1. Next How to Understand the Emission Data Screen in TMI

2. Table of Contents Glossary of Terms Glossary of Terms Glossary of Terms Glossary of Terms How to use the New TMI Screen How to use the New TMI Screen How to use the New TMI Screen How to use the New TMI Screen TMI Emission Data screen basic Information TMI Emission Data screen basic Information TMI Emission Data screen basic Information TMI Emission Data screen basic Information How to compare the TMI Emission data screen with a CARB certificate How to compare the TMI Emission data screen with a CARB certificate How to compare the TMI Emission data screen with a CARB certificate How to compare the TMI Emission data screen with a CARB certificate TMI Emission Data screen brake-down TMI Emission Data screen brake-down TMI Emission Data screen brake-down TMI Emission Data screen brake-down Frequently asked Question and Answers Frequently asked Question and Answers Frequently asked Question and Answers Frequently asked Question and Answers Additional Screen Examples Additional Screen Examples Additional Screen Examples Additional Screen Examples

3. Glossary: EPA – Environmental Protection Agency CARB – California Air Resource Board also seen as ARB EU – European Union Tier Level – EPA and CARB term for what level of emission certified engines need to meet for a given horsepower and model year. These may not be the same requirements as the EU stage levels Certified – Engine rating registered with the regulatory agencies to meet emission requirements for a given horsepower and model year Stage level – EU term for what level of emission certified engines need to meet for a given horsepower and model year, may not be the same requirements as the EPA/CARB Tier Levels Flex – Flexibility is a program with the EPA / CARB for excluding some product from meeting current regulatory emissions levels. Next Back Table of Contents

4. Glossary: FEL – Family Emission Limit – means an emission level declared by the manufacturer which serves in lieu of an emission standard for certification purposes in any of the averaging, trading, or banking programs. NOx – Oxides of Nitrogen NMHC – Non-Methane Hydrocarbons also seen as HC CO– Carbon Monoxide PM – Particulate Matter Back Table of Contents

5. http://tmiweb.cat.com/tmi/servlet/cat.edis.tmiweb.tmihome.TMIHomeServlet Information on the Improved TMI Emission Data Screen Next Back Table of Contents

6. The Improved TMI Emission Data Screen Next Back Table of Contents

7. Enter Serial number of engine or machine and choose Retrieve Data. Will get series of tabs, choose Emissions Data. Back Table of Contents

8. TMI Information The information found in TMI reflects how a specific engine serial number was labeled by Caterpillar Inc. Not every engine of the same arrangement number or serial number range is label the same way. Assuming that you have two engine arrangement with similar serial numbers are labeled the same may lead to incorrect reporting. The information found in TMI reflects how a specific engine serial number was labeled by Caterpillar Inc. Not every engine of the same arrangement number or serial number range is label the same way. Assuming that you have two engine arrangement with similar serial numbers are labeled the same may lead to incorrect reporting. Next Back Table of Contents

9. TMI Information Caterpillar Certifies engine ratings not specific engine arrangement numbers. An engine arrangement can be labeled several different ways depending on its intended use and region of sale. Caterpillar Certifies engine ratings not specific engine arrangement numbers. An engine arrangement can be labeled several different ways depending on its intended use and region of sale. Next Back Table of Contents

10. TMI Information TMI information is the safe source to know how a specific engine serial number was labeled by Caterpillar Inc. The label dictates if it is certified and to what certification family. TMI information is the safe source to know how a specific engine serial number was labeled by Caterpillar Inc. The label dictates if it is certified and to what certification family. The Emission Data values found on the TMI emission data screen is for the specific rating that the engine search on was set at by the engine manufacturing facility. These are the emissions out of this particular engine rating not the engine certification family which may have different values. The Emission Data values found on the TMI emission data screen is for the specific rating that the engine search on was set at by the engine manufacturing facility. These are the emissions out of this particular engine rating not the engine certification family which may have different values. Next Back Table of Contents

