit a claim via the ANTARES Claim
System to return a used part, indicating in the remarks that a used part was received. ANTARES claiming
instructions are available on URL https://warranty.cat.com/training.

Machine Parts Return Process

The Short Ship process does not replace the processes in place regionally for machine parts return/machine
customization that are used when dealers must modify a machine to meet customer requirements. Dealers
request Caterpillar to accept new, takeoff parts from a machine the dealer reconfigures to meet a customer need
more cost effectively. Dealers should direct inquiries regarding machine parts return/machine customization to
the appropriate Account Coordinator in the Distribution Demand Planning group.

Product Invoice Credits

If the product arrives not built as ordered due to either assembly error or order error and requires an adjustment
to the invoice, please contact the DSD / Orders Division / Orders Group for the dealership. For example, if
a different bucket/attachment is installed on a machine than what was ordered by the dealer, then the orders
group should be contacted to resolve the error and process any invoice correction required.

Shipment Error Documentation Without Filing a Claim - SIMS Entry

Dealers who have worked directly with the factory to resolve a Short Shipment error do not need to file a claim,
but can enter a SIMS entry to document the error.
Note: Entering the SIMS entry only documents the error, the entry does not mean the factory will contact the
dealer.

4 01.28-01 (05/13)
 Errors in Shipment Decision Model
For shortage, errors and damage in shipment * Errors in Shipment Use SMCS 770M for machines
Use SMCS 770S for engines
Non-visible Parts that require some disassembly or operation / testing to be checked or to determine there is an issue involving a missing/wrong installed part.
Definitions
Visible Parts that do not require some disassembly or operation / testing to be checked
Warranty Who is Who should
General Category Issues description Potential Root Causes How to claim?
Yes / No responsible? handle?

01.28-01 (05/13)
Parts missing Dealer claims parts are missing Parts were not ordered No Dealer or OEM Dealer
Wrong Attachment / Arrangement ordered No Dealer or OEM Dealer
Factory did not ship Yes Caterpillar Warranty Short Shipment Claim *
Parts were lost / stolen in Transit No Forwarder Forwarder
Dealer mislaid the parts No Dealer or OEM Dealer
Parts not installed at factory (non-visible) Yes Caterpillar Warranty Standard pre-delivery claim
Parts not installed at factory (visible) Yes Caterpillar Warranty Short Shipment Claim *
Changes in parts consist (top level arrangement, attachments not as ordered) Yes Caterpillar Warranty Short Shipment Claim *
Changes in parts consist (top level arrangement, attachments) No Dealer Dealer
Excessive parts on product Dealer receives too many parts Factory shipped too many non-visible parts Yes Caterpillar Warranty Short Shipment Claim *
Factory shipped too many visible parts Yes Caterpillar Warranty Short Shipment Claim *
Dealer ordered too many parts No Dealer Dealer
Wrong parts on product Dealer claims wrong parts were shipped Wrong attachment ordered No Dealer Dealer
Forwarder made a mistabke (mixed up shipments) No Forwarder Forwarder
Dealer mixed up the parts No Dealer or OEM Dealer
Wrong parts installed at factory (non-visible) Yes Caterpillar Warranty Standard pre-delivery claim
Wrong parts installed at factory (visible) Yes Caterpillar Warranty Short Shipment Claim *
Fluids Fluid missing Wrong attachment ordered / Ship dry or wet? No Dealer Dealer
Fluid level Low fluid level - NOT reimbursed by Caterpillar No Dealer Dealer
Fluid level No fluid or below minimum amount Yes Caterpillar Caterpillar Standard pre-delivery claim (bul 2.01 or 3.01)
Wrong Fluid Oil type (NOT viscosity) not correct for compartment Yes Caterpillar Warranty Standard pre-delivery claim

5
Wrong Fluid Bio-oil: dealer didn't order No Dealer Dealer
Wrong Fluid Bio-oil: dealer ordered Yes Caterpillar Warranty Short Shipment Claim *
Wrong viscosity Packaging problem, dealer did not order required package for shipping/transport No Dealer Dealer
Wrong viscosity Specific viscosity available: Dealer ordered Yes Caterpillar Caterpillar Short Shipment Claim *
Wrong viscosity Specific viscosity available: Dealer did not order No Dealer Dealer
Corrosion Product is corroded Factory workmanship error - Paint / surface not up to specification Yes Caterpillar Warranty Standard pre-delivery claim
Packaging problem, inadequate protection for shipment Yes Caterpillar Warranty Short Shipment Claim *
Packaging problem, dealer did not order required package for shipping/transport No Dealer Dealer
Transport not up to specification No Forwarder or Cat Forwarder
Damages in Transit No Forwarder Forwarder
Unit kept in stock by dealer, improper storage No Dealer Dealer
Paint Paint is damaged Factory workmanship error - Paint / surface not up to specification Yes Caterpillar Warranty Standard pre-delivery claim
Packaging problem, inadequate protection for shipment Yes Caterpillar Warranty Short Shipment Claim *
Packaging problem, dealer did not order required package for shipping/transport No Dealer Dealer
Shipment not up to specification No Forwarder or Cat Forwarder
Damages in Transit No Forwarder Forwarder
Unit kept in stock by dealer, improper storage No Dealer Dealer
Paint options not adequate No Dealer Dealer
Caterpillar: Confidential Green
Bulletin No. 1.28
Bulletin No. 1.28 Caterpillar: Confidential Green

6 01.28-01 (05/13)
 Caterpillar: Confidential Green Bulletin No. 3.01

SERVICE

WARRANTY BULLETIN Global

Engines

Engine Expenses and Identification

This bulletin provides warranty coverage information, submission requirements, instructions, and limitations for
Caterpillar prime product Power Systems in Marine, Industrial, Petroleum, and Rail applications. Warranty terms
will differ based on the Power System arrangement, application, and method of distribution. Please refer to the
charts on pages 13-19 of this bulletin for more detailed information.
Engines (New or Reman) ordered from the dealership’s sales department as a captive engine (used in
Caterpillar Machines or Caterpillar Packaged Products) or through the dealership’s parts department may or
may not have information fields in SIMS allowing the unit to be SCORED. If information fields are missing,
the engines are covered under Parts Warranty. In these cases, reference Warranty Bulletin 4.01 for claim
submission requirements, instructions, and limitations. Please ensure that captive versus prime product
warranty terms are understood when ordering serialized product from Caterpillar.
Units originally ordered in packaged products are not intended to be broken up for sale either as a single unit
or mixed with another packaged unit. Please contact the product group before breaking up a packaged unit as
it affects coverage, sales and application. For more information regarding Cat® Packaged Products, refer to
Warranty Bulletin 3.19.

Pre-Delivery Engine Repairs

Defects in material or workmanship found in products prior to delivery should be corrected before the Power
Systems product is delivered to the user. When such costs justify it, a claim may be submitted for the parts
required and for a reasonable amount of labor to remove/correct the defect (see details below). As normally
expected, a product in pre-delivery should be in dealer inventory and the repair will be made outside of
customers sight and knowledge. Travel and associated expenses will not be reimbursed, unless justified and
clearly explained in the claim story.
1. Each incident has to be reported on a separate claim and a corresponding SIMS report must have been
submitted prior to the claim being submitted.
2. Applicable TRG labor should be claimed and any overage explained in the claim story.
3. To qualify as “Pre-delivery Repair,” the unit should not exceed SMUs limits outlined in Warranty Bulletin 1.12.
4. NON-defective repairs during pre-delivery will not be reimbursed unless a Caterpillar Service Letter
supports the repair.

➤ 03.01-12 (05/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.01 Caterpillar: Confidential Green

Pre-Delivery Engine Claims Information and Reimbursement

There are two different ways to claim for these types of repairs:
• 00NIS00 in the Delivery Date field means the unit is in dealer inventory and receives applicable dealer
reimbursement.
• 00IFI00 in the Delivery Date field means the unit is in OEM Factory inventory (not a Caterpillar® owned
factory or packaging facility) and receives applicable dealer reimbursement.
Pre-delivery claims on product owned by Caterpillar (in route, located at a distribution center) or CJL owned
dealership is not claimable. Please refer to Warranty Bulletin 1.14.

Dealer Repair Expense Reimbursement

Dealer reimbursement for repair expenses related to Engine Standard Warranty will be per the Global Warranty
Policies Charts found at the end of this bulletin, per the following additionally noted expense information and in
accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02.

Reman (Complete) Engines

Reman engines are only manufactured for the following applications: On-highway, Industrial and EPG. A
Reman engine will only have warranty for the application that it was designed for, if you use a Reman engine in
an incorrect application (Marine, Petroleum, Locomotive...), warranty will only be allowed for Caterpillar defects
in material or workmanship that are not affected by the incorrect application.

Reman Reimbursement
• All truck Reman engines are dealer reimbursed with parts at C/L and labor at Sell.
• Industrial Reman engines (C-10 to 3500) are dealer reimbursed with parts at D/N + 15% and labor at Cost.
• Industrial Reman engines (3003 to 3024, C0.5-C2.2, 3034 to 3056, and all ACERT engines) are
reimbursed with parts at C/L and labor at Sell. Terms and limits are described in the proper Warranty
Statement for the application.
Terms and limits are described in the proper Warranty Statement for the application.

Industrial/Petroleum/Electric Power/Marine Warranty Expenses

Industrial/Petroleum/EP/Marine Warranty pertains to Caterpillar’s warranty reimbursement practices that 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.

Repair Labor Hours

All labor associated with a repair in Industrial/Petroleum/Electric Power/Marine applications may not be
Caterpillar’s responsibility (refer to the appropriate Warranty Statement for further information).
Per Warranty Statement responsibilities if applicable, labor is limited up to and no more than labor to disconnect
and reconnect the engine from/to its attached equipment, mounting, and support systems, if required. The
remaining repair labor hours will then be treated as though the engine is “on the floor” and will be reimbursed
according to the applicable Time Requirement Guide (TRG) regardless of whether the engine is actually
removed from it’s mounting/support system. These are the guidelines to follow.

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 Caterpillar: Confidential Green Bulletin No. 3.01

In cases where no TRG times or other published times exist, a detailed labor breakdown of segmented
actual reasonable times should be claimed using applicable SMCS codes in order to identify labor operations
performed.
Labor not covered under Industrial / Petroleum / EP / Marine Engine Warranty includes:
• Labor needed to salvage or replace parts made by manufacturers other than Caterpillar
• Labor to remove and install hatches, decking, sheet metal, grates, enclosures and ladders
• Labor for fabricating or installing lifts, cribbing components for R&I or separate/connect
• Labor removing furniture, carpeting or flooring material
• Labor for engine compartment detailing
• Costs for transporting the product or equipment in which the product is installed
• Labor for cutting/repairing hulls
• Any crane/equipment rental fees (see Bulletin 1.02)

NOTICE
Steam cleaning the engine/marine transmission/generator, testing 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.

Travel Expenses
When the product cannot reasonably be transported to a Cat® dealer or an Authorized Sales and Service
Center (ASSC) for the warranty repair, the reimbursement practices for travel expenses varies based on the
product application and, in some cases, the engine model. Please refer to the matrixes in this bulletin for dealer
reimbursement.

Note: Travel mileage expenses will be reimbursed for the distance from the nearest dealer branch store to
the job site authorized to perform repair service to that particular product. Reasonable travel and mileage is
figured at an average rate of 40 mph or 64.374 km. Excess travel and mileage due to scheduling issues,
acts of mother nature, traffic congestion issues in densely populated areas or extremely remote locations is
beyond what is considered reasonable.

Travel Expenses - On-highway Engine/Transmissions, NOT used in the

Cat® Vocational Truck
When the product cannot reasonably be transported to a Cat dealer or authorized TEPS dealer for the warranty
repair, the travel reimbursement practices varies based on the product application and, in some cases, the
engine/transmission model as per the following:
• For Cat engines/transmission sold in on-highway vehicles but not intended, nor licensed, for on-highway
use (such as yard spotters, street sweepers, mobile work over rigs, crane carriers, mobile-ag fertilizer
spreaders and mobile sludge injectors), 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 dealer’s approved warranty sell rate. Meals, lodging, tolls, etc. are reimbursable at actual cost.
• For Cat engines/transmission sold in on-highway vehicles that are intended and licensed for on-highway
use, travel expenses are reimbursable if less expensive than towing to an authorized Caterpillar® repair
facility, or if necessary to perform repairs at an OEM factory.

03.01-12 (05/13) 3
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Reasonable travel time and mileage from the nearest authorized full service dealer are reimbursable at the
dealer’s approved warranty rate. Tolls are reimbursable at actual cost. Meals and lodging are not reimbursable.

NOTICE
For on-highway vehicle engine/transmission repairs that require travel, the dealer should be certain that
travel is the most economical and the vehicle can be made operational without towing, as warranty will
not pay for both towing and travel.

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:
• 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

Freight Charges
EAME and Americas South -Inbound surface or airfreight charges for emergency parts shipments from a
Caterpillar Parts Distribution Center to the dealer are reimbursed. Invoices for such freight charges must be kept
on file.
Dealer shuttle service expenses between a Caterpillar Parts Distribution Center and the dealer or between a
dealer’s stores are not reimbursable.
Americas North (Engines) and APD -Freight charges for inbound surface or airfreight charges from a source
distribution center other than the dealer’s assigned Parts Distribution Center are reimbursed. Charges from the
dealer’s assigned Parts Distribution Center are the responsibility of the dealer.
For TEPS dealers in all regions, the same criteria for premium freight reimbursement apply. Since it is difficult
for TEPS dealers to know all the shipping information for a freight expense, Cat® 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 Cat dealer or the Cat dealer’s primary servicing parts distribution center.

Prime Product Serial Number Replacement

When a complete Caterpillar prime product (engine, generator or transmission) is replaced with a new prime
product during the standard warranty or extended service coverage period. Caterpillar will only approve the most
economical repair option. File the claim per the examples provided in the Service Claim Instruction Handbook
(found on the Caterpillar Warranty web-site under training material) using the special instructions below:
• Do not put any parts, labor and/or miscellaneous items on the detail screen of the claim.
• A detail explanation of the defect in Caterpillar material or workmanship and resultant damaged parts. The
name of the Caterpillar (not a dealer person) rep that authorized the complete replacement and reason for
complete replacement. Only use a maximum of 80 lines for all information.
• Attach a properly completed Repair vs. Replace Worksheet to the claim in SIMS; this is used instead of
claiming individually on the detail page of the claim. Submit one MISC line for the total cost using the
proper MISC code from Warranty Bulletin 1.27.
• Complete engine, transmission or generator units are to be priced on the Repair vs. Replace worksheet at
Dealer Net price, no other costs are allowed such as freight, T&I, taxes....
• Submit a SIMS ticket against the failed prime product and the new prime product describing the transfer of
serial numbers (i.e.: BCK01234: “replaced by BCK43210” & BCK43210: “replaces BCK01234”).

4 03.01-12 (05/13)
 Caterpillar: Confidential Green Bulletin No. 3.01

• The failed prime product is not available for the dealer or customer. The complete failed prime product
must be returned to Caterpillar as a core or scrapped per warranty guidelines. The replaced product serial
number will be removed from the system as no warranty claims (Standard, Cat® Insurance or Parts) will be
allowed against this serial number in the future.
Caterpillar will review the claim and determine if complete replacement was justified/allowable or not. If it were
found that the complete replacement was not justified, the claim line will be adjusted down to the amount warranty
would pay based on the Repair vs. Replace worksheet, claim story information and warranty guidelines.

Handling Fee
If Caterpillar supplies a complete new prime product to fulfill a warranty obligation, repairing dealers may claim a
$200.00 handling charge. Include the $200.00 handling charge in the claim for other reimbursable expenses as a
miscellaneous line item.
If Caterpillar requests a dealer to supply a replacement prime product to another dealer at their acquisition cost,
the supplying dealer may claim a $200.00 handling charge as a miscellaneous line item. File a claim against the
failed prime product serial number and include the name of the repairing dealer, shipped to address, and supplied
prime product serial number in the claim story.

Generator Rectifier
For warranty claims on all generator rectifier groups and heat sinks, dealers are responsible to determine the
root cause of the failure and provide the necessary documentation that demonstrates that the failure meets
warranty guidelines. Please reference SENR5359 for proper failure confirmation of these components.
Varistor failures are seldom a defect in Caterpillar® material or workmanship. The varistor is a protective
devise used to absorb electrical energy from load-induced transients and surges. If the varistor is found to be
inoperable (i.e. open or shorted to ground), the varistor, in most cases, failed due an application-related event
that resulted in a transient voltage surge on the main rotor winding. Refer to Engine News SEBD9326 for further
explanation.
Common root causes of varistor failure include:
• Incorrect paralleling or loss of synchronism
• Reverse VAR or reverse power event
• Excessive ambient or environmental conditions
• Large sudden load application outside of rating guidelines
If the unit has a varistor failure, troubleshooting the installation and application external to the generator is
required to identify and correct the root cause of the failure.
If the dealer believes there is a defect in the varistor details of the applied troubleshooting procedure and results
as documented from SENR5359 must be included in the claim story.
Generator failure claims must include the following information:
1. Submit failure diagnosis results on all components with rectifier group/heat sink
2. Provide all troubleshooting performed and results for both the generator and external environment/system

Factory Installed On-highway Diesel Particulate Filter (NACD Only)

North American Cat® dealers are required to call the DPF Hotline anytime a DPF is replaced on a 2007
Emissions-Certified Engines whether failed or contingently damaged.
TEPS dealers are required to contact their local Cat dealer Technical Communicator (TC) first. If the TC has not
returned the call after 30 minutes, TEPS dealers may call the DPF Hotline directly.
Phone: +1-877-598-8920 U.S; select DPF Hotline from the automated menu.
An authorization number will be given when the repair is complete and all requested information, tests and
downloads have been submitted and approved. This would also include any ECM updates that are required
when the DPF has been replaced.
A Parts Return Request (PRR) will be issued for every warranty claim in which a DPF is replaced.

03.01-12 (05/13) 5
Bulletin No. 3.01 Caterpillar: Confidential Green

Cat® Dealer Responsibilities:

1. Provide Dealer Code or Dealer TC name.
2. Provide ECM Download (includes Engine Serial Number and Miles/Kilometers/Hours)
3. Provide a successful regeneration and ASVT (Air Systems Verification Test) and any additional tests
requested by the DPF Hotline prior to the vehicle leaving the shop.
4. Current DPF Serial Number (placed first in the warranty claim story).
5. Replacement DPF Serial Number (placed second in the warranty claim story).
6. Obtain Authorization number for replacement Enter number in comments field on warranty claim and PRR.

TEPS Dealer Responsibilities:

Contact TC at local Cat® distributor.
1. Call the DPF Hotline.
2. Follow “Cat Dealer Responsibilities.”

Primary Fuel Filter Base 280-2698

Primary Fuel Fiter Base 280-2698 is not purchased with the engine. The OEM may purchase the part from
Caterpillar as an alternative to other competitive products.
The fuel filter base does not qualify for standard warranty coverage from Caterpillar as it not part of the engine
arrangement as it left the factory. The part does qualify for parts warranty. Failures due to defects in materials
or workmanship of the component should be filed under parts warranty.

Cat® ET (Electronic Technician) ECM Report / Download Requirement

(Electronically Controlled Truck Engines only)
Effective with repairs beginning on or after 01Apr07, Caterpillar requires a Cat ET ECM Report / Download for all
Truck Engine warranty repairs / claims per the below:
• Required on all repairs.
Note: Requirement does not apply to over the counter “Parts Warranty” claims; no labor is claimed (customer
performed repairs).
• Dealers are responsible for over the counter “Parts Warranty” management and possible neglect/continued
operation situations, which requires an ECM Download if resultant damaged parts are claimed.
• ECM download may be an important element in failure analysis.
• Download is required to be taken between the commencement of repair and returning to service, our
preference is to be taken prior to commencement of repair.
• An ECM Download is required for units with hour/mile/km limitations to verify SMU; if we do not have the
ECM download, the claim will be 100% non-allowed.
• Claims without hour/mile/km limitations that have no ECM download taken as required will be paid parts only.
For instruction on uploading to SIMSi on ECM downloads, please see the Training page on warranty.cat.com at
URL https://warranty.cat.com/training.

Replacement of ARD/CRS Heads in heavy duty on-highway engine

applications (Americas North)
Troubleshooting guides available in SIS are intended to prevent unnecessary replacement of ARD/CRS Heads.
Additionally, there is a Special Instruction (SI) form (REHS7276) provided in the box of all new ARD/CRS Head
replacement parts. This form provides a place to record data required to properly diagnose ARD/CRS Head
defects. All ARD/CRS Heads claimed as defective will be recalled by Caterpillar for failure analysis.
Effective with repairs beginning on or after 01Jun12 Caterpillar requires:
• Stationary regen datalogs and Air System Verification Tests required by the Troubleshooting Guide to be
uploaded to SIMS along with the Cat ET ECM Report / Download.

6 03.01-12 (05/13)
 Caterpillar: Confidential Green Bulletin No. 3.01

• Special Instruction form REHS7276 be completed and returned with all failed ARD/CRS Heads.
• When corrective action requires cleaning of the flame detect sensor or cycling the nozzle heater (rather
than replacing the head) labor will be claimed on a labor line under the following Component, Job and
Modifier codes: 108M-070-TMS.
➤ Note: Claims for ARD/CRS Head replacement will be subject to full debit if Cat® failure analysis determines
part is not defective and required diagnostic data has not been provided (SI form with failed part and datalogs in
SIMS).

Marine Engine Oil Level Gauge Calibration

Marine engines are shipped with an engine oil level gauge that is not marked. The engine oil level gauge is not
marked because the following features can be different for each engine:
• Angle of the installation
• Side for service
The engine oil level gauge must be calibrated after the engine is installed in the vessel. Please reference the
OM&M for more information. Because of this requirement:
Effective 01May12 the assembly process will no longer include installing white fuel and oil filters at the factory.
The fuel and oil filters on the engines will be yellow with white over spray. Caterpillar will not accept any
warranty claims for changing these filters to white.

