Installation of a 3406 Engine Emissions Upgrade Group Retrofit for a D8N Track-Type Tractor {1000, 7000} Caterpillar

Installation of a 3406 Engine Emissions Upgrade Group Retrofit for a D8N Track-Type Tractor {1000, 7000}

Usage:

D8N 1XJ

Track-Type Tractor:: D8N (S/N: 9TC1-UP; 1XJ1-UP; 5TJ1-UP)

Introduction

Note: This Special Instruction can only be used for machines with certain engine arrangements. Refer to Table 1 for the arrangement numbers that are applicable.

The engine serial number will not change after this procedure is completed. The arrangement number of the engine will change.

Show/hide table

Table 1
D8N Track-Type Tractor Engine Arrangement Numbers
Original	Engine S/N Range	New
4W-9497	S/N:70V21758-99999 ⁽¹⁾	304-6688
	S/N:11N1-17684 ⁽²⁾
7C-0071	S/N:70V22031-99999 ⁽¹⁾	304-6683
	S/N:11N1-17684 ⁽²⁾

Show/hide table

^( 1 )	Requires Crankshaft Change
^( 2 )	Requires no Crankshaft Change

This Special Instruction provides the information in order to install a 3406 Engine Emissions Upgrade Group (EUG) retrofit for a D8N Track-Type Tractor. Tier I emission levels can be achieved by replacing certain components on the existing unregulated engine. This Emissions Upgrade procedure should be completed at the time of the engine overhaul.

When the Emissions Upgrade procedure has been completed, a label will be provided by Caterpillar. This label will verify that the Emissions Upgrade procedure has been performed for that individual 3406 Engine.

In order to obtain an Emissions Upgrade Label, the following criteria must be met:

All procedures in this Special Instruction must be completed by a Caterpillar dealer. The Caterpillar dealership will be required to verify the Emissions Upgrade procedure.
The engine that receives the Emissions Upgrade procedure must be tested on a dynamometer. The data will be submitted on the emissions upgrade validation form. The form must be approved by Caterpillar Engineering prior to installing the engine back on the machine.
The EUG must be registered as outlined in Special Instruction REHS5097.

Note: A label will not be issued for the Emissions Upgrade procedure if all of the criteria has not been met.

Return the component cores according to Reman Policies and Core Management, SELD0122. Refer to the following web site for more information.

https://reman.cat.com

This Special Instruction does not include all of the procedures that can be found in your existing manuals. Refer to the original Service Manual, Parts Manual, and Operation and Maintenance Manual for more information.

When you have completed this procedure, prepare the machine for service. Refer to the Operation and Maintenance Manual.

Note: Do not perform any procedure in this Special Instruction until the information has been read and understood.

Reference Service Manual, Parts Manual, Operation and Maintenance Manual, Engine Reusability Guidelines

Register the Retrofit

Because retrofits to a prime product will change the configuration of the product, updating the configuration in SIMSi is important. If the retrofit information is not provided, Caterpillar will not be able to provide important product updates.

The following information includes instructions on registering the updates and retrofits.

When performing a retrofit installation, record the vital information in Table 2.

Show/hide table

Table 2
Repair Date
Product Serial Number
Service Hours or Service Meter Units
Removed Component Part Number ⁽¹⁾
Removed Component Serial Number ⁽¹⁾
Installed Component Part Number ⁽²⁾
Installed Component Serial Number ⁽³⁾

Show/hide table

^( 1 )	Only applies if a component is replaced by a retrofit component. If the product is an engine, and the product retrofit is a kit for upgrading the engine, disregard the "Removed Component" information. Refer to detailed instructions in Step 3 for more information.
^( 2 )	Record the highest level retrofit kit, arrangement, or group part number.
^( 3 )	Most retrofits will not have a serial number. Exceptions include emissions repower engines and diesel particulate filters.

Update the product configuration by entering the information from Table 2 into SIMSi.

For detailed instructions on updating the product configuration, refer to Special Instruction, REHS5097, "Instructions to Register the Retrofit".

Safety

Show/hide table

Personal injury or death can result from sudden machine movement.
Sudden movement of the machine can cause injury to persons on or near the machine.

To prevent injury or death, make sure that the area around the machine is clear of personnel and obstructions before operating the machine.

Show/hide table

Do not attempt to assemble this machine until you read and you understand the assembly instructions.

Improper assembly procedures could result in injury or death.

Show/hide table

Personal injury or death can result from improper lifting or blocking.
When a hoist or jack is used to lift any part or component, stand clear of the area. Be sure the hoist or jack has the correct capacity to lift a component. Install blocks or stands before performance of any work under a heavy component.

Approximate weights of the components are shown. Clean all surfaces where parts are to be installed.

Show/hide table

NOTICE

Care must be taken to ensure that fluids are contained during performance of inspection, maintenance, testing, adjusting, and repair of the product. Be prepared to collect the fluid with suitable containers before opening any compartment or disassembling any component containing fluids. Refer to Special Publication, NENG2500, "Dealer Service Tool Catalog" for tools and supplies suitable to collect and contain fluids on Cat products. Dispose of all fluids according to local regulations and mandates.

Welding on Electronically Controlled Engines

Proper welding procedures are necessary in order to avoid damage to electronic controls. Perform welding on the engine according to the following procedure.

Set the engine control to the "STOP" mode.

Turn OFF the fuel supply to the engine.

Disconnect the negative terminal from the battery.

Disconnect the engine electronic components from the wiring harnesses: ECM, throttle actuator, actuator for the turbocharger compressor bypass, fuel metering valve and sensors.

Protect the wiring harnesses from welding debris and/or from welding spatter.

Show/hide table

NOTICE

Do NOT use electrical components (ECM or sensors) or electronic component grounding points for grounding the welder.

