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
through Service Letters. The terms and conditions of such programs are listed in a standardized format found in
Service Information System (SIS). Service Letters should not be copied or provided to customers as these documents
are intended for dealer internal use only.
Note: Containment PSPs identified with program numbers PS6xxxx and PS9xxxx are not covered by this bulletin.
Contact your Caterpillar Tech Rep for assistance.
Visit https://warranty.cat.com/wtyforms for additional information on Service Letters including the followings topics:
• Service Letter Reference Numbers
• Service Letter Term Definitions
• Dealer PIP Completion Responsibility
• Dealer Inability to Complete a Safety or Priority PIP Rework
• Owner Notification of Safety and Priority PIPs
• Reporting PIP / PSP Completion in SIMS
• Dealer Training and Preparation for PIP Repairs
• Service Letter Process Map

PIPs are mandatory programs issued to repair or replace parts or assembled components. The three types of
PIPs include:
• Safety PIPs
• Priority PIPs
• Parts Stock or Dealer Tool PIPs
Caterpillar or the Cat dealer sends a notice of the product problem to the customer/end user for Safety and Priority PIPs.

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. Safety PIPs do not have a termination date
and are valid indefinitely.

➤ 01.16-09 (10/14) ➤ Indicates change.

https://warranty.cat.com/wtyguide
© 2014 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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Priority PIPs are programs established to eliminate future potentially costly repairs and/or meet regulatory
requirements. A Priority PIP has a Completion Date and a Termination Date.
• Completion Date - For all Priority PIPs, (except Parts Stock/Dealer Tool PIPs) the completion date is the last
day of the month, six (6) months after the issue date of the Service Letter. If a dealer starts a Priority PIP on or
before the completion date, Caterpillar reimburses the dealer for the parts and labor specified in the Priority PIP
Service Letter. Additionally, Caterpillar reimburses the dealer for justified resultant damage parts and labor.
• Termination Date - For all Priority PIPs, (except Parts Stock/Dealer Tool PIPs) the termination date is last
day of the month, twelve (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 is
limited to the parts and labor specified in the Priority PIP Service Letter. Reimbursement does not include
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 instruct
dealers to scrap, salvage, or return the parts or tools to Caterpillar.
• Termination Date - For all Parts Stock and Dealer Tool PIPs, the termination date is the last day of the
month, three (3) months after the issue date of the Service Letter.
TEPS Dealers / AMDs cannot submit Parts Stock / Dealer Tool PIPs. They are reimbursed for recalled parts
or tools by returning the affected parts or tools to the Cat dealer. Parts Stock/Dealer Tool PIPs involving salvage
labor are handled in the same manner. The Cat dealer is reimbursed for the exchanged parts or tools or salvage
labor by submitting a Parts Stock/Dealer Tool PIP claim.

PSPs are programs providing dealers and customers support for known product problems. The two types of
PSPs include:
• Before or After Failure PSPs
• After Failure Only PSPs
PSPs may provide partial repair expense participation by Caterpillar, as the customer received a portion of the
intended product value. In such cases, the remainder of the PSP repair costs is shared between the dealer and
the customer, as indicated in the Service Letter. The dealer is required to perform the PSP and file a claim for
reimbursement consideration. This does not include containment PSPs with PS6 or PS9 program numbers.

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 due to the PSP problem. Completion of before failure repairs is
based on dealer assessment of impact and requirements of specific customers. Before failure repairs are to be
performed when determined the repair is necessary.

After Failure Only PSPs allow dealers to only perform the PSP repair caused by the identified PSP problem
once a failure has occurred.

Repeating PIP / PSP Repair

If a PIP / PSP repair fails due to a Caterpillar defect in material or workmanship, a repeat repair may be claimed
as indicated in the Service Letter if both conditions apply:
• Service Letter has not expired; and
• Product is within the product age and hour range of the PIP / PSP.
In such cases, a PIP / PSP Service Claim should be filed using the PIP / PSP Reference Number and adding
a description code of “96” to identify the after failure repair. Justification for repeating the PIP / PSP must be
included in the claim story.

Service Letter Content

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

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 Caterpillar: Confidential Green Bulletin No. 1.16

letter or authorize repairs in advance of a service letter program being released.