➤ Branded Marine Controls System Identification

Branded Marine Controls (Cat brand nameplate installed) systems are identified by its own serial number, which
should be used in determining warranty, submitting claims, inputting SIMS data and identifying them as shipped
product.
Any failures of parts or components should be claimed against the Branded Marine Control serial number.
The Branded Marine Control will have a serial number plate located on the reservoir.
The illustration below shows a generic example of the serial number plate and photos of the location of the SN plate.

Cylinder Packs, Piston Rings and Rod Bearings

Effective 14 Feb 01, dealers must use for the most economical repair a Cat Remanufactured cylinder pack
if replacing at least 2 of the 4 major components of a cylinder pack. The four major components are piston,
liner, connecting rod and piston rings. The policy applies to all Heavy Duty engines repaired under Standard
Warranty, Parts Warranty and Cat Insurance programs (ESC, ADV, OPT or OPC).
Effective 01 Sep 03, piston rings are reusable if they are not failed, are not contingently damaged and/or are
not removed from the piston, they will be reinstalled in the same liner (heavy-duty) or reinstalled in the same
cylinder (medium duty) from which they were removed.

03.01-12 (05/13) 7 ➤ Indicates change.

Bulletin No. 3.01 Caterpillar: Confidential Green

Rod bearing reuse:

No contamination of the lube system:
• Bearings removed for inspection are reusable.
• Bearings removed during cylinder pack removal are reusable.
Contaminated lube system:
• Coolant or fuel contamination, which have occurred over a day or more, are not for warranty (continued operation).
• Heavy and fast contamination in which a customer would not have reasonable opportunity to take action
will be reimbursed (if damaged), must be justified in claim story.
• Metal contamination of bearings will be reimbursed (if damaged).
Note: When a connecting rod or complete cylinder pack is replaced, Warranty and Caterpillar Insurance
programs will reimburse a new rod bearing.

Claim Requirements
NERO handling fee
Miscellaneous - Claim handling fee utilizing “HANDLI.”- This code can be found in Warranty Bulletin 1.27

Paint Repairs
For all engines/generator, during a covered repair, Caterpillar will pay for labor to paint replaced parts to match
the original color of the engine/generator - excluding high temperature components.
Paint is considered a shop supply and is included in the labor rate and not claimable on these covered repairs.
Paint damaged during shipment is not a manufacturer’s defect and claims should not be submitted to Caterpillar.
Refer to Bulletin 1.02 for more information.
If there is a Caterpillar® defect in material and/or workmanship in the paint on an engine/generator, dealers are
to contact their Caterpillar Service Representative. Paint and other painting type materials may be claimed in
this special case. The contacted Representative’s name must be in the claim story as contact information for the
product group should they have any claim questions or issues (applies to standard warranty, ESC and Goodwill
claims). All claims will require pictures as documentation to the claim.
All defective paint claims for Marine Engines MUST have a detailed description and picture of the defective area
to be considered for Warranty reimbursement. The pictures MUST be attached to SIMSi. Information gathered
in this process will greatly assist in determining root cause of the defect.
Labor times will be paid per TRGs, parts replacement will not be allowed.
Completing the Paint Repair claim for defect in material and / or workmanship claims:
• Part Number - Enter the substitute part number SP0587.
• Description Code - Enter “06.”
• Group Number - Enter group number of component painted.

CX Transmissions
Product Hours - Enter the Product hours from the transmission ECM, not the hours on the engine.

Excessive Troubleshooting
Troubleshooting time is time claimed for conducting tests such as injector cutout test, bottle test for cylinder head
failures, etc. Troubleshooting time does not include Removal and Installation (R&I) or Disassembly and Assembly
(D&A) of parts and components as this time is allowed on other labor lines using the proper labor codes. Applied
Failure Analysis reporting, talking with a TC, either in person or on the phone, or waiting for information to proceed
with another procedure is not for Caterpillar.

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 Caterpillar: Confidential Green Bulletin No. 3.01

In addition to Complaint, Cause, and Correction information in the claim story, justification for troubleshooting
beyond the times Caterpillar considered normal for that failure mode require the names of the Cat® dealer TC and
Caterpillar factory contact(s) and DSN # as well as what point in the repair process they were contacted.

Another document useful for help in identifying what Caterpillar will allow during excessive troubleshooting time
can be found at URL:
https://truck.cat.com/cda/files/2166986/7/DSN%20Directed%20Repair.pdf?catShowSearchFlyout=Y

Turbochargers on 3500 and 3600 series engines

• ABB (Brown Boveri) Turbochargers - enter ABB in this Related Serial Number field and enter the
turbocharger serial number in the Comment field or Claim Story if serial number is greater than 20
characters.
• Garrett Turbochargers - enter GAR in the Related Serial Number field. The turbocharger serial number
is not needed on the claim.

Cab Type field

All engine claims must have the proper cab type field information. Please refer to the TRG website for proper
cab types and definitions.

Engine/On-Highway Transmission Identification

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.
Refer to page 12, section “Packaged Product Identification” for additional identification information on
Packaged Products.

Information Plates
Product Shipped From Where Affixed Kind of Plate Illustration
Engine Products Factory Side of Block S/N Plate 1&2
Valve Cover Information plate
or Information
Ultraplate-film
Engine Lafayette Valve Cover Information 3
Ultraplate-film
Mossville 4-7

Greenville

Packaged Products Lafayette Unit Information Plate 8

Griffin

On-highway Dyersberg Left Front of S/N Plate 9

Transmission Transmission

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Bulletin No. 3.01 Caterpillar: Confidential Green

NOTICE
Metal stamping tools are not to be used on the Information Ultraplate-Film.

Illustration 1 - Serial Number Plate (For 3054/3056, 3114/3116, 3126, 3176, 3208 Engines).

Illustration 2 - Serial Number Plate (For C-10, C-12, C-15, C-16, 3300, 3400, 3500, 3600 Engines)

Illustration 3 - Information Plate on Valve Cover. (For all Lafayette Engine Products.) (For Mossville and
Greenville Products prior to November 1994.)

Illustration 4 - Ultraplate-Film (For Electronic Controlled On-highway Truck Engines.)

10 03.01-12 (05/13)
 Caterpillar: Confidential Green Bulletin No. 3.01

Illustration 5 - Ultraplate-Film (For Mechanical On-highway Truck Engines.)

Illustration 6 - Ultraplate-Film (For Industrial, Power Generation, Vehicular Engines.)

Illustration 7 - Ultraplate-Film (For Marine Engines.) SELD0557-03 (10/01).

Illustration 8 - Identification Plate for Packaged Products.

03.01-12 (05/13) 11
Bulletin No. 3.01 Caterpillar: Confidential Green

llustration 9 - Serial Number Plate for On-highway Transmissions.

Packaged Product Identification

The packaged product is identified by its own serial number, which should be used in determining warranty,
submitting claims, inputting SIMS data and identifying the as shipped package product.
For packaged products sold after 01 Jan 96, the packaged product serial number and warranty coverage is
identified in Caterpillar’s SIMS. The as shipped package product can be obtained from TMI Web.
Any failures of parts or components within the package should be claimed against the package serial number.
This includes any failures for any engine or generator parts. If an engine part fails, the claim should be filed
against the package product serial number and have the engine serial number listed in the “related serial
number” field.
The Packaged Product will have a metal Identification Plate located somewhere on the unit. Refer to Illustration
8 on page 11 for an illustration of an Identification Plate.
For example, for Completion/Stimulation Packaged Product (Principle Work Code B20) built by Caterpillar for a
customer, the Identification Plate will be located, depending on configuration, as follows:
• For On-highway “straight truck” packaged product, the plate will be located inside the driver’s door of the
truck cab;
• On packages that are trailer mounted, the plate will be located on the “Goose Neck” of the trailer;
• On skid-mounted packages the plate will be located on the skid rails of the unit.
If “Caterpillar” is stamped on MFG. NAME line of the Identification Plate, the product is a Caterpillar “Packaged
Product.”
If the Identification Plate line entitled MFG. NAME is stamped “Caterpillar” but the MFG. SERIAL # is blank, or is
stamped “NONE,” the Engine serial number is used as the identifier for the product in SIMS.
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 service systems.
Once the appropriate serial number is identified, the delivery date, warranty coverage, reported history and as
shipped packaged product can be obtained in the Caterpillar SIMS and TMI systems.
When reviewing as shipped packaged product, it is important to remember that Caterpillar may not warrant all
of the components included in a package. As per the Caterpillar® Warranty Statements for 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 the respective manufacturer.
Note: If a product has not been reported as delivered, refer to Bulletin 3.21, Delivery Inspection Service.
Refer to Bulletin 3.19 for more information regarding Caterpillar Packaged Products.

12 03.01-12 (05/13)
 Caterpillar: Confidential Green Bulletin No. 3.01

03.01-12 (05/13) 13
Bulletin No. 3.01 Caterpillar: Confidential Green

14 03.01-12 (05/13)
 Caterpillar: Confidential Green Bulletin No. 3.01

Effective for units put into use by 1st customer on/after 01Jan10.

OWNER
PWC Application
TYPE PRODUCT CLASS / DIST. Regions Period Parts Labor Travel Mileage
➤ Type
CHANNEL

A, D, X 12 months / D/N + 15% COST YES YES

EPG All Engines Except 3600 *
E, H, M, N B, C, E, F, G All Unlimited C/L SELL YES YES
PRIME
3600 Engines All SMU 90% C/L SELL YES YES
A, D, X 24 months / D/N + 15% COST YES YES
EPG All Engines Except 3600 *
F, R B, C, E, F, G All 1,000 SMU C/L SELL YES YES
STANDBY
3600 Engines ALL 90% C/L SELL YES YES
EPG A, D, X D/N + 15% COST YES YES
All Engines Except 3600 * 24 months /
EMERGENCY G B, C, E, F, G All C/L SELL YES YES
400 SMU
STANDBY 3600 Engines ALL 90% C/L SELL YES YES

NOTE:
This matrix does not cover the following:
1) Olympian Products and Cat Compact Power Systems (Americas North & Puerto Rico) - these are covered in Bulletins 3.09 and 3.11, respectively.
2) Automatic Transfer Switch (ATS) and Switchgear - these are covered in Bulletins 3.07 and 3.08, respectively.
3) UPS - this is covered in bulletin 3.10.

03.01-12 (05/13) 15 ➤ Indicates change.

 Bulletin No. 3.01 Caterpillar: Confidential Green

Effective for units put into use by 1st customer on/after 01Jan10.

OWNER
TYPE PRODUCT CLASS / DIST. Period Parts Labor Travel Mileage
➤
CHANNEL

24 months / 2000 hours

Max 4
3003 to 3024 and C0.5 to C2.2 Engines All With the first 12 months C/L SELL No
hours
at unlimited hours
All Except
All Except
C9
C9
Max 4
24 months / 3000 hours No
3034 to 3056, C3.4, C4.4, C6.6 ACERT, C7 hours
All With the first 12 months C/L SELL
ACERT, and C9 ACERT Engines
at unlimited hours
C9 C9
Yes Yes
All Industrial
engines with a 24 months / 3000 hours
PWC starting A, D, X With the first 12 months D/N + 15% COST YES YES
with "K" at unlimited hours
C11-C32 ACERT Engines
24 months / 3000 hours
B, C, E, F, G With the first 12 months C/L SELL YES YES
at unlimited hours

A, D, X 12 months D/N + 15% COST YES YES

All other engines not listed
B, C, E, F, G 12 months C/L SELL YES YES

3600 Engines All 12 months 90% C/L SELL YES YES

Low Usage on new 3034, 3044, 3054, 3056, C0.5, C0.7, C1.1, C1.5, C1.6, C1.7, C2.2, C3.4, C4.4 and C6.6 engines:
If the unit does not reach a total of 1,500 hours by 24 months, Caterpillar will allow Standard warranty coverage until a total of
1,500 or 36 months, whichever comes first.

Extended Warranty applies to all new 3000 family, C0.5 to C4.4 and ACERT engines:
Cylinder Block Casting, Cylinder Head Casting, Crankshaft (excludes bearings), Camshaft and Connecting Rods (excludes
bearings) for 36 months/unlimited hours running concurrently with the Standard Warranty period.

➤ Indicates change. 16 03.01-12 (05/13)

 Caterpillar: Confidential Green Bulletin No. 3.01

Effective for units put into use by 1st customer on/after 01Jan10.

OWNER
➤ TYPE PRODUCT CLASS / DIST. Period Parts Labor Travel Mileage
CHANNEL
24 months / 2000
3003, 3011, 3013, 3014, and 3024 engines. hours
Max 4
C0.5, C0.7, C1.1, C1.5, C1.6, C1.7, and All with the first 12 C/L SELL No
hours
C2.2 Engines months/unlimited
hours
24 months / 3000
hours
3034, 3044, 3054, 3056, C3.4, C4.4, C6.6, Max 4
All with the first 12 C/L SELL No
C7 and C7.1 Engines. hours
months/unlimited
RAIL hours
(LOCOMOTIVE) 24 months / 3000
hours
C9, C9.3, C11, C13, C15, C18, C27, and
All with the first 12 C/L SELL YES YES
C32 Engines
months/unlimited
hours
All other engines not listed All 12 months C/L SELL YES YES

C175 and 3500 Engines All 24 months C/L SELL YES YES

3600 Engines All 24 months 90% C/L SELL YES YES

Low Hour Usage for 3034, 3044, 3054, 3056 and C0.5 to C6.6 Engines: In cases where the engine use does not exceed
500 hours per year, the Standard Warranty period is extended for one additional year OR until the engine use reaches a
total of 1,500 hours in the third year of warranty, whichever occurs first, after the date of delivery to the first user.

Extended Warranty applies to all new 3000 family, C0.5 to C4.4 and ACERT engines:
Cylinder Block Casting, Cylinder Head Casting, Crankshaft (excludes bearings), Camshaft and Connecting Rods (excludes
bearings) for 36 months/unlimited hours running concurrently with the Standard Warranty period.

03.01-12 (05/13) 17 ➤ Indicates change.

 Bulletin No. 3.01 Caterpillar: Confidential Green

Effective 01MAY2012

Application
➤ TYPE PW Code PRODUCT Regions Period Parts Labor Travel Mileage
Code
A11-A16 YES max 6
MARINE ENGINE 3056, C7 Engines 12 months C/L SELL YES
A30 A - Propulsion hours
REVENUE B - Pump
A40 All
PRODUCING C - Compressor All others 12 months C/L SELL YES YES
A95 D - Other Drives
PROPULSION
A96 3600 and C280 Engines 12 months 90% C/L SELL YES YES

A11-A16 12 months / YES max 6

MARINE ENGINE C1.5 & C2.2 Engines C/L SELL YES
A30 2,000 hours hours
REVENUE E - Prime
A40 All others All 12 months C/L SELL YES YES
POWER F - Standby
A95
GENERATION
A96 3600 and C280 Engines 12 months 90% C/L SELL YES YES
24 months / YES max 6
3056, C7 Engines C/L SELL YES
1,000 hours hours
MARINE ENGINE All
A - Propulsion 60 months / YES max 6
NON-REVENUE B - Pump Extended Warranty on Major Components C/L SELL YES
A90 2,000 hours hours
PRODUCING C - Compressor
PROPULSION D - Other Drives All others 24 months C/L SELL YES YES
All
Extended Warranty on Major Components 60 months C/L SELL YES YES
24 months / YES max 6
C1.5 & C2.2 Engines C/L SELL YES
2,000 hours hours
MARINE ENGINE All
NON-REVENUE 60 months / YES max 6
E - Prime Extended Warranty on Major Components C/L SELL YES
PRODUCING A90 2,000 hours hours
F - Standby
POWER All others 24 months C/L SELL YES YES
GENERATION All
Extended Warranty on Major Components 60 months C/L SELL YES YES
Marine Controls S - Marine Cat Branded (Cat Name Plate Installed
A90 ALL 24 Months C/L SELL YES YES
Non-Revenue Control Marine Control System

➤ Indicates change. 18 03.01-12 (05/13)

 Caterpillar: Confidential Green Bulletin No. 3.01

Effective for units put into use by 1st customer on/after 01JAN2011.

OWNER
CLASS /
➤ TYPE PRODUCT Period Parts Labor Travel Mileage
DIST.
CHANNEL

Except 3600 Engines All C/L SELL YES YES

Petroleum
12 Months/
Applications
Unlimited
Except
Hours
Emergency Fire
3600 Engines All 90% C/L SELL YES YES

Except 3600 Engines All C/L SELL YES YES

Petroleum 24 Months/
Emergency Fire Unlimited
Applications Hours
3600 Engines All 90% C/L SELL YES YES

03.01-12 (05/13) 19 ➤ Indicates change.

Bulletin No. 3.01 Caterpillar: Confidential Green

20 03.01-12 (05/13)
 R

Caterpillar: Confidential Green Bulletin No. 3.02

SERVICE

WARRANTY BULLETIN Global

Engines

Non-Revenue Producing Marine Propulsion

Engine Extended Warranty Coverage On
Specified Parts
These 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 are as
follows:

Parts Coverage
New 3034, 3054, 3056, 3126, 3126B and C7 marine propulsion engines and new 3054, 3056, C1.5, C2.2, C4.4
marine generator sets used in non-revenue producing pleasure craft applications have an extended warranty
period of 60 months or 2000 hours, whichever occurs first after the date of delivery to the first user.
All other new marine propulsion engines, marine auxiliary engines and marine generator sets used in non-
revenue producing pleasure craft applications have an extended warranty period of 60 months, with 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
• Crankshaft Gears
• Camshaft Gear

➤ 03.02-00 (03/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.02 Caterpillar: Confidential Green

• Accessory Drive Gears

• Jacket Water Pump Housing
• Oil Pan
• Exhaust Manifold
• Intake Manifold
• Engine Oil Cooler Housing
®
Any resultant damaged Cat 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.

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 Caterpillar distributor.

2 03.02-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 3.03

SERVICE

Extended Coverage Global

Engines

On-Highway Truck Extended Warranty Coverage

On Specified Parts

New 3300 Series and 10.3 - 18.2 liter On-Highway Vehicle Engines and Remanufactured On-Highway Vehicle Engines
have an extended warranty period for specified engine parts/components. The coverage under extended warranty varies
depending on the delivery date and whether the engine is new or remanufactured.
➤ ON-HIGHWAY VEHICLE ENGINES EXTENDED WARRANTY COVERAGE ON SPECIFIED PARTS
NEW ENGINES / WARRANTY
PERIOD 60 MONTHS OR
REMANUFACTURED
500,000 MILES (810,000 KM),
ENGINES
OR 10,000 HOURS, WHICHEVER
OCCURS FIRST
3300 SERIES & (1) EXCEPT (2) MISC
COMPONENTS/PARTS COVERED 10.3 - 18.1 LITER 3208 3208 LABOR EXP
(3) Cylinder Block Casting YES YES YES NO NO

(4) Crankshaft YES YES YES NO NO

Connecting Rod Assemblies YES NO NO NO NO
(Includes rod bolts/rod cap/pin bore bushing)
(5) Connecting Rod Forging YES YES YES NO NO

Cylinder Head Casting YES NO NO NO NO

Camshaft YES NO NO NO NO

Main Bearing Bolts YES NO NO NO NO

Flywheel Housing YES NO NO NO NO

Oil Cooler Housing YES NO NO NO NO

Water Pump Housing YES NO NO NO NO

Air Intake Housing YES NO NO NO NO

Electronic Control Module YES NO NO NO NO

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

➤ 05.03-01 (05/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.03 Caterpillar: Confidential Green

Caterpillar may elect to not participate in a repair during the extended warranty period, if one of the above specified parts/
components fails due to lack of required user maintenance or use of improper fuel, oil, lubricant and/or coolant.
Salvage labor (such as cutting, welding, polishing, boring and milling) associated with the salvage of the warranted parts
under extended warranty is reimbursable when the salvage cost is less than the replacement cost of the part.
(1) Remanufactured Engines except 3208 have an extended warranty period of 36 months, 300,000 miles (482,803 km) or
10,000 operating hours, whichever occurs first after date of delivery to the first user.

(2) Remanufactured 3208 On-Highway Vehicle Engines have an extended warranty period of 36 months, 300,000 miles
(486,000 km) or 3,600 hours, whichever occurs first after date of delivery to the first user.
(3) Extended warranty for the cylinder block casting does not cover block wear that requires counter-boring cylinders for
inserts.

When the cylinder block is damaged beyond repair under extended warranty, a remanufactured short block may be used to
satisfy extended warranty. In such cases, Caterpillar approval is required prior to starting the repair. Please contact your
Cat® distributor.
(4) Extended warranty for the crankshaft does not cover rod or main bearings, since bearings are not considered part of a
crankshaft.
(5) Extended warranty for connecting rods covers only a failure of the rod forging and does not cover failures of a rod bolt,
pin bore bushing or a rod bearing. Any warrantable replacement of a damaged or failed connecting rod under extended
warranty will be with a connecting rod assembly, excluding the rod bearing.

2 03.03-01 (05/13)
 R

Caterpillar: Confidential Green Bulletin No. 3.04

SERVICE

WARRANTY BULLETIN Global

Engine

Other Manufacturer’s Peripheral Components

➤ Other manufacturer’s peripheral components may be installed as attachments to, or around Caterpillar products.
These may be installed by Caterpillar, Original Equipment Manufacturer’s (OEM) or a Cat dealer. Caterpillar
Warranty does not cover these components.

Warranty Responsibility
The dealer must determine who has the warranty responsibility for the component which caused the failure,
whether Caterpillar or the OEM.

OEM Caused Failure

When it is determined that the failure was caused by an OEM supplied component or workmanship, the local
OEM’s 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 a manufacturer other than Caterpillar
peripheral component. 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 contingently damaged as a result of a Cat component failure. (See Note)
• To repair a manufacturer other than Caterpillar engine brake failure due to factory installation workmanship.

NOTE: Refer to Bulletin 4.01 of the Service Warranty Guide for instructions for handling the
reimbursement of manufacturer other than Caterpillar parts that have been damaged by a Cat
component failure.