Connect the welder ground cable directly to the engine component that will be welded. Place the clamp as close as possible to the weld in order to reduce the possibility of welding current damage.

Use standard welding procedures to weld the materials together.

Required Tools

Tools Needed for Emissions Upgrade

Show/hide table

Table 3
Required Tools
Part Number	Description	Qty
9S-9082	Engine Turning Tool	1
6V-4186	Fuel Pump Timing Pin	2
8T-0455	Liner Projection Tool Group	1
2P-8260	Cylinder Liner Installer	1
6V-4979	Carbon Seal Installation Tool	1
6V-4089	Reamer	1
8T-3201	Wrench	1
8T-3139	Spanner Wrench	1
5P-0144	Fuel Line Socket	1
5P-3526	Piston Ring Compressor	1
9U-5383	Vacuum Tester	1
8T-5300	Engine Timing Indicator Group	1
8T-5301	Diesel Engine Timing Adapter Group	1
5P-8709	Cooling Jet Alignment Tool	1
6V-7790	Governor Sealing Tool	1

Required Parts

Parts to Order

Refer to TMIweb for the current parts list.

Use the Modification Gp part number in Table 4 as a part number in TMIweb. Each of the components with the set type "PTS-LIST" needs to be ordered. Read the notes for each component as some are required for specific serial number ranges only. Components with a set type "MISC REF" should NOT be ordered. In order to have coverage over multiple serial number breaks, some parts from the hardware kit will not be used.

Within the Modifications Gp are two piston cooling jet options. Select one option to order based on the current block configuration. Refer to Service Magazine, SEPD0603, "A New Optional Two Piece Service Replacement Piston Is Available" for additional information as needed.

Note: A reference engine arrangement may be shown with set type PTS-LIST but should not be ordered. The referenced engine is the upgraded engine arrangement and is available for reference.

The parts contained within the modification group are for the emissions upgrade only. Additional parts needed for the overhaul, cylinder head, gasket kits, need to be ordered as necessary to support the engine arrangement number. Parts availability should be considered prior to the machine arriving at the facility.

Show/hide table

Table 4
Required Parts
Qty	Description	Part Number
1	Modification Gp	304-6670

Under the Modification Gp in TMI, "MISC-REF" part numbers may be used in SISWEB to view illustrations and individual part numbers. Refer to the parts book if further detail is needed.

Procedure to Install the Emissions Upgrade Group

Note: Before starting the procedures, refer to the following items:

See your machines Disassembly and Assembly for more information about the removal and installation of the engine.

Component Reusability Guidelines

The following information is used in order to test the original engine components that will be used for the Emissions Upgrade procedure. Examples of the original components that are often used with the Emissions Upgrade Group include the following parts: engine block, engine cylinder head, crankshaft, valve mechanism and gear train. Refer to Table 5 for the correct media number for each part reusability.

Show/hide table

Table 5
Reusability Guidelines Service Manual Numbers
Part Description	Service Manual Media Number
Engine Block	RENR3218 ⁽¹⁾
Cylinder Head	RENR3219 ⁽²⁾
Crankshaft	RENR3223 ⁽³⁾
Valve Mechanism ⁽⁴⁾	RENR3226 ⁽⁵⁾
Gear Train	RENR3227 ⁽⁶⁾

Show/hide table

^( 1 )	The individual sections for the engine block are listed in Table 6.
^( 2 )	The individual sections for the cylinder heads are listed in Table 7.
^( 3 )	The individual sections for the crankshaft are listed in Table 8.
^( 4 )	The camshaft specifications are included in the Valve Mechanism section.
^( 5 )	The individual sections for the valve mechanisms are listed in Table 9.
^( 6 )	The individual sections for the gear train are listed in Table 10.

Show/hide table

Table 6
Engine Block Reusability
Title	Media Number
"Cylinder Block Salvage Procedure Using Belzona Ceramic R Metal"	REHS2133
"Using 1P-3537 Dial Bore Gauge Group to Check Cylinder Bore Size"	GMGO0981
"Use of 1P-4000 Line Boring Tool Group"	SMHS7606
"Using LOCK-N-STITCH Procedures for Casting Salvage"	SEBF8882
"Salvage Weld Procedure for Cast Iron Cylinder Blocks"	SEHS8919
"Installation of 1N-3574 or 1N-3576 Cylinder Block Service Group (Spacer Plate) as a Replacement for the Former Counterbored Cylinder Block"	SMHS7541
"Specifications to Salvage Cylinder Block Contact Surfaces"	SEBF8076

Show/hide table

Table 7
Cylinder Head Reusability
Title	Media Number
"Specifications to Measure and Salvage Cylinder Head Assemblies and Related Components"	SEBF8162
"Using the 9U-5383 Vacuum Tester"	SEHS9498
"Specifications for Cylinder Head Assemblies 3400 Engines"	SEBF8373

Show/hide table

Table 8
Crankshaft Reusability
Title	Media Number
"Crankshaft Measurement"	SEBF8041
"Procedure to Measure and Straighten Bent Crankshafts"	SEBF8054
"Main and Connecting Rod Bearings"	SEBF8009
"Visual Inspection of Crankshafts"	SEBF8043
"Inspection of Crankshafts for Cracks"	SEBF8039
"Procedure to Polish Crankshafts"	SEBF8042

Show/hide table

Table 9
Valve Mechanism Reusability
Title	Media Number
"Camshaft Measurement"	SEBF8097
"Visual Inspection of Camshafts"	SEBF8146
"Slipper Followers and Camshaft Roller Followers"	SEBF8067
"Valve and Valve Spring Specifications"	SEBF8034
"Valves, Valve Springs, Valve Rotators, and Locks"	SEBF8002

Show/hide table

Table 10
Gear Train Reusability
Title	Media Number
"Timing Gears For All Engines"	SEBF8045

Show/hide table

Table 11
Miscellaneous
Title	Media number
"Kidney Loop Filtration Process For Rebuilt Engines"	SEBF8405

When you have completed this procedure, prepare the machine for service. Refer to the Operation and Maintenance Manual.

