Operator Inducement Emergency Override for Caterpillar® Engines Equipped With Selective Catalytic Reduction Systems {108D, 7620} Caterpillar

Asphalt Compactor

CB64B (S/N: C561-UP)

CB66B (S/N: B661-UP)

CB68B (S/N: C681-UP)

CCS9 (S/N: C521-UP)

Asphalt Paver

AP1000F (S/N: AC41-UP)

AP1055F (S/N: TJ51-UP)

AP500F (S/N: 5031-UP; 4491-UP)

AP555F (S/N: AP51-UP; M451-UP; 5F51-UP; RBM1-UP)

AP600F (S/N: AP61-UP)

AP655F (S/N: 4521-UP; 4531-UP; 6551-UP; MH61-UP)

Backhoe Loader

416F2 (S/N: HWB1-UP)

420F2 IT (S/N: HWD1-UP)

420F2 ST (S/N: HWC1-UP)

428F2 (S/N: HWN1-UP)

430F2 IT (S/N: HWG1-UP)

430F2 ST (S/N: HWE1-UP)

432F2 (S/N: HWP1-UP)

434F2 (S/N: HWR1-UP)

444F2 (S/N: HWS1-UP)

Compact Wheel Loader

910M (S/N: H221-UP)

914M (S/N: H241-UP)

918M (S/N: H261-UP)

Electric Power Generation

XQ375 (S/N: X3F1-UP)

Engine

3516C (S/N: SKC1-UP; SCJ1-UP; SCK1-UP; SFK1-UP)

C13 (S/N: N3F1-UP)

C15 (S/N: N5F1-UP)

C175-16 (S/N: WYC1-UP)

C18 (S/N: N8F1-UP)

Excavator

312F (S/N: KMK1-UP)

313F (S/N: DJE1-UP; NLG1-UP; PRG1-UP)

314F (S/N: RAF1-UP)

315F (S/N: TDY1-UP)

316F (S/N: XAD1-UP; YDL1-UP; ECZ1-UP)

318F (S/N: HCP1-UP; FFT1-UP)

320F (S/N: NHD1-UP; YBM1-UP)

323F (S/N: FA21-UP; PLB1-UP; YEC1-UP; XCF1-UP; YEJ1-UP; NCW1-UP; KBY1-UP)

325F (S/N: XAA1-UP; YCA1-UP)

326F (S/N: HCJ1-UP; XFK1-UP; WGL1-UP; TMR1-UP)

329F (S/N: ERL1-UP)

330F (S/N: WBA1-UP; LCG1-UP; LBN1-UP; JFR1-UP; HBT1-UP; MBX1-UP)

335F (S/N: KNE1-UP)

336F (S/N: TZA1-UP; RKB1-UP; YFD1-UP; KGH1-UP; NAJ1-UP; LCL1-UP; NBL1-UP; PFL1-UP; LTP1-UP; KFT1-UP; DSW1-UP; MTW1-UP; WTZ1-UP)

349F (S/N: BZ21-UP; KEA1-UP; HLB1-UP; HPD1-UP; TEW1-UP)

352F (S/N: WNA1-UP; YEG1-UP; A9J1-UP; KBP1-UP)

374F (S/N: DNM1-UP)

390F (S/N: MGF1-UP)

Forest Machine

538 (S/N: KBJ1-UP; HBS1-UP; GMY1-UP; JEY1-UP)

558 (S/N: F5L1-UP; LRT1-UP)

Generator Set

C18 GEN SET (S/N: X5F1-UP)

Industrial Engine

C9.3 (S/N: CS91-UP)

Knuckleboom Loader

2384D (S/N: KP51-UP)

2484D (S/N: KP71-UP)

559D (S/N: KL51-UP)

579D (S/N: KL71-UP)

Landfill Compactor

816K (S/N: WNB1-UP)

826K (S/N: 2321-UP)

836K (S/N: TWZ1-UP)

Material Handler

MH3022 (S/N: FM21-UP; FB31-UP)

MH3024 (S/N: FM41-UP; FB51-UP)

MH3037 (S/N: JLH1-UP)

Mobile Hydraulic Power Unit

330FMHPU (S/N: B321-UP)

Motor Grader

12M Series 3 (S/N: N9B1-UP; N9F1-UP; N9P1-UP; N9R1-UP)

140M Series 3 (S/N: N9D1-UP; N9G1-UP; N9J1-UP; N9M1-UP)

14M Series 3 (S/N: N9S1-UP)