➤ 03.04-01 (03/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 3.04 Caterpillar: Confidential Green

Verification that the engine brake was installed by Caterpillar, can be accomplished using one of the following
methods:
• 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 Cat 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 Cat engine
arrangement has an engine brake installed by Caterpillar.

➤ Battery Chargers
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, battery chargers master control
and SENS are not warranted or serviced by Caterpillar.
• Master Control System and SENS Chargers
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.
Master Control Systems Inc. Stored Energy Systems
910 North Shore Drive 1840 Industrial Circle
Lake Bluff, Illinois 60044 Longmont, Colorado USA 80501
Telephone: 1-847- 295-1010 Telephone: 1-303-678-7500
Fax: 1-847- 295-0704 Fax: 1-303-678-7504
Internet: http://www.mastercontrols.com Internet: http://www.sens-usa.com
Email: [email protected] E-mail: [email protected]

• Computronics Controls Ltd Chargers

Computronics Controls Ltd. battery chargers are supported by Caterpillar warranty and product support.
Cat dealers should submit claims for reimbursable expense via the Caterpillar Service Claims System.
Claim Field Requirement: Enter “Computronics” in the Comments/Findings field. Battery
charger related claims without this comment field entry will be considered Master Controls or
SENS (submitted in error) therefore 100% not allowed.

➤ gplink
Caterpillar offers a remote monitoring system branded gplink. This product is built to Caterpillar specifications
in order to provide our customers with remote monitoring communications on Pleasure Craft and Commercial
Marine applications. This solution is offered as a convenience for dealers as they put together a package to
meet customer requirements.
As indicated in the Caterpillar Price List and Marine Product Announcement, gplink is not warranted or serviced
by Caterpillar.
Caterpillar dealers and customers should contact gplink directly for all warranty, parts and service
considerations. Only the complete system is available through Caterpillar.

➤ Indicates change. 2 03.04-01 (03/12)

 Caterpillar: Confidential Green Bulletin No. 3.04

gplink
1500 Sensation Weigh
Beaufort, NC 28516
USA
Telephone: 1-252-504-5113
Internet: http://www.gplink.com
Email: [email protected] or [email protected]

03.04-01 (03/12) 3 ➤ Indicates change.

Bulletin No. 3.04 Caterpillar: Confidential Green

4 03.04-01 (03/12)
 R

Caterpillar: Confidential Green Bulletin No. 3.05

SERVICE

WARRANTY BULLETIN Global

Engines

Use of Truck Engines in

Non-Highway Applications

Truck engines (as identified by the truck engine serial number prefix) are subject to the “Engines Used to Power
On-Highway Vehicles” warranty and applicable policies under each of the following conditions:

• When used to power on-highway vehicles (whether or not the vehicles are actually used on-highway).

• When used to power other vehicles capable of being licensed for on-highway use. Example: Railway and
truck terminal yarders.

• When mounted on on-highway vehicles but used to power other devices such as drill rigs and cranes.
Truck engines used in applications not meeting the above criteria are considered industrial applications. Refer to
the appropriate warranty statement for that specific engine application.
It is important that special care be used in determining which warranty applies. The customer should be given
the correct warranty at time of sale to avoid any misunderstanding of coverage. For example, there is a
difference in coverage such as travel and labor reimbursement, etc.
The type of warranty applicable to an engine is also determined by the engine application recorded in the sales
record.
For example, if Caterpillar sells the engine directly to the on-highway vehicle manufacturer, Market Code D10
(truck, except off-highway) is recorded.
In the case of sale by the Dealer, the Dealer should enter the correct information on the Engine Sales Record.

➤ 03.05-00 (05/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.05 Caterpillar: Confidential Green

2 03.05-00 (05/09)
 Caterpillar: Confidential Green Bulletin No. 3.07

SERVICE

WARRANTY BULLETIN Global

Engine

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.

ATS Warranty
Refer to the Industrial Engine Products and Electric Power Generation Products warranty statement for the
terms of the warranty. Register the ATS delivery date and customer information using the ATS serial number in
the same manner as for gensets and other Cat prime 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.
Engines, Bulletin 3.01
Claim Types and Time Limits For Submitting Service Claims, Bulletin 1.13
Service Letters (PIP/PSP), Bulletin 1.16

Aged ATS Inventory

ATS are to be free of defects in material and workmanship for sixty (60) months from the date of shipment or
two (2) years from the time of equipment start-up whichever comes first. If a unit is not sold/registered within
36 months, the delivery date will default to 36 months after the ship date. This shipment date is the “ship date”
listed in Simsi.

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 Cat-ISO website at URL: https://www.cat-iso.com.

➤ 03.07-04 (10/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 3.07 Caterpillar: Confidential Green

For part number identification assistance, contact the Cat ATS Product Support Center:
Phone: In U.S. toll free: 1-866-883-3879 Outside of U.S. - 678-746-5000.
All submitted warranty claims must list a valid Cat part number or the associated Original Equipment
Manufacturers (OEM) product part number. When utilizing the OEM part number, indicate the appropriate
Caterpillar “SP Number” and list the OEM part number and description within the warranty claim story board.
APD, EAME & Americas South: Warranty repair parts purchased from the Caterpillar Parts System or Cat-
ISO website will be reimbursed at current Dealer net (D/N) prices and can be included in the warranty claim as
parts. Parts provided from OEM may be free-issued. Any parts made by a manufacturer other than Caterpillar,
purchased for an ATS under warranty, can be submitted as Sublets in the Miscellaneous expense type.
Americas North Engines: Warranty repair parts purchased from the Caterpillar Parts System or Cat-ISO
website will be reimbursed at current suggested consumer list (C/L) prices and can be included in the warranty
claim as parts. Parts provided from OEM may be free-issued. Any parts made by a manufacturer other than
Caterpillar, purchased for an ATS under warranty, can be submitted as Sublets in the Miscellaneous expense
type.
All Regions: Please retain all defective parts for a minimum of 30 days after the Claim Register Date. Dealers
will be notified by the ATS Product Support Center (U.S. Toll Free: 1-866-883-3879 or outside U.S.: 678-746-
5000) if the parts are to be returned for failure analysis.

Repair Labor Hours

APD, EAME & Americas South: Caterpillar will reimburse the Dealer for the labor needed to correct the
defect. Labor hours will be reimbursed according to the ATS Time Requirement Guide (TRG), at 50% of the
Dealer cost rate.
Americas North Engines: Caterpillar will reimburse the Dealer for the labor needed to correct the defect.
Labor hours will be reimbursed according to the ATS Time Requirement Guide (TRG).
All Regions: In the claim story, please detail the breakdown of the labor work, so we can accurately
understand the total TRG hours claimed.
Miscellaneous expenses should have supporting documentation placed in SIMS Service Image.

➤ Claim Filing Instructions

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 Cat engine product.
The serial number of the ATS should be used in the heading of the claim, not the Prime Caterpillar serial
number of the associated genset.
If you need claim processing clarification, or the ATS Serial Number is not found in the Caterpillar system,
please contact the Cat ATS Product Support Center (U.S. Toll Free: 1-866-883-3879 or outside U.S.: 678-746-
5000). The staff will request the serial number recorded in the Caterpillar system.
Please refer to the Service Claim Instruction Handbook for claim example.

➤ Indicates change. 2 03.07-04 (10/12)

 Caterpillar: Confidential Green Bulletin No. 3.08

SERVICE

WARRANTY BULLETIN Global

Engine

Electric Power Cat® Switchgear

Warranty claims for Cat Switchgear can be submitted through Caterpillar’s Service Claim System. This bulletin
discusses the warranty and the practices applicable to service claims on Switchgear products.

Switchgear Warranty
Refer to the Electric Power Generation Product warranty statment for terms of the warranty. Register the
Switchgear delivery date and customer information using Switchgear serial number in the same manner as for
generator sets and other Cat prime products.

Reimbursement Practices
Claims should be processed, and will be reimbursed, in accordance with the bulletins listed below, except where
noted in this bulletin.
Engines, Bulletin 3.01
Claim Types and Time Limits For Submitting Service Claims, Bulletin 1.13
Suppliment, Cancelled and Returned Clains, Bulletin 1.10
Service Letters (PIP/PSP), Bulletin 1.16

Parts (EPIC - Engine Parallel Integration Control)

Dealers will have access to a parts manual and/or techical manual through the Cat-ISO website at URL: https://
www.cat-iso.com.

Parts (Configurable and Custom Switchgear)

Dealers should have copies of commissioning binders (as-shipped-consist) for parts identification and customer
support. Dealers will also have access to select Switchgear parts throught the Cat-ISO website at URL: https://
www.cat-iso.com. For additional assistance, please call Cat Switchgear Product Support Center:
Phone: In U.S. toll free: 1-866-883-3879 Outside of U.S. - 678-746-5000.

➤ 03.08-04 (11/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 3.08 Caterpillar: Confidential Green

Repair Labor Hours

APD, EAME and Americas South: Caterpillar will reimburse the Dealer for the labor needed to correct the
defect. Labor hours will be reimbursed according to the Switchgear Time Requirement Guide (TRG), at 50% of
the Dealer cost rate.
Americas North Engines: Caterpillar will reimburse the Dealer for the labor needed to correct the defect.
Labor hours will be reimbursed according to the Switchgear TRG.
All Regions: In the claim story, please detail the breakdown of the labor work so we can accurately understand
the total TRG hours claimed.
Miscellaneous expenses should have supporting documentation placed in SIMSi - Service Image.
➤ 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 Cat engine product.
The serial number of the Switchgear should be used in the heading of the claim, not the prime product serial
number of the associated genset.
If you need claim processing clarification, or if the Switchgear serial number is not found in the Caterpillar
system, please contact the Cat Switchgear Product Support Center - (U.S. Toll Free 1-866-883-3879 or outside
U.S.: 678-746-5000).
Please refer to the Service Claim Instruction Handbook for claim examples.

Aged Switchgear Inventory

Switchgear is to be free of defects in material and workmanship for thirty (30) months from the date of shipment
or two (2) years from the time of equipment start-up whichever comes first. If a unit is not sold/registered within
6 months, the delivery date will default to 6 months after the ship date. This shipment date is the “ship date”
listed in SIMSi.

➤ Indicates change. 2 03.08-04 (11/12)

 Caterpillar: Confidential Green Bulletin No. 3.09

SERVICE

WARRANTY BULLETIN Global

Engines

Olympian™ Power Systems Products (OLY)

Notice
Effective, 01Jun11, all claims for all regions for warranty repairs on Olympian™ Power Systems Product
are to be submitted through the Caterpillar Service Claims Systems including parts warranty claims for
NACD.

Warranty for Olympian Power Generation Products, manufactured and packaged by Olympian Power Systems
for Cat Dealers, will be administered by the Olympian Power Systems Warranty Department. This bulletin
discusses the warranty and the practices applicable to service claims on Olympian Power System Products.

Support Contacts
CONTACT ROLE CONTACT REGION PHONE E-MAIL
Olympian Warranty Timothy Mitchell All Regions +44 02890 495 175 [email protected]
Claims Analyst

Olympian Warranty Tara McWilliams All +44 02890 495 171 [email protected]
Claims Supervisor
Olympian Warranty Randy Pierson All +001 309 578 9892 [email protected]
Claims Manager

Warranty Information
For Warranty information, including manuals, forms, statements, etc., please refer to the warranty website url
https://warranty.cat.com under the Electric Power tab -> Claiming Practices -> Direct Links.

Claim Filing Instructions

Effective, 01Jun11, all claims for all regions for warranty repairs on Olympian Power Systems Product are to be
submitted through the Caterpillar Service Claims Systems including parts warranty claims for NACD.

➤ 03.09-06 (08/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 3.09 Caterpillar: Confidential Green

The Olympian Power Systems Warranty Department is responsible for administering warranty for the complete
power system. The instructions for completing the claim are the same as for any Cat® engine product, except
for the following items:

➤ Product Identification/Serial Number - Any product ordered on or after 23July01 will have a 17-digit serial
number assigned under OLY. The last 8 digits of that number will be the identifying serial number, which needs
to be listed on claims submitted through Caterpillar Service Claims Systems. The serial number consists of 3
alpha and 5 numeric digits.

For Brazil built Scania powered generator sets with serial prefix SBT or S9K, enter 99Z7004 in the Product
Identification/Serial Number field. The actual generator set serial number must be entered in the claim story.
Part Causing Failure - A substitute part number must be entered 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 causing failure must be entered in the
failure description field.

Failure Description (Comments/Findings Field) (20 characters) - Enter the Olympian part causing failure in
this field.

Miscellaneous Parts - Parts replaced during a warranty covered repair will be reimbursed at the approved
Olympian parts price.
As seen in the below chart, list the total amount of each part number in the detail expense as a separate
miscellaneous expense line using the OLY as the expense description.

EXPID QTY Description Total Amount Currency*

M 2 OLY 26.00 USD
M 3 OLY 40.00 USD
M 1 OTHER 6.60 USD
* Dealers should submit miscellaneous expenses in their local currency.

Handling - A parts handling allowance may be claimed using the authorized Olympian rates. Enter the total
handling charge as a single miscellaneous expense line identified with the description OTHER, as seen in the
above chart.

Labor - Segmented labor, travel and other expenses may be claimed as on any other engine claim using the
approved Olympian rates for these products.

Claim Story - On the first line, list the Olympian package model (genset model, panel type and enclosure type if
applicable) preceded by the character string %%@?@. On remaining lines, list the individual part numbers used
in the repair preceded by OLY, the part quantity, the part name and the part price. Each part number should
be listed on a separate line. Then, on separate lines list the 4 Cs of complaint, cause, corrective action and,
if applicable, complication. Story detail sequence must be entered as shown in the below example to prevent
delays in claim processing.
%%@[email protected]
OLY202-121(2)BOLT26.00
OLY100-312(3)SENSOR40.00
Cause: Bolt backed out and damaged sensors.
Complaint: Generator set shut down and would not start.
Corrective Action: Replaced damaged sensors and loose bolts. Torque bolts to specifications. Tested
genset and returned to operation.

➤ Indicates change. 2 03.09-06 (08/12)

 Caterpillar: Confidential Green Bulletin No. 3.09

Claim Story Example:

For full instructions on completion of an Olympian claim using the Caterpillar Service Claims System please
refer to the appropriate Olympian Generator Sets Dealer Warranty Manual located on Power Net at https://
engines.cat.com.

03.09-06 (08/12) 3
Bulletin No. 3.09 Caterpillar: Confidential Green

4 03.09-06 (08/12)
 Caterpillar: Confidential Green Bulletin No. 3.10

SERVICE

WARRANTY BULLETIN Global

Engine

Uninterruptible Power Supply Systems (UPS)

➤

And Aged Inventory

Warranty for UPS Systems will be administered by Caterpillar. Cat® 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.

UPS Warranty
Refer to the Industrial Engine Products and Electric Power Products warranty statement for the terms of
warranty.

Dealer Repair Expense Reimbursement

Dealer reimbursement for repair expenses related to UPS products will be per the Summary of Reimbursement
Practices Chart found below, per the EPG Global Warranty Policy Chart found in Bulletin 3.01 and in
accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02.

Summary of Reimbursement Practices

Repair Expense Allowance & Rate
Parts, Parts Service Charges, Reimbursable.
Repair Labor, Travel Time &
Mileage, Meals & Lodging,
Freight Charges and Outside
Repair Expenses
Service Items Reimbursable, if made unusable.
Salvage Labor Reimbursable, if justified.
Overtime Labor Rate Not Reimbursable.
Hauling Costs N/A
Shop Supplies Not Reimbursable as an itemized expense.

➤ 03.10-02 (05/11) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 3.10 Caterpillar: Confidential Green

Claim Filing Instructions

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 Cat® engine product.
Please refer to the Service Claim Instruction Handbook for claim example and claim requirements.

➤ Aged UPS Inventory

Effective 01Feb10, UPS that have been shipped from a Caterpillar factory and not put into service within 18
months of the ship date will no longer be considered for new warranty. Caterpillar no longer considers UPS
shipped over 18 months from the sale to the initial user as “new” UPS. If a unit is not sold/registered within 18
months, the Delivery Date will default to 18 months after the Ship Date. This shipment date is the “ship date”
listed in the Caterpillar on-line Service Information Management System (SIMSi).
When an UPS 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 below:

Caterpillar Limitation of Liability

➤ User has been informed prior to purchase that this Cat UPS was shipped from the Caterpillar factory
more than 18 months before User’s purchase. User accepts the Cat UPS “AS IS, WITH ALL FAULTS.”
Caterpillar makes NO WARRANTIES, EXPRESS OR IMPLIED WITH RESPECT TO THE CAT UPS,
AND CATERPILLAR EXPRESSLY DISCLAIMS ALL WARRANTIES, INCLUDING ANY WARRANTY OF
MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. User acknowledges that Caterpillar
has not made and does not hereby make any representation, warranty or covenant with respect to the
merchantability, condition, quality, description, durability or suitability of the Cat UPS 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.

➤ Indicates change. 2 03.10-02 (05/11)

 Caterpillar: Confidential Green Bulletin No. 3.11

SERVICE

WARRANTY BULLETIN Global

Engines

Cat® Compact Power Systems Products

(Less than 200kw Diesel Only)
Warranty
Overview
This bulletin covers Cat® Compact Power Systems Products, which are less than 200kw (diesel only). (Currently
released only for sale in North America and the US Territory of Puerto Rico.)

➤ Dealer Reimbursement
Dealer reimbursement for repair expenses related to Cat Compact Power Systems Products will be per the
below and in accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02.
Parts - Parts used to effect repairs will be reimbursed at Dealer Net price plus 10%. Effective with sales on or
after 01Jan10, parts Reimbursement will be at Dealer Net price plus 15%.
Labor - Standard rate for labor is 81% of approved commercial warranty rate.
Travel Labor - Standard rate for travel labor is 81% of approved travel rate, four hours maximum.
Travel Mileage - Standard rate for travel mileage is 85% of approved rate.

Claim Filing Instructions

Claims for warranty repairs are to be submitted through the Caterpillar® Service Claims System. The instructions
for completing the claim are the same as for any Cat Engine Product.
Please refer to the Service Claim Instruction Handbook for claim example.

➤ 03.11-03 (02/10) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.11 Caterpillar: Confidential Green

2 03.11-03 (02/10)
 Caterpillar: Confidential Green Bulletin No. 3.12

SERVICE

WARRANTY BULLETIN Global

Engine

Aged Engine Inventory

All Regions

All Engines
Effective 01Jun93, engines that have been shipped from a Caterpillar® factory and not put into service within 5
years of the ship date will no longer be considered for new warranty. Effective 01Sep10, this also includes all
Industrial (principle work code “K”) engines shipped from Caterpillar within the last 5 years. Caterpillar no longer
considers engines shipped over 5 years from the sale to the initial user as “new” engines. If a unit is not sold/
registered within 5 years, the Delivery Date will default to 1 week after the Ship Date. This shipment date is the
“ship date” listed in the Caterpillar on-line Service Information Management System (SIMSi).
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
below:

Caterpillar Limitation of Liability

User has been informed prior to purchase that this Cat® Engine was shipped from the Caterpillar
factory more than five (5) years before User’s purchase. User accepts the Cat Engine “AS IS, WITH
ALL FAULTS.” Caterpillar makes NO WARRANTIES, EXPRESS OR IMPLIED WITH RESPECT TO THE
CAT 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 Cat 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.

➤ 03.12-03 (09/10) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 3.12 Caterpillar: Confidential Green

➤ Caterpillar Limitation of Liability - All Regions

User has been informed prior to purchase that this Cat Engine was shipped from the Caterpillar
factory more than five (5) years before User’s purchase. User accepts the Cat Engine “AS IS, WITH
ALL FAULTS.” Caterpillar makes NO WARRANTIES, EXPRESS OR IMPLIED WITH RESPECT TO THE
CAT ENGINE, AND CATERPILLAR EXPRESSLY DISCLAIMS ALL WARRANTIES and 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 Cat 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. 2 03.12-03 (09/10)

 Caterpillar: Confidential Green Bulletin No. 3.13

SERVICE

WARRANTY BULLETIN Global

Engines

Caterpillar Emissions Solutions

➤ Aftermarket Aftertreatment Products
- Emission Warranty
The United States Environmental Protection Agency (EPA) and/or the California Air Resources Board (CARB)
require Caterpillar to provide an emission warranty to end users. Caterpillar must warrant that the verified
aftermarket aftertreatment products are designed, built and equipped so as to conform at the time of sale with
applicable regulations and be free from defects in materials and workmanship for a specified period of operation
in time or miles/hours, whichever occurs first (Emission Warranty). Refer to the appropriate charts later in
this bulletin for Emission Warranty time periods. Information concerning the Caterpillar Emission Warranty is
provided to dealers in the following separate supplements:
• CARB Emission Warranty Information - Forms REHS3968 and REHS3969.
• EPA Emission Warranty Information - Forms SEBU8800, SEBU8801 and SEBU8802 - to be published
soon.
The Emission Warranty Supplements are essentially the same in responsibility. Caterpillar administers the
Verified Emission Warranty Supplements in the same way.

➤ Covered Components
Emission Warranties for Diesel Particulate Filter (DPF) cover the DPF inlet, outlet, catalyst, filter and Diesel
Particulate Filter Diagnostic Module (CRTdm) unit. Additional items covered are any hardware items used to
mount and connect the DPF unit. Consumable/maintenance items supplied with the DPF unit are not covered
under Emission Warranty, however, the following are covered under the standard parts warranty: clamp
numbers 216-7992 and 236-8084, gasket numbers 216-7993 and 236-8086 and the internal CRTdm batteries.
Emission Warranties for Diesel Oxidation Catalyst (DOC) and Catalyzed Converter Muffler (CCM) cover just the
DOC and CCM units.

