REWRITTEN CORPORATE PRODUCT & PROCESS STANDARD 1.

0 GENERAL

1.1 Purpose - This standard defines the responsibilities for worldwide control of product design. Product design includes the complete engineering model and its attachments, part number drawings and Computer Aided Design (CAD) models, Engineering Data System (EDS) notices, and engineering specifications. 1.2 The word subsidiary as used herein includes joint venture and affiliate companies, but not licensees. 2.0 TYPES OF DESIGN CONTROLS 2.1 Corporate Design Control - Corporate design control has responsibility for worldwide product uniformity (Refer to Standard C4.4). The executive office has delegated the assignment of design controls to be issued by Engineering Standards. 2.2 Primary Design Control - Primary design control is the worldwide engineering responsibility for product design assigned to a facility design group which defines the worldwide basis for performance, durability, reliability and parts service interchangeability. 2.2.1 Only the owning design control of the product design has the authority to change the associated engineering models, part number drawings and CAD models, EDS notices, and engineering specifications. Design control may contract with other groups or outside companies to perform design and/or drafting work, but final responsibility for the product design resides with the design control supervisor. 2.3 Subsidiary Design Control (Secondary) - Subsidiary design control is the control over individual engineering models, part number drawings and CAD models, EDS notices, and engineering specifications that are secondary versions of product design created for local requirements. 2.3.1 When new drawings are created for local requirements by subsidiaries (Refer to Standard B4.2) the subsidiary has design control of the drawings and designates their design control code in the design control field on the drawing (Refer to Standard B1.1).

THE INFORMATION HEREON IS THE PROPERTY OF CATERPILLAR INC. AND/OR ITS SUBSIDIARIES. WITHOUT WRITTEN PERMISSION, ANY COPYING, TRANSMITTAL TO OTHERS, AND ANY USE EXCEPT THAT FOR WHICH IT IS LOANED, IS PROHIBITED. DATE NUMBER

WORLDWIDE CONTROL OF PRODUCT DESIGN

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REWRITTEN CORPORATE PRODUCT & PROCESS STANDARD

2.3.2 Subsidiary design control drawings (secondary) retain the same part number as the primary design control drawing but carry that subsidiarys designated subsidiary design control and version code and are released to Change Level 00. They are either direct translations or may contain variations in shape, material, processing, etc., from the original design control drawing. They shall retain interchangeability and ensure that parts are comparable in quality, performance, appearance, etc., with those made to the original design control drawing. The Subsidiary design control code has responsibility for the release and maintenance of secondary product design (Refer to Standard B5.11). 2.4 Control of Drawings for Product Built in Subsidiaries Only 2.4.1 On occasion, the primary design control will design product for certain models to be manufactured only by one or more subsidiaries. Primary design control is retained and the drawings are released by design control FOR SUBSIDIARY USE to define the worldwide basis for performance, durability, reliability, and parts service interchangeability (Refer to Standard C4.4). 2.4.2 In certain cases, due to marketing requirements or other considerations, a subsidiary may continue to build a model that has become noncurrent by primary design. Design control of these products shall remain with the primary design control (Refer to Standard C4.4). 2.5 Design Control Responsibility - Design control or subsidiary design control responsibility for drawings shall not be delegated to any area outside the business unit. The supervisor is responsible to approve all release and change activity, APPROVAL REQUIRED deviation requests, etc., to drawings bearing the supervisors design or subsidiary design control code. Other design groups (e.g., Emissions, Materials, Nonmetallics, Defense, etc.) may also exercise application approval (dual control) over activity to certain part numbers (Refer to Standard C1.6). 3.0 DESIGN CONTROL AND VERSION CODES 3.1 Assignment of Codes - Engineering Standards assigns a design control code to identify the design group responsible for the release and maintenance of engineering models, part number drawings and CAD models, EDS notices, and engineering specifications and to identify the version of these product design items (Refer to Standard C2.2). 3.2 Primary Design Control Code and Subsidiary Design Control Code 3.2.1 The same code format is used to identify primary design control or subsidiary design control of product design consisting of an alphabetic code and three numeric digits (e.g., P113, HE110).