11. TMI Information Emission information in TMI can be found for industrial, Caterpillar machines® and EPG engines. On-Highway, marine and locomotive engines are not included at this time. Emission information in TMI can be found for industrial, Caterpillar machines® and EPG engines. On-Highway, marine and locomotive engines are not included at this time. Emission information for industrial, Caterpillar machines® can start from 1996 regulations and EPG engines start from 2007, for information on pre 2007 EPG engine you need to use the Performance Data Screen in TMI. Emission information for industrial, Caterpillar machines® can start from 1996 regulations and EPG engines start from 2007, for information on pre 2007 EPG engine you need to use the Performance Data Screen in TMI. MHI engines are not listed in TMI at this time. MHI does their own certification and labeling. MHI engines are not listed in TMI at this time. MHI does their own certification and labeling. Next Back Table of Contents

12. TMI Information Perkins Family Code information from 2004 to today can be found on the As Shipped Cert. Screen. Perkins Family Code information from 2004 to today can be found on the As Shipped Cert. Screen. Example Next Back Table of Contents

13. Labeling Rules: A rating can not contain the certification level higher then what the current model year regulated level is. If a rating meets Tier 4 emission levels however the given model year requires only Tier 3 regulations then an engine manufacturer can not legally label an engine as a Tier 4 engine with a Tier 4 Family. The given engine would be labeled as a Tier 3 engine and may participate in a average, banking or trading (ABT) program. A rating can not contain the certification level higher then what the current model year regulated level is. If a rating meets Tier 4 emission levels however the given model year requires only Tier 3 regulations then an engine manufacturer can not legally label an engine as a Tier 4 engine with a Tier 4 Family. The given engine would be labeled as a Tier 3 engine and may participate in a average, banking or trading (ABT) program. Next Back Table of Contents

14. Re-rating: If an engine has been re-rated which mean a dealer or customer has re-flashed an ECM in the field with a new software file the emission data screen will not show any emission information. The system does not have any way of knowing to what rating the engine has been flashed to and therefore can not show the emission data for that serial number. This will happen even if the engine was re-flashed to the same rating as it was originally set at by the manufacturing plant. If an engine has been re-rated which mean a dealer or customer has re-flashed an ECM in the field with a new software file the emission data screen will not show any emission information. The system does not have any way of knowing to what rating the engine has been flashed to and therefore can not show the emission data for that serial number. This will happen even if the engine was re-flashed to the same rating as it was originally set at by the manufacturing plant. Next Back Table of Contents

15. TMI Information An engine manufacturer can not label a new engine off the assembly line with a non-current family code. If the current year is 2007 you can not put 2005 family code numbers on new engines. An engine manufacturer can not label a new engine off the assembly line with a non-current family code. If the current year is 2007 you can not put 2005 family code numbers on new engines. Back Table of Contents

16. Information on the ARB Certificate Compared to the TMI Emission Data Screen How do they relate or don’t relate? Next Back Table of Contents

17. Sample CARB Certificate Next Back Table of Contents

18. EPA/CARB Family Code Sample CARB Certificate Next Back Table of Contents

19. EPA/CARB Family Code Engine Size Sample CARB Certificate Next Back Table of Contents

20. EPA/CARB Family Code Engine Size Horsepower Range Sample CARB Certificate Next Back Table of Contents

21. EPA/CARB Family Code Engine Size Horsepower Range Tier Level Engine Family Certified at. Sample CARB Certificate Next Back Table of Contents

22. EPA/CARB Family Code Engine Size Horsepower Range Tier Level Engine Family Certified at. Emission Data STD is the emission requirements to meet the EPA Tier level CERT is the emission level of the Parent Engine Caterpillar Summits for the Family Sample CARB Certificate Next Back Table of Contents

23. EPA/CARB Family Code Engine Size Horsepower Range Tier Level Engine Family Certificated at. Emission Data STD is the emission requirements to meet the EPA Tier level CERT is the emission level of the Parent Engine Caterpillar Summits for the Family Sample CARB Certificate Next Back Table of Contents

24. EPA/CARB Family Code How does TMI Page compare to Certificate? Next Back Table of Contents

25. EPA/CARB Family Code How does TMI Page compare to Certificate? Tier Level Engine Family Certified to. Next Back Table of Contents