➤ 03.13-01 (08/10) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.13 Caterpillar: Confidential Green

Coverage Limitations and Customer’s Responsibilities

For Emission Warranty Coverage to apply the DPF, CRTdm, DOC and CCM products are to be installed and
operated in accordance with the installation instructions and operated on a diesel engine that meets the engine
manufacturer’s specifications. Manufacturer’s specifications are defined as the performance and service
specifications and guidelines as set forth in the manufacturer’s maintenance manual for each particular engine.
Any engine not meeting it’s manufacturer’s specifications must be brought back to a condition to meet the
specifications prior to installation of said products.
The DPF must be operated with the CRTdm or a Caterpillar approved backpressure monitoring system. The
engine fuel must be ultra low sulfur diesel with a maximum of 50 ppm sulfur fuel (0.005 wt.% sulfur) and the
fuel must meet the engine manufacturer’s specifications.
If any of the above condisions are not met, the Emission Warranty Coverage may not apply if the failure is
directly related to the non-compliance.

Emission Warranty Period

Warranty Periods are as follows:

Caterpillar Emissions Solutions Aftermarket Aftertreatment Emission Warranty Period

Warranty Type Warranty Period
Machines and Commercial Engines
CARB Emission Warranty 5 years or 4,200 hours

EPA Emission Warranty 3 years or 1,850 hours

On-Highway Engines
CARB Emission Warranty
Light heavy-duty, 70-170hp, Gross Vehicle Weight Rating (GVWR) 5 years or 60,000 miles
less than 19,500 lbs.
Medium heavy-duty, 170-250 hp, GVWR from 19,500 to 33,000 lbs. 5 years or 100,000 miles
Heavy heavy-duty, exceeds 250 hp, GVWR exceeds 33,000 lbs. 5 years or 150,000 miles
Heavy heavy-duty, exceeds 250 hp, GVWR exceeds 33,000 lbs., 2 years, unlimited miles
and trucks are:
1. Typically driven over 100,000 miles per year, and
2. Have less than 300,000 miles on the odometer at the time of
installation.
EPA Emission Warranty
Light heavy-duty, 70-170hp, Gross Vehicle Weight Rating (GVWR) 5 years or 60,000 miles
less than 19,500 lbs.
Medium heavy-duty, 170-250 hp, GVWR from 19,500 to 33,000 lbs. 5 years or 100,000 miles
Heavy heavy-duty, exceeds 250 hp, GVWR exceeds 33,000 lbs. 5 years or 150,000 miles

Unregulated products are covered under a Parts Warranty, refer to 12 months / unlimited hours
Bulletin 4.01

2 03.13-01 (08/10)
 Caterpillar: Confidential Green Bulletin No. 3.13

Dealer Repair Expense Reimbursement

Dealer reimbursement for repair expenses related to Caterpillar Emissions Solutions Aftermarket Aftertreatment
Emission Warranty will be per the Summary of Reimbursement Practices Chart found below and in accordance
with applicable Reimbursement Practices as outlined in Bulletin 1.02.

Caterpillar Emissions Solutions Aftermarket Products - Emission Warranty

Summary of Reimbursement Practices
Repair Expense Machine Engine All Other Engines
Parts D/N + 10% C/L
Service Items Reimbursable at D/N + 10%, if made Reimbursable at C/L, if made
unusable. unusable.
Repair Labor Warranty Sell Labor Rate Warranty Sell Labor Rate
Parts Salvage Labor Warranty Sell Labor Rate, if justified. Warranty Sell Labor Rate, if justified.
Emergency Parts Service Reimbursable, if justified in claim Reimbursable, if justified in claim
Charges story. story.
Outside Repair Expenses Reimbursable, at cost. Reimbursable, at cost.

Shop Supplies Not Reimbursable as an itemized Not Reimbursable as an itemized

expense. expense.
Overtime Labor Rate, Travel Not Reimbursable. Not Reimbursable.
Time & Mileage, Meals &
Lodging, Freight Charges and
Hauling Costs.

Claim Field Information

The following outlines the unique claim field information for Nonroad Engine Emission Warranty claims. For
questions regarding claiming practices, Dealers should contact Warranty Operations personnel.
Serial Number - Enter 99Z01928 (DPF and CRTdm), 99Z01929 (DOC) and 99Z01930 (CCM).
Delivery Date - Enter the installation date of the product.
Related Serial Number - Enter the serial number of the machine or engine the product is installed onto.
PD Code - Enter PD Code 97.
Group Number - Enter 7726 for machine engines and 7772 for all other engines.
Findings/Comments - Enter “Emission Wty.”
Part Hours/Miles/Kilometers - Enter the hours/miles/kilometers since installation.
Product Hours/Miles/Kilometers - Enter the machine/engine hours/miles/kilometers.
Claim Story - Enter on the first line “Emission Warranty claim under Bulletin 3.13,” and then continue the Claim
Story per standard claiming procedures.

03.13-01 (08/10) 3
Bulletin No. 3.13 Caterpillar: Confidential Green

4 03.13-01 (08/10)
 Caterpillar: Confidential Green Bulletin No. 3.14

SERVICE

WARRANTY BULLETIN Americas North

Engine

Emission Warranty

Note: Excluding America’s North Vocational On-Highway Truck.

The United States Environmental Protection Agency (US EPA) and the California Air Resources Board (ARB)
each require Caterpillar to provide an emission warranty to end-users. The purpose of this bulletin is to provide
additional information to dealers regarding the Federal and California emission warranties that Caterpillar
provides with each of its new engines distributed in the United States, Canada, US Virgin Islands and Puerto
Rico.
In summary, Caterpillar’s official emission warranty statements warrant that:
1. Its new engines are designed, built and equipped to conform at the time of sale with applicable
regulations and
2. Are free from defects in materials and workmanship:
a. That can cause the engine to fail to conform to applicable emission standards for the
warranty period, or
b. Which cause the failure of an emission related component to be identical in all material
respects to the component as described in Caterpillar’s application for certification for the
warranty period.
Note: Table #1 describes dealer reimbursement for expenses associated with emission-related components.
Table #2 describes the applicable warranty periods. Table #3 lists the parts covered by emission warranty.
Caterpillar’s Federal and California emission warranties are also described to the end user in the applicable
Operation and Maintenance Manual (OM&M) under the “Warranty Section.” This manual is part of the literature
package shipped with each engine. Other information concerning emission warranty may also be provided on
the Global Warranty website.
Emission warranty does not cover dealer rebuild/exchange or Reman engines that do not have a US EPA/ARB
certification label.
Note: Any changes (additions/deletions) to this document only take affect for repairs started after the
publication changes. Consideration for previous repairs are not to be authorized by warranty.

➤ 03.14-05 (04/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.14 Caterpillar: Confidential Green

The Emission Warranty Applies If:

• Engine is US EPA/ARB Certified and/or it is a US EPA/ARB labeled product (new engines using the
replacement engine exemption and labeled accordingly) and it is repaired in the boundaries of the United
States, Canada, US Virgin Islands and Puerto Rico.
• New or Reman engines that are designated and labeled as “Replacement Engines”, and repaired in the
boundaries of the United States, Canada, US Virgin Islands and Puerto Rico.
• The failure is due to a defect in material or workmanship of a Caterpillar emission-related component. The
cause of the failure must be determined, and this may require the disassembly of the failed part in the
same manner as is required under Caterpillar Standard Warranty guidelines.
• Emission components covered (see parts listed in Table #3 of this document and in Caterpillar’s official
emission warranty statement) by the factory Extended Standard Warranty, are eligible for reimbursement
under the emission warranties.

Dealer Reimbursement for Expenses Associated With Emission-Related

Components

Table #1
Emission Warranty Summary of Reimbursement Practices
Repair Expense Machine Engine (Caterpillar Captive) All Other Engines
Parts D/N + 10% C/L
Service Items Reimbursable at D/N + 10%, if made Reimbursable at C/L, if made unusable
unusable
Repair Labor Warranty Sell Labor Rate Warranty Sell Labor Rate
Parts Salvage Labor Warranty Sell Labor Rate, if justified Warranty Sell Labor Rate, if justified
Emergency Parts Service Reimbursable, if justified in claim story Reimbursable, if justified in claim story
Charges
Outside Repair Expenses Reimbursable, at cost Reimbursable, at cost
Shop Supplies Included in Labor Rate Included in Labor Rate
Overtime Labor Rate, Not Reimbursable Not Reimbursable
Travel Time & Mileage,
Meals & Lodging, Freight
Charges and Hauling Costs

Additional Emission Warranty Information

• Caterpillar® supplied parts, components or complete Reman engines that are not labeled as “Replacement
Engines” that are replaced under emission warranties are covered only for the remaining warranty period
of the original part or component.
• If a complete engine is replaced in a Cat® machine, enter a SIMS record with the serial number of the new
or Reman engine, to document the in-service date.
• Aftermarket components may be utilized for maintenance and non-warranty repairs. The owner should
ensure that such components are equivalent in design, function and durability to genuine Cat parts. Use of
aftermarket parts does not invalidate Caterpillar’s emission warranties. However, Caterpillar is not liable
for any subsequent failure caused by an aftermarket part. **Caterpillar Emission Solutions Aftermarket
Aftertreatment products are covered by a separate warranty bulletin (3.13) and statement.
• Verification of a defect in Caterpillar’s material and/or workmanship may be required before emission
warranty coverage applies.

2 03.14-05 (04/13)
 Caterpillar: Confidential Green Bulletin No. 3.14

• The user may ask, in writing, for the reasons why a claim was denied and may appeal the decision. The
dealer is encouraged to obtain assistance from Caterpillar in such cases.
• The anti-tampering provision of the Clean Air Act applies regardless of the person performing work on an
engine or vehicle. It is illegal for any person to disconnect or tamper with any emission control component
or to put the engine into an uncertified configuration, other than on a temporary basis for repair purposes.
• During the terms of the emission warranty, Caterpillar, through an authorized dealer, will provide new,
remanufactured, or repaired parts and/or components at Caterpillar’s option. This may include all other
engine components damaged as a result of the failure of a defective engine emission part. The owner
is encouraged to keep adequate maintenance records, but the absence of such does not automatically
invalidate this warranty.

➤ Reman Engine Verification

Only Reman engines, long blocks, and short blocks that are designated and labeled, as “Replacement Engines”
are eligible for Emissions Warranty. To check whether the Reman product serial number qualifies, refer to
Informational Release Memorandum PELJ1278. This can be found in the Caterpillar Service Information
System, or on the Cat® Reman website:
https://catreman.cat.com
This publication contains a list of serial number prefixes that are labeled as “Replacement engines” and are
covered by Emissions Warranty.
When claiming one of these Reman products for an eligible repair, you must include this Reman product serial
number in the “Related Serial Number” field on the claim. The product in-service date will also be required, to
verify coverage.
Reman products that are not on this list and/or are not labeled, as “Replacement Engines” are not eligible for
emissions warranty.

Claim Field Information

The following outlines the unique claim field information for emission warranty claims.
NOTE: Claims are automatically marked for Emissions Warranty by the system for review and it is no longer
necessary to put a “97” in the DC field or “Emissions Warranty” in the claim story. Claims processed to
Emissions Warranty will have a “CEW” in one of the reason code fields. This reason code will also be there
when it is an Emissions Part covered by Standard Warranty and outside Emissions coverage limits. The “CEW”
is only used for reporting and does not effect claim processing (limits, coverages or reimbursement).
Machine (Caterpillar Captive) Engine Claims:
• Related serial number field - Enter the engine serial number.
• Claim Story - If not the original engine in the machine as documented in SIMSi, enter the machine hours
and date the engine was put into service.

Claiming Practices for Products Covered Under Other Coverages While

Still Under Emission Warranty
Caterpillar’s emission warranties have precedence over any additional coverage that may apply to the machine/
engine. If the unit is within the terms of the Caterpillar’s emission warranties, and has a qualified emission
component failure, the claim shall be filed to emission warranty using the steps detailed above. The claim
reimbursement may be limited to the Caterpillar’s emission warranty reimbursement rates.

03.14-05 (04/13) 3
Bulletin No. 3.14 Caterpillar: Confidential Green

Questions Regarding Caterpillar’s Emission Warranties

The warranty group is not responsible for the list of parts and terms for emission warranty. For questions,
dealers should submit a ticket through the MSCRM tool at https://cpidsn-ss.cat.com/GlobalWarranty_SSS.aspx.
Questions pertaining to the contents in Tables #1, #2 or #3 will be forwarded to the Emission Regulations and
Compliance Group for review. We will respond as soon as an answer has been received.

Required Maintenance
Required maintenance must be completed per the OM&M (Operations and Maintenance Manual) as to avoid
risk of denial of emission warranty claims.

Parts Covered by the Emission Warranties

See Table #3, titled, “Parts Covered by Emission Warranty,” for a list of components that are covered by
Caterpillar’s Emission Warranty. Warranted components should match the part name and belong to at least one
of the emissions reduction systems/groups listed in Table #3. Some components from this list may be used in
other systems/groups on the machine/engine; coverage is not extended to those components. Components with
required replacement intervals, as defined in the “Operation and Maintenance” manual, are covered up to the
first replacement interval only.

4 03.14-05 (04/13)
 Caterpillar: Confidential Green Bulletin No. 3.14

Table #2

Machine (Caterpillar Captive) Engine Warranty Period

1,500 Hours or Two(2) Years,

CCE Product 300.9D, 301.4C, 301.6C, 301.8C, 302.5C, 302.7D
whichever comes first
1,500 Hours or Two(2) Years,
Compact Paving CB-113, CB-114, CB14
whichever comes first
3,000 Hours or Five(5) Years,
Cat Branded C1.8, C2.4, C2.6, C3.3B, and C3.8 engines
whichever comes first
All other Cat 3,000 Hours or Five(5) Years,
equals
Machines whichever comes first

On-Highway Engine Emissions Warranty Period

100,000 Miles or Five(5)

On-Highway All Legacy Engines
Years, whichever comes first

Commercial/Industrial/Petroleum/Locomotive Engine Emissions Warranty Period

If your engine is And its rated Then its warranty period is

And its maximum power is:
certified as: speed is: (whichever occurs first):
Variable speed or 1,500 Hours or Two(2) Years,
kW < 19 HP < 25 Any speed
constant speed whichever comes first
3,000 rpm or 1,500 Hours or Two(2) Years,
Constant speed 19 . kW < 37 25. HP <50
higher whichever comes first
Less than 3,000 3,000 Hours or Five(5) Years,
Constant speed 19 . kW < 37 25. HP <50
rpm whichever comes first
3,000 Hours or Five(5) Years,
Variable speed 19 . kW < 37 25. HP <50 Any speed
whichever comes first
Variable speed or 3,000 Hours or Five(5) Years,
kW . 37 HP > 50 Any speed
constant speed whichever comes first

Marine Engine Emissions Warranty Period

Then its warranty period is

Category * And its maximum power is: PWC
(whichever occurs first):
Category 1 500 Hours or 60 months,
All A90
Engines whichever comes first
Category 1 1,500 Hours or 30 months,
Less than < 19kW (25HP) All others
Engines whichever comes first
Category 1 2,500 Hours or 42 months,
≥ 19kW (25 HP) < 37kW (50 HP) All others
Engines whichever comes first
Category 1 5,000 Hours or 60 Months,
Greater than > 37kW (50 HP) All others
Engines whichever comes first
Category 2 10,000 Hours or 60 Months,
All All others
Engines whichever comes first
* Marine Category definitions:
Category 1 - (less than) < 7 liters per cylinder
Category 2 - (greater than or equal to) ≥7 liters per cylinder but (less than) <30 liters per cylinder

03.14-05 (04/13) 5
Bulletin No. 3.14 Caterpillar: Confidential Green

Table #3
Parts List for Emissions Warranty

Group Part Name

Air Induction System* ATAAC Outlet Temperature Sensor *Note: Warrantable parts,
Balance Valve Solenoid such as those listed for
Camshaft the “Air Induction System,”
Charge Air Cooler (ATAAC, SCAC, JWAC)
may also be found in
Compressor Inlet Pressure Sensor
the following emissions
Compressor Outlet Pressure Sensor
reduction systems/groups:
Exhaust Manifold
Inlet Air Temperature Sensor • Air Intake & Exhaust Gp.
Inlet Manifold Pressure Sensor • Camshaft Group
Inlet Manifold Temperature Sensor
• Cylinder Head Group
Intake Manifold
• Turbocharger Group
Interstage Ducting (Series Turbocharged Engines)
Precooler
Smart Wastegate Solenoid
Turbo Balance Valve
Turbocharger(s)
Turbo to CEM - Flexible Coupling
Turbo to CEM - Rigid Pipe
IVA/VVA - Actuator/accumulator
IVA/VVA - Check Valve
IVA/VVA - Oil Feed Tubes (Quill Tubes)
IVA/VVA - Pressure Sensor
IVA/VVA - Solenoid
IVA/VVA - Wiring Harness
Wastegate

Cooling System Coolant Temperature Sensor

Crankcase Ventilation System Crankcase Breather - Only if equipped with OCV, CCV systems
Fumes Filter - (Maintenance Item limits)
Fumes Filter Housing
Oil Filler Cap - Only if equipped with OCV, CCV systems
Pressure Regulating Valve

Electronic Engine Controls Electronic Control Module

Engine Wiring Harness
Personality Module/Software
Speed/Timing Sensor

Fuel Metering System Common Rail Fuel Pump

Fuel Injection - Pump (High Pressure)
Fuel Injector - Rocker Arms, Push Rods
Fuel Injector - Wiring Harness
Fuel Injectors/Nozzles
Fuel Rail (Common Rail Fuel Systems)
Fuel Rail Pressure Sensor
HEUI Oil Pressure Sensor
HEUI Pump, HEP Pump
High Pressure Fuel Lines
Quill Tubes
Rail Pressure Control Valve
Suction Control Valve
Timing - Advance
Timing - Solenoid

6 03.14-05 (04/13)
 Caterpillar: Confidential Green Bulletin No. 3.14

Table #3 Cont’d
Fuel Supply System Fuel Temperature Sensor

Emission Control System** ARD - Fuel Nozzle

**Note: Warrantable parts,
ARD - Fuel Pump Wiring Harness
ARD - Head
such as those listed for the
ARD - Housing “Emission Control System,”
ARD - Ignition Coil may also be found in the
ARD - Spark Plug (Maintenance Item limits) following emissions reduction
Backpressure Valve / Sensor systems/groups:
Catalyzed/Diesel Particulate/Oxidation Filter • ARD - Aftertreatment
CEM - Delta Pressure Sensor
Regen Group
CEM - Inlet Pressure Sensor
• CEM - Clean Emissions
CEM - Inlet Temperature Sensor
Mod Group
CEM - Wiring Harness
Combustion Air Valve
• CGI - Clean Gas
Exhaust Gas Temperature Sensor Induction
Flame Detect Sensor • CRS - CAT Regeneration
Fuel/Air Ratio Control System
Fuel Pressure Regulator • DPF - Diesel Particulate
Fuel Pump / Transfer / Primer Pump when supplying ECS Group
Fuel Return Check Valve • NRS - Nox Reduction
Intake Throttle Valve System Group
Nozzle Heater Relay • PRS - Particulate
NRS/CRS/CGI - Absolute Pressure Sensor Regeneration System
NRS/CRS/CGI - Actuator • SCR - Selective Catalytic
NRS/CRS/CGI - Cooler
Reduction Air Intake &
NRS/CRS/CGI - Fuel Pressure Sensor (includes Main and Pilot)
Exhaust Group
NRS/CRS/CGI - Mass Flow Sensor
NRS/CRS/CGI - Mixer
NRS/CRS/CGI - Solenoid Valve (includes Enable, Main and Pilot)
NRS/CRS/CGI - Temperature Sensor
NRS/CRS/CGI - Valve
NRS/CRS/CGI - Valve Position Sensor
Reed Valves
RF Soot Sensor Antenna (ECM)
RF Soot Sensor Module (ECM)
Secondary Air Pressure Sensor

used to connect the above listed approved parts including but limited to:
hoses, connectors, clamps, fittings, tubing, sealing gaskets or devices,
Miscellaneous items
mounting hardware and Emission Control Information Labels are also
covered by Caterpillar's emissions warranty.

Cylinder Pistons, Rings, and Liners are covered for all non-road and
stationary engines less than 10 liter per cylinder and rated with the following
engine horsepower. These items are covered beginning on/after the build date
Cylinder PRL (Pistons, Rings, and
noted below until further notice.
Liners):
<56 kW (<75 hp) - Built on/after 01Jan2008
56-130 kW (75-175 hp) - Built on/after 01Jan2012
>130 kW (>175 hp) - Built on or after 01Jan2011

03.14-05 (04/13) 7
Bulletin No. 3.14 Caterpillar: Confidential Green

8 03.14-05 (04/13)
 Caterpillar: Confidential Green Bulletin No. 3.17

SERVICE

WARRANTY BULLETIN Global

Engine

Engine Performance Complaints

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

➤ 03.17-01 (07/11) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.17 Caterpillar: Confidential Green

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

Specifications Before Adjustment After Adjustment

Fuel Load Fuel Setting (mm)
Full Torque Fuel Setting (mm)
1 Fuel Ratio Setting (mm)
Set Point (rpm)
High Idle (rpm)
Fuel API @60°F
2 Total HP Correction Factor
Boost (Hg)

1 Fuel ratio control settings for 3300 and 3400 Engines are dynamic.
2 Total HP correction factor (CF) = Inlet Air Temperature CF x Air Pressure CF x Fuel API CF x Fuel
Temperature CF.

2 03.17-01 (07/11)
 Caterpillar: Confidential Green Bulletin No. 3.18

SERVICE

WARRANTY BULLETIN Global

Engines

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

➤ 03.18-03 (08/11) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 3.18 Caterpillar: Confidential Green

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

Oil Consumption Chart

Investigate (minimum)
Liters of Fuel per 1 Liter of Oil Gallons of Fuel per 1 Quart of Oil
3000 Series, C0.5 - C6.6 200 50
3208 200-80 50-20
3300, 3400, 3500 Series 240 60
3116, 3126, C7, C9 240 60
3176, 3196, C10, C12 240 60
3456, C15, C16 240 60
C11, C13, C15 240 60
C18, C27, C32, C175 240 60

➤ Note: Refer to Bulletin 6.01 for Vocational On-Highway Truck Excessive Oil Consumption

Oil Consumption Claim Story Requirements

For oil consumption claims, the Claim Story must include the following:
• The oil to fuel consumption ratio.
• The cause of the oil consumption.
• The condition of the parts that were inspected for determining the cause of oil consumption.