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 ex-
pense codes. Reference Bulletin 1.27.

Dealer Expense Reimbursement

Service Letters provide a prescribed repair action addressing a known product problem. Parts and labor
reimbursement for the prescribed repair is limited to the maximum listed in the “Service Letter Allowance”
section. Additional parts and labor not listed, but required to correct the justified resultant damage after a
failure, are reimbursable. Other available coverages such as Equipment Protection Plans (EPP) and Extended
Service Coverages (ESC) may provide reimbursement of allowable dealer/customer expenses.
Reimbursement expenses are reimbursed per the Service Letter.
• Caterpillar participation in PIPs is 100% of allowable expenses as outlined in the Service Letter.
• Caterpillar participation in PSPs may be 100% of allowable expenses as outlined in the Service Letter based
on age/hours; or may be prorated to a lower Caterpillar participation. The percentage of Caterpillar participa-
tion in the “Service Claims Allowance” section applies to all parts and labor allowed.

Parts
Only parts listed in the “Parts Needed” section are reimbursable for the prescribed repair.

Labor
The labor allowance in the “Service Claim Allowances” section of the Service Letter is the maximum established repair
time to complete all work for the prescribed repair including time to inspect, test, diagnose, remove, disassemble,
clean, assemble, install and salvage parts. Labor associated to the prescribed repair beyond the allowance is not
reimbursable.
• If the actual labor hours to perform a PIP repair are less than the Service Letter labor allowance, the full labor
allowance listed in the Service Letter may be claimed.
• If the actual labor hours to perform a PSP repair are less than the Service Letter labor allowance, only the
actual labor hours may be claimed.

Resultant Damage
Additional Cat® parts and labor required to repair resultant damage after a failure are reimbursable under the
Service Letter if justified in the claim story. This excludes Priority PIP repairs started after the Completion Date.

Miscellaneous Expenses listed in the “Service Letter Allowance” section are reimbursed at 100% of the
justified amount up to the maximum listed. Other miscellaneous expenses that are not listed are subject to PSP
proration.

Application of Other Coverages

All Service Letter repairs must be claimed against the PIP/PSP; even if the product has additional extended coverage.
These additional coverages do not apply to before failure repairs.

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

PSPs Performed After-Failure (prorated Cat participation)

Parts and labor for the amount of dealer/customer participation 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 vari-
ous rates established by the specific additional coverage. Additionally, the same percentage of dealer/customer
participation in reasonable parts and labor expenses required to repair justified after failure resultant damage is
also reimbursable. The applicable EPP/ESC coverage will reimburse any customer responsibility pro-ration if the
failure is due to a covered component. Additional information to support the additional parts and labor above the
Service Letter must be justified in the claim story. Applicable PSPs must be performed and claimed in order to
receive consideration for available EPP or ESC coverage that may be applied to the prorated customer portion of
the PSP “Service Letter Allowance” section.

PSPs Performed After-Failure (no prorated Cat participation)

All resultant damaged parts and labor are reimbursed by the Service Letter when justified in the claim story. Other
coverages do not apply.

Claiming Practices for Other Coverages

• 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 applicable coverage in the claim story.

Reimbursement Tables
Global Machine Policy..................................................................................................................................... Page 5
Vocational On-Higway Truck Policy................................................................................................................. Page 6
Global Engine Policy....................................................................................................................................... Page 7
Global TEPS / MEPS / AMD / ISD Policy................................................................................................ Pages 8 & 9

Claim Field Information Tables

Claim Field Information for PIPs (Safety and Priority)................................................................................... Page 10
Claim Field Information for PIPs – Parts Stock, Dealer Service Tools and Cat Shop Supplies .................... Page 11
Claim Field Information for PSPs................................................................................................................... Page 12
Claiming Practices for PIPs/PSPs that also include Parts Stock Action........................................................ Page 13

Caterpillar Claim System – Validation Messages for Service Letters

Table for Caterpillar Claim System – Validation Messages for Service Letters ........................................... Page 14