26. Emission Data for this particular rating this engine is set at EPA/CARB Family Code Tier Level Engine Family Certified to. How does TMI Page compare to Certificate? Next Back Table of Contents

27. EPA/CARB Family Code Tier Level Engine Family Certified to. Emission Data for this particular rating this engine is set at How does TMI Page compare to Certificate? Certification Label Placed on engine by Caterpillar Inc. Next Back Table of Contents

28. EPA/CARB Family Code Tier Level Engine Family Certified to. Emission Data for this particular rating this engine is set at Certification Label Placed on engine by Caterpillar Inc. How does TMI Page compare to Certificate? Back Table of Contents

29. Breakdown of Entire TMI Screen What does each line mean?? Next Back Table of Contents

30. (Example) (Sample Page) Original serial numbers for the Engine and/or Machine as mated at the machine plants. If engines have been changed out in the field TMI will only reflect this information if the dealer updates DBS with this information. If this as a replacement engine or an industrial engine only the engine serial number field will be populated. Next Back Table of Contents

31. (Example) (Sample Page) Original engine arrangement number that was tied to the engine serial number when the engine was built down the engine manufacturing plant assembly line. Next Back Table of Contents

32. (Example) (Sample Page) This line will tell you how this serial number was labeled by Caterpillar Inc. Next Back Table of Contents

33. (Sample Page) Possible Certifications that you may see are: (Click on each to get explanation) EPA / CARB / EU EU EPA Flex EPA / CARB w/ NOx + NMHC & PM FEL/EU EPA / CARB w/ NOx +NMHC FEL / EU EPA / CARB Next Back Table of Contents

34. (Sample Page) Possible Certifications that you may see are: REPLACEMENT ENGINE EPA TIER 1 LEVEL REPLACEMENT EPA TIER 2 LEVEL REPLACEMENT EPA / CARB w/ NOx + NMHC & PM FEL EPA / CARB w/ PM FEL Next Back Table of Contents

35. (Sample Page) Other Variation you may have: EPA / CARB FLEX / EU This family is certified under the EPA and CARB tier level requirements for the year the engine was built using Flex credits. The Flexibility Program is a method for excluding some product from meeting current regulatory emissions levels. EPA / CARB @ Constant Speed This as shipped certification means that this engine is governed to operate only at rated speed. This engine is certified for operation in EPA, and CARB regulator regions. This certification is used primarily by Generator sets. EPA / CARB w /PM FEL @ Constant Speed This engine is governed to operate only at rated speed and is participating in a ABT program for PM. EPA / CARB w/NOx + NMHC FEL @ Constant Speed This engine is governed to operate only at rated speed and is participating in a ABT program for NOx + NMHC. EPA / CARB w/NOx + NMHC & PMFEL @ Constant Speed This engine is governed to operate only at rated speed and is participating in a ABT program for NOx + NMHC and PM. This list is not conclusive as certifications could be added at any time Next Back Table of Contents

36. EPA/CARB The engine is certified under the EPA and CARB tier level requirements for the year the engine was built. This engine can not be sold into regions with EU regulator requirements Back Table of Contents Back

37. EPA/CARB/EU The engine is certified under the EPA and CARB tier level and the EU stage level requirements for the year the engine was built. Back Table of Contents Back

38. EU The engine is certified under the EU stage level requirements for the year the engine was built. This engine can not be sold into EPA or CARB regulated areas. Back Table of Contents Back

39. EPA Flex The engine is built under the EPA and CARB tier level requirements using Flex credits. The Flexibility Program is a method for excluding some product from meeting current regulatory emissions levels. Flexibility allows a limited percentage of previous Tier non-road engines to be used in non-road equipment after the new Tier begins. For example the 613C scraper remained at Tier 1 levels thru the Tier 2 and Tier 3 emission regulated years. Next Back Table of Contents

40. EPA Flex The TMI Emission Data Screen will display the Model Year for the year the engine was built in. EPA Flex The TMI Emission Data Screen will display the last family code that the engine rating was certified under. This is the only place you will see this information. The label on the engine will not contain this information. EPA Flex The TMI Emission Data Screen will display the Family Certification for the emission level the family code displayed. Back Table of Contents Back