➤ Indicates change. 2 03.18-03 (08/11)

 Caterpillar: Confidential Green Bulletin No. 3.18

03.18-03 (08/11) 3 ➤ Indicates change.

 Caterpillar: Confidential Green Bulletin No. 3.19

SERVICE

WARRANTY BULLETIN Global

Engine

Caterpillar Assembled Power Systems

“Packaged Products”
Overview
Packaged Products is the terminology used to describe products produced, packaged and marketed by the
Electric Power Division and the Marine and Petroleum 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 servicing 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, Automatic Transfer Switch and Uninterruptible Power Supply products. In these
instances, Packaged Products such as cogeneration equipment, control panels, containers, switchgear, ATS,
and UPS are identified by either a Caterpillar serial number or an Original Equipment Manufacturer (OEM)
specific designation. These Packaged Products are comprised of Cat part numbers, OEM part numbers or both.
Refer to Bulletin 3.01 for Packaged Products identification information.
Specific to Caterpillar assembled Packaged Products, it is the user or dealer responsibility where appropriate to
provide proof of the delivery date of the product to the first user, evidence that the defective part was included in
the package sold by Caterpillar to the dealer and an invoice for parts or components used for the repair.
A SIMS ticket has to be issued regardless whether the defective part has a Caterpillar referenced part number
or not.

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:

➤ 03.19-05 (11/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.19 Caterpillar: Confidential Green

Caterpillar Serialized Exception

Product Detail Cat Branded Warranty
Administrator
Switchgear & Control Panels Power Module Yes Caterpillar
Switchgear Stand Alone Yes Caterpillar
ATS Yes Caterpillar
UPS Yes Caterpillar
Generator Set Yes Caterpillar
XQ Enclosure Packages Yes Caterpillar
WILL FRAC Pump Packages No Caterpillar
Table 1

Cat Branded Non-Serialized Prime Product

The Cat branded prime product without a specific Caterpillar serial number will be identified by an OEM specific
designation and any failures of parts or components within this prime product should be claimed against the
OEM.

Caterpillar Non-Serialized Exception

Product Detail Cat Branded OEM Warranty
Branded Administrator
Generator KATO No Yes KATO
Generator National Oilwell/ No Yes National Oilwell/Varco
Varco
Generator Leroy Somer No Yes Leroy Somer
(3600 only)
Cogeneration Frerk No Yes Frerk
Equipment
Power Modules Frerk No Yes Frerk
Control Panels, Terberg No Yes Terberg
Switchgears
Power Modules NWT No Yes NWT
Table 2

The warranty administrator for selected OEMs can be reached at:

ISO Phone: 770-442-9442
KATO Phone: 507-625-4011
National Oilwell/Varco Phone: 281-274-0420
Frerk Phone: +49-4257-930099 E-mail: [email protected]
Terberg Phone: +31-30-6869115 E-mail: [email protected]
NWT Phone: +7-812-606-3620 ext. 116 E-mail: [email protected]
Leroy Somer Phone: +33-238-60-4856 (France) E-mail: [email protected]

2 03.19-05 (11/12)
 Caterpillar: Confidential Green Bulletin No. 3.19

Parts Information
Caterpillar serialized Packaged Products 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 (ESO) are divided into 5 types of product support.
EAME/CIS Custom Solutions product is identified by serial number of Caterpillar genset in the parts manual and/
or technical manual for this product provided at the point of sale.
TYPE 1: Standard Production: Caterpillar serialized Packaged Products 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 toll free at (800) 566-7782 or by fax at (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 Cat part number set up in the Morton Parts System pending
approval of the appropriate Caterpillar engineering group. If the Caterpillar engineering group determines the
part is not to be serviced through the 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 Products may contain non-serialized components; refer to Table 2
for warranty process procedure.
TYPE 2: Design To Order (DTO) Custom Parts: If the DTO Custom part has a Cat part number 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 toll free at (800) 566-7782 or by fax at (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 Cat part number set up in the Morton Parts System pending approval of the
appropriate Caterpillar engineering group. If the Caterpillar engineering group determines the part is not to be
serviced through the 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 that are readily obtainable from a local supply
source as “off-the-shelf” items and will not have a Cat part number. Type 3 parts, (i.e. wire terminal endings,
wiring, piping, conduit, common fasteners, common fuses, etc.) will not be considered for Caterpillar Warranty.
TYPE 4: OEM Specific: Type 4 parts are Cat part numbered components, which are warranted directly by the
component OEM. Type 4 parts will not be considered for Caterpillar Warranty.
TYPE 5: EAME-CIS Customized Solutions products: For warranty administration procedure of EAME-CIS
Customized Solutions products, refer to Page 5 of this document.
Note: For verification of OEM warranty, refer to Tables 1 and 2 or contact your appropriate warranty
administrator.

➤ Dealer Reimbursement
Dealer reimbursement for repairs completed on engines and Packaged Products will be paid in accordance to
Bulletins 1.02 and 3.01 except for EAME-CIS Customized Solutions products. For reimbursement practices of
EAME-CIS Customized Solutions products, refer to Page 5 of this document.
For claiming T & I charges for DTO products, please reference Bulletin 1.04.

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 Bulletins 3.01 and 3.21.

03.19-05 (11/12) 3 ➤ Indicates change.

Bulletin No. 3.19 Caterpillar: Confidential Green

Packaged Products Standard Warranty Statement Exclusions

This list is not inclusive and is for reference only. It is intended to help define Packaged Products warranty
exclusions. Components not appearing on this list do not necessarily imply they are covered under the
applicable warranty statement. Caterpillar reserves the right to add, change or delete components on this list at
any time. Due to ongoing changes and the wide variety of components that can make up a Packaged Product,
this list of exclusions will constantly be changing.

Exclusions
All Products Power Module Chiller
Components Including Components Including
All Fuel & HFO Treatment Undercarriage Compressor
Equipment
Tires York Control Panel
All Driven equipment (except
Caterpillar branded Generators) such Brakes Compressor oil pump
as pumps and transmissions lights
Axles High speed coupling guard
Kato Generators on 3600 Package
Gen-Set Wheels

Well Fracturing Building & Construction Building & Plant Systems

Components Including Components Including
Peterbuilt trucks and truck Concrete work HVAC
components including:
• Chassis Structural Steam
• Tires
• Brakes Plumbing Compressed air
• Axles
• Wheels Wells Fuel
• Lights Paint
• Transmission being driven by Paint Sheet metal
deck or skid engine

Completion/Stimulation Packaged Products in Petroleum Applications

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 on-going changes and the wide variety of components that can make up a Packaged Product, this list of
exclusions will change constantly. If there is a question about a component or it is not shown on the list, contact
Griffin Product Support (770) 233-5787 or (770) 233-5702 for assistance.

4 03.19-05 (11/12)
 Caterpillar: Confidential Green Bulletin No. 3.19

Caterpillar Packaged Product Description and Reference Engine Warranty Exclusions

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

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

Warranty Administration Procedure for EAME/CIS Packaged Products

The warranty period for EAME Packaged Products is limited to 12 months and starts at the same time as the
Caterpillar core product:
1. Dealer determines if the defect is warrantable.
• If there is a defect in material or workmanship and if the defect occurred during the warranty period, a
warranty claim can be submitted to Global Warranty.
2. If the defect is warrantable, the dealer determines the origin of the defect in material or workmanship.
• If the defect in material or workmanship is from the Caterpillar engine or generator set, the most
economical method of repair and the standard Caterpillar warranty procedure applies.
• If the defect in material or workmanship is not from the Caterpillar generator set, the most economical
method of repair should be coordinated directly with the suppliers listed in Table 2. For any other
suppliers, contact your EAME Electric Power “Custom Solutions” project engineer, your EAME EP Product
Support representative, or your EAME Global Petroleum Product Support Representative.
Caterpillar SARL supplies a bill of material together with the product. A list of all equipment with
description, serial number or other relevant information can be found in SIMSi.
Depending on the nature of the defect and the most economical method of repair, one of the following
alternatives could be selected:
A) The supplier will forward appropriate parts to the dealer to have the dealer perform the repair, unless
the supplier chooses to perform the repair at their own expense within an agreed timeframe with the
dealer. In the event that the repair is performed by the supplier at their own expense, no claim against
Caterpillar will be accepted. In the event that the supplier sends replacement parts to the dealer for repair
and charges to the dealer, claim for the cost of the parts should be submitted by the dealer to Caterpillar
for reimbursement. Caterpillar will not reimburse for labor and travel expenses.

03.19-05 (11/12) 5
Bulletin No. 3.19 Caterpillar: Confidential Green

B) The dealer to perform the repair. The dealer is permitted to claim the cost of parts purchased in country
or imported by the dealer according to point 3 of this bulletin. Caterpillar will not reimburse for labor and
travel expenses.
3. The dealer prepares and submits the warranty claim according to Caterpillar’s Standard Warranty
practices. The claim must be submitted under approver code ERX. Regardless of the part causing failure,
the Caterpillar generator set’s serial number and the substitute part numbers always need to be entered in
the warranty claim. For a listing of SP part numbers, dealers can reference the booklet entitled “Caterpillar
Product Service Reporting Codes for SIMS and Warranty Use” Form SEBD0850 that is available from
corporate literature.
The dealer should provide in the claim story the serial number of the non-Cat part that was defective (if
available) and whether a replacement part was purchased in country or was imported. If a replacement
part is not available in country and has to be imported, importation duty and transportation costs can be
claimed according to the Warranty Bulletin Guide 1.04 for T&I charges. Evidence of these costs should be
provided with the claim by submitting copies of all invoices associated with the repair.
As stated in the Caterpillar warranty statement, Caterpillar is not responsible for incidental or consequential
damages.

6 03.19-05 (11/12)
 Caterpillar: Confidential Green Bulletin No. 3.20

SERVICE

WARRANTY BULLETIN Global

Engines

➤ First Owner Sea Trial for Pleasure Craft

Electronic Marine Engines Only
(Services and Claims)

NOTICE
Applicable currently in NACD Only, effective Globally for deliveries on/after 01Apr12.

➤ First Owner Sea Trial

Cat® engines meeting all of the following conditions are entitled to a first owner sea trial:
1. The engine is a 3126B, C7, C9, C12, C15, C18, C30, C32, 3406E, 3412E, or 3500 Family Marine Engine
sold through an approved OEM.
2. The engine’s distribution code (DC), as outlined in Bulletin 1.11, is not in the “A” category. Please note:
in SIMS, the distribution code is referred to as the owner class. It is located in SIMS history, on the top
line of the engine serial number.
3. The Principle Work Code (PWC), as outlined in Bulletin 1.11, is “A90A.”
Dealer retail sold engines are entitled to a first owner sea trial, but the expenses, in this instance, are for the
selling dealers’ account.
This first owner sea trial should be performed prior to customer delivery or within 30 days following delivery
to the initial user; engine hours are to be between 1 and 500 hours. A first owner sea trial is provided free of
charge by the Cat authorized dealer, with certain limitations. 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.

➤ First Owner Sea Trial Process

The first owner sea trial process is fully documented in the first owner sea trial publication LEGM0003-00, and it
is located on Power Net at https://engines.cat.com/concierge or in the (EMC) Electronic Media Center.

➤ 03.20-03 (03/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 3.20 Caterpillar: Confidential Green

➤ Prior to the First Owner 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.
• Inspect all on-engine wiring for adequate sealing, mounting and grounding.

➤ First Owner Delivery Sea Trial:

First Owner Sea Trial will consist of a performance sea trial as defined in the LEGM0003-00 document. Details
are to be recorded in the Marine Service Interlink at https://serviceinterlink.cat.com or at http://serviceinterlink.
cat.com.
All data recorded from the sea trial will be analyzed with Computer Aided Marine Performance Analysis Report
(CAMPAR) 4.0 or higher and uploaded to the Marine Service Interlink. If CAMPAR is not available, the Sea
Trial Data Logger General Information, Steady State Data Logger, and Transient Data Logger files should also
be uploaded. First Owner Sea Trial Inspection claims will not be considered without this information.
To ensure warranty registration, the delivering dealer must enter the customer name, address and the delivery
date into SIMSi prior to claim submission. This ensures registration at the factory for warranty coverage and
expedites processing of any claims for warranty.
➤ Claim Filing Instructions
Standard claim practices apply, please refer to the Service Claim Instruction Handbook for claim example and
claim filing requirements.

Note: Claim repairs performed at the time of first owner sea trial per Bulletin 3.01.

Additionally, the completion and requisite signing of first owner sea trial publication (LEGM0003-00) is
mandatory for any re-imbursement and must be attached to any claim submitted by the dealer for a first owner
sea trial.

➤ Required Documentation:
Below is condensed list of documentation required for for filing claims. All documents should be completed and
uploaded to the “Sea Trial Data” tab in the Marine Service Interlink.
• General Information (.txt)
• Steady State Data Logger (.ssd)
• Transient Data Logger (.sdf)
• CAMPAR Report (file extension .epr) - If analysis software is available.
• Completed and signed First Owner Sea Trial document (LEGM0003-00)
All required documents, with the exception of LEGM0003-00, can be found on the Marine Service Interlink. As
previously noted in this bulletin, LEGM0003-00 can be found on Power Net at https://engines.cat.com/concierge
or in the (EMC) Electronic Media Center.

➤
Labor Reimbursement For First Owner Sea Trials
When filing a claim, list the 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, 3412E, or 3500 Family Marine
Engine sold through an approved OEM. If Sea Trial Data and CAMPAR data is not uploaded into the Marine
Service Interlink, the claim will be denied for payment.
Dealers will be reimbursed for labor at their approved sell labor rate. Other related expenses will be reimbursed
at the dealer’s acquisition cost.
Please note: When 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.

➤ Indicates change. 2 03.20-03 (03/12)

 Caterpillar: Confidential Green Bulletin No. 3.21

SERVICE

WARRANTY BULLETIN Global

Engines

Caterpillar Reimbursed Start Up /

Performance Audit and Delivery Inspection
Overview
Cat® Engines and Cat Packaged Products that meet the conditions listed in this document are entitled to one
Caterpillar reimbursed Start Up/Performance Audit and/or Delivery Inspection as indicted in the limitations.

Limitations
• New Dealer OEM and Factory OEM 3176, 3196, 3300, 3400, 3500, G3300, G3400, G3500, C10-13,
C15-32, C175 Engines and Cat Packaged Products powered by such engines sold into petroleum drill
rig applications (Principle Work Code B12 only) qualify for a Start-Up/Performance Audit and a Delivery
Service Inspection.

• New Dealer OEM and Factory OEM 3600 & C280 Engines sold into drill rig applications (Principle Work
Codes B12 and B13) qualify for a Start-Up/Performance Audit only.

• New Dealer OEM and Factory OEM 3000, 3126, 3176, 3196, 3300, 3400, 3500, G3300, G3400, G3500,
C1.5-6.6, C7-13, C15-32 and C175 Engines and Cat Packaged Products that are powered by such
engines sold into other petroleum applications (Principle Work Codes B11, B13, B20, B30, B40 and B50)
qualify for a Delivery Inspection only.

• Certified Fire Pumps (K62), regardless of engine model and type of sale, that are sold all qualify for a
Delivery Inspection only.

Start Up/Performance Audit

Audit Instruction/List
This inspection ensures that engines and driven equipment installed on a drill rig are in good operating
condition. Inspection audits are to be completed at the drill rig yard when the engines are completely installed
on the rig, but NOT delivered/in service. The audits are to include the following:

➤ 03.21-03 (07/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2013 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.21 Caterpillar: Confidential Green

1. A check of engine fluid compartments for proper fluid and level.

2. All service points are lubricated.
3. Inspection and if necessary, adjustment of all engine drive belts.
4. Inspection and if necessary, adjustment to the governor.
5. Inspection of engine installations for integrity of mountings and serviceability. Inspection of air induction,
exhaust, fuel supply and cooling systems.
6. Measurement of cold engine alignments to driven equipment. Realignment, if necessary, is covered by
Caterpillar warranty only on Caterpillar factory assembled units. On other units, realignment costs are the
responsibility of the rig manufacturer.
7. Measurement of cold crankshaft deflection on certain V12 and V16 engines.
8. Start and operation of engines.
9. Where possible, verification that all safety warning and shutdown systems function correctly at specified
settings.
10. Performance of a load test with the maximum available usable load. This should not be interpreted as
a load test for an extended duration. Load tests of one hour or less will be considered adequate for most
installations.
11. A check of parallel operation of engines when it is possible.
12. For electronic engines, download engine parameters from ECM; review the electronic engine configuration
and implications. Provide copy to customer and retain copy in dealer files.
13. Other items deemed necessary by the dealer completing the audits.
Note: Measurements taken and inspections performed are to verify that engines are operating within
accepted parameters. If not within parameters, corrective measures are to be completed at the expense of the
responsible party.
After completion of start-up audits on engines that have Metal Product Information Plates (engines produced
at the Lafayette, IN facility), the Dealer Code followed by the letter “S” is to be stamped in the “Date Delivered”
portion of the plate.
After completion of start-up audits on engines that have Ultraplate Film (decals) as the Product Information Plate
(engines produced at the Mossville, IL facility), stamp the letter “S” and Dealer Code beside the Engine Serial
Number Plate located on the right rear side of the engine.

Claim Allowance
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 service person’s travel time, are for the customer or dealer’s account.
For engines or Cat Packaged Products (Principle Work Code B12 and B13 only), the dealer can claim
reasonable actual service person’s labor up to the following limits:

• 3 hours – for 3176, 3196, 3300, 3400, G3300, G3400, C10-13, C15-32 Family Engines/Packages.

• 7 hours – for 3500, 3600, G3500, G3600, C175, C280 Family Engines/Packages.

2 03.21-03 (07/13)
 Caterpillar: Confidential Green Bulletin No. 3.21

➤ Claim Filing Instructions

Limit each claim to a single engine. Where two or more new engines at one location are to be given a Start Up/
Performance Audit, the work should be arranged to minimize labor, travel, and mileage expenses and make
each claim associated to the other. File a separate claim for any warranty repairs performed at the time of
delivery inspection following proper Standard Warranty procedures.
Dealers will be reimbursed for labor and mileage at their approved warranty rates. Other related expenses will
be reimbursed at the dealer’s acquisition cost. Start-Up and Performance Inspection Audit claim instructions are
the same as other warranty claims except as noted below:

• Part Causing Failure (PCF) - leave blank.

• Group Number - Enter SMCS code 7589.

• Comment/Findings Field - START UP/PRFC AUDIT.

• Product Hr/Mi/Km - Enter a number of 1 or more.

• Description Code - Enter PD Code 56.

• Delivery Date - 00NIS00.

• Customer Credit % - Enter 0 for parts and 100 for labor.

Delivery Inspection
Delivery Inspection 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 Cat
authorized dealer. Any unusual costs, such as travel to a remote location, overtime, waiting time, etc., are
subject to charge. Caterpillar does not reimburse such unusual costs.
➤ Note: For retail sold engines (i.e. owner class A) that remain in selling dealer’s territory, the Delivery Inspection
is not reimbursed. The customer is still entitled to an inspection however, like for any engine delivery.
Exclusion: Does not apply to Certified Fire Pumps.

Audit/Instruction List
This inspection ensures 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 site. The Delivery Inspection is
to include, but is not limited to, the following:
1. If the engines are part of a Well Servicing Product (Principle Work Code B20) - Determine the serial number
to be used for submitting claims and reporting delivery. See “Packaged Product Identification” for information on
serial number identification.
2. Review 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 product engine to register them for warranty coverage. For
each Cat Packaged Product complete one card. Use the “Packaged Product Serial Number” as the identifying
serial number.
4. Check all fluid compartments to ensure they are filled to safe levels.
5. Check service points to ensure they are properly lubricated.
6. Give instructions to operating personnel on proper starting of the engines.

03.21-03 (07/13) 3 ➤ Indicates change.

 Bulletin No. 3.21 Caterpillar: Confidential Green

7. A review of safe operating practices including engine shutdown (normal and emergency), plus safety alarms
and shutdown controls.
8. Visual inspection for leaks, loose bolts, unusual noises and vibrations on engines and Cat Packaged Product
prior to starting, after starting and after shutdown.
9. Adjust engines and a package with compound drives to ensure loads will be shared.
10. Ensure operating personnel receive an “Operation and Maintenance Guide” for each product engine
installed and review the following items with them:
a. Specifications for correct fuel, oil and engine coolant.
b. The procedure for correct fuel handling during fuel filter changes.
c. Fuel filter requirements (high-efficiency).
d. Oil filter requirements.
11. Procedure for testing and maintaining proper Supplemental Coolant Additive levels.
12. Visually inspect each engine or Cat Packaged Product to ensure all decals and plates are visible and
readable.
13. Inspect engine air intake systems for adequate sealing, mounting and air cleaner serviceability. Also check
and charge air cooler and lines if applicable.
14. Inspect all on-engine and Packaged Product wiring and connections for adequate sealing, mounting and
grounding.
15. Other items deemed necessary by the dealer in completing the inspection.
16. For electronic engines, download engine parameters from ECM; review the electronic engine configuration
and implications. Provide copy to customer and retain copy in dealer files.
Note: After the delivery service is completed, the delivering dealer must enter the customer name, address and
delivery date information into the Customer Name & Address Screen in SIMSi. Also make sure the Principle
Work Code (PWC), Owner Class and Application Codes are correct for the application/use of the product. This
ensures factory registration for warranty coverage and expedites warranty claim processing. If any of this
information is missing or incorrect, this will cause a delay in payment or incorrect processing of the claim.