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Global Machine Policy

Machine PIPs Machine PSPs
Parts Stock/Dealer Tool
D/N + 10% D/N + 10%
Parts
Parts Stock/Dealer Tool
Sell labor rate, when provided in SL Sell labor rate, when provided in SL
Labor
Parts Stock/Dealer Tool
Not allowed Not allowed
Service Items Unusable
Std Wty Parts = D/N: D/N + 10%, per Std Wty Parts = D/N: D/N + 10%, per
SL allowance SL allowance percentage
Parts
Std Wty Parts = C/L: C/L, per SL Std Wty Parts = C/L: C/L, Per SL
allowance allowance percentage
If repair started on or before SL Reimbursable if repair is after failure,
Parts: Resultant Damage
completion date per SL allowance percentage
D/N, only if made unusable due to PIP- D/N, only if made unusable due to PSP-
Service Items
related failure related failure, per SL part allowance
(Claim on Misc Line)
percentage
Sell labor rate, when provided in SL Sell labor rate, when provided in SL, up
Labor
to SL allowance
If repair started on or before SL Reasonable labor is reimbursable at
Labor: Resultant Damage completion date, reasonable labor is Sell labor rate if repair is after failure,
reimbursable at Sell labor rate per SL allowance percentage
Parts Salvage Labor Sell labor rate, if justified Sell labor rate, if justified
Travel rate & vehicle rate Travel rate & vehicle rate, only if provided
TT&M
in SL
Meals & Lodging At Cost - only if justified Not reimbursable
Parts Service Charges Reimbursable Reimbursable
Emergency Freight At Cost - only if after failure and part is Not reimbursable
Charges from unassigned parts DC
If less than travel expenses, at Cost - At Cost, only if provided in SL
Towing/Hauling Costs
only if justified
Shop Supplies Same as parts (above), only if listed in SL Same as parts (above), only if listed in SL
At Cost - only if justified At Cost, less proration percent - only if
Outside Repair Expense
justified

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Vocational On-Higway Truck Policy

Vocational On-Highway Truck Vocational On-Highway Truck
PIPs PSPs
Parts Stock/Dealer Tool Parts C/L C/L
Parts Stock/Dealer Tool Labor Sell labor rate, when provided in SL Sell labor rate, when provided in SL
Parts Stock/Dealer Tool Service
Not allowed Not allowed
Items Unusable
C/L: C/L, per SL allowance
Parts C/L: C/L, per SL allowance
percentage
If repair started on or before SL Reimbursable if repair is after
Parts: Resultant Damage
completion date failure, per SL allowance percentage
D/N, only if made unusable due
Service Items D/N, only if made unusable due to
to PSP-related failure, per SL part
(Claim on Misc Line) PIP-related failure
allowance percentage
Sell labor rate, when provided In SL,
Labor Sell labor rate, when provided in SL
up to SL allowance

If repair started on or before SL Reasonable labor is reimbursable

Labor: Resultant Damage completion date, reasonable labor is at Sell labor rate if repair is after
reimbursable at Sell labor rate failure, per SL allowance percentage

Parts Salvage Labor Sell labor rate, if justified Sell labor rate, if justified
Travel rate & vehicle rate, only if
TT&M Travel rate & vehicle rate
provided in SL
Meals & Lodging At Cost - only if justified Not reimbursable
Parts Service Charges Reimbursable Reimbursable
At Cost - only if after failure and part
Emergency Freight Charges Not reimbursable
is from unassigned Parts DC
Engine failures: invoice cost allowed
only If necessary during standard
If less than travel expenses, at Cost waranty period on after-failure repairs.
Towing/Hauling Costs
- only if justified
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
At Cost, less proration percent -
Outside Repair Expense At Cost - only if justified
only if justified