Installation of the Emissions Upgrade Components

The following is a detailed procedure used to install the following emissions critical components: Crankshaft Gp, Cylinder Pack Gp, Piston Cooling Jet As, Camshaft As, Fuel Injection Pump Gp, Fuel Drive Pump Gp, Fuel Injection Nozzles, and Turbocharger Gp. The installation of the remaining non-emissions critical components should be completed per the Disassembly and Assembly Manual. A recommended outline of some of these extra steps is included in this document.

Disassembly and Assembly of the Engine

Disassemble the engine according to the Disassembly and Assembly Manual for your machine.

Clean the block and inspect for erosion in the cylinder liner seal location and deck at the cylinder liner seat location.

Check Cylinder Liner Projection

Note: Do not install liner seals for this step.

Note: The following procedure alleviates the need for the crossbar to hold the cylinder liners during cylinder liner projection measurements.

Clean the cylinder liner flange and the cylinder block surface. Remove any nicks on the top of the cylinder block.

Install clean cylinder packs without the rubber seals or the filler band. Install a new spacer plate gasket and the clean spacer plate.

Show/hide table

Table 12
Required Components
Item	Part Number	Part Description	Qty For One Cylinder	Qty For Six Cylinders
1	7H-3598	Bolt	6	36
2	8F-1484	Washer	6	36
3	7K-1977	Washer	6	36

Show/hide table




Illustration 1	g01269451

Install the bolts and washers in the order that is shown in Illustration 1 in order to seat the cylinder liner in the block. Tighten bolts (1) evenly to a torque of 95 N·m (70 lb ft).

Show/hide table




Illustration 2	g01269476
(4) Bolt (5) Dial Indicator (6) Gauge Body (7) Gauge

Loosen bolt (4) until dial indicator (5) can be moved. Place gauge body (6) and dial indicator (5) on the long side of gauge (7) .

Slide dial indicator (5) into position until the point contacts gauge (7). Slide dial indicator (5) until the needle of the dial indicator makes a quarter of a revolution clockwise. The needle should be in a vertical position. Tighten bolt (4) and zero dial indicator (5) .

Place gauge body (6) on the spacer plate with the dial indicator point on the cylinder liner flange. Read the dial indicator in order to find the amount of liner projection. Check the liner projection at four locations (every 90 degrees) around each cylinder liner.

Show/hide table

Table 13
Specifications
Liner Projection	0.025 mm (0.001 inch) to 0.152 mm (0.006 inch)
Maximum Variation in Each Cylinder	0.051 mm (.0020 inch)
Maximum Average Variation Between Adjacent Cylinders	0.051 mm (.0020 inch)
Maximum Variation Between All Cylinders	0.102 mm (.0040 inch)

If the cylinder liner projection is out of specifications, rotate the cylinder liner in the bore and repeat the procedure. If the cylinder liner is still out of specifications, install the cylinder liner into a different cylinder bore.
Note: Do not exceed the maximum liner projection of 0.152 mm (0.006 inch). Cracking in the flange of the cylinder liner results from excessive cylinder liner projection measurements.

If the maximum variation between cylinder liners is greater than the recommended specification, shims must be used in order to reach the correct specification. Counterbore as needed. Clean the block to remove metal shavings and debris. Use shims in order to reach the correct specification.

Measure the cylinder liner projection for each cylinder, mark each cylinder liner for the proper location in the bore and remove the cylinder liners.

Installation of the Crankshaft Gp

Show/hide table

Table 14
Required Parts
Tool	Part Number	Part Description	Qty
A	8S-2328	Dial Test Indicator Gp	1
B	5B-1161	Wire	1

Refer to your Disassembly and Assembly in order to remove the original crankshaft.

Heat the crankshaft gears to a maximum temperature of 204 °C (400 °F).

Show/hide table




Illustration 3	g01335869

Install the crankshaft inner gear (2) on the crankshaft.

Install the spacer on the crankshaft.

Install the pin in the end of crankshaft. The pin must be extended no more than 4.82 mm (0.19 inch) from the surface of crankshaft.

Install the crankshaft outer gear (1) on the crankshaft.

Note: The pin in the Crankshaft must be aligned with the notch in the crankshaft gear (1).

Clean the cylinder block and main bearing caps thoroughly.

Show/hide table




Illustration 4	g01335945

Install the upper half of the main bearings (3) in the block. Put clean engine oil on the bearings and the journals of the crankshaft.

Install one bolt for the flywheel on each end of crankshaft.

Fasten a hoist and put the crankshaft in position in the block. Make sure that the "V" mark on the crankshaft gear is in alignment with the "V" mark on the idler gear. The "K" marks on the camshaft gear can be seen at the outer edges of the idler gear when the gears are aligned.

Install the main bearings in the bearing caps.

Show/hide table




Illustration 5	g01335957

Note: Make sure that the tabs (4) on the back of the bearings fit in the grooves of the caps and the cylinder block.

Use wire (B) to check bearing clearance.

Put wire (B) on the bearing.

Show/hide table




Illustration 6	g01336006

Note: Make sure that the numbers on the main bearing caps (5) match the numbers on the cylinder block. Make sure that the arrows on the caps are toward the front of the cylinder block.

Install the main bearing caps. Install the bolts (6). Tighten the bolts at the end with the tab first to a torque of 260 ± 14 N·m (190 ± 10 lb ft). Place a mark on the bolts and caps. Tighten the bolts at the opposite end of the tab first by turning the bolts 120° ± 5° more.