Claim Allowance
Actual travel time (up to a maximum of 8 hours) and round trip mileage from the dealership to the customer site
can be claimed. However, if engines or Packaged Products are located on “off-shore rigs,” travel will be limited
to the trip from the dealership to and from the dock where other transportation must be taken to get to the site.
Other transportation costs, including service person’s travel time, are for the customer or dealer’s account.
Dealers can claim reasonable actual service person’s labor for a Delivery Inspection up to the following limits:

• 2 Hours – for all Certified Fire Pump Engines (K62), regardless of engine models.

• 3 hours – for 3176, 3196, 3300, 3400, G3300, G3400, C1.5-C6.6, C7-13, C15-32 Engines/Packages.

• 4 hours – for 3500, 3600, G3500, C175, C280 Family Engines/Packages.

➤ Note: If the engines or packages are installed in a drill rig application (Principle Work Code B12 or B13), then
the total allowance for delivery services, regardless of the number of engines or packages on the rig, cannot
exceed a total of 16 hours.

➤ Indicates change. 4 03.21-03 (07/13)

 Caterpillar: Confidential Green Bulletin No. 3.21

Claim Filing Instructions

Limit each claim to a single engine. Where two or more new engines at one location are to be given inspection
services, the work should be arranged to minimize labor, travel, and mileage expenses and make each claim
associated to the other. File a separate claim for any warranty repairs performed at the time of delivery
inspection following Standard Warranty procedures. Dealers will be reimbursed for labor and mileage at their
approved warranty rates. Other related expenses will be reimbursed at the dealer’s acquisition cost. Delivery
Inspection claim instructions are the same as other warranty claims except as noted below:

• Part Causing Failure (PCF) - leave blank.

• Group Number - Enter SMCS code 7590.

• Comment/Finding Field - DELIVERY INSPECTION.

• Product Hr/Mi/Km - Enter a number of 1 or more.

• Description Code - Enter PD Code 56.

• Customer Credit % - Enter 0 for parts and 100 for labor.

03.21-03 (07/13) 5
Bulletin No. 3.21 Caterpillar: Confidential Green

6 03.21-03 (07/13)
 Caterpillar: Confidential Green Bulletin No. 3.22

SERVICE

WARRANTY BULLETIN Global

Engine

Electronic Control Modules and Flash-files

Overview
The Electronic Control Module (ECM) is often reported as a cause of failure, when the repair simply involved the
flashing of new software. Therefore, this bulletin provides references for required troubleshooting procedures
and details the claiming practices necessary for ECM replacements and flash-file changes for all Caterpillar®
products.

Replacement of Electronic Control Modules

Troubleshooting guides are available in SIS and are intended to prevent unnecessary replacement of ECMs.
The machine or engine serial number can be used with the fault code number to locate specific documents for
troubleshooting guidance. Dealers should follow all documented troubleshooting steps when handling ECM
repairs, and should work through their TC (Technical Communicator) to contact the DSN or ECM Hotline for
further troubleshooting assistance.
This information also applies to over-the-counter ECM sales. The claiming dealer is responsible for verifying
Caterpillar defects in materials & workmanship.
Note: Dealer TC, DSN and ECM Hotline involvement does not automatically guarantee claim payment. ECM
claims will be processed based upon claim merit.

Claiming Practices
If an Electronic Control Module (ECM) was not replaced during a repair, the ECM part number cannot be
used as the part causing failure on a claim. Claims involving re-flashing should use the flash-file part number
as part causing failure and the group number listed on the chart. Use the chart on page 2 when claiming for
failures on an engine, powertrain, implement, monitoring system electronic control module, flash-file, or when
making flash-file changes.

➤ 03.22-03 (04/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 3.22 Caterpillar: Confidential Green

➤ Part Causing Failure Old Part # Group # DC Code

Engine Control Module ECM Part # Cat Group # 42
Engine Flash-file Flash-file # Cat Group # 37
Transmission Control Module ECM Part # Cat Group # 42
Transmission Flash-file Flash-file # Cat Group # 37
Implement Control Module ECM Part # Cat Group # 42
Implement Flash-file Flash-file # Cat Group # 37
Monitor Control Module ECM Part # Cat Group # 42
Monitor System Flash-file Flash-file # Cat Group # 37
Re-rating Flash-file # Cat Group # 37
Electronic Update Same Flash File used Flash-file # Cat Group # 37
Factory installed flash File incorrect Flash-file # Cat Group # 37

If it is determined that the ECM is the part causing failure, report the part number that is on the failed ECM serial
number plate. In some cases, a new part may have been substituted to fill a remanufactured order. Using the
part number that is on the failed ECM serial number plate will assure that ECM reliability data is accurate.
Dealers should summarize their troubleshooting procedure in the claim story and include the following
information:
• SIS Literature Number used
• ECM harness part number used
• Active codes and results of troubleshooting steps
➤ • DSN Service Request number or ECM Hotline contact name and date, if applicable
Note: When re-flashing software, SP0775 substitute part number will no longer be allowed as part causing
failure. Dealers should use the old software part number as the part causing failure. Do not use the new
software part number as part causing failure.
Note: All claims should use the Cat® Group Number in the claim (i.e. xxx-xxxx), not an SMCS Code.

➤ Indicates change. 2 03.22-03 (04/13)

 Caterpillar: Confidential Green Bulletin No. 3.23

SERVICE

WARRANTY BULLETIN Global

Engine

Alternative Fuel Conversion System Warranty

Dynamic Gas Blending Kit

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

Manufacturer’s Warranty Coverage:

In summary, Caterpillar warrants that Dynamic Gas Blending Kits are:
1. Designed and manufactured to conform with applicable requirements of the California Certification
and Installation Procedures for Systems Designed to Convert Off-Road Vehicles, Engines, and
Equipment to Use Alternative Fuels (“Procedures”) and
2. Are free from defects in materials and workmanship which cause the Dynamic Gas Blending Kit
to fail to conform with the requirements of the Procedures or cause damage to any part on the
converted engine/equipment.
The Dynamic Gas Blending Kit is warranted for the warranty period set forth below. If any part of the kit is
defective, the part will be repaired or replaced by Caterpillar.
Installer’s Warranty Coverage:
Each installer of a Dynamic Gas Blending Kit shall warrant to the ultimate purchaser and to each subsequent
purchaser that the Dynamic Gas Blending Kit will not fail to conform with the applicable requirements of
Caterpillar’s documented installation and maintenance information due to incorrect installation, and that no part
on the converted engine/equipment will be damaged due to incorrect installation.
Each installer of a Dynamic Gas Blending Kit shall warrant for the applicable warranty period listed below and
shall cover the full repair and replacement costs including the costs of diagnosis, labor, and parts (including any
part on the converted engine/equipment that is damaged due to a defect in the Dynamic Gas Blending Kit).

➤ 03.23-01 (04/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.23 Caterpillar: Confidential Green

Warranty Period
The warranty period is 5 years or 3000 hours of operation, whichever comes first. The warranty period begins at
date of installation of the Dynamic Gas Blending Kit or at the engine/package delivery date when installed pre-
delivery to first user.
• Dealer must enter a SIMS record on the engine/package serial number to indicate:
• Installation of a DGB Kit
• Engine SMU at date of installation
• The begin date of the warranty period
• Caterpillar Inc. supplied parts or assembled components that are replaced under alternative
fuel conversion system warranty are covered only for the remaining warranty period of the original part
or component.

Dealer Reimbursement
Dealer reimbursement for repair expenses related to Alternative Fuel Conversion System Warranty will be per
the following Summary of Reimbursement Practices Chart and in accordance with applicable Reimbursement
Practices as outlined in Bulletin 1.02.

Alternative Fuel Conversion System Warranty

Summary of Reimbursement Practices
Repair Expense Allowance & Rate
Parts Reimbursable at C/L
Service Items Reimbursable at C/L, if made unusable
Repair Labor Warranty Sell Labor Rate
Part Salvage Labor Warranty Sell Labor Rate
Emergency Parts Service Charges Reimbursable, if justified in claim story
Outside Repair Expenses Reimbursable at cost
Shop Supplies Included in labor rate
Overtime Labor Rate, Travel Time & Mileage, Meals &
Not Reimbursable
Lodging, Freight Charges, Hauling Costs

Additional Warranty Information

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

2 03.23-01 (04/13)
 Caterpillar: Confidential Green Bulletin No. 3.23

Claim Filing Instructions

The following outlines the unique claim field information for alternative fuel conversion system (Dynamic Gas
Blending Kit) warranty claims. NOTE: Caterpillar Emissions Warranty does not cover these claims; therefore
they will not have a “CEW” reason code applied.
Product ID / Serial No. – Dynamic Gas Blending Kits are not serialized. Enter the serial number of engine that
the DGB kit is installed on. In some cases such as with EPG products, this may be a “package” serial number.
Parts Start Date - enter the date of the DGB Kit installation or the engine/package delivery date when DGB Kit
was installed pre-delivery to first user. All claims must have a parts start date that reflects the “installation date”
documented in SIMS record.
Parts Hr/Mi/Km - enter the SMU hours since the DGB Kit was installed as determined by SMU of the host
engine.
Part Causing Failure – enter the individual part number that caused the failure
Group Number – enter the SMCS Code 7793

Claiming Practices for DGB Kits covered under other coverage while still
under Alternative Fuel Conversion System (DGB Kit) Warranty
Caterpillar’s alternative fuel conversion system warranty has precedence over any additional coverage that may
apply to the engine or new replacement parts. If the DGB Kit is within the terms of the Caterpillar’s alternative
fuel conversion system warranty, and has a qualified component failure, the claim shall be filed to alternative fuel
conversion system warranty using the steps detailed above.

Required Maintenance
Required maintenance must be completed Caterpillar’s Installation & Maintenance Manual as to avoid risk of
denial of alternative fuel conversion system warranty claims.

Parts Covered by Dynamic Gas Blending Kit Warranty

➤ Dynamic Gas Blending Kit for Engines in Electric Power Generation Applications
The following illustrations can be used for general orientation to parts that are included in the Caterpillar’s
Dynamic Gas Blending Kits for Engines in Electric Power Generation Applications (highlighted parts).
This Alternative Fuel Conversion System Warranty covers specific part numbers that are listed as “parts needed”
in Caterpillar’s installation & maintenance Special Instruction Manuals REHS7407 and REHS7328. Refer to
these Special Instruction Manuals to determine individual part numbers that are covered by the warranty.

03.23-01 (04/13) 3 ➤ Indicates change.

 Bulletin No. 3.23 Caterpillar: Confidential Green

➤ Dynamic Gas Blending Kit for Engines in Petroleum Completion / Stimulation Applications
The following illustrations can be used for general orientation to parts that are included in the Caterpillar’s
Dynamic Gas Blending Kits for Engines in Petroleum Completion / Stimulation Applications (parts in black).
This Alternative Fuel Conversion System Warranty covers specific part numbers that are listed as “parts needed”
in Caterpillar’s installation & maintenance Special Instruction Manual REHS7855. Refer to these Special
Instruction Manuals to determine individual part numbers that are covered by the warranty.

➤ Indicates change. 4 03.23-01 (04/13)

 Caterpillar: Confidential Green Bulletin No. 3.24

SERVICE

WARRANTY BULLETIN Global

Power Systems

Well Stimulation Pumps

and
Well Service Pumps
Overview
This bulletin addresses warranty applicable to Well Stimulation Pumps and Well Service Pumps used in
Petroleum applications.
Warranty claims for Well Stimulation Pumps and Well Service Pumps sold by Caterpillar can be submitted
through the Caterpillar Service Claims System at https://claims.cat.com.
Well Stimulation Pumps (WS223, WS255, WS273, WS305) and Well Service Pumps (WS063, WS163) have
two major components: a power end and a fluid end, as illustrated in the pictures below. The warranty terms for
each end differ. An extreme duty configuration (XD) for fluid ends is available for each model.

➤ 03.24-00 (06/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.24 Caterpillar: Confidential Green

Warranty Period
For Well Stimulation Pumps and Well Service Pumps, the Standard Warranty period is 12 months, unlimited
hours, after the date of delivery to the first user.
Note: The Standard Warranty period for fluid ends on both Well Stimulation Pumps and Well Service Pumps is
3 months, unlimited hours, starting from the date of delivery to the first user.
The Well Stimulation Pumps and Well Service Pumps have a warrantable serial number.
To begin the warranty period, the dealer must document the sale/delivery of the Well Stimulation Pumps and
Well Service Pumps through Caterpillar’s SCORE system or SIMSi.

Product Identification
The Well Stimulation Pumps and Well Service Pumps are identified by serial numbers, which should be used in
determining warranty, submitting claims, entering SIMS data, and verifying the product has been shipped.
The serial number plate on Well Stimulation Pumps and Well Service Pumps are located on the power end.
The photo below shows the location of the serial number plate for Well Stimulation Pumps and Well Service
Pumps.

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

Well Stimulation Pumps and Well Service Pumps

Summary of Reimbursement Practices
Repair Expense Allowance and Rate
Parts Reimbursable at C/L.
Repair Labor Reimbursable at warranty sell labor rate.
Parts Service Charges Reimbursable.
Service Items Reimbursable at C/L, if made unusable.
Parts Salvage Labor Reimbursable at warranty sell labor rate, if justified.
Outside Repair Expenses Reimbursable, at cost.
Travel Time & Mileage Reimbursable.
Overtime Labor Rate, Shop Supplies, Meals and Lodging,
Not reimbursable
Freight Changes, Hauling Cost and Value Added Tax

2 03.24-00 (06/13)
 Caterpillar: Confidential Green Bulletin No. 3.24

Claim Filing Instructions

The following information outlines the claim requirements for Well Stimulation Pumps and Well Service Pumps,
including power ends and fluid ends:
Product ID / Serial Number - Enter the pump serial number, located on the power end.
Part Causing Failure - Enter the part number that caused the failure.
Group Causing Failure - Enter the group number for the part causing failure.
For new parts warranty, refer to Bulletin 4.01.

03.24-00 (06/13) 3
Bulletin No. 3.24 Caterpillar: Confidential Green

4 03.24-00 (06/13)
 Caterpillar: Confidential Green Bulletin No. 3.27

SERVICE

WARRANTY BULLETIN Global

Power Systems

Cat® Selective Catalytic Reduction System

For Aftertreatment Retrofit

Overview
This bulletin addresses warranty applicable to the Cat® Selective Catalytic Reduction (SCR) System installed by
dealers or customers on Cat or other manufacturer’s engines.

Effective September 01, 2013, warranty claims for Cat SCR Systems sold by Caterpillar must be submitted
through the Caterpillar Service Claims System.

Warranty Period
For Cat SCR Systems sold to first user prior to 01 Sept. 2013, the standard warranty period is 12 months / 8000
hours of operation, whichever comes first, after date of delivery to the first user.

Effective with sales to the first user on / after 01 Sept 2013, the standard warranty period is 24 months / 8000
hours of operation, whichever comes first, after date of delivery to the first user.

Product Identification
Cat SCR Systems are identified by serial numbers, which should be used in determining warranty, submitting
claims, and entering SIMS data.

The dealer must document sale / delivery of the Cat SCR Systems through Caterpillar’s SCORE system or
SIMSi to begin the warranty period. Enter the Principle Work and Application Code based on the host engine.

The Cat SCR Systems will have a serial number plates located on the right front panel dosing cabinet door for
or on the on the reactor housing.

➤ 03.27-00 (08/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2013 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 3.27 Caterpillar: Confidential Green

The photo below shows the locations of the serial number plates for Cat SCR Systems.

Common
Locations
for
Serial Number
Plates

Dealer Reimbursement
Dealer reimbursement for repair expenses will be per the Summary of Reimbursement Practices Chart found
below and in accordance with applicable Reimbursement Practices as outlined in Bulletin 1.02.

Cat SCR System

Summary of Reimbursement Practices
Repair Expense Allowance and Rate
Parts Reimbursable at C/L.
Repair Labor Reimbursable at warranty sell labor rate.
Parts Service Charges Reimbursable.
Service Items Reimbursable at C/L, if made unusable.
Parts Salvage Labor Reimbursable at warranty sell labor rate, if justified.
Outside Repair Expenses Reimbursable, at cost.
Travel Time & Mileage Not reimbursable.
Overtime Labor Rate, Shop Supplies, Meals and Lodging,
Not reimbursable
Freight Changes, Hauling Cost and Value Added Tax

Claim Filing Instructions

The following outlines the unique claim field information that is required when submitting Cat SCR Systems
claims.

Product ID / Serial No. - Enter the SCR System serial number.

Part Causing Failure - Use the part number that caused the failure.
Group Causing Failure - Enter the group number for the part causing failure.
Product Hr/Mi/Km - Enter the hours found in the SCR controller located in the dosing cabinet. (Do not enter
the engine hours.)
For new parts warranty, refer to Bulletin 4.01.

Contact Information
Claim Settlement Help: Dealers should contact Caterpillar Emissions Solution Group for claim settlement
help such as why the claim is not paid fully, why the claim is rejected, why the claim is partially paid, warranty
coverage and warranty parts return questions.
Phone: +1 505-473-2528 (Dan Dotts) or +1 309-675-0270 (Steve Cooksey)
E-mail: [email protected] or [email protected]

2 03.27-00 (08/13)
 Caterpillar: Confidential Green Bulletin No. 4.01

SERVICE

WARRANTY BULLETIN Global

Parts

Parts

Overview
Parts Warranty covers customer purchased new and remanufactured parts or assembled components, which
are found to be defective during installation (including testing prior to installation) or by the component or product
being operated, even if only for a few minutes. Customer purchased refers to any of the following customer part
sales situations:
• Parts purchased through a dealer’s parts department
• Parts purchased through a dealer’s service department for service repairs (via a customer invoice)
• Parts replaced under a Goodwill settlement, in which the customer paid at least 25% of the total repair
• Parts replaced under a prorated Product Support Program (PSP) settlement, in which the customer paid at
least 25% of the claimable expenses
Americas North Engines and Caterpillar Vocational On-Highway Truck Only
• Parts installed under the terms of an Extended Service Plan or Protection Plan
Batteries, rubber track for Multi Terrain and Compact Track Loaders and Mobil-trac™ Belts, On-Highway Truck
parts sold by Caterpillar under third party name are covered by separate warranties. Refer to the appropriate
warranty bulletins for information on these items.
Cat Classic™ Parts carry the same parts standard warranty as regular Cat® parts.
NEXUS™ Parts - see Bulletin 4.05 for claiming procedures.
Note: Material defects and/or workmanship identified through the testing of parts prior to the part being sold over
the counter or installed in a product are considered parts warranty, not defective parts stock warranty. Defective
parts stock warranty applies only to material defects and/or workmanship identified at the time of purchase or
prior to installation through a visual inspection that showed the obvious defect(s).
Caterpillar Emissions Solutions (CES) Aftermarket Products in non-regulated markets*:
• Diesel Particulate Filters (DPF)** - carries the same parts warranty as regular Cat parts - claim against
serial number 99Z01928 for machine engines

04.01-17 (06/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 4.01 Caterpillar: Confidential Green

Caterpillar Emissions Solutions (CES) Aftermarket Products in regulated markets*:

• Diesel Particulate Filters (DPF)** - carries the same parts warranty as regular Cat® parts - claim against
serial number 99Z01928 for machine engines
• On-Highway Diesel Oxidation Catalyst (DOC)** - carries the same On-Highway 12-months parts
warranty as regular Cat parts - claim against serial number 99Z01929
• Non-Road Catalyzed Converter Muffler (CCM)** - carries a 12-months parts warranty - claim against
serial number 99Z01930
* Products in regulated markets and still within Emission Warranty coverage, please refer to bulletin 3.13 for
claiming and coverage information.
** Additional claiming requirements exist, refer to pages 4 and 5 of this bulletin.
“Selling Dealer” Installed Entertainment Radios carry the same parts warranty as regular Cat parts.
For warranty failures on all dealer installed radios, dealers are to replace the radio by ordering a new one
through the dealer’s parts department. Dealers should submit a Caterpillar Parts Warranty Claim for expense
reimbursement.
Parts Warranty does not cover failed radios that are returned having any of the following non-acceptance criteria:
• Liquid contamination
• Physical damage
• Evidence of an unauthorized repair
• Failure of an entertainment audio component due to dirt or contamination (a maintenance problem)
• Improper packaging of returned failed radios

New and Remanufactured parts and assembled components are warranted for defects in material and
workmanship. The warranty period is as stated on the warranty statement, starting from the date the part is
purchased or put into service by the first user. Some example warranty periods are 6-months for Parts Warranty
on Machines and Commercial Engines and 12-months on On-Highway Engines.
Under Parts Warranty, the customer (end user) receives a replaced or repaired part or component for the failed
item. The remaining reimbursement varies between Cat products - please see the Dealer Reimbursement
section and summary chart in this bulletin for complete reimbursement information.

Notice
Parts that are not Cat parts that are damaged are not covered under Caterpillar Parts Warranty. Requests
for Caterpillar participation on parts made by other manufacturers than Caterpillar should be directed for
Goodwill consideration.

Defective Parts Stock

If a part or component is discovered to be defective either at the time of purchase or prior to installation through
a visual inspection that showed an obvious defect(s), it is considered defective parts stock. Parts Warranty does
not cover defective parts stock. In such cases, refer to Bulletin 4.08 for Defective Parts Stock.

Warranty for Parts Replaced Under Parts Warranty

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

2 04.01-17 (06/13)
 Caterpillar: Confidential Green Bulletin No. 4.01

Ground Engaging Tools

Parts Warranty also covers ground engaging tool (GET) components that are sold after machine delivery,
including customer purchased replacements. Examples of these replaceable steel components include cutting
edges, base edges, adapters, teeth, bits, wear plates, protectors, tips, etc. Hydraulic hammer tool points and
compactor plates are not covered by Parts Warranty or any other warranty. These hammer tools are considered
expendable items with service life dependent on operator technique and/or experience.
Once the Parts Warranty period expires, certain designated GET components are then warranted for breakage
only throughout their useful life by GET Warranty. Refer to Bulletin 4.03 for Ground Engaging Tools.