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Global Engine Policy

Engine PIPs Engine PSPs
Parts Stock/Dealer Tool
D/N + 10% D/N + 10%
Parts
Parts Stock/Dealer Tool
Sell labor rate, when provided in SL Sell labor rate, when provided in SL
Labor
Parts Stock/Dealer Tool
Cost - Only if made due to PIP repair Cost - only if made due to PSP repair
Service Items Unusable
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%:
Std Wty Parts = D/N+15%:
(Amer. North) C/L, per SL allowance
(Amer. North) C/L, per SL allowance
Parts (ROW) D/N + 15%, per SL allowance
(ROW) D/N + 15%, per SL allowance
Std Wty Parts = C/L: C/L, per SL
Std Wty Parts = C/L: C/L, Per SL
allowance
allowance percentage
Std Wty Parts = 90% C/L: 90% C/L,
Std Wty Parts = 90% C/L: 90% C/L, per
per SL allowance percentage
SL allowance percentage
Parts: If repair started on or before SL Reimbursable if repair is after failure,
Resultant Damaged completion date repair per SL allowance percentage
D/N, only if made unusable due to PSP-
Service Items D/N, only if made unusable due to
related failure, per SL part allowance
(Claim on Misc Line) PIP-related failure
percentage
Sell labor rate, when provided in SL, up
Labor Sell labor rate, when provided in SL
to SL allowance
If repair started on or before SL Reasonable labor is reimbursable at Sell
Labor: Resultant Damage completion date, reasonable labor is labor rate, if repair is after failure, per SL
reimbursable at Sell labor rate allowance percentage
Parts Salvage Labor Sell labor rate, if justified Sell labor rate, if justified
Travel rate & vehicle rate - allowed only if
TT&M Travel rate & vehicle rate1 necessary during normal warranty period or
when provided in SL
At Cost - if justified during normal warranty
Meals & Lodging At Cost - only if justified
period on after-failure repairs
Parts Service Charges Reimbursable Reimbursable
Emergency Freight At Cost - only if after failure and part is
Not reimbursable
Charges from unassigned Parts DC
On-highway engines: invoice cost
If less than travel expenses, at Cost - allowed only if necessary during standard
Towing/Hauling Costs warranty period on after-failure repairs
only if justified
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

At Cost, less proration percent - only if
Outside Repair Expense At Cost - only if justified
justified

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Global TEPS / MEPS / AMD / ISD Policy

Engine PIPs Engine PSPs
Parts Stock/Dealer Tool
Return parts or tools to Cat distributor Return parts or tools to Cat distributor
Parts
Parts Stock/Dealer Tool
Not allowed Not allowed
Labor
Parts Stock/Dealer Tool
Not allowed Not allowed
Service Items Unusable
TEPS: Fleet Owner Net (FOND), per
TEPS: Fleet Owner Net (FOND) SL allowance percentage
Parts
MEPS / AMD / ISD: C/L MEPS / AMD / ISD: C/L, per SL
allowance percentage

Parts: If repair started on or before SL completion Reimbursable if repair is after failure

Resultant Damaged date repair, per SL allowance percentage

At Cost, only if made unusable due

Service Items At Cost, only if made unusable due to
to PSP-related failure, per SL part
(Claim on Misc Line) PIP-related failure
allowance percentage
Approved Sell labor rate, when provided Approved Sell labor rate, when provided
Labor
in SL in SL, up to SL allowance
If repair started on or before SL Reasonable labor is reimbursable at
Labor: Resultant Damage completion date reasonable labor is Sell labor rate if repair is after failure,
reimbursable at Sell labor rate per SL allowance percentage
Parts Salvage Labor Not allowed Not allowed
Travel rate & vehicle rate - allowed only
TT&M Travel rate & vehicle rate1 if necessary during normal warranty
period or when provided in SL
At Cost - if justified during normal warranty
Meals & Lodging At Cost - only if justified
period on after-failure repairs
Parts Service Charges Reimbursable Reimbursable
Emergency Freight At Cost - only if after failure and part is
Not reimbursable
Charges from unassigned Parts DC
On-highway engines: invoice cost
allowed only if necessary during
If less than travel expenses, at Cost - standard warranty period on after-failure
Towing/Hauling Costs
only if justified 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
At Cost, less proration percent - only if
Outside Repair Expense At Cost - only if justified
justified

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Global Engine & Global TEPS / MEPS / AMD / ISD Policy

Footnote
1 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.