Remove the main bearing caps. Remove wire (B) from the caps. Check the thickness of the wire (B) in order to find the bearing clearance. The bearing clearance must be 0.091 mm (0.0036 inch) to 0.185 mm (0.0073 inch) with new bearings. Maximum clearance with used bearings is 0.35 mm (0.010 inch).

Install the thrust bearings for No. 4 main bearing.

Note: Install the thrust bearings with the side marked "BLOCK SIDE" toward the cylinder block.

Put clean engine oil on the threads of the bolts. Install the main bearing caps. Install the bolts. Tighten the bolts at the end with the tab first to a torque of 260 ± 14 N·m (190 ± 10 lb ft). Place a mark on the bolts and caps. Turn the bolts from the mark. Tighten the bolts at the opposite end of the tab first by turning the bolts 120° ± 5° more.

Show/hide table




Illustration 7	g01336085

Check the end play of the crankshaft with tool group (A). Make sure that the dial indicator is against a machined surface. The end play is controlled by the thrust bearings of No. 4 (center) main. The end play must be 0.152 mm (0.0060 inch) to 0.508 mm (0.020 inch) with new bearings. The maximum permissible end play with used bearings is 0.89 mm (0.035 inch).

Installation of the Cylinder Pack Gp

The Cylinder Pack Gp contains three procedures for installation. The following procedures are included: cylinder liner, pistons and connecting rods and connecting rod bearings.

Installation of Cylinder Liners

Show/hide table

Table 15
Required Tools
Tool	Part Number	Part Description	Qty
A	8T-0455	Liner Projection Tool	1
B	2P-8260	Cylinder Liner Installation Tool	1

Lubricate the O-ring seals, the cylinder liner, and the upper filler band before installation.

Show/hide table




Illustration 8	g01269523

Ensure that the mark on the cylinder liner is in alignment with the mark on the cylinder block. Use Tool (B) to press each of the cylinder liners into position.

Installation of the Pistons and Connecting Rods

Show/hide table

Table 16
Required Tools
Tool	Part Number	Part Description	Qty
A	5P-3526	Piston Ring Compressor	1

Show/hide table

NOTICE

Keep all parts clean from contaminants. Contaminants may cause rapid wear and shortened component life.

Refer to your Disassembly and Assembly in order to remove the existing pistons and connecting rods.

Rotate the crankshaft until the bearing journals are at the bottom center. The bearing journals that are at the bottom center are for the piston installation.

Put clean engine oil on the crankshaft journals and on the inside of the cylinder liners. Put clean engine oil on the piston rings and the connecting rod bearings.

Move the piston rings on the pistons until the ring openings are separated by approximately 120 degrees.

Show/hide table




Illustration 9	g00483337

Put tool (A) in position on the cylinder block and compress the piston rings.

Push the piston into the cylinder liner and out of the ring compressor.

Show/hide table




Illustration 10	g00483701

Guide connecting rod (1) into position on the crankshaft.

Put clean engine oil (SAE 30) on the lower half of the connecting rod bearing and on the connecting rod bolts.

Show/hide table

NOTICE

When the connecting rod caps are installed, ensure that the identification marks are aligned.

Install connecting rod cap (2) and the nuts that secure the connecting rod cap. Torque both of the nuts to 90 ± 8 N·m (66 ± 6 lb ft). Mark the position of the nuts. Tighten each nut for an additional 90 degrees (1/4 turn).

Repeat Steps 1 through 9 for the remainder of the piston and connecting rods.

Installation of the Connecting Rod Bearings

Show/hide table

Table 17
Tool	Part Number	Part Description	Qty
A	-	Plastigage	-

Show/hide table

NOTICE

Keep all parts clean from contaminants. Contaminants may cause rapid wear and shortened component life.

Note: Install the connecting rod bearings dry when the clearance checks are made. Put clean engine oil on the connecting rod bearings for final assembly.

Install the upper half of the connecting rod bearing in the connecting rod.

Install the lower half of the connecting rod bearing in the connecting rod.
Note: Align the tabs on the back of the connecting rod bearings with the tab grooves in the connecting rod.

Show/hide table




Illustration 11	g00487493

In order to check the connecting rod bearing clearance, put Tool (A) on the connecting rod bearing, as shown.

Put clean engine oil (SAE 30) on the connecting rod bolts.

Show/hide table

NOTICE

When the connecting rod caps are installed, ensure that the identification marks are aligned.

Show/hide table




Illustration 12	g00487412

Note: Do not turn the crankshaft when Tool (A) is positioned.

Ensure that connecting rod (3) is in position on the crankshaft. Install connecting rod cap (2) and connecting rod nuts (1) on connecting rod (3) .

Show/hide table




Illustration 13	g00287852

Tighten the connecting rod nuts to a torque of 90 ± 8 N·m (66 ± 6 lb ft). Mark the position of the nuts. Tighten each nut for an additional 90 degrees (1/4 turn).

Remove the connecting rod cap. Measure Tool (A) on the bearing surface before Tool (A) is removed. The clearance between the connecting rod bearing and a new crankshaft should be 0.071 to 0.168 mm (0.0028 to 0.0066 inch).

Install connecting rod cap (2) and connecting rod nuts (1) on connecting rod (3). Repeat Step 6 in order to tighten the nuts.

Repeat Steps 1 through 8 for the remaining connecting rod bearings.

Refer to the Disassembly and Assembly manual for this model to complete the following steps:

Install rear housing and flywheel
Install front plate

Installation of the Camshaft Gp

Note: Be sure to make a setting of the fuel injection pump timing. Put clean SAE 30 oil on the lobes and journals of the camshaft.