41. EPA / CARB w/ NOx + NMHC & PM FEL/EU This engine is participating in the EPA / CARB average, banking and trading program for both NOx and PM. Averaging, Banking, and Trading (ABT) is a method for excluding some product from meeting current regulatory emissions levels. This engine is also legal to operate in EU regulated areas Next Back Table of Contents

42. EPA / CARB w/ NOx + NMHC & PM FEL /EU The goal of the ABT program is to allow engine manufacturers flexibility in their product rollout schedules by: Allowing credits to be used or generated for NOx and PM levels. If an engine families' FEL [Family Emission Limit] is lower than the applicable standard, then credits can be generated. If an engine families' FEL is higher than the applicable standard, then credits can be used to address the shortfall Next Back Table of Contents

43. EPA / CARB w/ NOx + NMHC & PM FEL / EU The engine will be listed on the EPA and CARB certificates as meeting the current Tier Level requirements however the actual emissions out of the engine may be higher or lower then the tier level standard. One must look at the CERT row on certificates to get the emission values that family code is certified at. See example on the Next Slide Back Table of Contents Back

44. This is an ABT Family for 2005. The engine family is being certified to Tier 2 levels using credits to make up the short fall. Using credits Caterpillar has certified the engine at a 8.3 g/kw-hr NOx and.34g/kw-hr PM which are Tier 1 levels not Tier 2. Credits are making up the difference to allow Caterpillar to certify at Tier 2, actual emission out do not meet Tier 2. Back Table of Contents Back

45. EPA / CARB w/ NOx + NMHC FEL / EU This engine is participating in the EPA / CARB average, banking and trading program for NOx + NMHC only. Averaging, Banking, and Trading (ABT) is a method for excluding some product from meeting current regulatory emissions levels. This engine would also be allowed to operate in EU regulated regions Next Back Table of Contents

46. EPA / CARB w/ NOx + NMHC FEL / EU For this family only NOx + NMHC is being banked or traded. The goal of the ABT program is to allow engine manufacturers flexibility in their product rollout schedules by: Allowing credits to be used or generated for NOx and PM levels. If an engine families' FEL [Family Emission Limit] is lower than the applicable standard, then credits can be generated. If an engine families' FEL is higher than the applicable standard, then credits can be used to address the shortfall Next Back Table of Contents

47. EPA / CARB w/ NOx + NMHC FEL / EU The engine will be listed on the EPA and CARB certificates as meeting the current Tier Level requirements however the actual emissions out of the engine may be higher or lower then the tier level standard. One must look at the CERT row on certificates to get the emission values that family code is certified at. See example on the Next Slide Back Table of Contents Back

48. This is an ABT Family for 2005. The engine family is being certified to Tier 2 levels using credits to make up the short fall. Banking Caterpillar has certified the engine at a 3.6 g/kw-hr NOx + NMHC which is at Tier 3 emission levels not Tier 2. Credits are are being generated in this family. The family is certify at Tier 2, actual emission meet Tier 3 for NOx. Back Table of Contents

49. EPA / CARB w/ PM FEL This engine is participating in the EPA / CARB average, banking and trading program for PM only. Averaging, Banking, and Trading (ABT) is a method for excluding some product from meeting current regulatory emissions levels. This engine is not labeled to operate in EU regulated regions. Next Back Table of Contents

50. EPA / CARB w/ PM FEL For this family only PM is being banked or traded. The goal of the ABT program is to allow engine manufacturers flexibility in their product rollout schedules by: Allowing credits to be used or generated for NOx and PM levels. If an engine families' FEL [Family Emission Limit] is lower than the applicable standard, then credits can be generated. If an engine families' FEL is higher than the applicable standard, then credits can be used to address the shortfall Next Back Table of Contents

51. EPA / CARB w/ PM FEL The engine will be listed on the EPA and CARB certificates as meeting the current Tier Level requirements however the actual emissions out of the engine may be higher or lower then the tier level standard. One must look at the CERT row on certificates to get the emission values that family code is certified at. See example on the Next Slide Back Table of Contents Back