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Claim Field Information for PIPs (Safety & Priority)

Claim Field Required Information
Product ID/Serial Product serial number
Number
Product Usage Product service hours
Part Causing Failure PIP reference number
Description Code 56 – Before failure
96 – After failure
40 – Manual review. Enter when claim story explains the repair was completed
after and started prior to Termination Date. Note: Claims in excess of Service Letter
criteria are automatically sent to manual review and do not require 40.
NA - Does not apply - Inspected
Group Number 7751
Findings/Comments Service Letter date - publish date
For example: S/L dated 22Aug13
➤ Labor Expense Lines For PIPs providing labor hour reimbursement, labor hours should be claimed in
accordance with the following:
• 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 on the first labor line
and claim resultant damage labor hours (After-Failure only) on additional
reasonable labor lines using proper Comp and Job codes. Resultant
damage labor time should be broken down to show that labor differs from
the labor time covered in the service letter.
• Comp - enter 7751 for service letter labor line or appropriate Comp code for
resultant damage labor lines.
• Job - enter 001 for service letter labor line or appropriate Job code for resultant
damage labor lines.
Claim Story A claim story is not required to substantiate a PIP claim, except when claiming for the
repair expenses listed below. In such cases, the claim story must contain the listed
information for the applicable expense(s).
• Resultant Damage (RD) – identify the RD parts and labor and provide
explanation
• Service items – if made unusable due to the PIP covered failure, provide
explanation
• Parts service charges – list corresponding parts invoice numbers for emergency
orders
• Overtime labor – explain why extra labor is needed
• Meals and lodging – provide justification why this was needed
• Freight charges – explain reason charges are being claimed
• Towing / Hauling costs – explain why transporting was necessary
• Travel and Mileage – include adequate To/From Destination detail
• Outside expenses – explain expense and why it was needed
Miscellaneous All Service Items must be filed on a miscellaneous line.

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 Caterpillar: Confidential Green Bulletin No. 1.16

Claim Field Information for PIPs –

Parts Stock, Dealer Service Tools & Cat Shop Supplies
Claim Field Required Information
Product ID/Serial For Parts Stock PIPs - enter 99Z00001
Number For Dealer Service Tools PIPs - enter 99Z00025
For Cat Shop Supplies PIPs - enter 99Z70008
Repair Date Enter the date the parts or tools were pulled from inventory or repaired.
Part Causing Failure PIP reference number
Description Code 56
Group Number 7751
Findings/Comments Service Letter date - publish date
For example: S/L dated 22Aug13
Part Expense Lines For each defective part number being claimed use PD Code 56.
➤ Labor Expense Lines For PIPs providing labor reimbursement, labor hours should be claimed in
accordance with the following:
• 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.
• Equal or greater than hours listed in S/L, enter the total labor hours
listed in the Service Letter for Caterpillar Participation on the first labor
line and claim resultant damage labor hours (After-Failure only) on
additional reasonable labor lines using proper Comp and Job codes.
Resultant damage labor time should be broken down to show that labor
differs from the labor time covered in the service letter.
• Comp - enter 7751 for service letter labor line or appropriate Comp code for
resultant damage labor lines.
• Job - enter 001 for service letter labor line or appropriate Job code for
resultant damage labor lines.
Claim Story A claim story is not required to substantiate Parts Stock, Dealer Service Tools or
Cat Shop Supplies PIP claims.

For more information, please refer to Warranty Bulletin 4.08 for Defective Parts Stock and Warranty Bulletin 4.09
for Cat Service Tools and Supplies.

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 Bulletin No. 1.16 Caterpillar: Confidential Green