160M Series 3 (S/N: N9E1-UP; N9K1-UP; N9L1-UP; N9T1-UP)

16M Series 3 (S/N: N9Y1-UP)

OEM Excavator Based Specialty Solution

330F OEM (S/N: LNX1-UP)

OEM Mobile Hydraulic Power Unit

323F OEM (S/N: P7P1-UP)

Pipelayer

PL83 (S/N: CB21-UP; DLW1-UP)

PL87 (S/N: TEC1-UP; ZAC1-UP)

Pneumatic Compactor

CW16 (S/N: TL51-UP; N6J1-UP)

CW34 (S/N: AL31-UP; B7L1-UP)

Soil Compactor

815K (S/N: MBB1-UP)

825K (S/N: 2331-UP)

Telehandler

TL642D (S/N: ML81-UP; MLG1-UP)

Track-Type Loader

953K (S/N: LJT1-UP)

963K (S/N: LBL1-UP)

Track-Type Tractor

D3K2 (S/N: KF21-UP; KL21-UP; JPJ1-UP)

D4K2 (S/N: KM21-UP; KR21-UP)

D5K2 (S/N: KW21-UP; KY21-UP; RRE1-UP)

D6K2 (S/N: EL71-UP; MGM1-UP; DFR1-UP; JTR1-UP)

D6N (S/N: MG51-UP; GB61-UP; SGG1-UP; NJN1-UP)

D6T (S/N: RAD1-UP; WRN1-UP; KMR1-UP; WES1-UP; TMY1-UP; HTZ1-UP)

D7E (S/N: HKA1-UP; SSH1-UP)

D8T (S/N: AW41-UP; FMC1-UP)

D9T (S/N: REX1-UP)

Vibratory Soil Compactor

CP44B (S/N: 4P41-UP; GNB1-UP)

CP54B (S/N: 4831-UP; P541-UP)

CP56B (S/N: 4851-UP; P561-UP)

CP68B (S/N: P681-UP; 4891-UP)

CP74B (S/N: 4911-UP; P741-UP)

CS44B (S/N: CS31-UP; 4G31-UP)

CS54B (S/N: 4821-UP; CS51-UP)

CS56B (S/N: 4841-UP; S561-UP)

CS64B (S/N: CW61-UP; 4861-UP)

CS66B (S/N: S661-UP; 4871-UP)

CS68B (S/N: CS81-UP; 4881-UP)

CS74B (S/N: 4901-UP; CS41-UP)

CS76B (S/N: 4921-UP; CB71-UP)

CS78B (S/N: 4931-UP; S781-UP)

Wheel Dozer

824K (S/N: 2341-UP)

834K (S/N: TWY1-UP)

Wheel Feller Buncher

2570D (S/N: D251-UP)

2670D (S/N: D261-UP)

563D (S/N: D631-UP)

573D (S/N: D731-UP)

Wheel Loader

926M (S/N: LTE1-UP)

930M (S/N: KTG1-UP; HEY1-UP)

938M (S/N: J3R1-UP)

950 GC (S/N: M5T1-UP)

950M (S/N: EMB1-UP; XCJ1-UP; FTR1-UP; J1S1-UP)

950M Z (S/N: HE81-UP)

962M (S/N: EJB1-UP; JYD1-UP; J2S1-UP; F2T1-UP)

962M Z (S/N: SA81-UP)

966M (S/N: EJA1-UP; DYC1-UP; KJP1-UP)

966M Series XE (S/N: P6C1-UP)

972M (S/N: LSJ1-UP; A8P1-UP)

972M Series XE (S/N: EDW1-UP)

980M (S/N: KRS1-UP; N8T1-UP)

982M (S/N: F9A1-UP; K1Y1-UP)

988K (S/N: TWX1-UP)

Wheel Skidder

525D (S/N: GKP1-UP)

535D (S/N: MTP1-UP)

545D (S/N: KGP1-UP)

555D (S/N: PGY1-UP)

Wheeled Excavator

M314F (S/N: FB41-UP; F4A1-UP)

M315F (S/N: F4D1-UP)

M316F (S/N: FB61-UP; F6N1-UP)

M317F (S/N: F6P1-UP)

M318F (S/N: FB81-UP; F8B1-UP)

M320F (S/N: FB21-UP; F2W1-UP)

M322F (S/N: FBW1-UP; F2Z1-UP)

Introduction

Before you attempt the procedures documented in this Special Instruction, make sure that you have read and understand the information in this document.