Replacement of ARD/CRS Heads in Heavy Duty On-Highway Engine

Applications (Americas North)
Troubleshooting guides available in SIS are intended to prevent unnecessary replacement of ARD/CRS Heads.
Additionally, there is a Special Instruction form (REHS7276) provided in the box of all new ARD/CRS Head
replacement parts. This form provides a place to record data required to properly diagnose ARD/CRS Head
defects. All ARD/CRS Heads claimed as defective will be recalled by Caterpillar for failure analysis.
Effective with repairs beginning on or after 01Jun12 Caterpillar requires:
• Stationary regen datalogs and Air System Verification Tests required by the Troubleshooting Guide to
be uploaded to SIMS, along with the Cat ET ECM Report/Download
• Special Instruction form REHS7276 is to be completed and returned with all failed ARD/CRS Heads
• When corrective action requires cleaning of the flame detect sensor or cycling the nozzle heater (rather
than replacing the head) labor will be claimed on a labor line under the following Component, Job and
Modifier codes: 108M-070-TMS
Note: Claims for ARD/CRS Head replacement may be subject to full debit if Cat failure analysis determines
part is not defective and required diagnostic data has not been provided (SI form with failed part and datalogs in
SIMS).

Repair or Replacement of Hydraulic Components; Pumps, Motors, Control

Valves
These components are identified by a unique serial number which links the design, manufacturing process, and
material history to a specific pump, motor or valve. When available in failure data, these serial numbers enable a
complete and accurate root cause investigation that is critical to product problem management.
Effective with repairs beginning on or after 01Sept12 Caterpillar requires:
Warranty claims for repair or replacement of hydraulic pumps, motors and control valves that have an attached
serial number tag must include that component serial number in the claim story.
• If the pump, motor or control valve is the Part Causing Failure in the claim - include that component
serial number in the claim story
• If the most economical solution is to repair rather than replace the pump, motor, or control valve,
the Part Causing Failure in the claim is the service part - include the serial number of the repaired
component in the claim story
• If the pump, motor, or control valve was replaced as resultant damage - also include that component
part number and serial number in the claim story
Identification tags will have various formats but all should contain a Part Number and a corresponding Serial
Number, example shown on page 5. All digits on the Part Number and Serial Number fields of the ID tag must be
accurately documented.

04.01-17 (06/13) 3
Bulletin No. 4.01 Caterpillar: Confidential Green

NOTE: Claims that do not include the required serial number information may be subject to full debit.

Remanufactured Replacement Engines

Parts Warranty also covers remanufactured replacement engines installed in used Cat® machines and other
engine installations. These engines receive the same warranty and reimbursement practices as all other
assembled components under Parts Warranty, including the same warranty period (for example: 6 or 12
months).
If a Cat remanufactured replacement engine is installed in another manufacturer’s machine, it is considered an
industrial engine application and is covered by Caterpillar Engine Division’s “Industrial Engine Products And
Electric Power Generation Products” warranty statement, and the remanufactured engine receives 6-months
warranty (12-months for mobile agricultural and standby electric power generation applications).

Reman Usage
Please refer to Bulletin 1.15 for Reman usage and claiming information.

Dealer Reimbursement
Dealer reimbursement for repair expenses related to Caterpillar Parts Warranty on machine and engine parts
and components will be per the Summary of Reimbursement Practices chart found below, on the Global Policies
chart found on page 6, and in accordance with applicable reimbursement practices, as outlined in Bulletin 1.02.

Parts Warranty Summary of Reimbursement Practices

Repair Expense Allowance & Rate
Parts, Repair Labor See Global Policies chart on page 6.

Parts Service Charges Reimbursable.

Service Items Reimbursable at D/N, if made unusable.
Parts Salvage Labor Reimbursable at cost labor rate, if justified.
Outside Repair Expenses Reimbursable, at cost.
Overtime Labor Rate, Travel Time and Mileage, Not reimbursable.
Meals and Lodging, Hauling Costs, Shop Supplies,
Freight Charges and Value Added Tax

4 04.01-17 (06/13)
 Caterpillar: Confidential Green Bulletin No. 4.01

Claim Filing Instructions

Please refer to the below for claim filing instructions and to the Service Claim Instruction Handbook at URL
https://warranty.cat.com/training for claim examples.
NOTE: DO NOT MARK RESULTANT DAMAGE PARTS AS “RD”.
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. - for Cat® replacement parts installed in:
• Cat Prime Product - enter the serial number of the Cat prime product in which the part or assembled
component is installed
• Prime Product With No Caterpillar S/N OR Other Manufacturer Products - enter the appropriate 99Z
as described earlier in this bulletin and in the 99Z Serial Number Job Aid available at URL
https://warranty.cat.com/training
• Cat Serialized Work Tool Product - refer to Claim Field Information/Serial Number Field Information in
Global Warranty Guide Bulletin 2.02
Parts Hr/Mi/Km - enter the hours on the part, since it was installed - this number should be less than the
number entered in the Product SMU (Hr/Mi/Km) field
Claim Story - in addition to usual description of the complaint, cause, correction and, if applicable, complication,
the claim story must contain the following:
• Percentage (%) of part customer paid on invoice

CES Warranty Claim Additional Claim Field information:

• 99Z - enter the appropriate 99Z number per the information detailed on page 2 of this bulletin

• PD Code - enter the PD Code appropriate to the failure (PD Code 97 should only be used on claims filed
for CES products under bulletin 3.13)
• Group Number - enter per the below:

Group #
99Z01928 (DPF and CRTdm) for Non-Road engines in regulated and non- Standard Cat Part Group #
regulated applications parts warranty
99Z01928 (DPF and CRTdm) for Truck Engines parts warranty 7772
99Z01929 (DOC) for Non-Road engines parts warranty Standard Cat Part Group #
99Z01929 (DOC) for Truck Engines parts warranty 7772
99Z01930 (CCM) for Non-Road engines parts warranty Standard Cat Part Group #

Forest Product Models

Some Forest Product models require use of Cat Forest Products iWarranty claim system to submit new parts
warranty claims. Refer to the model chart in bulletin 2.01 to determine the correct claim system to use for each
machine model.

04.01-17 (06/13) 5
 OWNER
CLASS /
TYPE PRODUCT Period Parts Labor Travel Mileage
DIST.
CHANNEL
D/N
Bulletin No. 4.01

Construction Equipment, Forest Products,

P < 6 months - 100%
Industrial and Electric Power Generation All 6 months NO NO NO
RP > 6 months - 33%
Products
(3600's 90% C/L)
C/L
On-Highway Truck Engines and
All 12 months P < 12 months 100% SELL NO NO
Transmissions
RP > 12 months 100%
C/L
Marine Engines (Americas North) All 6 months P < 6 months 100% SELL NO NO
RP > 6 months 100%
D/N
Marine Engines
Caterpillar: Confidential Green

All 6 months P < 6 months 100% NO NO NO

(Americas South, EAME, APD)
RP > 6 months 33%
D/N
Installed by customer (except on On-Highway
All 6 months P < 6 months 100% NO NO NO
Truck Engines and Transmissions)
REPLACEMEN RP > 6 months 0%
Policy in effect for parts sold prior to 01June 2012.

T PARTS
C/L

6
P = PARTS Defense Products (Corporate-to-Corporate
INSTALLED AT Contract #DAAE07-99-D-5006) All 12 months P < 12 months 100% SELL YES YES
PREVIOUS RP > 12 months 100%
REPAIR
RP = C/L
RESULTANTLY Petroleum and Gas Compression Engines All 12 months P < 12 months - 100% SELL NO NO
DAMAGED RP > 12 months - 100%
PARTS
D/N
NEXUS Parts All 12 months P < 12 months - 100% NO NO NO
RP > 12 months - 33%
D/N
Parts Sold To Other Manufacturers
All 6 months P < 6 months - 100% NO NO NO
(OEM Solutions)
RP > 6 months - 33%
D/N
Locomotive 3500/3600 Engines 12 months P < 12 months - 100% NO NO NO
RP > 12 months - 33%
All
D/N
Locomotive All Other Engines 6 months P < 6 months - 100% NO NO NO
RP > 6 months - 33%
C/L
Vocational On-Highway Truck All 12 months P < 12 months 100% SELL NO NO
RP > 12 months 100%

04.01-17 (06/13)
 Caterpillar: Confidential Green Bulletin No. 4.01

Policy in effect for parts sold on or after 01June 2012

Parts
➤ PRODUCT Period (Including Resultanlt Labor Travel Mileage
Damage Parts)

Construction Equipment, Forest Products, Industrial and Electric Power D/N

6 months NO NO NO
Generation Products (Excluding Marine, Petroleum, Gas Compression) (3600's 90% C/L)
On-Highway Truck Engines and Transmissions 12 months C/L SELL NO NO

Defense Products (Corporate-to-Corporate Contract #DAAE07-99-D-5006) 12 months C/L SELL YES YES

Engines & Gensets used in Petroleum, Gas Compression, and Marine

Applications; Branded Marine Controls; Branded Marine Transmissions; Well
12 months C/L SELL NO NO
Stimulation / Service Pump Power Ends used in Petroleum; and Cat Selective
Catalytic Reduction System for Aftertreatment Retrofit

NEXUS Parts 12 months D/N NO NO NO

Parts Sold To Other Manufacturers (OEM Solutions) 6 months D/N NO NO NO
Locomotive C175/3500/3600 Engines 12 months D/N NO NO NO
Locomotive All Other Engines 6 months D/N NO NO NO
Vocational On-Highway Truck 12 months C/L SELL NO NO

Product Link Components 12 months D/N NO NO NO

Well Stimulation / Service Pump Fluid Ends

3 months C/L SELL NO NO
used in Petroleum Applications

NOTE: DO NOT MARK RESULTANT DAMAGE PARTS AS “RD” IN CLAIM DETAIL.

04.01-17 (06/13) 7 ➤ Indicates change.

Bulletin No. 4.01 Caterpillar: Confidential Green

8 04.01-17 (06/13)
 Caterpillar: Confidential Green Bulletin No. 4.02T

SERVICE

WARRANTY BULLETIN Global

Parts

Warranty Parts Handling

Parts removed during warranty repairs, as well as defective parts from stock, may be required for support of
Warranty Claims, to provide engineering information, or for supplier warranty recovery. This bulletin provides
guidelines for the handling of these parts.

Identify Saved Warranty Claim Parts

Use Parts Return Tag Form 01-003883 to identify parts that are to be held for a Warranty Claim.
Clearly mark all 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.
Parts not properly identified can result in parts being scrapped and/or claim credit being denied.

NOTICE
Main crankshaft and connecting rod bearings must be marked according to cylinder number and taped
together in sequential order for shipment.

Protect Held Warranty 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. 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.
• 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.

➤   04.02-02T (07/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 4.02T Caterpillar: Confidential Green

Storage Of Saved Warranty Claim Parts

In some cases, Caterpillar may request additional information, photographs, or the return of saved warranty
claim parts. Removed warranty claim parts that must be retained should be systematically stored in a secured
and limited access area. Good control of saved warranty claim parts will allow dealers to promptly respond to
requests, or to promptly dispose of parts not requested for return, thereby minimizing dealer costs.

Parts Return Request Notification

Caterpillar will scan warranty claims promptly after receipt for compliance with basic and special requirements
and to determine if Caterpillar will require parts to be returned. When warranty parts are requested for return to
Caterpillar, your Cat distributor will be notified.
Cat distributors must meet the policy requirements in the chart below for parts requested for return. Dealers
must work with their assigned Cat distributor to ensure the requirements are met or non-compliance actions may
occur.

Policy Requirements Non-Compliance

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

Disposition Of Removed Warranty Claim Parts

All TEPS dealers must retain (hold) warranty claim parts for possible parts return requests, for the following
length of time, beginning with the claim register/received date:

• For a Warranty Claim that has a total dollar amount of $500 (U.S.) or greater.
• 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. These parts should be rendered useless and scrapped at the completion of the repair.
• Remanufactured product cores not required for supplier recovery must be held for a minimum of 15 days
after the warranty claim is submitted to Caterpillar (Claims register/received date). This applies to all
dealers.
• Supplier recovery warranty parts that are the cause of failure must be held for: 1) a minimum of 30 days
after the Caterpillar claim register/received date for dealers who receive paper parts return requests, and 2)
a minimum of 15 days for dealers who receive on-line parts return requests.
• All other warranty parts must be held a minimum of 30 days after the warranty claim is submitted to
Caterpillar (Claim register/received date). This applies to all dealers.

2 04.02-02T (07/12)
 Caterpillar: Confidential Green Bulletin No. 4.02T

NOTICE
When service claims are canceled/denied and then resubmitted, the hold period for any removed warranty
claim parts starts over.

In addition to these warranty claim parts, some TEPS dealers are designated to hold all removed warranty claim
parts for certain engine models, regardless of the Warranty Claim dollar amount. Your Caterpillar distributor will
notify you if your dealership is to save all engine parts for specific engine models, regardless of the Warranty
Claim dollar amount.
A warranty claim will not be denied for unreturned parts, if parts were not requested within the published
retention period. It is our responsibility at Caterpillar to ensure that we request parts within those time periods.
And finally, on contested supplemental claims (description code 98) parts will not be requested since in most
cases the original hold period has expired. However, on additional supplemental claims (description code 20)
previously unclaimed parts may be requested for return.
➤   Caterpillar
will dispose of all returned parts immediately after inspection and claim decision, unless a dealer
has requested a part be returned to them. If a dealer wants the part returned to them, the parent dealer must
check the “return to dealer” box in SIB when processing the Parts Return Request. The PPR label will show a
“Yes” indicating that the dealer has requested the part back. The dealer is responsible for the returned shipping
charges.
Parts are not available for return to the dealer under the following conditions, even if the SIB “return to dealer”
box is checked:
• Parts are involved in an open Warranty claim, and Reman core value is involved
• Part is involved in a paid Warranty claim
• Part is involved in a Warranty claim that was 100% non-allowed, and Reman core value is involved
• Part is NOT involved in a Warranty claim, but Reman core value is involved

Supplier Recovery Warranty Parts

Claims received with a turbocharger or air compressor part number listed as the part causing failure will have a
parts request issued upon receipt of the claim.
Note: Do Not remove the metal shipping tag from Remanufactured Turbochargers, which identifies the
ship date from the turbocharger manufacturer. Claims may be debited if tag is removed.
For dealers who use Claimsi, the Claim Register/Received Date can be obtained by viewing on-line the
individual Warranty Claim itself.
If a Warranty Claim involving saved warranty claim parts is canceled and later resubmitted, dealers should
adjust their files to indicate the resubmission date. Parts must be held for an additional 15 days or 30 days,
whichever applies, from the resubmission date of the claim.
Saved warranty claim parts that are not requested by Caterpillar for return and not involved in core credit must
be rendered useless and should be scrapped after the 30-day retention period has lapsed.
All warranty claim parts that do not require parts retention must be rendered useless and should be scrapped at
the completion of the repair.
Your Caterpillar distributor may supply you with specific guidelines for handling TEPS warranty claim parts.

Non-Allowed/Debited Claims Resulting From Parts Returns

If the requested parts are not returned to Caterpillar within 45 days after issuance of the Parts Return Request
or if response is not provided in Send-It-Back per the chart in the Parts Return Request Notification section on
page 2, then the Warranty Claim will be either partially or totally non-allowed, depending on the specifics of

04.02-02T (07/12) 3 ➤ Indicates change.

Bulletin No. 4.02T Caterpillar: Confidential Green

the Warranty Claim. In such cases, any parts received by Caterpillar 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 will not be considered for warranty.
Whenever possible, Warranty Claims will continue through Caterpillar claim processing and be credited, even
though parts returns are requested. Caterpillar retains the option, however, of debiting the dealer for credit
previously extended. The following are examples of when debits may be issued as a result of parts returns:
• Response not provided in Send-It-Back per Policy Requirements in chart on page 2.
• Parts not returned per Caterpillar request within 45 days after issuance of the Parts Return Request.
• Parts damaged due to incorrect handling or packaging by dealer.
• Parts that should have been repaired.
• Assemblies that should have been rebuilt.
• Parts inspection indicates failure not Caterpillar’s responsibility.
• Parts replacement not justified.
• Parts not returned to the designated location identified on the parts return request.

Contesting Debited Claims Of Parts Not Received As Requested

When debit is received by a dealer for parts not returned as requested and the dealer maintains that the parts
were properly shipped, the dealer may contact the requestor or debtor listed in the claim story of the debit claim.
IF the dealer shows proof of the shipment or debtor agrees the debit was incorrect, then the debtor will reverse
the debit. Do not submit a new claim.

Packaging Parts Returns For Shipment

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

4 04.02-02T (07/12)
 Caterpillar: Confidential Green Bulletin No. 4.04

SERVICE

WARRANTY BULLETIN Global

Parts

Cat Certified Rebuild Program

(Effective 01Jan11)

NOTICE
This bulletin and program changes to the Cat Certified Rebuild Program are effective for deliveries after
01Jan11. Please refer to Bulletin 5.03 for Certified Rebuilds delivered prior to 01Jan11.

Overview
The Certified Rebuild Program is a Caterpillar developed program for dealers to rebuild Cat machines
and components to a like-new condition. This program is only available for specific machine models and
components.
For dealers to perform Certified Rebuilds, they must be authorized under the terms of an agreement with
Caterpillar. The rebuild process includes specific Caterpillar requirements such as:
• Parts that must always be replaced, and
• Procedures and quality checks which must be performed, and
• Product engineering updates which must be incorporated.
• Ensure all open PIPs are completed and reported against the original serial number during the certified
rebuild process.
• Open all new PIP work orders against the new serial number and claim against the new serial number -
the appropriate description code of 56 or 96 and write the original serial number in the first line of the claim
story.
• CCR - For future PIPs under the old serial number, enter a SIMS entry with the “NA” code after completion
in the above step.

CCR - Involves a complete disassembly of the machine and all individual components. All paint is removed.
Parts that do not meet minimal standards are either replaced or reconditioned. Upon reassembly, the entire
machine is repainted including installation of all new decals.

➤ 04.04-04 (01/13) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 4.04 Caterpillar: Confidential Green

Enrollment
Prior to commencing a Certified Rebuild of a machine, the authorized dealer submits to Caterpillar a Certified
Rebuild Enrollment Request, available at URL https://Dealer.cat.com/cda/layout?x=7&m=351716.
Certified Rebuild machines are assigned a new serial number by Caterpillar, to identify them as a Certified
Rebuild. The new Caterpillar serial number contains the machine’s original 3-digit serial number prefix, followed
by a new 5-digit number that begins with 75 (Americas North), 76 (EAME), 77 (APD) or 78 (Americas South).
The numbers 75, 76, 77 or 78 indicate a Certified Rebuild machine.
For example: 7MJ09809 (original serial number)
7MJ78999 (new serial number)

Delivery Notice
After the Certified Rebuild of a machine, a Customer Delivery Notice must be completed. This form can be
found from links on the Certified Rebuild website at URL https://Dealer.cat.com/cda/layout?x=7&m=351716 at
Related Links, Cat Certified Rebuild Delivery Notice OR at URL https://Dealer.cat.com/cda/components/fullA
rticle?m=20009&x=7&id=680280. The Customer Delivery Notice informs Caterpillar that the Certified Rebuilt
Machine (with a new Caterpillar Serial Number) has been delivered to a customer. Caterpillar will enter a sales
record for the new serial number using the delivery date for the build, ship and sale date of the machine. After
the sales information has been entered, the dealer can then enter the delivery date and customer information in
SIMSi at https://sims.cat.com.
The date of delivery specified by the dealer in SIMSi is used as the start date for the standard parts warranty
period.

Standard Coverage Period for Certified Rebuild Machines (CCR)

• 12 months parts warranty
Effective for deliveries after 01Jan11, during the 12-month standard Certified Rebuild parts warranty, the dealer
provides the customer total machine warranty of parts and labor for failures caused by defects in Caterpillar
and dealer’s material or workmanship. The rebuilding dealer is responsible for labor costs, and any parts costs
which Caterpillar CCR parts warranty does not cover.
The only service claims dealers should submit to Caterpillar during the standard Certified Rebuild warranty
period, are parts warranty claims as specified in this warranty bulletin.*

Standard Coverage Period for Certified Rebuilds Other Than CCR

• 12 months parts warranty CPT (APD & EAME)
• 6 months parts warranty CPT (Americas North & Americas South)
• 6 months parts warranty CHR, CMCR, CER, etc.
Effective for deliveries after 01 Jan 11, during the standard Certified Rebuild parts warranty period, the dealer
provides the customer the appropriate Certified Rebuild warranty of parts and labor for failures caused by
defects in Caterpillar and dealer’s material or workmanship. The rebuilding dealer is responsible for labor costs,
and any parts costs which Caterpillar parts warranty does not cover.
The only service claims dealers should submit to Caterpillar during the standard Certified Rebuild warranty
period, are parts warranty claims as specified in this warranty bulletin.*

➤ *If a new part fails within the warranty period and other parts have resultant damage, then the reimbursement
from Caterpillar will be 100% of D/N. If a reused part is responsible for the failure, that failure is not claimable.
The rebuilding dealer is responsible for the full cost of parts and labor on failures caused by reused parts.

➤ Indicates change. 2 04.04-04 (01/13)

 Caterpillar: Confidential Green Bulletin No. 4.04

Verifying Coverage
Dealers can verify Certified Rebuild coverage in Caterpillar’s on-line computer system using SIMSi at URL
https://sims.cat.com/. The coverage/customer information screens will show the new delivery date for the
Certified Rebuild, the coverage details and the customer name and address.

Resold Or Transferred Machines

When a Certified Rebuild machine moves outside the selling dealer’s territory during the rebuild coverage
period, the selling dealer is still responsible for the coverage costs. When a covered repair is performed by
a dealer other than the selling dealer, the repairing Cat dealer must submit the coverage claim to Caterpillar.
Specifics involving the covered repair expenses that are not reimbursable from Caterpillar should be worked out
between the two dealers.

Product Improvement and Product Support Programs

All PIPs and PSPs announced after the machine rebuild will be supported by Caterpillar to the extent of the
announcing Service Letter. For PSPs having prorated Caterpillar participation based on machine age or service
hours, the Certified Rebuild delivery date and/or service hours since rebuild are used for determining the amount
of Caterpillar Participation.
Service Letters that apply to Certified Rebuild machines will always list the new Certified Rebuild serial number
for all applicable Certified Rebuild machines.