THE INFORMATION HEREON IS THE PROPERTY OF CATERPILLAR INC. AND/OR ITS SUBSIDIARIES. WITHOUT WRITTEN PERMISSION, ANY COPYING, TRANSMITTAL TO OTHERS, AND ANY USE EXCEPT THAT FOR WHICH IT IS LOANED, IS PROHIBITED. DATE NUMBER

WORLDWIDE CONTROL OF PRODUCT DESIGN

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REWRITTEN CORPORATE PRODUCT & PROCESS STANDARD

3.2.2 Primary design control codes and subsidiary design control codes are assigned for legal purposes at the authorization of supervisory level personal (or equivalent). 3.3 Version Code - The alphabetic code assigned to each subsidiary is used on drawings, specifications, and their model numbers to identify the version of the primary design control and subsidiary design control. A dash (-) is normally used as the version code for the United States. When no code is designated, the dash (-) version is implied. 4.0 CORPORATE DESIGN CONTROL OF SELECTED COMPONENTS OR COMMODITIES 4.1 Assignment - Corporate Design Controls have design responsibility for selected components. 4.2 Systems and Component Enterprise Owners - The enterprise owner of a managed category system or component part has corporate design control responsibility of the related engineering drawings and specifications. The enterprise owner can assume design control of any drawing or specification included in the owners area of responsibility which shall be transferred to them upon request (See Paragraph 4.2.3). The enterprise owner may permit drawing design control of special purpose (single use) items to remain with another design group at the source of supply or user facility. A list of enterprise product category owners is located at the Global NPI Web Site (https://npi.cat.com), under Product Strategy. 4.2.1 Release of New Standard Hardware Parts - Product design groups shall contact the Common Components Group to design new standard hardware parts. These parts are given worldwide distribution so they will be available to all potential users immediately. 4.2.2 Optional Release and Transfer Procedure - Non-hardware parts assigned to a corporate design group may be production released by another design group which has next higher level usage and simultaneously transferred to the design group having corporate design control (Refer to Engineering Standards and Services Guide G3-1). 4.2.3 Enterprise Owner Design Control Transfer Procedure - When requested by the enterprise part owner to transfer the design control, the current part owner shall process the request. The current part owner may delegate the design control transfer process to the enterprise part owner. If delegated to the enterprise owner, the enterprise owner will process the design control transfer, and work with the original owner to transfer any related drawing files or models (See Article 5.0).

THE INFORMATION HEREON IS THE PROPERTY OF CATERPILLAR INC. AND/OR ITS SUBSIDIARIES. WITHOUT WRITTEN PERMISSION, ANY COPYING, TRANSMITTAL TO OTHERS, AND ANY USE EXCEPT THAT FOR WHICH IT IS LOANED, IS PROHIBITED. DATE NUMBER

WORLDWIDE CONTROL OF PRODUCT DESIGN

Caterpillar: Confidential Yellow - Reproduction Constitutes an Uncontrolled Document -

21 APR 2011

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REWRITTEN CORPORATE PRODUCT & PROCESS STANDARD 5.0 TRANSFER OF DESIGN CONTROL PROCEDURES Note: The current (relinquishing) design control supervisor and the new (receiving) design control supervisor shall approve the transfer. 5.1 Transfer of Drawing With Drawing Change 5.1.1 Transfer of design control may be processed concurrently with a drawing change. Changing only the design control on a drawing does not constitute a drawing change. 5.1.2 Current design control owner: -

Processes a drawing change and incorporates the design control transfer in with the change The design control is updated on the drawing and in EDS with the change. In the details area of the change notice, the originator shall document the transfer by specifying approval from both the current and new design control codes and supervisors names (Refer to Standard B10.3) Releasing section verifies that the new design controls receiver code is posted on the notice. The change is processed by the releasing section (Refer to Standard C1.3)

5.2 Transfer of PRO/E File With Drawing Change (Contact Des Cont A649) 5.2.1 When the current and the new design control owners are in the same database: 5.2.1.1 Current design control owner: Downloads the Pro/E file from Teamcenter Rolls a revision Makes design changes Updates the parameters in the Pro/E file Updates and regenerates the drawing Creates the tif file to go into the Random Access STorage ARchitecture (RASTAR) system Enters information into the Electronic Drawing Notice (EDN) Uploads the Pro/E file and RASTAR tif into Teamcenter Engineering Publishes to Global Product Geometry Replication (GPGR) if not currently published Completes the Teamcenter release process Transfers the ownership in EDS to the new design control owner Initiates moving of the ProE files to the appropriate Teamcenter group EDM or local RASTAR coordinator handles the grief

THE INFORMATION HEREON IS THE PROPERTY OF CATERPILLAR INC. AND/OR ITS SUBSIDIARIES. WITHOUT WRITTEN PERMISSION, ANY COPYING, TRANSMITTAL TO OTHERS, AND ANY USE EXCEPT THAT FOR WHICH IT IS LOANED, IS PROHIBITED. DATE NUMBER

WORLDWIDE CONTROL OF PRODUCT DESIGN

Caterpillar: Confidential Yellow - Reproduction Constitutes an Uncontrolled Document -