The United States Environmental Protection Agency (US EPA) requires limiting of the engine speed and/or power in certain conditions. This limiting helps ensure proper functioning of the engine emission control system. The EPA allows the temporary disabling of these limits during a qualified emergency situation. Per the US EPA the following conditions qualify for overriding the limitation of power and/or speed.

• A significant direct or indirect risk to human life.

Below are examples of direct verses indirect risks.

Direct - An emission controls condition that inhibits performance of an engine being used to rescue a person from life-threatening situation.

Indirect - An emission controls condition that inhibits performance of an engine being used to provide electrical power to a data center that routes 911 emergency response communications.

Emission control conditions that limit the engine speed and/or power are not required on engines used in emergency equipment. Per the United States EPA, emergency equipment includes :

• Specialized vehicles used to perform aircraft rescue and/or fire-fighting functions at airports, with particular emphasis on saving lives and reducing injuries coincident with aircraft fires following impact, or aircraft ground fires.

• Wildland firefighting equipment designed primarily to support wildland fire suppression operations. For example, a bulldozer designed with special features for fighting wildfires would be a piece of emergency equipment.

Note: Engines for dedicated non-road emergency equipment are identified by the words, "THIS ENGINE IS FOR INSTALLATION IN EMERGENCY EQUIPMENT ONLY", on the engine emissions label.

The information below does not apply to such dedicated non-road emergency equipment engines.

The emissions-related derate can be disabled for up to 120 hours of engine operation. The temporary disabling of emissions-related derate is referred to as Operator Inducement Emergency Override and must be reported to the US EPA. The override can only be reset by the engine manufacturer, Caterpillar^®. A dealer can reset the override using Caterpillar supplied passwords. Improper use of the override, and failure to report use of the override is prohibited under federal regulations. Such violation is subject to penalties by the US EPA. Civil penalties may be assessed per day operated in violation, and can be severe.

Override Overview

To use this feature requires Tier IV Final Prod 5 version of software or greater, and an updated cab electronic display. Check with your Caterpillar^® dealer on whether the machine has the latest software and cab display. Displays can differ from one machine to another.

This feature can only be enabled using Caterpillar supplied passwords. This feature is disabled by default. This feature will be enabled at the factory if allowed. If the customer wants the feature enabled after delivery of engine, they will need to contact their Caterpillar dealer. Engines going to the European Union or Japan are not allowed to have this feature enabled. For detailed information on activating, deactivating, or resetting the override, contact your Caterpillar dealer. Before you attempt the procedures documented in this special instruction, make sure that you have read and understand the information in this document.

When an emergency situation occurs, initial activation of the override is allowed without input from Caterpillar. Prior to activation, the operator will be notified of the following on display : "EMERGENCY USE ONLY. SEE OWNERS MANUAL. PENALTIES APPLY FOR MISUSE." Upon activation, the check engine, and action lamps will also illuminate to alert the operator that the override is active. A code will also become active indicating that the engine emission operator inducement emergency override is active. The override must be paused by the operator if the emergency ends before the 120 hours of override operation has expired. While paused, the equipment will be subject to inducements (derates). For engines in the 0.5 to 18 liter range, the override may only be reactivated if an emergency situation returns prior to reaching an hour threshold of total engine operation since initially activating the override. This threshold is referred to as the backstop timer. This threshold could vary by application, but will typically be 300 hours. For larger engines, there is no backstop timer and override can be reactivated any time until 120 hours of total override activation has been exceeded. After 120 hours of override use, or backstop timer threshold met, the override will expire, and the equipment will be subject to inducements. Upon activation, the check engine and action lamps will continue to be illuminated until the override is reset. If the override has expired, the dealer will need to reset the override in order to use the override again. The code indicating that the engine emission operator inducement emergency override is active, will be cleared when the override is reset. Resetting the override is the only way to clear the code.

Enabling the Override

The Operator Inducement Emergency Override feature is disabled by default. The override may come enabled from the factory if it is known at the time of the order that the engine is going to a region where it may be used in an emergency situation. If a customer needs the feature enabled after delivery of engine, they will need to contact their Caterpillar dealer. This feature can only be enabled with Caterpillar supplied passwords using Cat ET. Remember, the override isnot allowedto be enabled on engines going to the European Union or Japan.