Show/hide table




Illustration 14	g02670577
(1) Camshaft

Carefully install the camshaft (1) and the gear in the cylinder block. Install the retainer that holds the camshaft in the cylinder block.

Show/hide table




Illustration 15	g02670583
(2) Plate (3) Idler gear (4) "V" mark

Install the idler gear (3). Make sure that the "V" mark (4) on the idler gear is in alignment with the "V" mark on the crankshaft gear. The "K" marks on the camshaft gear can be seen at the outer edges of the idler gear when the gear is aligned. Install the plate (2) and the bolts that hold the plate (2).

Refer to the Disassembly and Assembly Manual for this model to complete the following steps:

Install front gears
Install lifters with springs
Install spacer plate gasket and spacer plate
Install head gasket and ferrules
Install cylinder head. Follow torque procedures and specs in the current model specifications.

Note: Do not install injection nozzles until after the fuel pump is installed.

Install push tubes and rocker arm assemblies. Follow torque procedures and specs in the current model specifications.
Install rocker arm bases. Follow torque procedures and specs in the current model specifications.
Adjust valves

Installation of the Piston Body As (Oil Jet As)

Show/hide table




Illustration 16	g01270483

Show/hide table

Table 18
Required Tools
Tool	Part Number	Part Description	Qty
A	9S-9082	Engine Turning Tool	1
B	5P-8709	Piston Cooling Jet Alignment Tool	1

Note: The engine is seen from the front of the engine when the direction of the crankshaft rotation is given.

Check the alignment of the piston cooling jets with tooling (B). See Special Instruction, SMHS7267, "Use Of 5P-8709 Tool Group for Alignment Of Piston Cooling Jets" for the correct alignment procedure.

Install piston cooling jets (1) on the engine. Use tool (A) to turn the crankshaft clockwise in order to gain access for the installation of the piston cooling jets.

Installation of the Governor and Fuel Injection Pump Gp

Show/hide table

Table 19
Required Tools
Tool	Part Number	Part Description	Qty
A	9S-9082	Engine Turning Tool	1
B	6V-4186	Fuel Pump Timing Pin	2

Show/hide table

NOTICE

Keep all parts clean from contaminants. Contaminants may cause rapid wear and shortened component life.

Note: The No. 1 piston must be set at the top center position (TC) in order to perform all of the timing procedures.

Note: The engine is seen from the flywheel end when the direction of the crankshaft rotation is given.

Remove the existing fuel pump from the engine. Refer to the Disassembly and Assembly for your machine for more information.

Show/hide table




Illustration 17	g01268322

Install Tool (A) into the flywheel housing, as shown.

To find the TC position for the No. 1 piston, perform the following procedure:
1. Turn the flywheel clockwise or turn the flywheel in the opposite direction of the engine rotation for approximately 30 degrees. Turning the flywheel in the opposite direction removes all play from the timing gears.
  Note: If you go past the bolt hole, repeat Step 3.a.
1. The timing bolt (1) is kept in storage at location (3). The timing bolt can be installed in either the side of the engine. Left side of the engine (2), right side of the engine (4).
  Note: There are two threaded holes in the flywheel. These holes are in alignment with the holes with plugs in the left and right front of the flywheel housing. The two holes in the flywheel are at a different distance from the center of the flywheel. The timing bolt cannot be put in the wrong hole.
1. Turn the flywheel counterclockwise until the timing bolt can be installed in the flywheel through either hole in the flywheel housing (2) or (4) .
1. In order to check the position of the inlet and exhaust valves, remove the valve mechanism cover. Refer to your machines Disassembly and Assembly, "Valve Mechanism Cover - Remove and Install".

If the No. 1 piston is not on the compression stroke, remove bolt (1) and turn the flywheel for 360 degrees counterclockwise. Install bolt (4). The No. 1 piston is now at the TC position.

Show/hide table




Illustration 20	g01268889

Show/hide table




Illustration 21	g01367221

Install Tool (B) in the fuel injection pump housing, as shown. Push Tool (B) and turn fuel injection pump camshaft (5). When Tool (B) engages the groove (slot) in the camshaft, the fuel injection pump is in the TC position for the No. 1 piston. Leave Tool (B) in this position during the installation of the fuel injection pump housing.

Note: Check the condition of the O-ring seals. Replace the O-ring seals, if necessary.

Ensure that O-ring seals are in position on the fuel injection pump housing and the governor. Put clean engine oil on the seals.

Show/hide table




Illustration 22	g01269020

Fasten a hoist to the fuel injection pump housing and governor (7). Install the fuel injection pump housing and the governor on the timing gear housing.

Install the bolts (6) that hold the fuel injection pump housing to the cylinder block.

Show/hide table




Illustration 23	g01269079

Connect fuel lines (8) to the fuel transfer pump.

Show/hide table




Illustration 24	g01269089

Connect governor linkage (13). Connect air line (12). Connect air line and fuel line (11). Connect fuel lines (10). Connect hose clamps (9) .

Remove Tool (B) from the pump housing and install the cover. Remove the timing bolt from the flywheel. Turn the crankshaft for two complete revolutions in order to determine if the timing is correct. Return the timing bolt to the storage location. Install the plugs in the flywheel housing.

Remove Tool (A). Install the electric starting motor.

Install the valve mechanism cover. Refer to Disassembly and Assembly, "Valve Mechanism Cover - Remove and Install".

Refer to the Disassembly and Assembly manual for this model to complete the following step:

Install the fuel lines from the pump to the cylinder head adaptor

Installation of the Governor and Fuel Pump Drive

Show/hide table

Table 20
Required Tools
Tool	Part Number	Part Description	Qty
A	9S-9082	Engine Turning Tool	1
B	6V-4186	Fuel Pump Timing Pin	2

Note: The engine is seen from the flywheel end when the direction of the crankshaft rotation is given.