52. This is an ABT Family for 2005. The engine family is being certified to Tier 1 levels and is generating credits. Caterpillar has certified the engine at a.08g/kw-hr PM which are Tier 2 levels not Tier 1. Credits are being banked. Caterpillar has certify to Tier 1 levels however, actual emission out meet Tier 2. Back Table of Contents Back

53. REPLACEMENT ENGINES This engine is legal to be used as a replacement of an engine in in-use equipment. This label is used primarily for engines that where never certified under EPA/CARB or EU regulations. The replacement engine should never produce more emission then the engine that is being removed. If you are replacing a Tier 2 level engine a Tier 2, Tier 3 or Tier 4 engine has to be used. Engines with this label can not be placed in new machines at any Caterpillar production plant or Caterpillar engine customer. If there is a regulated engine that can be dropped into the machine instead of the non- regulated engine then that engine should be used. Back Table of Contents Back

54. EPA Tier 1 LEVEL REPLACEMENT This engine is legal to be used as a replacement for an engine in in-use equipment to replace a previous unregulated or Tier 1 engine. It can not be used to replace any certified Tier 2, 3 or 4 engine. Engines with this label can not be placed in new machines at any Caterpillar production plant or Caterpillar engine customer. Engine with this label would meet the EPA Tier 1 emission standards for the engines horsepower. Back Table of Contents Back

55. EPA Tier 2 LEVEL REPLACEMENT This engine is legal to be used as a replacement for an engine in in-use equipment to replace a previous unregulated, Tier 1 or Tier 2 engine. It can not be used to replace any certified Tier 3 or Tier 4 engine. Engines with this label can not be placed in new machines at any Caterpillar production plant or Caterpillar engine customer. Engine with this label would meet the EPA Tier 2 emission standards for the engines horsepower. Back Table of Contents Back

56. EPA / CARB w/ NOx + NMHC & PM FEL This engine is participating in the EPA / CARB average, banking and trading (ABT) program for both NOx and PM. ABT is a method for excluding some product from meeting current regulatory emissions levels. This engine is not labels for operation in EU regulated regions. Next Back Table of Contents

57. EPA / CARB w/ NOx + NMHC & PM FEL The goal of the ABT program is to allow engine manufacturers flexibility in their product rollout schedules by: Allowing credits to be used or generated for NOx and PM levels. If an engine families' FEL [Family Emission Limit] is lower than the applicable standard, then credits can be generated. If an engine families' FEL is higher than the applicable standard, then credits can be used to address the shortfall Next Back Table of Contents

58. Back EPA / CARB w/ NOx + NMHC & PM FEL The engine will be listed on the EPA and CARB certificates as meeting the current Tier Level requirements however the actual emissions out of the engine may be higher or lower then the tier level standard. One must look at the CERT row on certificates to get the emission values that family code is certified at.

59. (Sample Page) Year in which the Serial number of the engine was built and labeled. Labeled model year and Shipped year my vary. For example an engine that was built and labeled in 2005 under 2005 regulations can still be shipped in 2006 which may or may not have different requirements. Next Back Table of Contents

60. (Example) (Sample Page) The Family Code is the certification number assigned to a grouping of horsepower ratings that are submitted to regulator bodies by Caterpillar Inc. as well as all diesel engine manufacturers. A Caterpillar family code consists of 12 character. An example of a family code is 6CPXL27.0HRK. The first digit tells you the year. For the years of 1996-2000 Caterpillar used letter. T = 1996, V=1997, W=1998, X=1999, Y=2000. For 2001 = 1 and so on. Next Back Table of Contents

61. (Example) (Sample Page) (Example 6CPXL27.0HRK) The next two digits CP stand for Caterpillar. Perkins engines contain PK. The XL in the family code stands for non-road. The numbers in the family code are the engine displacement in liters. Next Back Table of Contents

62. (Example) (Sample Page) (Example 6CPXL27.0HRK) The last 3 digits are for the “type” of engine family such as certification without participating in any program, or participating in an Average, Banking, Trading or flexing program. You will not know by looking at a family code if it is participating in a program or what these letter mean. This is a Caterpillar Inc. internal code. Next Back Table of Contents