1. Go to "Configuration Parameters".

2. Select "Aftertreatment Configuration".
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   Illustration 1	g06045886

3. Select "Operator Inducement Emergency Override Enable Status" to activate the override.
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   Illustration 2	g06045918

4. Acknowledge the warning by clicking "OK".
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   Illustration 3	g06045925

5. Select "Enabled" in the Change Parameter Value window.
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   Illustration 4	g06045934

6. The "Value" field should switch to "Enabled".

Setting the Override

There are two options for setting the override, using Cat^® Electronic Technician (ET) or the electronic display menu.

Setting the Override Through Cat ET

1. Go to "Configuration Parameters".

2. Select "Aftertreatment Configuration".
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   Illustration 5	g03743900

3. Select "Operator Inducement Emergency Override Activation" to activate the override.
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   Illustration 6	g03744158

4. The "Value" field should switch to "Activated".

Setting the Override Through the Electronic Display

Machine applications may choose to allow operators to active the override using the in cab electronic display menu. Commercial applications may have a switch near the engine for turning the override on. There is a dedicated STG pin on the J1 side of the Electronic Control Module (ECM) that can be used. Commercial application may allow operators to activate the override using an electronic display menu. The display menu may differ by application. Refer to the OMM for more information about how to activate the override. Operators must be trained properly to understand that there could be severe penalties as mentioned above for misusing the override.

Resetting the Override

The override needs to be reset through Cat ET whenever the override has expired. The override cannot be used again until the override is reset. The check engine and action lamps will continue to be illuminated until override is reset. The override may be reset at any point after the initial activation.

Requirements for Resetting the Override

Caterpillar will require factory passwords for resetting override as certain information is required per the US EPA. This information will be asked for through the Feature Protection System (FPS). The list of requirements can be found below.

1. Contact Name, mail and e-mail addresses, telephone number for the responsible company or entity.

2. A description of the emergency situation, location of the engine during the emergency, and contact information for an official who can verify the emergency situation (county sheriff, fire marshal, or hospital administrator).

3. The reason for Inducement Emergency Override activation during the emergency situation. Such as the lack of Diesel Exhaust Fluid (DEF), or failure of an emission-related sensor when the engine needed to respond to an emergency situation.

4. The engine serial number or equivalent.

5. A description of the extent and duration of the engine operation while the Inducement Emergency Override was active. Include a statement describing whether the Inducement Emergency Override was manually deactivated after the emergency situation had clearly ended.

The operator will be required to provide a written usage report to Caterpillar. The operator should fill out the usage report on the last page of this document and submit the document at time of reset. The operator who reset the override must be notified in writing of penalties under 40CFR1068.101(b)(1) for failing to provide written notification to Caterpillar within 60 days of activating the override.

Additional fields have been added into the FPS system that are required to obtain factory passwords. If the Cat ET licensee fails to fill out the fields correctly, the licensee could face penalties under 40CFR1068.101(b)(1). There will be several FPS pop-up screens like one below that will ask for the required information.

Illustration 7	g03744219

Resetting the Override

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Illustration 8	g03744180

1. To reset the override, go to "Service" tab in Cat ET and select "Operator Inducement Emergency Override Timer Reset".
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   Illustration 9	g03744197

2. The parameters are displayed on Operator Inducement Emergency Override Timer Reset screen. Read the instructions and understand there are legal penalties for misuse.
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   Illustration 10	g06045940

3. Hit the "Reset" button on bottom of screen to reset the override. Read and acknowledge misuse popup.

Override Usage Report

To comply with federal regulations, the operator must report usage of the override to Caterpillar Inc. within 60 days of activating the override. Failure to meet this reporting requirement may subject the operator to penalties under 40 CFR 1068.101. Caterpillar Inc. will in turn report override usage annually to the US EPA. Although submitted to Caterpillar Inc., the override usage reports are deemed to be submissions to the US EPA. Federal regulations prohibit submitting false information. The following information must be included in the report:

1) Contact name, mail and e-mail addresses, and telephone number for the responsible company or entity :

____________________

____________________

2) A description of the emergency situation, the location of the engine during the emergency, and the contact information for an official who can verify the emergency situation (such as a county sheriff, fire marshal, or hospital administrator) :

____________________

____________________

3) The reason for the activation of the override during the emergency situation, such as the lack of DEF, or the failure of an emission-related sensor when the engine was needed to respond to an emergency situation:

____________________

____________________

4) The engine serial number (or equivalent): ____________________

5) A description of the extent and duration of the engine operation while the override was active, including a statement describing whether the override was manually deactivated (paused) after the emergency situation ended:

____________________

____________________

The Usage Report may be sent via e-mail or regular mail to one of the following addresses:

Email :

Emissions_Compliance@cat.com

Regular Mail :