Show/hide table




Illustration 25	g01286874

Remove the plug from the timing pin hole in the fuel injection pump housing, and install Tool (B) in the timing pin hole.

Install two 7/16-20 NF x 4in long bolts in the fuel injection pump camshaft (1). Slowly rotate the fuel injection pump until Tool (B) goes into the groove in the fuel injection pump camshaft. Remove the bolts from the camshaft.

Place the No. 1 piston at the top center compression position(TC). Perform the procedure in the previous section.

Remove the timing bolt. Use Tool (A) to rotate the engine clockwise or rotate the engine in the opposite direction of normal rotation for a minimum of 30 degrees.

Show/hide table




Illustration 26	g01286882

Install gear (2) in position on the fuel injection pump camshaft.

Show/hide table




Illustration 27	g01287033

Install two O-ring seals (4) in position on governor and fuel pump drive (3) .

Place governor and fuel pump drive in position on the fuel injection pump camshaft, and install the four bolts. Tighten the bolts to a torque of 3 N·m (27 lb in).

Use Tool (A) and slowly rotate the engine in the direction of normal rotation until the timing bolt can be installed in the flywheel.

Tighten the bolts that hold the governor and fuel pump drive to the fuel injection pump camshaft to a torque of 55 ± 7 N·m (41 ± 5 lb ft).

Remove Tool (A) from the fuel injection pump housing, and remove the timing bolt from the flywheel.

Check the timing according to the following procedure:
- Rotate the engine in the direction of normal rotation for two full turns, and install Tool (B) and the timing pin again.
- The timing is correct if Tool (B) and the timing bolt can be installed at the same time. The timing procedure must be done again if the timing bolt and Tool (B) cannot be installed at the same time.
- Remove Tool (B), and install the plug in the fuel injection pump housing. Remove the timing bolt and Tool (A), and install the plug and the cover on the flywheel housing.

Show/hide table




Illustration 28	g01286883

Put the gasket and cover (5) in position on the timing gear cover, and install the nuts.

Installation of the Fuel Injection Nozzle As

Show/hide table

Table 21
Required Tools
Tool	Part Number	Part Description	Qty
A	6V-4979	Carbon Seal Installation Tool	1
B	6V-4089	Reamer	1
C	8T-3201	Wrench	1
D	8T-3139	Spanner Wrench	1
E	5P-0144	Socket	1

Show/hide table

NOTICE

Keep all parts clean from contaminants. Contaminants may cause rapid wear and shortened component life.

Show/hide table




Illustration 29	g01269255

Use the Disassembly and Assembly for your machine in order to remove the original fuel injection nozzle assemblies.
Note: The nozzles are shipped with seal (8).

Verify that carbon dam seal (8) is installed on each nozzle. Tooling (A) is required if seal (8) is not installed on any of the nozzles.

Install a new compression seal (4) on the fuel injector nozzle.

Use Tool (B) in order to clean the bore in the cylinder head for the fuel injector nozzle. Use a wrench in order to turn Tool (B) .

Inspect seal (5) for damage or wear. Replace the seal, if necessary.

Put washer (7) and seal (5) in position on adapter (6) .

Put liquid soap in the bores of the cylinder head and on seals (5) in the adapters.

Put 5P-3931 Anti-Seize Compound on the threads of adapter (6) and install the adapter in the cylinder head assembly.

Use Tool (C) and tighten the adapter to a torque of 205 ± 14 N·m (150 ± 10 lb ft).

Install compression seal washer (4) and use Tool (A) to install carbon dam seal (8) on the fuel injection nozzle.

Put fuel injection nozzle (3) in position in the adapter and install retainer (2) .

Tighten the retainer (2) with tool (D) to a torque of 48 ± 7 N·m (35 ± 5 lb ft).

Install fuel line (1). Tighten the nuts on the fuel line with Tool (E) to a torque of 40 ± 7 N·m (30 ± 5 lb ft).

Refer to the Disassembly and Assembly manual for this model to complete the following steps:

Install internal fuel lines
Install valve covers. Follow torque procedure and specs listed in the current model specifications.

Installation of the Water Lines Gp

Show/hide table




Illustration 30	g01287545

Show/hide table




Illustration 31	g01270847

Position the 6L-9589 Gasket (1) and 4N-7806 Elbow (2) to the aftercooler (3). Install four bolts (4) in order to secure the elbow (2) to the aftercooler (3) .

Place the 109-0078 O-Ring Seal (5) on the 153-2724 Tube As (6). Place the tube assembly (6) into elbow (2) .

Install the 109-0078 O-Ring Seal (5) on the bottom end of the 153-2724 Tube As (6) and insert the tube assembly into 4N-2617 Elbow (7). Position the 4N-0933 Gasket (9) and elbow (7) to the engine block (8). Install two bolts (10) in order to secure elbow (7) to the engine block (8) .

Secure the tube assembly (6) with 2S-2053 Clip (11) .

Position the 6L-9589 Gasket (1) and the 4N-7796 Outlet Elbow (12) to the aftercooler (3). Install four bolts (13) in order to secure the elbow (12) to the aftercooler (3) .

Place two 109-0078 O-Ring Seals (5) on the 4N-4196 Outlet Pipe (14). Install the outlet pipe between the outlet elbow (12) and the 6I-1575 Outlet Elbow (15) .

Position the 4N-0699 Gasket (16) and outlet elbow (15) to the engine block (8). Install two bolts in order to secure the outlet elbow (15) to the engine block (8) .

Installation of the Aftercooler Gp

Show/hide table




Illustration 32	g01270705

Show/hide table




Illustration 33	g01270708

Install new O-ring seals on the water inlet of the aftercooler and outlet pipes of the aftercooler. Lubricate the O-ring seals with clean engine oil. Put new gaskets in place on the cylinder head.