63. Back to Q&A (Example) (Sample Page) The family itself will not tell you if it falls into any programs. The as shipped certification line is where you need to look to get this information. Family codes change every year. Ratings listed within a family code can change at any time so you can not assume that just because a specific engine arrangement serial number was label under family code XXX that every serial number of that engine arrangement will be labeled the same. Each serial number is labeled according to it’s shipping requirements. Next Back Table of Contents

64. (Example) (Sample Page) For a flexed engine the family code that is displayed is the last family code that engine rating was certified under. This information only will show in TMI. The label on a replacement engine states only that it is a replacement engine. A engine manufacturer by law can not place past family code numbers on engines. Only family codes for the current model year can appear on engine labels. Next Back Table of Contents

65. (Sample Page) The Family certification is the certification level that appears on the certificate issued by EPA and CARB. This is the emission level that the family code has been certified to. The emission level may not be the emission level that the engine actually puts out. In the case of a ABT (Average, Banking or Trading) family, Caterpillar is using or banking credits to obtain a specific certification level. Next Back Table of Contents

66. (Sample Page) In the case of trading the engine would be actually producing Tier 1 emission levels, however by trading credit Caterpillar was able to certify the family at Tier 2 levels. To verify what level your specific engine rating is producing you need to look at the Cycle Steady State gaseous emissions located lower on this page. Next Back Table of Contents

67. (Sample Page) This is the test spec the engine serial number was rated to by the manufacturing plant. Next Back Table of Contents

68. (Sample Page) These are the emission levels that this engine’s specific rating is capable of achieving using EPA’s specified certification fuel. These emission values are the 8 mode steady state emissions. If rated point emissions are needed an email needs to be sent to engine_certification@cat.com. This emission data is Caterpillar's best estimate for this rating. If actual emission levels are required then an emission test needs to be run on your engine. Next Back Table of Contents

69. (Sample Page) These values will not match the values that are found on the CARB certificate. The values on the certificate are those of the family’s parent engine. The values on the TMI screen are for the specific rating that this engine serial number was set at the time the engine as manufactured. The values on this screen will tell you what tier level your specific engine is putting out. These values can be cross-reference a EPA regulations standards chart using the emission values and the rating to gain the tier level. Example Next Back Table of Contents

70. TMI Search for serial number 4TF88954 show’s family 5CPXL06.6MRW at Tier 2, However, the emission is 6.4 g/hp-hr so we need the EPA standards chart for clarification. Also note that in the “As Shipped Certification” there is an FEL at the end. This should signal this engine is participating in a program. Next Back Table of Contents

71. The engine Horsepower is 187hp and it was Labeled in 2005. This Chart states the engine should have NOx +NMHC emission level of 4.9 g/hp-hr. The emission values On the TMI screen states the NOx + NMHC of 6.4 which does not meet Tier 2 But does meet Tier 1 (see first line on chart). Therefore the emission level Out of this engine is Tier 1 and you have an engine participating in a ABT program Next Back Table of Contents

72. When you pull the CARB certificate you will also find a FEL and CERT Family that indicate higher then Tier 2 emission levels. This engine family is trading credits. Emission levels out is Tier 1 for the engine even though it is certified under a Tier 2 level Family due to the use of credits. Back Table of Contents

73. Perkins Family Code Information Back Perkins Family Code information can be found the As Shipped TMI screen. This information is available from 2004 forward

74. Frequently asked Questions and Answers Next Back Table of Contents

75. Frequently asked Questions and Answers Where can I find the Family Code for my engine? Family codes are only used by EPA and CARB regulators. If your engine was certified under EPA and/or CARB regulations then the family code can be located on the certification label located on your engine located either on the valve cover, the front cover, or on the engine oil cooler. If you do not have easy access to the engine the family code can also be found on the TMI Data emission screen by searching using the engine serial number.TMI Data emission screen Next Back Table of Contents

