501 SW Jefferson Ave,

Peoria, Illinois 61630

Caterpillar Inc. Position on Used Tier 4 Interim and Tier 4 Final Product Migration to Lesser
Regulated or Non-Regulated Countries
The purpose of this document is to provide Cat® Dealers and customers with information on the
capability of used Cat Tier 4 Interim and Tier 4 Final products to migrate to Lesser Regulated or
Non-regulated countries. Throughout this document, Tier 4 Interim is used as a general reference
to U.S. EPA Tier 4 Interim, EU Stage IIIB, and Japan 2011 (Tier 4 Interim) emission standards.
Tier 4 Final is used as a general reference to U.S. EPA Tier 4 Final, EU Stage IV, and Japan 2014
(Tier 4 Final) emission standards. Highly regulated territories, including the U.S, Canada, EU,
South Korea and Japan are referred to as “HRC”. Countries with non-road emissions regulations
that are less stringent than HRCs are referred to as “LRC”. Countries with no non-road emissions
regulations are referred to as “NRC”.

Regulation Restriction Verification

The installation of the modification processes must be performed by an authorized Cat dealer. Cat
dealers in the USA, Japan, and some other countries are not permitted to order or install the
modification processes due to anti-tampering laws. Prior to the installation of the modification
process, please verify local laws and emissions regulations for anti-tampering regulations and to
ensure that the resulting de-certified engine/machine does not violate local emissions regulations.
Additionally, machines may not be certified to local regulations and therefore may not be allowed
for import even though they perform at more stringent emission levels than the local regulations
require. Check with local regulations to clarify the specific situation in a specific country.

Used C4.4 ACERTTM and C6.6 ACERT Tier 4 Interim Product Migration Capability
As previously announced, to successfully operate in LRC/NRC regions with higher sulfur levels,
used products with the Cat C4.4 ACERT and C6.6 ACERT engines will require a modification
process to remove the aftertreatment. The modification process includes the replacement of the
DPF with a muffler, installation of new control software, additional fuel filtration, and replacement
of the emissions label as the product will no longer be certified. Since the product will no longer
be certified, the product cannot be imported into some regulated regions.

Used C7.1 ACERT – C32 ACERT Tier 4 Interim Product Migration Capability
Used Cat C7.1 ACERT - C32 ACERT Tier 4 Interim engine products will not require modification
to operate in LRC/NRC regions with higher sulfur levels. As the product is not modified, it will be
able to move back to HRC regions. Due to varying fuel qualities around the world, optional fuel
filtration kits are offered to help control fuel contamination.

To provide an additional service option for customers at overhaul or at the customer’s

discretion, there are modification processes available for certain C7.1 ACERT - C18 ACERT Tier 4
Interim products. The modification process includes the replacement of the DPF with a muffler,
other hardware modifications, new control software, and replacement of the emissions label.

Caterpillar: Confidential Green

 Caterpillar Inc.

Once the modification process is installed, the product will no longer be certified, and the product
cannot be imported into some regulated regions.

Used Tier 4 Final Product Migration Capability

To meet Tier 4 Final emission standards, many products have added Selective Catalytic
Reduction (SCR), which requires the use of Diesel Exhaust Fluid (DEF) and the use of Ultra Low
Sulfur Diesel (ULSD). Modification processes have been developed for certain products which
would remove the aftertreatment and eliminate the need for DEF.

Used C27 ACERT and C32 ACERT Tier 4 Final Product Migration Capability
The aftertreatment solution for the C27 ACERT and C32 ACERT products did not change from
Tier 4 Interim to Tier 4 Final. The migration solution will also remain the same as it was for Tier 4
Interim: move as-is without the need for aftertreatment modification.

Used C9 ACERT – C18 ACERT Tier 4 Final Product Migration Capability

Used Cat C9 ACERT – C18 ACERT Tier 4 Final engine products will require modification
processes. The modification process will include the replacement of the DPF with a muffler, other
hardware modifications, new control software, the replacement of the emissions label, and may
include additional fuel filtration. After the installation of the modification process, the product will
no longer be certified, and the product cannot be imported into some regulated regions.
Due to varying fuel qualities around the world, fuel filtration kits will be either be offered with the
modification process or as an optional kit to help control fuel contamination. Please note the fuel
filtration kit does not reduce sulfur content.

Used C7.1 and Smaller Tier 4 Final Product Migration Capability

Products using the C7.1 and smaller engines typically remain in the region of sale. Due to the
lower probability of migration to LRCs/NRCs, Caterpillar has no current plans to develop
modification processes to enable migration to LRC/NRCs with higher sulfur fuels.

© 2020 Caterpillar. All Rights Reserved. CAT, CATERPILLAR, LET’S DO THE WORK, their respective logos, "Caterpillar
Corporate Yellow", the "Power Edge" and Cat “Modern Hex” trade dress as well as corporate and product identity used herein, are
trademarks of Caterpillar and may not be used without permission.

Caterpillar: Confidential Green