Claim Field Information for PSPs

Claim Field Required Information
Product ID / Serial Product serial number
Number
Product Usage Enter the product service hours.
NOTE: PSPs may have prorated reimbursement allowances based on product hours.
Part Causing Failure PSP reference number
Description Code 56 – Before failure
96 – After failure
40 – Manual review. Enter when requesting partial coverage under EPP/ESC or
when claim story explains the repair was completed after and started prior to the
Termination Date. Note: Claims in excess of Service Letter criteria are automatically
sent to manual review and do not require 40.
Group Number 7755
Findings/Comments Service Letter date - publish date
For example: S/L dated 22Aug13
Parts Expense Lines For PSP claims with a prorated parts allowance percentage, enter the part number
of the parts used. Based on the entered part number, the Caterpillar system
automatically enters the full unit price and automatically prorates parts. Do not enter
“PR” in the COMP field of each part line.
➤ Labor Expense Lines PSPs providing labor hour reimbursement, labor hours should be claimed in
accordance with the following:
• Qty - when dealer’s actual repair time is:
• Less than hours listed in the S/L, enter the actual 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 on the first labor line and claim
resultant damage labor hours (After-Failure only) on additional reasonable
labor lines using proper Comp and Job codes. Resultant damage labor
time should be broken down to show that labor differs from the labor time
covered in the service letter.
• Comp - enter 7755 for service letter labor line or appropriate Comp code for
resultant damage labor lines.
• Job - enter 001 for service letter labor line or appropriate Job code for resultant
damage labor lines.
Claim Story Before failure, a claim story is not required to substantiate a PSP claim. The claim
story on after failure claims must indicate the PSP was performed after failure and
include an explanation of the failure. It must also contain the following information:
• Resultant Damage (RD) – identify the RD parts and labor and provide explanation
• Service items – if made unusable due to the PSP covered failure, provide explanation
• Parts service charges – list corresponding parts invoice numbers for emergency
orders
• Overtime labor – explain why extra labor is needed
• Meals and lodging – provide justification why this was needed
• Freight charges – explain reason charges are being claimed
• Towing / Hauling costs – explain why transporting was necessary
• Travel and Mileage – include adequate To/From Destination detail
• Outside expenses – explain expense and why it was needed
Miscellaneous All Service Items must be filed on a miscellaneous line, not a parts line.

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 Caterpillar: Confidential Green Bulletin No. 1.16

Claiming Practices for PIPs/PSPs that also include Parts Stock Action
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.
Note: TEPS/MEPS/AMD/ISD dealers are to return these parts to their Cat distributor.

Claim Field Required Information

Product ID/Serial Number Enter 99Z00001
Part Causing Failure Enter the PIP/PSP reference number
Description Code 56
Group Number 7755
Findings/Comments Enter the Service Letter date - publish date
For example: “S/L dated 22Aug99.”

For more information, refer to Warranty Bulletin 4.08 for Defective Parts Stock.

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Caterpillar Claim System – Validation Messages for Service Letters

The chart below outlines the messages used by the Caterpillar Claim System to verify information contained in
certain claim fields. The columns identify the Cat System Message numbers, the Caterpillar Validation System
Message, and possible action steps.

Caterpillar
Cat Message
Validation System Possible Action Steps
System Message Number
Message
Verify the Service Letter number entered in the part causing failure. If the
Service Letter number entered is incorrect, correct the information. If the
SLMSG1: Part causing failure Service Letter number entered is correct, add information to the story to explain
SERVICE LETTER 25 is not a valid service why it’s a valid Service Letter number. If the Service Letter is aged, it may
NOT VALID letter. 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.
Verify the Serial Number is correct. If it is correct and the unit is not listed on
Serial Number is not the Service Letter, contact your Tech Rep. If the Serial Number is listed in the
SLMSG2: published Service Letter or a previous version of the Service Letter, include that
included as eligible
SER NO INVALID 17 information in the claim story. If the Serial Number is not listed on the Service
product for Service Letter and if the failure is covered under another coverage such as Standard
FOR SERVICE LTR
Letter. Warranty or Extended Service Coverages (EPP/ESC), file the claim under the
actual part causing failure.

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

Verify the Service Letter issuance date and repair date on the claim. If the repair
SLMSG6: Repair date is before started before the Service letter was issued, file the claim using the actual part
causing failure and another available coverage such as Standard Warranty,
REPAIR DATE < SL 21 service letter issue Extended Service Coverages (EPP/ESC), or applicable Service Engineer
ISSUE DATE date. 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 to see if the part-causing failure is part of a published Service Letter. If so,
Check limits of Service verify the Service Letter criteria. If the repair fits within the criteria of the Service
CHECK SERV LTR 15 letter, change the PCF to the correct Service Letter number and use the Service
Letter.
PSxxxxx LIMITS Letter SMCS code in the Group Number field.

Verify the termination date on the Service Letter and the repair date on the
claim. If the repair started after termination date, the claim should be filed using
SLMSG3: Service letter was the actual part causing failure and using another available coverage such as
REPAIR DATE > 19 terminated before Standard Warranty or Extended Service Coverages (EPP/ESC). If the repair
TERM DT/NOT FND repair date. 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 / Findings 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.
• For additional assistance, please submit a ticket through MSCRM.

14 01.16-09 (10/14)