76. Frequently asked Questions and Answers How do I know where I am legal to run my machine and where I can’t? Federal regulation only apply to new engines from the engine manufacturing companies. There are no federal mandates that state you can not operate an engine manufactured in prior years and does not meet current emission standards. Engines may be labeled to only run in EPA regulated areas or EU only areas. To verify how the engine you have was labeled by Caterpillar Inc. refer to the “As shipped certification” line on the TMI emission data screen. You can also look at the certification label. The lines under the rating information tell you if you are legal to run in EU and EPA/CARB regulated areas. The first line states conforms to directive 97/68/EC which is EU standards and the second state EPA and California conformity. If you only see the top or bottom you are only legal to run in that area specified. (continue)TMI emission data screen Next Back Table of Contents

77. Frequently asked Questions and Answers How do I know where I am legal to run my machine and where I can’t? There can be state or local regulation in place that can mandate that you can only run your engine for a set amount of time or during certain times of the day. They can also regulate the amount of emissions that are allowed out of the machine for on a job site, mining location or construction project. For this information you must work with your local and state air boards to obtain their latest information. When bidding for construction jobs consult the contract for emission stipulations. Next Back Table of Contents

78. What Tier Level is my engine certified at? The certified tier level is the tier level that appears on the certificate that is issue to the engine manufacture by the regulator agencies. The level on the certificate may not be the emission out of your engine. The certification level seen on the certificate can be obtained thru Average, Banking and Trading Programs. The certification level is for the engine family not for a individual engine serial number. (continue) Frequently asked Questions and Answers Next Back Table of Contents

79. What Tier Level is my engine certified at? This information can be found on the certificate that can be obtained from regulatory agencies and on the TMI emission data screen in the Family Certification line. Frequently asked Questions and Answers Next Back Table of Contents

80. What emission tier level is my engine putting out? The emission level that is coming out of your engine can be found on the TMI emission data screen for engines that have EPA certification status. You will need to obtain the emission numbers off the TMI emission data screen and then compare the emission out to an emission tier level chart. The tier level out of your engine may not match that tier level printed on the certificate. If a engine family is participating in a program you can have a certified level for the family of Tier 3 but the emission out of the engines are Tier 1 when an family is using credits. The emission on the TMI emission data screen are Caterpillar best estimates for the emission out of your engine. If actual emission are required an emission test needs to be preformed on your engine. Make sure you are looking at the correct units also. Examples Frequently asked Questions and Answers Next Back Table of Contents

81. What emission tier level is my engine putting out? Frequently asked Questions and Answers Next Back Table of Contents

82. Frequently asked Questions and Answers How do I know if my engine is being flexed or participating in some other program? There are a couple quick checks that will tell you this. First by looking into the TMI emission data screen you will see in the As Shipped Certification line FEL in the name indicating this family is participating in a ABT program. You will also see on the CARB certificate FEL in the emission data information. (continue) Next Back Table of Contents

83. How do I know if my engine is being flexed or participating in some other program? Then compare the Family Certification Tier level to the cycle stead state gaseous emissions data. In this example the Tier level states Tier 2 but the emission out is at Tier 1 levels. This is a good indication you have a engine that is using credits. Frequently asked Questions and Answers Next Back Table of Contents

84. What do the letters in the family code stand for? A off-highway family code consist of 12 characters The first digit is the year of the certification. T = 19961 = 2001 V = 19972 = 2002 W = 1998 3 = 2003 X = 19994 = 2004 Y = 2000and so on. (continue) Frequently asked Questions and Answers Next Back Table of Contents

85. What do the letters in the family code stand for? The next to letter indicate the manufacture. For Caterpillar the letters are CP, for Perkins it is PK. The XL in the family code stands for Off-Road or Off- Highway. The next 3 digits are the engine displacement in liters. (continue) Frequently asked Questions and Answers Next Back Table of Contents

86. What do the letters in the family code stand for? The last there letters indicate how this family is being certified, as in if it is EPA/CARB, EPA/CARB EU, etc. This information is something only the engine manufacturer would have knowledge of. You can not find a list or quick reference with this information. Frequently asked Questions and Answers Next Back Table of Contents

87. What does the As Shipped Certification in TMI mean? This line will tell you how this serial number was labeled by Caterpillar Inc. A engine is label according to the region it can be legally operate in. Frequently asked Questions and Answers Next Back Table of Contents