With a hoist, place the aftercooler housing on the water pipes and the cylinder head.

Apply 9S-3263 Thread Lock Compound to bolts (1). Install the bolts (1) in order to hold the aftercooler housing to the cylinder head.

Install tube (2) into the turbocharger housing. Install washers and bolts (3) .

Make sure that the gaskets for cover (4) and the adapter on tube (2) are in place. Install cover (4) and bolts (5). Tighten bolts (5) to a torque of 23 ± 4 N·m (17 ± 3 lb ft).

Refer to the Disassembly and Assembly manual for this model to complete the following step:

Install front cover and engine support

Installation of the Damper Gp

Show/hide table




Illustration 34	g01337576

Attach a strap and a suitable lifting device to vibration damper (1) .

Place the damper in position. The weight of the damper is approximately 25 kg (55 lb).

Lubricate the threads of the bolts with molybdenum disulfide or graphite base lubricant. Install the six bolts (2) and washers.

Refer to the Disassembly and Assembly manual for this model to complete the following steps:

Install oil pump and lines
Install oil pan
Install exhaust manifold

Installation of the Turbocharger Gp

Show/hide table

NOTICE

Keep all parts clean from contaminants. Contaminants may cause rapid wear and shortened component life.

Show/hide table




Illustration 35	g01270559

Note: Check the condition of the gaskets and the O-ring seals. If the gaskets or the O-ring seals are worn or damaged, use new parts for replacement.

Install oil drain tube (1) on the engine. Position the gasket and turbocharger (2) on top of the exhaust manifold and install bolts (3) and the nuts.

Install the gasket and bolts (4) that hold the oil drain tube to the turbocharger. Put the oil supply tube in position and install the gasket and bolts (5) that hold the oil supply tube to the turbocharger.

Installation of the Air Lines Gp

Show/hide table




Illustration 36	g01287791

Install the outlet elbow (2) between the aftercooler (3) and the turbocharger (5) using appropriate o-ring seals.

Show/hide table




Illustration 37	g01288471

Install the exhaust pipe support (6) with two bolts (7) and two locknuts (8). Place the two sealing rings (9) on the exhaust coupling (10). Install the exhaust coupling (10) to the exhaust pipe support (6) .

Installation of the Shutoff Solenoid Gp

Show/hide table

NOTICE

Keep all parts clean from contaminants. Contaminants may cause rapid wear and shortened component life.

Show/hide table




Illustration 38	g00475568

Install the gasket and fuel shutoff solenoid (3) .

Apply 9S-3263 Thread Lock Compound on the threads for two nuts (2) .

Install the washers and two nuts (2) .

Connect ground wire (4) to the fuel shutoff solenoid. Install nut (1) and the washer.

Installation of the Fuel Ratio Control Lines and Adjustment of the Fuel Ratio Control

Note: This portion of the installation requires the engine to be installed on a dyno.

Show/hide table

Table 22
Tools Needed
Qty	Description	Pt. No.
1	Governor Adjusting Tool Group	6V-6070

Install the fuel ratio control lines for the Emissions Upgrade procedure.

Note: Adjustment of the fuel ratio control linkage can be done with the fuel injection pump and the governor on or off the engine.

Show/hide table




Illustration 39	g01365565

Remove the plug (2) and the cover (1) from the fuel injection pump housing.

Show/hide table




Illustration 40	g01365575
Indicator and centering pin installed

Install the 5P-4814 Collet (7) on the 6V-6109 Bracket Assembly (4) .

Show/hide table




Illustration 41	g01365593

Position the indicator arm approximately in the middle of the travel so the indicator arm will engage in the slot (9) in the rack. Put 6V-6109 Bracket Assembly (4) in position on the fuel injection pump housing.

Install 8H-9178 Ground Body Bolt (6) first. Then install 2A-0762 Bolt (5) .

The indicator arm must move freely.

Put indicator (8) in position in collet (7) .

Put the 9S-8903 Contact Point on the 6V-2030 Extension . Install the above components on the indicator (8) .
Note: The 9S-8903 Contact Point must be assembled after the indicator stem has passed through the collet.

Tighten collet (7) enough to hold the dial indicator.

Remove the shutoff solenoid and install the 6V-6151 Adapter (10). If there is no shutoff solenoid, remove the cover and install the 6V-6151 Adapter (10) .

Show/hide table




Illustration 42	g01365613

Rotate the governor shaft counterclockwise in order to move the governor control lever to the Low Idle position.

Install the 6V-4186 Timing Pin (3) in the top of the fuel injection pump housing. Push the timing pin. Stop when the timing pin contacts the fuel rack.

Use 6V-7942 Hook (11) through 6V-6151 Adapter (10) to push the sleeve and the rack to the Shutoff position. Make sure that the timing pin (3) engages in slot (9) .

Show/hide table




Illustration 43	g01365629
Push rack to shutoff

Rotate the governor shaft clockwise in order to move the governor control lever to the Full Load position.

Show/hide table




Illustration 44	g01365641
Pull rack against timing pin

Use the 6V-7942 Hook (11) to pull the sleeve and the rack through servo (12) and against the timing pin.

Show/hide table




Illustration 45	g01365790
Fuel rack against timing pin

Adjust the 6V-6106 Dial Indicator (8) in the collet to zero and tighten the collet. Make sure that all three needles of the dial indicator are on zero.

Remove the 6V-4186 Timing Pin (3) and the 6V-7942 Hook . Release the governor lever.

Show/hide table




Illustration 46	g01365875

Remove air line (13) and cover (14) from the engine.

Show/hide table




Illustration 47	g01365882

Show/hide table

Making contact with a running engine can cause burns from hot parts and can cause injury from rotating parts.