21 APR 2011

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REWRITTEN CORPORATE PRODUCT & PROCESS STANDARD 5.2.2 When the current and the new design control owners are in different databases: 5.2.2.1 Current design control owner: -

Downloads the Pro/E file from Teamcenter Rolls a revision Makes design changes Updates the parameters in the Pro/E file Updates and regenerates the drawing Creates the RASTAR tif Enters information into the EDN Uploads the Pro/E file and RASTAR tif into Teamcenter Engineering Publishes the ProE file via GPGR if not currently published and grants transfer of ownership to the new design control owner Completes the Teamcenter release process Transfers the ownership in EDS to the new design control owner

5.2.2.2 New design control owner: Imports the model with transfer of ownership EDM or local RASTAR coordinator handles the grief

5.3 Manually Drafted Drawings - Where manual drawings still exist design control shall do a redraw using the latest CAD system, or do a photo-reproduction using the 1E3011 method of creating the drawing (Refer to Standard B7.1).

THE INFORMATION HEREON IS THE PROPERTY OF CATERPILLAR INC. AND/OR ITS SUBSIDIARIES. WITHOUT WRITTEN PERMISSION, ANY COPYING, TRANSMITTAL TO OTHERS, AND ANY USE EXCEPT THAT FOR WHICH IT IS LOANED, IS PROHIBITED. DATE NUMBER

WORLDWIDE CONTROL OF PRODUCT DESIGN

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REWRITTEN CORPORATE PRODUCT & PROCESS STANDARD 5.4 Transfer of Drawing Without Drawing Change 5.4.1 Current design control owner: -

Creates a General Engineering Notice to document the transfer (Refer to Standard B10.3) Changes EDS part number database to document the new design control Changes the design control of the drawings being transferred. No other changes are allowed (does not elevate the drawing change level) Releasing section reloads the drawings to RASTAR Releasing section verifies that the new design controls receiver code is posted on the notice. The change is processed by the releasing section (Refer to Standard C1.3)

5.5 Transfer of PRO/E File Without Drawing Change (Contact Des Cont A649) 5.5.1 When the current and the new design control owners are in the same database: 5.5.1.1 Current design control owner: Applies maintenance status to the latest change level Downloads the Pro/E file Updates the design control in the Pro/E file Adds Drawing Title Block to each Sheet Recreates the RASTAR tif Puts the Pro/E file and RASTAR tif back into Teamcenter Engineering Removes the maintenance status Publishes to GPGR if not currently published Transfers the ownership in EDS to the new design control owner Manually sends to RASTAR Initiates moving of the ProE files to the appropriate Teamcenter group Notifies Engineering Data Management (EDM) or local RASTAR coordinator that the new drawing is loaded EDM or local RASTAR coordinator handles the grief

THE INFORMATION HEREON IS THE PROPERTY OF CATERPILLAR INC. AND/OR ITS SUBSIDIARIES. WITHOUT WRITTEN PERMISSION, ANY COPYING, TRANSMITTAL TO OTHERS, AND ANY USE EXCEPT THAT FOR WHICH IT IS LOANED, IS PROHIBITED. DATE NUMBER

WORLDWIDE CONTROL OF PRODUCT DESIGN

Caterpillar: Confidential Yellow - Reproduction Constitutes an Uncontrolled Document -

21 APR 2011

B4.6
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REWRITTEN CORPORATE PRODUCT & PROCESS STANDARD 5.5.2 When the current and the new design control owners are in different databases: 5.5.2.1 Current design control owner: Applies maintenance status to the latest change level Downloads the Pro/E file Updates the design control in the Pro/E file Adds Drawing Title Block to each Sheet Recreates the RASTAR tif Puts the Pro/E file and RASTAR tif back into Teamcenter Engineering Removes the maintenance status Publishes to GPGR if not currently published and grants transfer of ownership to the new design control owner Transfers the ownership in EDS to the new design control owner Manually sends to RASTAR

5.5.2.2 New design control owner: Imports the model with transfer of ownership Notifies EDM or local RASTAR coordinator that the new drawing is loaded EDM or local RASTAR coordinator handles the grief

THE INFORMATION HEREON IS THE PROPERTY OF CATERPILLAR INC. AND/OR ITS SUBSIDIARIES. WITHOUT WRITTEN PERMISSION, ANY COPYING, TRANSMITTAL TO OTHERS, AND ANY USE EXCEPT THAT FOR WHICH IT IS LOANED, IS PROHIBITED. DATE NUMBER

WORLDWIDE CONTROL OF PRODUCT DESIGN

Caterpillar: Confidential Yellow - Reproduction Constitutes an Uncontrolled Document -

21 APR 2011

B4.6
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