88. Why does the CARB certificate for the family of my engine state that my engine is certified to Tier 3 levels but the values I was given for the emission out of my engine are at Tier 1 levels? This means that Caterpillar has chosen to participate this engines family in a program. To know which level you need to list on a contract or fleet averaging program you need to consult your local air board. The ARB is allowing the certification level up to 2010. Frequently asked Questions and Answers Next Back Table of Contents

89. If I update my “prime product mover” screen in DBS to include the new repower engine, TMI eventually includes this new engine arrangement for my machine serial number, will the emission screen include the new repower emission information or the information for the original engine? The emission data in the TMI screen is engine serial number specific. The emission data that will be displayed will be the emission data for the new engine not the original engine information. Frequently asked Questions and Answers Next Back Table of Contents

90. What should I do if emissions data is not available for my engine? First thing you need to do is make sure you have a Caterpillar Machine, Industrial or EPG engine. These are the only engines that have emission data loaded into TMI at this time. Next, make sure that the ‘As Shipped’ Certification line does not read ‘non-certified’. This means that your engine was built prior to 1996, and prior to off-road emission certification requirements with the EPA or CARB. You may also want to consult the build date for verification. (continue) Frequently asked Questions and Answers Next Back Table of Contents

91. What should I do if there is no emissions data for my engine? IF you have EU listed in the As Shipped Certification line you also will not get emission data due to the emission values that are displayed are from test run on EPA certified fuel. EU only engines are not tested with this fuel therefore the emission values would be incorrect for that certification. You also need to check to make sure your engine was not re-rated. If it was re-rated you will not get any emission data on the screen. In this case you need to email for this information. Please indicate you have a re-rated engine and to what software it was re-flashed with. (continue) Frequently asked Questions and Answers Next Back Table of Contents

92. What should I do if there is no emissions data for my engine? After checking these then send an email into enginecertification@cat.com. You should be a response back in 24 hours of your email.enginecertification@cat.com Frequently asked Questions and Answers Next Back Table of Contents

93. If I replace my engine in my cat machine or install an emission upgrade package, what steps are needed to update TMI with this information? Once you have completed the new engine installation you need to update the machine history in SIMS with the new engine serial number and arrangement. TMI will get the updated information from SIMS and reflect the new engines emissions. The emission upgrade groups do not show in TMI at this time so you will not get the new emission information from the TMI emission data screen. You will have to email enginecertification@cat.com to get the new emission data. enginecertification@cat.com Frequently asked Questions and Answers Next Back Table of Contents

94. How do we communicate errors found in TMI? If you find information you feel is incorrect in TMI you need to send an email to enginecertification@cat.com. They will analyze the error and take appropriate action to correct it. Frequently asked Questions and Answers Next Back Table of Contents

95. How do I get a replacement label and how much do they cost? To request a new label go into the TMI screen and click on the link at the bottom of the page that states “Need emission replacement label? Click Here”. (continue) Frequently asked Questions and Answers Next Back Table of Contents

96. How do I get a replacement label and how much to they cost? You will be taken to the Caterpillar Truck web site. This is the site to get both on and off highway labels. Choose Emission/Certification Replacements and fill in the form that appears and submit. The labels are free. Frequently asked Questions and Answers Next Back Table of Contents

97. Is the same information available for on-highway and commercial engines? The emission data you find on the emission data screen in TMI is currently for Caterpillar Machines and Industrial engines. MHI and Perkins engines will not show emission data on the TMI Emission Data Screen. EPG engines will have data starting from 2007 forward only. For all other applications you need to email your request to enginecertification@cat.com. Frequently asked Questions and Answers Back Table of Contents

98. Other Screen Samples Next Back Table of Contents

99. If Engine is Marine currently see. Next Back Table of Contents

100. If Engine is EPG currently see. Next Back Table of Contents

101. Use Performance Screen for EPG Part load Data. Next Back Table of Contents This data should not be used to create the certified cycle emission.

102. If you are not able to find the information you are looking for email engine_certification@cat.com Next Back Table of Contents