Parts Replaced under Standard Parts Warranty

Parts replaced under the terms of the standard parts warranty are covered for the remainder of the specific
coverage period. The warranty on such parts ceases when the Certified Rebuild Program parts warranty
coverage period expires, regardless of when the parts were replaced.

Wearout And Extent Of Repair

Normal wear and deterioration is not covered by the Certified Rebuild Program. Such occurrences are not due
to defects in Caterpillar’s material and/or workmanship.
The intent is not to restore the product to a like-new condition, but rather to restore the product to its operating
condition just prior to the covered failure. Certified Rebuild Program covers only the repair or replacement of the
failed part or component and any associated resultant damaged parts. Other parts removed in the process of repair
should be reinstalled as is, unless the customer authorizes the additional cost to his/her account.

04.04-04 (01/13) 3
Bulletin No. 4.04 Caterpillar: Confidential Green

Dealer Reimbursement
Dealer reimbursement for repair expenses related to Certified Rebuilds will be per the Summary of
Reimbursement Practices Chart found below and in accordance with applicable Reimbursement Practices as
outlined in Bulletin 1.02.

Summary of Reimbursement Practices

Repair Expense Allowance & Rate
Parts (replaced during the Certified Rebuild) Reimbursable at D/N
Parts - Resultant damaged 100% of D/N on new and reused parts replaced at
rebuild
Service Items Reimbursable at D/N if made unusable.
Parts Service Charges Reimbursable
Parts Salvage Labor Reimbursable at labor cost rate, if justified.
(if part was replaced during Certified Rebuild)
Outside Repair Expenses Reimbursable, at cost.
Shop Supplies Not Reimbursable as an itemized expense.
Repair Labor, Overtime Labor Rate, Hauling Costs, Not Reimbursable
Freight Charges, Meals & Lodging, Travel Time &
Mileage

Claim Field Information

The unique claim field information that is required for parts warranty claims associated with the Certified Rebuild
Program is outlined below:
Delivery Date - leave blank.
Parts Start Date - leave blank.
Note: Dealers choose extended coverage claim type, not parts warranty claim type for claim type when
claiming in dealer business system. [Leave Coverage Type field blank.]
Product ID / Serial No. -
• CCR - enter the new Certified Rebuild serial number, not the machine’s original serial number.
• CPT (and all other Certified Rebuilds that do not have new s/n assignment) - enter product serial
number.
Parts Hr/Mi/Km -
• CCR - enter the service hours on the Certified Rebuild machine. This number should be the same number
entered in the Product Hr/Mi/Km field for Certified Rebuild machines.
• CPT (and all other Certified Rebuilds that do not have new s/n assignment) - enter hours on part.
Product Hr/Mi/Km - enter total hours on product (NOT hours since enrollment).

Claim Story - In addition to the usual description of the complaint, cause, correction and complication (if
applicable), the first line of the claim story should state:

• “This product has a Certified Rebuild Coverage.”

4 04.04-04 (01/13)
 R

Caterpillar: Confidential Green Bulletin No. 4.05

SERVICE

WARRANTY BULLETIN Global

Parts

Nexus™ New Parts

& Assembled Components

Overview
This bulletin addresses warranty coverage for new parts and assembled components, which are marketed by
® ™
Caterpillar Dealers under the Nexus brand name for use on machines manufacture by manufacturers other
than Caterpillar. The purpose of this bulletin is to provide Dealers with guidance for administrating warranty and
to discuss the reimbursement practices applicable to such items.
Nexus new parts and assembled components are warranted for defects in material and workmanship. The
warranty period is for 12 months, starting from the date the part is purchased or put into service by the first user.
Under the Nexus new parts and assembled components warranty, the customer (end user) receives a replaced
or repaired part or component for the failed item. All other repair labor (including removal and installation labor)
is the responsibility of the customer, unless the labor is covered by a Dealer coverage. Travel and hauling
expenses are not covered under Nexus Parts Warranty.
Resultant damaged parts are not covered for this product.

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 defective parts stock. Parts Warranty does not cover defective
parts stock. See the end of this bulletin for details on Defective Parts Stock Warranty for the Nexus Parts and
Assembled Components used on machines manufacture by manufacturers other than Caterpillar.

Nexus Replacement Parts Warranty

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

➤ 04.05-00 (03/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 4.05 Caterpillar: Confidential Green

Dealer Reimbursement
Dealer reimbursement for repair expenses related to Nexus Parts will be per the Summary of Reimbursement
Practices Chart found below and in accordance with applicable Reimbursement Practices as outlined in Bulletin
1.02.

Nexus Parts Warranty Summary of Reimbursement Practices

Repair Expense Allowance & Rate
Parts Reimbursable at D/N.
Parts Service Charges Reimbursable.
Service Items, Repair Labor, Salvage Labor, Not Reimbursable.
Overtime Labor Rate, Travel Time & Mileage,
Meals & Lodging, Freight Charges, Hauling
Costs, Shop Supplies and Outside Repair
Expenses.

Claim Field Information For Submitting Nexus New Parts Claim

Please refer to the Service Claim Instruction Handbook for claim requirements and examples of Nexus parts
claims.

Defective Parts Stock Warranty

Claims for defective parts stock reimbursement should be submitted to Caterpillar for only the following defective
parts stock situations:
• When a defective parts stock part or component was replaced due to a manufacturing defect, prior to
component or product operation.
• When a defective parts stock part or component was replaced due to damage from incorrect Nexus
packaging.
• When a defective parts stock part or component was replaced or salvaged, due to Caterpillar authorization
via a Nexus Parts Stock PIP Service Letter. In such cases, a separate PIP service claim is required.

Dealer Reimbursement for Nexus New Parts Defective Parts Stock Claims
Dealer reimbursement for claims related to Nexus New Parts Defective Parts Stock will be per the Summary of
Reimbursement Practices Chart found below and in accordance with applicable Reimbursement Practices as
outlined in Bulletin 1.02.

Nexus New Parts Defective Parts Stock

Summary of Reimbursement Practices
Repair Expense Allowance & Rate
Parts Reimbursable at D/N.
Parts Service Charges, Service Items, Repair Not Reimbursable.
Labor, Salvage Labor, Overtime Labor Rate,
Travel Time & Mileage, Meals & Lodging,
Freight Charges, Hauling Costs, Shop
Supplies and Outside Repair Expenses.

Claim Field Information For Defective Part Stock Claims

Please refer to the Service Claim Instruction Handbook for claim requirements and examples of Nexus Defective
Part Stock claims.

2 04.05-00 (03/09)
 Caterpillar: Confidential Green Bulletin No. 4.07T

SERVICE

WARRANTY BULLETIN Global

Parts

Batteries

Overview
The Battery Warranty statement to the customer covers all Cat® Brand batteries that are:
• Defective battery stock, or
• Customer purchased replacements, or
• Original equipment batteries, which are part of either a Cat product or another manufacturer’s 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 3, 18, 24, 30, 36 or 72 months, depending upon 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/Dealer 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, (see statement for applicable battery warranty period) the
battery will be replaced with a new battery free-of-charge to the customer. The “replacement free” specified
warranty period applies to both general service and premium high output batteries.
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.

➤ 04.07-00T (09/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 4.07T Caterpillar: Confidential Green

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 “replacement-
free” 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. Then, the new free replacement battery will
be warranted by the entire “proration” warranty period for the failed original replacement battery.

Not Reimbursable 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 reimbursable.
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
reimbursable.

Testing Batteries
Potentially defective batteries should be tested according to the Battery Test Procedure (SEHS7633). It is not
necessary for Dealers to test batteries that have obvious defects, such as a cracked case.

Dealer Reimbursement (Failed or Defective Stock)

TEPS / MEPS / AMD / ISD Dealers are reimbursed for defective part stock and failed batteries by returning
defective/failed batteries to their Cat distributor for exchange or reimbursement.

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 per the equation found on the applicable warranty statement.

2 04.07-00T (09/09)
 Caterpillar: Confidential Green Bulletin No. 4.08T

SERVICE

WARRANTY BULLETIN Global

Parts

Defective Parts Stock

➤ If a new or Remanufactured part or component is discovered defective at the time of purchase or prior to
installation through a visual inspection that showed an obvious defect(s), the part or component must be treated
as Defective Parts Stock Warranty.

Defective Parts Stock Reimbursement

TEPS / MEPS / AMD / ISD dealers are reimbursed for defective parts stock by returning the defective parts/
components to their Cat Distributor for replacement. Defective parts stock that involves salvage labor should
also be returned to the Cat Distributor for replacement.

Defective Parts Stock Warranty Covers

• New and Remanufactured parts or components that are found defective due to manufacturing
workmanship and materials.
• New and Remanufactured parts or components that have shipping damage due to Caterpillar’s incorrect
packaging. Please contact your TEPS / MEPS / AMD / ISD or Parts Manager at your local Cat Dealership
for assistance.

➤ Defective Parts Stock Warranty Does Not Cover

• A Cat part or component found to be defective during installation (including testing prior to installation) or
by the component or product being operated on Cat product or competitive product, even if only for a few
minutes. In such cases, the part or component is covered under Parts Warranty, please refer to Bulletin
4.01.
• Parts not sold nor warranted by Caterpillar.
• Batteries - Defective parts stock batteries are covered under Battery Warranty, please refer to Bulletin
4.07T.
• Service tools and shop products - To claim for defective service tool and shop product stock, refer to
Bulletins 4.09T.

➤ 04.08T-02 (04/10) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 4.08T Caterpillar: Confidential Green

2 04.08-02T (04/10)
 Confidential Green Bulletin No. 4.09T

SERVICE

WARRANTY BULLETIN Global

Parts

Dealer Service Tools and Cat® Shop Supplies

TEPS Dealers cannot submit Dealer Service Tools and Cat® Shop Supplies Warranty Claims. TEPS Dealers
are reimbursed for defective and/or failed Dealer Service Tools and/or Cat Shop Supplies by returning the
defective and/or failed product to their administering Cat Dealer for repair or replacement. The Cat Dealer will
be reimbursed for the repair or exchange per the Global Warranty Guide.

➤ 04.09-00T (05/09) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2009 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 4.09T Confidential Green

2 04.09-00T (05/09)
 Caterpillar: Confidential Green Bulletin No. 4.10

SERVICE

WARRANTY BULLETIN Global

Parts

Cat® Hand Tools and Shop Supplies

NOTICE
Effective 01Jul11, Mechanic Hand Tools and Larger Mechanic Tools are no longer handled through a
yearly parts credit. All failures of these products are now covered in Bulletin 4.10.

Note: This bulletin covers Cat® Hand Tools, Shop Supplies, Mechanic Hand Tools and
Larger Mechanic Tools listed in PECJ0003. For Dealer Service Tools found listed in
NENG2500, refer to Bulletin 4.09.

Overview
Cat Hand Tools and Shop Supplies are covered by either a manufacturer warranty or a Caterpillar warranty. The
Numerical Parts Record system (NPR) contains the most up-to-date information on warranty type and length.
Contact information is provided for products covered by a manufacturer warranty.

Examples of these products include:

Hand Tools
• Grease Guns
• Hammers
• Pneumatic Impact Wrenches
• Screwdrivers
• Sockets
• Tool Boxes
• Torque Wrenches
• Wrenches

Shop Supplies
• Abrasive Products
• Absorbents
• Lighting
• Paper Products
• Vises

➤ 04.10-04 (3/12) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
 Bulletin No. 4.10 Caterpillar: Confidential Green

Original Manufacturer’s Warranty for Hand Tools and Shop Supplies

For Hand Tools and Shop Supplies with a product manufacturer’s warranty, such warranties are published on a
manufacturer’s warranty card that is shipped with the product. Contact information for products covered by this
type of warranty is included in NPR.

Disposition of Failed and Defective Hand Tools and Shop Supplies

Dealers are not to return failed or defective Hand Tools and Shop Supplies to Caterpillar for inspection unless
Caterpillar requests it. Instead, dealers must destroy or dispose of all defective Hand Tools and Shop Supplies
so the Hand Tool and Shop Supply does not reappear.

Hand Tools and Shop Supplies Returns

If, at times, Caterpillar requests the return of a certain Hand Tool and Shop Supply, a copy of the parts return
request must be shipped with the product.

Dealer Reimbursement For Hand Tools and Shop Supplies Warranty

Dealer reimbursement for repair expenses related to Hand Tools and Shop Supplies claims will be per the
Summary of Reimbursement Practices Chart found below and in accordance with applicable Reimbursement
Practices as outlined in Bulletin 1.02.

Hand Tools and Shop Supplies Warranty

Summary of Reimbursement Practices
Repair Expense Allowance & Rate
Parts Reimbursable at D/N.
Parts Service Charges (Emergency Orders only) Reimbursable.
Salvage Materials Reimbursable at Dealer’s acquisition cost.
Salvage Labor Reimbursable at warranty cost rate.
Service Items, Repair Labor, Overtime Labor Rate, Not Reimbursable.
Travel Time & Mileage, Meals & Lodging, Freight
Charges, Hauling Costs, Shop Supplies and
Outside Repair Expenses.

➤ Repair/Replacement Guidelines
When deciding whether to repair or replace a product, both cost and customer satisfaction should be
considered. Many products can be repaired by the dealer or by the product manufacturer. Repair kits are
available for some products (torque wrenches, ratchets, impact wrenches, etc.). For failed or defective Hand
Tools and Shop Supplies covered by Caterpillar Warranty that have a Dealer Net of $200 (U.S.) or more,
dealers must contact the Tools and Supplies Hotline. In such cases, the Tools and Supplies Hotline will instruct
the dealer whether to repair, replace, or send the product to Caterpillar for repair.
Dealers can contact Tools and Supplies Hotline by contacting the Global Dealer Services Network (DSN) Parts
Technical Support:
• Staffed Hours of Operation: Monday-Friday; 6 a.m. - 6 p.m. (U.S. Central Time)
Ways to submit a Parts Tech request:
• Electronically using Microsoft Customer Relationship Management (MSCRM) Dealer Self-Service Site

➤ Indicates change. 2 04.10-04 (3/12)

 Caterpillar: Confidential Green Bulletin No. 4.10

• Telephone:
• Americas North (English only) - 1-877-CAT-CICO (228-2420)
• Americas South (Spanish and English) - + 507-305-2554
• Asia Pacific (English only) - + 1-309-578-7372
• EAME (English only) + 1-309-578-7372
For all parts quality inquiries, include required photos as an attachment to the Service Request (SR) submitted
via MSCRM. To request access to the MSCRM Dealer Self-Service Site, complete the MSCRM Dealer Access
Request form at https://gdsn.cat.com/mscrm.

Claim Field Information For Hand Tools and Shop Supplies Warranty
Claims
The following outlines unique claim field information for Hand Tools and Shop Supplies warranty claims. Please
refer to the Service Claim Instruction Handbook for an example of Hand Tools and Shop Supplies warranty
claims. A single claim can be used for multiple Hand Tool or Shop Supply products.
Product ID / Serial No. - enter “99Z00025”.
Group No. - enter “7753”.
Findings / Comments - enter “Hand Tools” or “Shop Supplies”.
Claim Story - enter the part number and failure information for each part on the claim.
For defective Cat® Hand Tools or Shop Supplies that have a Dealer Net (D/N) price $200 (USD) or more,
indicate the person contacted at the Tools and Supplies Hotline and their instructions.

04.10-04 (3/12) 3
Bulletin No. 4.10 Caterpillar: Confidential Green

4 04.10-04 (3/12)
 Caterpillar: Confidential Green Bulletin No. 5.04

SERVICE

EXTENDED COVERAGE Global

Engines

PM Inspections for C175 Package Generator

Sets Sold into Electric Power Applications
Overview
This bulletin covers reimbursement procedures on Preventative Maintenance (PM) Inspection services
performed on new C175 package generator sets sold into Electric Power applications.

PM Inspection
The Electric Power Division is providing (4) PM Inspections within the first 24 months of delivery on each C175
package generator set sold into Electric Power applications. Caterpillar suggests the Dealer perform the first
PM Inspection within the first 6 months of delivery and 6 months thereafter. However, the PM Inspections can
be performed at the Dealer’s discretion anytime within the first 24 months of delivery.
The PM Inspections are intended to allow your Dealership an opportunity to educate your customer on the
importance of preventive maintenance, the benefits of your Dealer services and expertise, and the opportunity to
up-sell your service offerings to either a Preventive Maintenance or Total Maintenance & Repair CSA during the
PM Inspection period.

Reimbursable Expenses
Reimbursement includes: (1) Caterpillar® Scheduled Oil Sampling (S·O·SSM ) engine oil analysis, 2 standard labor
hours, reasonable and actual travel time (up to 4 hours) and round trip mileage expenses (up to 160 miles) from
your Dealership to the customer’s job site per each PM Inspection performed.
Note: Other than the Caterpillar S·O·S engine oil analysis, no additional parts or fluids expenses will be
reimbursable. Additional parts, fluids, required travel time and/or related expenses are the sole responsibility of
the customer or Dealership.

Claim Filing Instructions

The PM Inspection is only reimbursable on C175 package generator sets with serial number prefix WYB made
payable through the Caterpillar warranty system.

➤ 05.04-02 (08/11) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2010 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the “Power Edge” trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 5.04 Caterpillar: Confidential Green

The following are unique claim field requirements when submitting a claim.
Delivery Date - enter actual delivery date.
Product Hour - enter actual SMU.
Part No. - enter “318-4550.”
Group No. - enter “775A.”
Comments/Findings Field - enter “Inspection - PM.”
The PM inspection form can be found at the Electric Power Product Support Website via the following link:
https://engines.cat.com/cda/components/securedFile/displaySecuredFileServletJSP?x=7&fileId=904843.

2 05.04-02 (08/11)
 Caterpillar: Confidential Green Bulletin No. 5.25

SERVICE

ESC BULLETIN Global

Engines

Olympian™ Power Systems Products (OLY)

Extended Service Coverage
Extended Service Coverage (ESC) for Olympian™ Power Generation Products manufactured and packaged
by Olympian Power Systems for Cat Dealers, will be administered by the Olympian Power Systems Warranty
Department. This bulletin discusses the practices applicable to ESC claims on Olympian Power Generation
Products.

➤ Support Contacts
CONTACT ROLE CONTACT REGION PHONE E-MAIL
Olympian Warranty Timothy Mitchell All Regions +44 02890 495 175 [email protected]
Claims Analyst

Olympian Warranty Tara McWilliams All +44 02890 495 171 [email protected]
Claims Supervisor
Olympian Warranty Randy Pierson All +001 309 578 9892 [email protected]
Claims Manager

ESC Information
For ESC information, including Administration manuals, ESC registration contracts, engine ESC contacts, etc.,
please refer to the Cat Insurance Extended Coverage website URL https://catinsurance.cat.com Service tab,
Power Systems Extended coverage.

Claim Filing Instructions

Claims for ESC repairs on Olympian Power Systems Product are to be submitted through the Caterpillar Service
Claims Systems. The Olympian Power Systems Warranty Department is responsible for administering ESC
for the complete power system. The instructions for completing the claim are the same as for any Cat® engine
product, except the following items:

➤ 05.25-02 (02/11) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2011 Caterpillar All Rights Reserved.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”

and the POWER EDGE trade dress, as well as corporate and
product identity used herein, are trademarks of Caterpillar and
may not be used without permission.

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

1
Bulletin No. 5.25 Caterpillar: Confidential Green

Product Identification/Serial Number - Any product ordered on or after 23July01 will have a 17-digit serial
number assigned under OLY. The last 8 digits of that number will be the identifying serial number, which needs
to be listed on claims submitted through Caterpillar Service Claims Systems. The serial number consists of 3
alpha and 5 numeric digits.
Part Causing Failure - A substitute part number must be entered in this field. Refer to the 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 causing failure must be entered in the
failure description field.
Failure Description (Comments/Findings Field) (20 characters) - Enter the Olympian part causing failure in
this field.
Miscellaneous Parts - Parts replaced during an ESC covered repair will be reimbursed at the consumer list
rate, not to exceed Dealer Net plus 30 percent.
As seen in the below chart, list the total amount of each part number in the detail expense as a separate
miscellaneous expense line using the OLY as the expense description.

EXPID QTY Description Total Amount Currency*

M 2 OLY 26.00 USD
M 3 OLY 40.00 USD
M 1 OTHER 6.60 USD
* Dealers should submit miscellaneous expenses in their local currency.
Handling - A parts handling allowance may be claimed using the authorized Olympian rates. Enter the total
handling charge as a single miscellaneous expense line identified with the description OTHER, as seen in the
above chart.
Labor - Labor performed during an ESC covered repair should be segmented with proper SMCS labor codes in
the same manner as any other Engine ESC claim. Repair labor should be identified as “L” in the EXPID field.
Travel labor should be identified as “T” in the “EXPID” field. Claim both repair and travel labor at the approved
Caterpillar labor rates for Electric Power Products.
Claim Story - On the first line, list the Olympian package model (genset model, panel type and enclosure type if
applicable) preceded by the character string %%@?@. On remaining lines, list the individual part numbers used
in the repair preceded by OLY, the part quantity, the part name and the part price. Each part number should
be listed on a separate line. Then, on separate lines list the 4 Cs of complaint, cause, corrective action and,
if applicable, complication. Story detail sequence must be entered as shown in the below example to prevent
delays in claim processing.
Claim Story Example:

%%@[email protected]
OLY202-121(2)BOLT26.00
OLY100-312(3)SENSOR40.00
Cause: Bolt backed out and damaged sensors.
Complaint: Generator set shut down and would not start.
Corrective Action: Replaced damaged sensors and loose bolts. Torque bolts to specifications. Tested genset
and returned to operation.

For full instructions on completion of an Olympian claim using the Caterpillar Service Claims System please
refer to the appropriate Olympian Generator Sets Dealer Warranty Manual located on Power Net at https://
engines.cat.com.

2 05.25-02 (02/11)