When working on an engine that is running, avoid contact with hot parts and rotating parts.

Start and operate the engine for a minimum of 5 minutes in order to get the governor and the engine up to normal operating temperature.

Show/hide table




Illustration 48	g01365891

Hold retainer (18) in position and loosen nut (17). Holding the retainer keeps the fuel ratio control diaphragm from turning when nut (17) is loosened or tightened.

Turn valve extension (16) in order to get the correct setting. A clockwise direction gives a more positive setting. The counterclockwise direction will give a more negative setting. Several adjustments of valve extension (16) may be needed to get the correct dynamic fuel ratio control setting.

After each adjustment is made, check the dynamic fuel ratio control setting. Start at 900 rpm. Rapidly move the governor control shaft to the full FUEL ON position and read the measurement on the dial indicator. Read the dial indicator carefully because this reading will be a maximum for only a moment. Make a record of the maximum dial indicator reading.
Note: If, the correct dynamic fuel ratio control setting cannot be made with this adjustment. Check the internal governor linkage and adjust or repair/replace the fuel ratio control.

After the correct adjustment has been made, tighten nut (17). Check the dynamic fuel ratio control setting again.

Install the gasket and cover (14) on the fuel ratio control. Tighten the bolts to a torque of 9 ± 3 N·m (7 ± 2 lb ft).

Apply 70 kPa (10 psi) of air pressure to the fuel ratio control at fitting (15). Applying air pressure will fully extend the fuel ratio control in order to get dynamic full torque.

Check the dynamic full torque setting. Start at 900 rpm. Rapidly move the governor control shaft to the full FUEL ON position and read the maximum measurement on the dial indicator.
Note: If, the dynamic full torque setting cannot be reached a repair or replacement of the fuel ratio control is needed.

Stop the engine.

Install the wire and seal on the fuel ratio control.

Install air line (13) on the engine.

Remove the rack position indicator tooling.

Testing and Adjusting

ReferenceRefer to Testing and Adjusting, SENR5594, "Governor - Adjust".

Engine Settings

An engine performance validation run MUST be performed on a dyno upon completion of the emissions upgrade. If possible, confirm that the dyno and fuel flow meter have been calibrated before the EUG engine is connected to the dyno. Per EPA requirements, the following parameters must fall within the ceiling/floor ranges specified in the designated test spec in order to receive an engine label:

High Idle Speed
Low Idle Speed
Full Load Speed
Power at Full Load Speed
Fuel Burn Rate at Full Load Speed
Torque Check Speed
Torque at Torque Check Speed
Fuel Burn Rate at Torque Check Speed

If any of these parameters do not fall within the specifications, the FLS/FTS settings should be adjusted until all specifications are met. A label can only be issued once all of the above mentioned parameters are within the specifications.

Note: The values from the dyno tests will be included on the engine labels. Calibrated dyno and fuel flow meters are important to provide accurate measurements for the engine rating being tested.

Single HP Instructions

After the installation of the Emission Upgrade Group, set the engine to the reference FLS/FTS settings included in the test specifications. Refer to the following test specification in the Technical Marketing Information (TMI) for the correct engine specifications.
Show/hide table
Table 23
Engine Specification

Engine Serial Number Specification Number

S/N:70V OK-8905

S/N:11N OK-8906

Perform a dyno test. Adjust fuel pump/governor settings in order to get the above listed parameters to fall within the ceiling/floor range on the test spec.

Submit a Validation Form with this information.
Note: Do not remove the engine from the dyno until the validation form has been received and approved by Caterpillar engineering. Not removing the engine will reduce delays to the customer as adjustments to the engine settings are sometimes required. Caterpillar engineering is not authorized to provide an emissions upgrade label until all of the parameters listed above are within specifications.

Installation of the Fuel System Protection Gp

Show/hide table

Table 24
Required Tools
Tool	Part Number	Part Description	Qty
A	6V-7790	Governor Sealing Tool Group	1

Show/hide table




Illustration 49	g01269682

After the engine has been set on the dyno, the Fuel Pump Protection Gp must be installed.

Put fuel ratio control (2) in position on the governor. Make sure that the valve head of the fuel ratio control is connected in the groove of the collar.

Install bolts (3) that hold the fuel ratio control to the governor. Connect air line (1) to the fuel ratio control.

Install Lockwire (5) through the cover bolts and connect the ends of the Lockwire with Wire Seal (4) with Governor Sealing Tool (A) .

3406 Engine Emissions Upgrade Group Caterpillar Validation Form

In order to satisfy EPA requirements, a validation form MUST be submitted and approved upon completion of the emissions upgrade. The validation form for the emissions upgrade is found on the Caterpillar Emissions Solutions web site.

The following steps will take the requestor to the emissions upgrade validation form.

Go to https://dealer.cat.com. On the top of the page, select the "Product Support" tab.

In the left-hand column of the dealer page, select the "Parts Products" tab.

Within the "Parts Products" tab, select the "Emissions Solutions" option.

Under the"Retrofit Solutions" column on that page, select the "Machine Emissions Solutions" option.

Under the "Emissions Upgrade Group", select the "EUG Validation Form" option.

Complete the validation form.

Select "Submit" in order to submit the validation form for approval.
Note: The following includes a portion of the information required to complete an on-line validation form. This reduced format includes all the information related to the engine and required results.

Show/hide table




Illustration 50	g02446916

EUG Registration

SIMSi MUST be updated with the emissions upgrade information as specified in the material referenced below.

ReferenceRefer to the Procedure to Register a Serialized Component, REHS5097, "Instructions to Register the Retrofit".

Labels

After the validation form has been approved by Caterpillar engineering, and the emissions upgrade has been registered in SIMSi correctly, new labels will be sent.